epa emission/low sulfur impact on military generator sets · office of management and budget,...

i

EPA Emission/Low SulfurImpact on Military

Generator SetsINTERIM REPORT

TFLRF No. 355

by

D. M. YostU.S. Army TARDEC Fuels and Lubricants Research Facility

(SwRI)Southwest Research Institute

San Antonio, TX

Under Contract to

U.S. Army TARDECPetroleum and Water Business Area

Warren, MI

Contract No. DAAK70-92-C-0059

November 2000

AD A

REPORT DOCUMENTATION PAGE Form Approved OMB No.0704-0188

Public reporting burder for this collection of information is estibated to average 1 hour per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completingand reviewing this collection of information. Send comments regarding this burden estimate or any other aspect of this collection of information, including suggestions for reducing this burder to Department of Defense, WashingtonHeadquarters Services, Directorate for Information Operations and Reports (0704-0188), 1215 Jefferson Davis Highway, Suite 1204, Arlington, VA 22202-4302. Respondents should be aware that notwithstanding any other provision oflaw, no person shall be subject to any penalty for failing to comply with a collection of information if it does not display a currently valid OMB control number. PLEASE DO NOT RETURN YOUR FORM TO THE ABOVE ADDRESS.

1. REPORT DATE (DD-MM-YYYY)01-11-2000

2. REPORT TYPE 3. DATES COVERED (FROM - TO)01-06-1995 to 01-10-1999

4. TITLE AND SUBTITLEEPA Emissions/Low Sulfur Fuel Impact on Military Generator SetsUnclassified

5a. CONTRACT NUMBERDAAK70-92-C-00595b. GRANT NUMBER5c. PROGRAM ELEMENT NUMBER

6. AUTHOR(S)Yost, D. M. ;

5d. PROJECT NUMBER5e. TASK NUMBER5f. WORK UNIT NUMBER

7. PERFORMING ORGANIZATION NAME AND ADDRESSU.S. Army TARDEC Fuels and Lubricants Research Facility (SWRI)southwest Research InstituteP.O. Drawer 28510San Antonio, TX78228-0510

8. PERFORMING ORGANIZATION REPORTNUMBER

9. SPONSORING/MONITORING AGENCY NAME AND ADDRESSU.S. Army TACOMU.S. Army TARDEC Petroleum and Water Business AreaWarren, MI48397-5000

10. SPONSOR/MONITOR'S ACRONYM(S)11. SPONSOR/MONITOR'S REPORTNUMBER(S)

12. DISTRIBUTION/AVAILABILITY STATEMENTAPUBLIC RELEASE,13. SUPPLEMENTARY NOTES14. ABSTRACTAn analysis of the fuel injection system components for the Tactical Quiet Generator (TQG) sets was completed to determine the critical partsfor inclusion in a fuel lubricity investigation. The investigation determined the impact of various fuels on fuel injection system wear. Aninjection system bench test stand was utilized for accumulating hours on the fuel-wetted injection system components using the variouslubricity fuels. The component wear was evaluated to determine the relative wear of the fuel injection system barrel and plunger componentswith each fuel.15. SUBJECT TERMSEPA; Emissions; non-road; Injector; Fuel; Generator; High-Sulfur Diesel Fuel; Low-sulfur Diesel Fuel; Unit Pump16. SECURITY CLASSIFICATION OF: 17. LIMITATION

OF ABSTRACTPublic Release

18.NUMBEROF PAGES117

19. NAME OF RESPONSIBLE PERSONFenster, [email protected]

a. REPORTUnclassified

b. ABSTRACTUnclassified

c. THIS PAGEUnclassified

19b. TELEPHONE NUMBERInternational Area CodeArea Code Telephone Number703767-9007DSN427-9007

Standard Form 298 (Rev. 8-98)Prescribed by ANSI Std Z39.18

ii

Disclaimers

The findings in this report are not to be construed as an official Department of the Army position unless sodesignated by other authorized documents.

Trade names cited in this report do not constitute an official endorsement or approval of the use of suchcommercial hardware or software.

DTIC Availability Notice

Qualified requestors may obtain copies of this report from the Defense Technical Information Center,Attn: DTIC-OCC, 8725 John J. Kingman Road, Suite 0944, Fort Belvoir, Virginia 22060-6218.

Disposition Instructions

Destroy this report when no longer needed. Do not return it to the originator.

iii

EPA Emissions/Low SulfurFuel Impact on

Military Generator Sets

INTERIM REPORTTFLRF No. 355

byD. M. Yost

U.S. Army TARDEC Fuels and Lubricants Research Facility (SwRI)Southwest Research Institute

San Antonio, TX

Under Contract toU.S. Army TARDEC

Petroleum and Water Business AreaWarren, MI

Contract No. DAAK70-92-C-0059

November 2000Approved by:

E. C. Owens, DirectorU.S. Army TARDEC Fuels and Lubricants

Research Facility (SwRI)

AD A

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vii

EXECUTIVE SUMMARY

An analysis of the fuel injection system components for the Tactical Quiet Generator (TQG) sets wascompleted to determine the critical parts for inclusion in a fuel lubricity investigation. The investiga-tion determined the impact of various fuels on fuel injection system wear. An injection system benchtest stand was utilized for accumulating hours on the fuel-wetted injection system components using thevarious lubricity fuels. The component wear was evaluated to determine the relative wear of the fuelinjection system barrel and plunger components with each fuel.

Using high-sulfur and low-sulfur fuels 200-hour evaluations were completed. An examination of theinjection pump components indicate that low-sulfur fuel operation should provide adequate durability.There was slightly more polishing with the low-sulfur fuel, but all performance characteristics were metat the end of testing.

In conjunction with an ongoing fuels survey at various military installations, a survey of generator setmaintenance changes since the switch to low-sulfur diesel fuel was performed. The impact of the low-sulfur fuel on the readiness of older equipment should be reflected in the variation of the maintenancelevels. No increases in generator set component usage had been reported since the switch to low-sulfurdiesel fuel or JP-8.

The regional administrators of the ten EPA regions were contacted, and the points of contact for all 50states for non-road emissions were attained. The majority of states will utilize the EPA guidelines fornon-road emissions.

viii

FOREWORD/ACKNOWLEDGMENTS

This work was performed by the U. S. Army TARDEC Fuels and Lubricants Research Facility (TFLRF)located at Southwest Research Institute (SwRI), San Antonio, Texas, during the period June 1994 throughOctober 1999 under Contract No. DAAK70-92-C-0059. The work was funded and administered by theU. S. Army Tank-Automotive RD&E Center, Petroleum and Water Business Area, Warren, Michiganwith Mr. Luis Villahermosa (AMSTA TR-D/210) serving as the TARDEC contracting officer’s repre-sentative and project technical monitor.

ix

TABLE OF CONTENTSSection Page

I. BACKGROUND ............................................................................................................................ 1

II. OBJECTIVE/APPROACH ........................................................................................................... 1

III. DISCUSSION................................................................................................................................. 2A. Task 1 ....................................................................................................................................... 2B. Task 2 ....................................................................................................................................... 7C. Task 3 ....................................................................................................................................... 8

IV. SUMMARY .................................................................................................................................. 13

V. REFERENCES ............................................................................................................................. 14

APPENDICESA. 40 CFR 89.908 - National Security ExemptionB. Regional Breakdown of Regulations and ContactsC. Environmental Protection Agency 40 CFR Parts 9, 86, and 89, Control of Emissions of

Air Pollution from Non-Road Diesel Engines Final RuleD. California Air Resources Board Statement of Adoption of EPA Non-Road Diesel

Engine Final Rule

LIST OF FIGURESFigure Page1. Injection Rig Schematic ........................................................................................................... 32. Fuel Tank and Injection Pump Temperatures .......................................................................... 53. Injected Mass Fuel Flow Rate ................................................................................................. 5

LIST OF TABLESTable Page1. Pump Rig Operating Conditions .............................................................................................. 42. Injector Performance Inspections ........................................................................................... 63. Unit Pump Subjective Wear Ratings ....................................................................................... 74. Mobile Electric Power Generators ........................................................................................ 105. EPA’s Implementation Timetable for New Off/Non-Road Diesel Engines .......................... 116. EPA Off/Non-Road Emissions Standards for New CI Engines ........................................... 117. Emission Levels in grams/kW-hr and Effective years .......................................................... 12

x

LIST OF ACRONYMS

ARB Air Resources BoardCAT1H 0.4-percent sulfur reference fuelCFR Code of Federal RegulationsEPA Environmental Protection AgencyISO International Organization for StandardizationkW kilowattLSRD4 0.05-percent low-sulfur reference fuelMEP Mobile Electric PowerPM Program ManagerPLN Pump Line NozzlePPM Parts Per MillionRPM Revolutions per MinuteTQG Tactical Quiet Generator

*Numbers underscored in parentheses indicate references at the end of the document.

1

I. BACKGROUND

The use of EPA-mandated 0.05-percent low-sulfur diesel fuel in on-highway diesel engines

has resulted in reliability concerns due to fuel lubricity and elastomer compatibility. Certain

areas of the country that used winter diesel fuel did have fuel lubricity issues, but the

widespread concern did not materialize until the nationwide adoption of low-sulfur diesel

fuel. Mandated use of low-sulfur fuel meant hydrotreating in the refineries to remove

sulfur, which also resulted in removal of the trace amounts of organic acids beneficial to

fuel lubricity. (1)* Pending regulations, which may extend the use of low-sulfur fuel to off-

road vehicles and equipment, may impact military generator set readiness.

II. OBJECTIVE/APPROACH

To understand these impacts, a program was initially outlined to evaluate a representative

older, fielded generator set on low-sulfur fuel to determine any impacts due to fuel

switching. Another phase of the program will determine the impact of switching between

high- and low-sulfur fuels for newly designed/fielded equipment. A final phase of this

program will monitor the pending emission regulations as they pertain to off-road

equipment.

The Program Manager-Mobile Electric Power (PM-MEP) Office determined that bench

testing of various fuel-injection system components would be adequate in lieu of testing the

generator sets to determine the low-sulfur fuel impact on military generator sets. The

program tasks outlined below reflected the PM-MEP concerns with regard to low-sulfur

fuel and off-road/non-road exhaust emissions:

Task 1: To evaluate the durability of 5- and 10-kW tactical quiet generator set

fuel-injection system components with low-sulfur fuel.

Task 2: To evaluate older generator sets preconditioned with higher-sulfur fuel and

to determine the effects that utilizing low-sulfur fuel has on fuel system

components.

2

Task 3: To develop a database of emission-regulating authorities and their

requirements as they pertain to generator sets and to review emission test

procedures.

III. DISCUSSION

A. Task 1

An analysis of the fuel-injection system components for the Tactical Quiet Generator

(TQG) sets was performed to determine the critical parts for inclusion in the fuel lubricity

investigation. The investigation determined the impact of various fuels such as 0.05-percent

sulfur DF-2 and 0.4-percent sulfur DF-2 on fuel-injection system wear. An injection system

bench test stand was utilized for accumulating hours on the fuel-wetted injection system

components using the various lubricity fuels. The component wear was evaluated to

determine the relative wear of the components with each fuel.

The TQG sets are available in 5-kW and 10-kW ratings. The 5-kW set utilizes a 3-cylinder,

4-cycle diesel engine. The 10-kW set utilizes a 4-cylinder, 4-cycle diesel engine, of the

same engine family as the 5-kW unit. Each TQG engine has a Pump-Line-Nozzle (PLN)

fuel-injection system, with a crankcase mounted unit pump for each cylinder. The unit

pumps contain a barrel and plunger, which are considered the critical components for wear

in the fuel-injection system.

The unit pump (barrel and plunger included) and the injector from the TQG engines were

evaluated utilizing a fabricated test fixture. The test fixture also utilized a portion of the

engine camshaft, which contained the injection lobe. The roller follower and follower cup

were also utilized to complete the assembly of the test injection rig. A diagram of the

injection rig is shown in Figure 1. A copy of Army TM 9-2815-253-24 was attained to

ensure utilization of proper procedures and adjustments when the components were

assembled. The positioning of the injection pump relative to the camshaft was determined

to ensure that the correct injection stroke was utilized. The test rig was capable of altering

injection pump rack position and controlling unit pump fuel inlet temperatures.

3

Figure 1. Injection Rig Schematic

The test conditions chosen for the component evaluations are shown in Table 1. The

TQG sets operate at 3600-RPM synchronous speed, thus the unit fuel-injection pump

drive speed was 1800 RPM. The duration and fuel inlet temperature was chosen to be

comparable with historic test data on rotary type fuel-injection pumps. The fuel tank

temperature was chosen to keep the test fuel below the flash point. The fuel flow setting

was chosen based on the calculation of fuel required/cylinder to meet the maximum

generator rating, plus additional fuel to increase the loads on the components. It was

noted that the unit pumps had a substantially higher maximum fuel output than the TQG

required for achieving its kW rating. A rack position stop was set up to hold the position

constant during testing. It was anticipated that with a constant rack position, wear in the

system would result in lower injected fuel flows. The test fuel was continuously

circulated throughout the testing, thus a 30-gallon fuel reservoir was chosen to ensure that

fuel lubricity did not change during testing.

An evaluation was performed utilizing a 0.05-percent low-sulfur reference fuel (LSRD4),

a fuel utilized to perform various lubricant qualification tests for diesel engines. The

high-sulfur fuel for comparison was a 0.4-percent sulfur reference fuel (CAT1H) that was

the high-sulfur lubricant qualification test fuel replaced by LSRD4. Prior to testing with

each fuel, the injector opening pressure was evaluated.

UNITPUMP

INJECTORFLOWMETER

CAMBOX

VARIABLESPEEDDRIVE

FILTER

HEATING TAPE

HEAT EXCHANGER

LIFTPUMP

30-GAL. TANK

4

Table 1. Pump Rig Operating Conditions

Parameter Setting

Speed, RPM 1800 ±5

Fuel Flow, pph 6

Rack Setting, inches 0.330

Duration, Hours 200

Fuel Inlet Temperature, °F 170 ±5

Fuel Tank Temperature, °F <100

Comparisons of the fuel tank and fuel inlet temperatures are shown in Figure 2 for both

fuel evaluations. The fuel inlet temperature was consistently held within the target range

for both fuel evaluations. It should be noted that the 170°F fuel inlet temperature is on

the high end of fuel inlet temperatures expected on a 125°F day. The difference in fuel

tank temperatures reflects the months the tests were run, but both are well below 100°F.

The fuel flow readings for the two fuel evaluations are shown in Figure 3. The plot for

the LSRD4 fuel flow shows variations in the injected fuel flow rate. The LSRD4 was the

first evaluation, and several reliability and set up issues with the pump rig surfaced during

the initial stages of testing. Sometime between 6 and 20 hours, the pump drive coupling

became worn and induced considerable backlash in the drive. The coupling component

was replaced, during which time the unit pump was removed to inspect the cam and roller

in the cam box for proper lubrication. When the unit pump was installed, the operator

inadvertently indexed the unit pump and rack engaging fork toward full-rack; this is

reflected in the high fuel flow. It can also be seen that the indexing was not quite correct

at about 25 hours; this time the fork engaged the rack toward the idle position. Efforts

were made to ensure that proper alignment marks were made on each component so that

they could be installed consistently.

5

0

20

40

60

80

100

120

140

160

180

200

0 20 40 60 80 100 120 140 160 180 200Hours

Tem

pera

ture

, °F

LSRD4 Tank

LSRD4 Pump

CAT-1H Tank

CAT-1H Pump

Figure 2. Fuel Tank and Injection Pump Temperatures

0

5

10

15

20

25

0 20 40 60 80 100 120 140 160 180 200Hours

Fuel

Flo

w, l

b/hr

LSRD4 Fuel Flow, pph

CAT-1H Fuel Flow, pph

Figure 3. Injected Mass Fuel Flow Rate

6

At 26 hours with LSRD4, the pump coupling sheared the drive key. It was determined

that the key was too small for the keyway. The backlash induced by the small key

probably contributed to the earlier coupling element failure. The shaft and coupling were

repaired, along with an improvement on the lubricant flow into the thrust-bearing surface

for the camshaft.

The low-sulfur fuel screening successfully completed 200 hours. Other operational

problems were due to a worn drive-coupling element and a failed lift pump. The drive

coupling material was not compatible with the shock loading requirements of the unit

fuel-injection pump. The backlash due to the worn element caused a relief of injection

pressure back into the inlet port, which eventually lead to a rupture of the fuel inlet hose.

The wear in the coupling was not attributable to the low-sulfur fuel.

Based on fuel flow, the LSRD4 evaluation was performed at an overall higher load than

the CAT1H evaluation. Teething problems with the fabricated test pump fixture during

the LSRD4 evaluation probably also increased the severity of testing for the low-sulfur

fuel.

A 200-hour evaluation using high-sulfur fuel was completed and the results compared to

the low-sulfur evaluation. Injector inspections for the fuel evaluations are shown in Table

2. The results indicate a degradation in injector performance due to the low-sulfur fuel.

Table 2. Injector Performance Inspections

LSRD4 CAT1HParameter Specification

Before Test After Test Before Test After Test

Nozzle OpeningPressure, psi

3552-3697(New and Service) 3550 3300 3600 3500

Chatter Excellent Good Excellent Excellent

Spray Pattern Excellent Excellent Excellent Excellent

7

Interestingly, the new injector for the LSRD4 evaluation was at the bottom end of the

manufacturer’s opening pressure specification. Also, the CAT1H fuel resulted in an

after-test nozzle opening pressure slightly below the specification. The spray and chatter

are subjective ratings of the spray pattern and injector sound determined when the

injectors are tested for opening pressure.

Subjective ratings of the unit pump plunger and delivery valve for the evaluations are

shown in Table 3. The subjective wear is based on 10 being a failure, which in the case

of the plunger would be a seizure. The additional wear noted by the rater for the low-

sulfur fuel was primarily a larger area of polishing. Some of the wear on the components

can be attributed to the fuel, but the overall more severe evaluation with LSRD4 clouds

the issue.

Table 3. Unit Pump Subjective Wear Ratings

LSRD4 CAT1HPlunger 6 2Delivery Valve 4 2Subjective Rating: 0=no wear; 10=Failure

An examination of the fuel-injection pump components indicates that low-sulfur fuel

operation should provide adequate durability. There was more polishing with the low-

sulfur fuel, but the fuel-injection quantities were met at the end of testing with the preset

rack position.

B. TASK 2

In conjunction with an ongoing fuels survey at various military installations, generator set

maintenance changes were also surveyed since the switch to low-sulfur diesel fuel was

performed. The impact of the low-sulfur fuel on the readiness of older equipment should be

reflected in the variation of the maintenance levels. There were no increases in generator

set component usage with the switch to low-sulfur diesel fuel reported by the survey

participants.

8

The regulation of low-sulfur diesel fuel for on-road use coincidentally corresponded with a

switch by the Army to utilize JP-8 in all assets. The utilization of JP-8 meant low-sulfur

diesel fuel was not used in many generator sets.

A visit was made to Malmstrom Air Force Base, MT, on a fuels-lubricity issue. The

maintenance personnel were interviewed on issues concerning generator set maintenance.

Malmstrom Air Force Base has been utilizing a low-lubricity diesel fuel, which base

personnel have been treating with 345-ppm corrosion inhibitor to improve lubricity.

Personnel interviewed indicated that generator set maintenance levels were normal and had

not increased due to low-lubricity fuel.

A demonstration program was performed at Ft. Bliss, TX, where the post was converted to

JP-8 fuel. (2,3) Although JP-8 is not technically a low-sulfur diesel fuel (the specification

allows up to 0.3-percent sulfur) 75 percent of the 1994 delivered volume of JP-8 met the

low-sulfur fuel requirement of 0.05-percent sulfur.(4) JP-8 is recognized as having lower

lubricity than diesel fuel, partially attributed to lower viscosity. Part of the Ft. Bliss

demonstration program was to track fuel-wetted component usage, including generator sets,

when the post was switched to JP-8. There was no statistically significant change in fuel-

wetted component usage after JP-8 conversion. (2)

The 3rd Corps 57th Signal Brigade at Ft. Hood, TX, was visited to determine any increase

in generator set fuel injection component usage from switching to JP-8. Unit

maintenance personnel indicated that generator sets, which historically had fuel system

problems and those that were reliable, had not changed with the use of JP-8. Personnel

did not have records to indicate if component usage changed with the fuel switch to JP-8.

C. Task 3

The EPA exempts nonroad compression-ignition engines from emission standards. Nonroad

engines and equipment are exempted in accordance with 40 Code of Federal Regulations

(CFR), Subpart J, Section 89.908, Control of Emission from New and In-Use Nonroad

9

Compression-Ignition Engines, National Security Exemption (Appendix A). But it was not

clear if any states and their non-attainment zones have any regulations pending or future

emissions and/or permit regulations. The Army has a wide range of diesel MEP, generators

ranging from 3 kW (4.0 hp) to 750 kW (1,006 hp) using low-sulfur diesel fuel and JP-8

fuels. These MEP generators are hand-portable, pick-up portable, skid-portable, trailer-

mounted, and truck-mounted and provide MEP for tool equipment, tents, command posts,

weapons systems, emergency power, etc. Therefore, the EPA administrators of all ten

regions, all 50 states and their non-attainment zones, D.C., and four territories were

contacted to obtain their pending and future emissions and permit regulations for the

various size diesel engines using low-sulfur diesel and JP-8 fuels that power non-road Army

MEP generators used in the United States. All responded except Puerto Rico and the Virgin

Islands from Region 2 and American Samoa, Guam, and Hawaii from Region 9. These

states and territories were contacted several times by telephone and letter, with no return

response.

Naturally aspirated non-road engines will not be allowed to discharge crankcase

emissions (blowby) to the atmosphere. For engines under 37 kW, this restriction applies

to model year 2001 and later. For engines 37 kW or larger, the restriction applies to Tier

2 engines and later models.

Those states having exemptions from regulations or getting a permit can be seen in Table 4.

More detailed information and contacts are included in Appendix B. These regulations are

as of September 1, 1996. A total of 55 agencies were contacted; of those, 28 had no

regulations, 22 had a limit as to when regulations apply or a permit is necessary, and 5 did

not respond to our repeated inquiries.

10

Table 4. Mobile Electric Power GeneratorsNO REGULATIONS OR EXEMPT

REGION 1• Connecticut (if less than 100 tons/yr of any

pollutant)• Massachusetts (if energy input capacity is less

than 10,000,000 BTU/hr)• Maine• New Hampshire• Rhode Island• Vermont

REGION 6• Arkansas• Louisiana (over 500 hp operates for less than

30 days/quarter)• New Mexico (if less than 100 tons/yr of any

contaminant or during field exercises)• Oklahoma• Texas

REGION 2• New Jersey (if less than 100 tons/yr carbon

monoxide)• New York (emergency equipment that operates

less than 500 hrs/yr and less than 1000 BHP)• Puerto Rico (no response)• Virgin Islands (no response)

REGION 7• Iowa• Kansas• Missouri (if less than 100 tons/yr of any

pollutant)• Nebraska

REGION 3• Delaware (if under 10,000,000 BTU/hr)• Washington, D.C.• Maryland• Pennsylvania (if not fixed for less than 30

days)• Virginia (if operates under 500 hrs/yr)• West Virginia

REGION 8• Colorado• Montana (if less than 25 tons/yr of any

pollutant)• North Dakota• South Dakota• Utah• Wyoming (when less than 500 hrs/yr)

REGION 4• Alabama• Florida• Georgia• Kentucky (less than 5 tons/yr of any pollutant)• Mississippi• North Carolina (less than 5 tons/yr of any

pollutant)• South Carolina (if less than 150 kW or

operates for less than 250 hrs/yr)• Tennessee

REGION 9• Arizona (less than 40% opacity for 10 sec. and

over 500 kW needs a Class II permit)• California• Hawaii (no response)• Nevada• American Samoa (no response)• Guam (no response)

REGION 5• Illinois• Indiana• Michigan (less than 20,000,000 BTU/hr heat

input capacity)• Minnesota• Ohio (less than 50 hp; over 50 hp, less than

500 hrs/yr operation)• Wisconsin (less than 80% opacity)

REGION 10• Alaska• Idaho (less than 100 tons/yr of any

contaminant)• Oregon (less than 500 hrs operation/year)•••• Washington (less than 100 tons/yr carbon

monoxide)

11

The EPA has adopted off/non-road emission standards for new manufactured engines. The

EPA’s original timetable for its implementation and proposed regulations can be seen in

Tables 5 and 6. So many of the new MEP generators purchased by the military will

probably meet the EPA requirement even though they are exempt. California’s regulations

now conform to the EPA, which reads “on-road motor vehicles and off/non-road or

equipment owned by the U.S. Department of Defense and/or the U.S. military services, and

are used in combat, combat service support, tactical or relief operations, or training for such

operations are excluded and exempt from exhaust emission standards.” Other agencies will

probably follow California’s lead. If not, many of the new MEP generator engines will still

meet the new EPA manufacturer regulations. As of September 1, 1996, no states or their

non-attainable zones reported any immediate regulation changes for military non-road diesel

MEP generators.

Table 5. EPA’s Implementation Timetable for New Off/Non-Road Diesel EnginesEngine Size (kW (hp) Implementation Date

≥ 130 (175) to ≤ 560 (750) January 1, 1996≥ 75 (100) to ≤ 130 (175) January 1, 1997≥ 37 (50) to ≤ 75 (100) January 1, 1998

> 560 (750) January 1, 2000

Table 6. EPA Off/Non-Road Emissions Standards for New CI Engines

New PowerkW (hp)

HCG/kW-hr

COg/kW-hr

NOxg/kW-hr

PMg/kW-hr

SmokePercentA / L / P

130 (175) 1.3 11.4 9.2 0.54 20 / 15 / 50≥ 75 (100) to < 130 (175) -- 9.2 -- 20 / 15 / 50≥ 37 (50) to < 75 (100) -- 9.2 -- 20 / 15 / 50

The 23 October 1998 Federal Register published the final rule for Control of Emissions

of Air Pollution from Non-road Diesel Engines, 40 CFR Part 9, et al. The emission

standards are in units of g/kW-hr utilizing the ISO 8178 G2/D2 test procedures. The Tier

1 standards represent the first-ever set of federal standards for engines under 50 hp (37

12

kW). The Tier 2 and Tier 3 standards are proposed future requirements. The emission

levels and effective years are shown in Table 7. The emission levels are measured

utilizing test cycles dependent on engine size and application, i.e. 8-mode for variable

speed engines, 5-mode for constant speed engines (generator sets), 6-mode for engines

under 19 kW, and 4-mode for marine diesel engines.

TABLE 7: Emission Levels in grams/kW-hr and Effective YearsRated BrakePower (kW) Tier

ModelYear NOx HC

NMHC +NOx CO PM

kW<8 Tier 1Tier 2

20002005

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

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

10.57.5

8.08.0

1.00.80

8≤kW<19 Tier 1Tier 2

20002005

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

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

9.57.5

6.66.6

0.800.80

19≤kW<37 Tier 1Tier 2

19992004

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

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

9.57.5

5.55.5

0.800.60

37≤kW<75Tier 1Tier 2Tier 3

199820042008

9.2------------

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

------7.54.7

------5.55.0

------0.40------


199720032007

9.2------------

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

------6.64.0

------5.05.0

------0.30------


199620032006

9.2------------

1.3------------

------6.64.0

11.43.53.5

0.540.20------


199620012006

9.2------------

1.3------------

------6.44.0

11.43.53.5

0.540.20------


199620022006

9.2------------

1.3------------

------6.44.0

11.43.53.5

0.540.20------

kW>560 Tier 1Tier 2

20002006

9.2------

1.3------

------6.4

11.43.5

0.540.20

The EPA final rule as published in the Federal Register is included as Appendix C. On

January 28, 2000 the California Air Resources Board adopted the EPA non-road diesel

engine final rule. The California ARB ruling is included as Appendix D.

13

IV. SUMMARY

The critical fuel injection system components for the Tactical Quiet Generator (TQG) sets

were identified and included in a fuel lubricity investigation. The investigation

determined the impact of low-sulfur and high-sulfur fuels on fuel injection system wear.

The component wear was evaluated for 200 hours at elevated fuel inlet temperatures, at

increased fuel flow rates, and constant rack setting, to determine the relative wear of the

fuel injection system barrel and plunger components with each fuel:

� High-sulfur and low-sulfur fuels completed 200-hour evaluation.

� Injection pump components inspections indicate low-sulfur diesel fuel

operation should provide adequate durability.

� Slightly more polishing evident with the low-sulfur fuel, however the low-

sulfur fuel evaluation was inadvertently performed at a higher injection rate.

� The pump performance characteristics were met at the end of testing with low-

sulfur fuel.

In conjunction with an ongoing fuels survey at various military installations, a survey of

generator set maintenance changes since the switch to low-sulfur diesel fuel was

performed. The impact of the low-sulfur fuel on the readiness of older equipment should

be reflected in the variation of the maintenance levels.

� No increases in generator set component usage had been reported since the

switch to low-sulfur diesel fuel or JP-8.

The regional administrators of the ten EPA regions were contacted, and the points of

contact for all 50 states for non-road emissions were attained. The majority of states will

utilize the EPA guidelines for non-road emissions. The EPA final rule for non-road

diesel engines and the California Air Resources Board adoption of the EPA final rule are

included as appendices for reference. The EPA final rule outlines test methods and

inspection intervals.

14

V. REFERENCES

1. Wei, D. and Spikes, H.A., “The Lubricity of Diesel Fuels,” Wear, Vol. III, 1986.

2. Butler, et. al., “Field Demonstration of Aviation Turbine Fuel MIL-T-83133C, GradeJP-8 (NATO Code F-34) at Fort Bliss, TX,” BFLRF No. 264, December 1990.

3. Butler, et. al., “Final Report on Field Demonstration of Aviation Turbine Fuel MIL-T-83133C, Grade JP-8 (NATO Code F-34) at Fort Bliss, TX,” BFLRF No. 278,September 1992.

4. Yost, D.M. and Montalvo, D.A., “Comparison of Diesel Exhaust Emissions Using JP-8 and Low-Sulfur Diesel Fuel,” BFLRF No. 264, December 1990.

A-1

APPENDIX A40 CFR 89.908 NATIONAL SECURITY EXEMPTION

A-3

[Code of Federal Regulations][Title 40, Volume 17][Revised as of July 1, 2001]From the U.S. Government Printing Office via GPO Access[CITE: 40CFR89.908]

[Page 156-157]

TITLE 40--PROTECTION OF ENVIRONMENT

CHAPTER I--ENVIRONMENTAL PROTECTIONAGENCY (CONTINUED)

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION ENGINES--Table of Contents

Subpart J--Exemption Provisions

Sec. 89.908 National security exemption.

(a)(1) Any nonroad engine, otherwise subject to this part, which isused in a vehicle that exhibits substantial features ordinarilyassociated with military combat such as armor and/or permanently affixedweaponry and which will be owned and/or used by an agency of the federalgovernment with responsibility for national defense, will be consideredexempt from these regulations for purposes of national security. Norequest for exemption is necessary.

(2) Manufacturers may request a national security exemption for anynonroad engine, otherwise subject to this part, which does not meet theconditions described in paragraph (a)(1) of this section. A manufacturerrequesting a national security exemption must state the purpose forwhich the exemption is required and the request must be endorsed by anagency of the federal

[[Page 157]]

government charged with responsibility for national defense.(b) EPA will maintain a list of models of nonroad engines (and the

vehicles which use them) that have been granted a national securityexemption under paragraph (a)(2) of this section. This list will beavailable to the public and may be obtained by writing to the followingaddress: Group Manager, Engine Compliance Programs Group, EnginePrograms and Compliance Division (6403J) Environmental ProtectionAgency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[61 FR 52102, Oct. 4, 1996]

B-1

APPENDIX BREGIONAL BREAKDOWN OF REGULATIONS AND CONTACTS

B-3

REGION 1

John P. DeVillars (617) 565-3400 Boston

• Connecticut

• Maine

• Massachusetts

• New Hampshire

• Rhode Island

• Vermont

B-4

CONNECTICUT

Carmine DeBattista (860) 424-3026

A permit is needed is the potential to emit is equal to or greater than 100 tons per year of anyindividual air pollutant.

50 tons per year of volatile organic compounds or nitrogen oxides in any serious non-attainmentareas for ozone.

25 tons per year of volatile organic compounds or nitrogen oxides in any severe non-attainmentarea.

MAINE

Jim Brooks (207) 287-2437Terry Hanson (207) 287-2811

No regulations for mobile electric power generators

MASSACHUSETTS

Barbara Kwetz (617) 292-5593Mark Cohen (617) 292-5873

Are exempt if having an energy input capacity less than or equal to 10,000,000 BTU per hour

Shall operate no more than 300 hours per rolling twelve month period. The operator shallestablish and maintain records. A copy of the monthly log shall be submitted to Department.

This will satisfy Massachusetts non-attainment areas.

NEW HAMPSHIRE

Kenneth Colburn (603) 271-1380Craig Wright (603) 271-6791

Kent (603) 271-1382

Does not require a permit if under 30 days’ usage.

Does not control or have emission regulations for mobile electric power sources.

B-5

RHODE ISLAND

Stephen Majkut (401) 277-2808

Has no regulations for mobile electric power generators, but an emergency standby internalcombustion engine can only operate for less than 500 hours/year without a permit.

VERMONT

Richard Valentinetti (802) 241-3840

No regulations pertaining to mobile electric power generators.

B-6

REGION 2

Jeanne M. Fox (212) 637-3000 New York

• New Jersey

• New York

• Puerto Rico

• Virgin Islands

B-7

NEW JERSEY

Yogsh Doshi (609) 984-3023

Mobile electric generators need a permit to operate if:

• The potential to emit is more than 100 tons per year carbon monoxide and PM-10, and 25 tons per year oxides of nitrogen.

• Emergency generator diesel engines have more than 10 megawatts of electricaloutput that operate for more than 500 hours per year.

• Commercial fuel burning equipment having a heat input rate of 1,000,000 BTUper hour or greater to the burning chamber.

NEW YORK

Randy Orr (518) 457-7688Tom Christofell

Emergency power generating units and units that operate during emergency situations areexempt, which operate less than 500 hours/year. Any portable internal combustion engine locatedwithin any severe ozone non-attainment area, and have maximum power rating of less than 225brake horsepower, or which are temporarily located at a facility for a period not to exceed 30 daysper calendar year, where the total maximum mechanical power rating for all affected units is lessthan 1000 brake horsepower.

PUERTO RICO

VIRGIN ISLANDS

B-8

REGION 3

Stanley Laskowski (215) 566-2900 Philadelphia

• Delaware

• Washington, DC

• Maryland

• Pennsylvania

• Virginia

• West Virginia

B-9

DELAWARE

Joseph Kliment (302) 323-4542

No permit is required for a diesel engine powered electric generator having BTU input between1,000,000 and 10,000,000 BTU per hour used as an emergency standby source of electricity andannual operation does not exceed 150 hours.

WASHINGTON, DC

Don Wanbsgams (202) 645-6093Sam Wiggins Ext. 3273

No regulations for mobile electric power generators because they are not used enough. If they areto be used on a regular basis, a permit could be necessary, especially for the larger generators.

MARYLAND

Merrylan Zaw-Mon (410) 631-3280

No regulation or permit required for mobile electric power generators.

PENNSYLVANIA

James Salvaggio (717) 787-6548

No regulations for mobile electric power generators that are not fixed for more than 30 days.

VIRGINIA

Peter Schmidt (804) 762-4000

Emergency electrical power generators that operate for less than 500 hours per year are exemptfrom the potential to emit rule and do not need a permit.

WEST VIRGINIA

Dale Farley (304) 558-2455

No regulations for mobile electric power generators.

B-10

REGION 4

John H. Hankinson, Jr. (404) 347-4728 Atlanta

• Alabama

• Florida

• Georgia

• Kentucky

• Mississippi

• North Carolina

• South Carolina

• Tennessee

B-11

ALABAMA

Richard Grusnick (334) 271-7861

No mobile non-road regulation for mobile electric power generators.

FLORIDA

Howard Rhodes (904) 488-0114

No regulations pertain to mobile electric power generators.

GEORGIA

Ron Methier (404) 363-7000


KENTUCKY

John Hornback (502) 573-3382Roger Cook

Less than 5 tons per year of any pollutant falls under insignificant activities and are exempt for apermit.

MISSISSIPPI

Dwight Wylie (601) 961-5171

No regulations affecting our mobile electric power generators and no permit required.

NORTH CAROLINA

Alan Klimek (919) 733-3340

Less than 5 tons per year of any pollutant falls under insignificant activities and are exempt.

B-12

SOUTH CAROLINA

James Joy (803) 734-4750

No permit shall be required for an emergency power generator of less than 150 kW ratedcapacity, or those which operate 250 hours per year or less, and record the actual hours used.

TENNESSEE

John Walton (615) 532-0554Greg Forte (615) 532-0548

Internal combustion engine driven electric generators that are used only for emergencyreplacement or standby service are exempt from permit.

B-13

REGION 5

Valtas V. Admakus (312) 886-3000 Chicago

• Illinois

• Indiana

• Michigan

• Minnesota

• Ohio

• Wisconsin

B-14

ILLINOIS

Mary Gade (217) 782-9540

No regulations covering the mobile electric power generator.

INDIANA

Cathy Prosser (317) 232-8162

No regulation covering the mobile electric power generators.

MICHIGAN

Rowland Armes (517) 373-2329

Electric power generators that burn diesel fuel that contains not more than 0.4% sulfur by weightand has a rated heat input capacity of not more than 20,000,000 BTU per hour are exempt fromobtaining a permit.

MINNESOTA

Charles Williams (612) 296-7301

No regulation pertaining to mobile electric power generators.

OHIO

Donald Schregardus (614) 644-2782

Emergency electrical generators are exempt from a permit that are less than or equal to 50horsepower that burn diesel fuel with less than or equal to 0.5 percent by weight sulfur.Emergency electrical generators greater than 50 horsepower that operate no more than 500 hoursper rolling 12 month period and that burn diesel fuel with less than or equal to 0.5 percent byweight sulfur.

WISCONSIN

George Meyer (608) 266-1099

Semi-stationary diesel engines can not emit emissions of shade or density greater than number 2on the Ringelmann chart of 40% opacity for longer than on aggregate time of 5 minutes in any30-minute period. At no time may emissions exceed a shade or density greater than number 4 onthe Ringelmann chart or 80% opacity. Also, no particulate matter in excess of 0.50 pound ofparticulate per million BTU heat input.

B-15

REGION 6

Jane N. Saginaw (214) 665-2100 Dallas

• Arkansas

• Louisiana

• New Mexico

• Oklahoma

• Texas

B-16

ARKANSAS

Cecil Harold (501) 682-0737Chief Engineering Supervisor

No regulations pertaining to mobile electric power generators.

LOUISIANA

Jay Dale Givens (504) 765-0741

Have no regulations but have a policy of testing 500 hp and over generators. If operated less than30 days per quarter, need not be tested and are exempt.

NEW MEXICO

Mark Wilder (505) 827-2855

Mobile electric power generators are exempt if:

• Used during the unavoidable loss of Commercial utility power

• When used during military field exercises and weapon testing

• Power generators used in direct support of aircraft operations

• Total potential to emit of each regulated contaminant from all emission sources at thefacility shall be less than 100 tons per year

• Any facility with a total potential to emit of any regulated contaminant greater than 200tons per year

All diesel engines must use diesel fuel containing less than 0.3% by sulfur weight

With a possible exemption for military equipment in the near future

OKLAHOMA

Mark Coleman (405) 271-8056

No regulations for mobile power sources.

B-17

TEXAS

Dan Pierson (512) 239-5440

No regulations for mobile electric power generators, and are considered as emergency equipment.

B-18

REGION 7

Dennis Grams (913) 551-7676 Kansas City

• Iowa

• Kansas

• Missouri

• Nebraska

B-19

IOWA

Peter Hamlin (515) 281-8852

Mobile internal combustion engines are exempt from having to get a permit.

KANSAS

John Irwin (913) 296-1542

No regulations for mobile non-road sources.

MISSOURI

Roger Randolph (573) 751-4817

No regulations specifically regarding our mobile electric power generators, but some may need tobe reported for an application to permit to construct a significant source of emissions. Theportable equipment is exempt if it produces less than 100 tons per year of any pollutant.

NEBRASKA

Shelly Katelly (402) 471-2151Susan Fields (402) 471-0019

The state has no exhaust emission regulations. You have to meet the Federal regulations forexhaust emissions.

B-20

REGION 8

William Yellowtail (303) 312-6308 Denver

• Colorado

• Montana

• North Dakota

• South Dakota

• Utah

• Wyoming

B-21

COLORADO

Thomas Looby (303) 692-3099

Non-road internal combustion engines are exempt from the required Air Pollutant EmissionNotice (APEN) or permit. Air Pollutant Emission Notice (APEN) are required for emergency andbackup electric generators which are ancillary to the main units at electric utility facilities.

MONTANA

Mark Simonicki (406) 444-2544Charles Homer (406) 444-2544

No specific regulations. They are written as a potential to omit emissions on a year-around basis.Any diesel engine that produces 25 tons per year of any pollutant need to have a permit.

NORTH DAKOTA

Francis Schwindt (701) 328-5150


SOUTH DAKOTA

Nettie Myers (605) 773-5559

Diesel-powered emergency electrical generators are exempt from obtaining an operating permit.

UTAH

Dianne Nielson (801) 536-4402UNG (801) 536-0153

Use the Federal non-road engine regulations and must use low sulfur diesel fuel.

WYOMING

Dennis Hemmer (307) 777-7938

No permit required for mobile electric power generators that are operated for less than 500 hoursper year. If any doubt, have equipment user contact local authorities.

B-22

REGION 9

Felicia Marcus (415) 744-1001 San Francisco

• Arizona

• California

• Hawaii

• Nevada

• American Samoa

• Guam

B-23

ARIZONA

Russell Rhoades (602) 207-2308

No smoke for any period greater than 10 consecutive seconds which exceeds 40 percent opacity.Only the 500 kW and 750 kW units would require at least a Class II permit.

CALIFORNIA

John Dunlap (916) 322-2900

On-road motor vehicles or off-road vehicles or equipment owned by the U.S. Department ofDefense (DOD) and/or the U.S. Military Services, and used in combat, combat support, combatservice support, tactical or relief operations, or training for such operations are excluded andexempt from exhaust emission standards.

HAWAII

Lawrence Miike

NEVADA

L. H. Dodgion (702) 687-4670

No regulations for portable or mobile off-road equipment.

AMERICAN SAMOA

GUAM

Fred Castro (671) 472-8862

B-24

REGION 10

Charles Clarke (206) 553-0479 Seattle

• Alaska

• Idaho

• Oregon

• Washington

B-25

ALASKA

Alvin Ewing (907) 271-5083Mike Mooney (907) 269-7500

No restrictions or regulation on diesel mobile engines.

IDAHO

Lynn McKee (208) 334-1166

Mobile internal combustion engines are exempt from permitting which have actual emissions ofless than 100 tons per year of any contaminant of carbon monoxide, nitrogen oxide, sulfurdioxide, particulates (PM-10), ozone and lead, or would not significantly increase the emissionsof a major facility. A permit is not generally required for emission units with below Federalregulatory emissions, or for temporary sources.

OREGON

Kenneth Brooks (503) 326-3250Dave Kauth (503) 229-5655

Emergency power generators that are operated for less than 500 hours per year are exempt. Forlonger hours, the potential to emit 10 tons per year of any pollutant needs a permit.

WASHINGTON

Juhe Hagenson (360) 753-9083Tom Boucher (509) 454-7899

Any source that has the potential to emit the following pollutants, at a rate of emission equal to orgreater than any ofthe following rates:

Carbon monoxide = 100 tons per yearNitrogen oxides = 40 tons per yearParticulate matter = 25 tons per yearFine particulate matter = 15 tons per year

have to be registered with the ecology authority.

Stationary internal combustion engines rated at 500 horsepower or more shall register the source.

Any portable source that exceeds the above regulations can operate at the temporary locationwithout registration if the ecology authority is provided with the intent to operate at the newlocation at least 30 days prior to starting operation.

C-1

APPENDIX CENVIRONMENTAL PROTECTION AGENCY

40 CFR PARTS 9, 86, AND 89CONTROL OF EMISSIONS OF AIR POLLUTION FROM NONROAD DIESEL ENGINES

FINAL RULE

fede

ral r

egiste

r

56967

FridayOctober 23, 1998

Part II

EnvironmentalProtection Agency40 CFR Parts 9, 86, and 89Control of Emissions of Air PollutionFrom Nonroad Diesel Engines; Final Rule

56968 Federal Register / Vol. 63, No. 205 / Friday, October 23, 1998 / Rules and Regulations

1 Diesel-cycle engines, referred to simply as‘‘diesel engines’’ in this document, may also bereferred to as compression-ignition (or CI) engines.These engines typically operate on diesel fuel, but

ENVIRONMENTAL PROTECTIONAGENCY

40 CFR Parts 9, 86, and 89

[AMS–FRL–6155–3]

RIN 2060–AF76

Control of Emissions of Air PollutionFrom Nonroad Diesel Engines

AGENCY: Environmental ProtectionAgency (EPA).ACTION: Final rule.

SUMMARY: In this action, EPA isfinalizing new emission standards fornonroad diesel engines. The affectedengines are used in most land-basednonroad equipment and some marineapplications. The emission reductionsresulting from the new standards willtranslate into significant, long-termimprovements in air quality in manyareas of the U.S. For engines in thislarge category of pollution sources, thestandards for oxides of nitrogen andparticulate matter emissions will bereduced by up to two-thirds fromcurrent standards. Overall, this programwill provide much-needed assistance tostates facing ozone and particulate airquality problems, which are causing arange of adverse health effects for theircitizens, especially in terms ofrespiratory impairment and relatedillnesses.

In compliance with the PaperworkReduction Act, this documentannounces that the informationcollection requirements contained inthis rule were approved by the Office ofManagement and Budget.DATES: The amendments to 40 CFR Parts86 and 89 are effective December 22,1998. The amendments to 40 CFR Part9 are effective October 23, 1998. Theincorporation by reference of certainpublications listed in the regulations isapproved by the Director of the FederalRegister as of December 22, 1998.ADDRESSES: Materials relevant to thisrule, including the Final RegulatoryImpact Analysis are contained in PublicDocket A–96–40, located at room M–1500, Waterside Mall (ground floor),U.S. Environmental Protection Agency,401 M Street, S.W., Washington, DC20460. The docket may be inspectedfrom 8:00 a.m. until 5:30 p.m., Mondaythrough Friday. A reasonable fee may becharged by EPA for copying docketmaterials.

For further information on electronicavailability of this final rulemaking, seeSUPPLEMENTARY INFORMATION below.FOR FURTHER INFORMATION CONTACT:Alan Stout, U.S. EPA, Engine Programs

and Compliance Division, (734) 214–4805; [email protected] INFORMATION:

Regulated EntitiesEntities potentially regulated by this

action are those that manufacture orintroduce into commerce newcompression-ignition nonroad engines,vehicles, or equipment, and entities thatrebuild or remanufacture nonroadcompression-ignition engines. Regulatedcategories and entities include:

Category Examples of regulated entities

Industry Manufacturers of new nonroad die-sel engines and equipment.

Industry Rebuilders and remanufacturers ofnonroad diesel engines.

This list is not intended to beexhaustive, but rather provides a guidefor readers regarding entities likely to beregulated by this action. To determinewhether particular activities may beregulated by this action, the readershould carefully examine theregulations, especially the applicabilitycriteria in 40 CFR 89.1, and the existingregulatory language in 40 CFR Part 89.Questions regarding the applicability ofthis action to a particular entity may bedirected to the person listed in FORFURTHER INFORMATION CONTACT.

Obtaining Electronic Copies of theRegulatory Documents

The preamble, regulatory languageand Final Regulatory Impact Analysis(Final RIA) are also availableelectronically from the EPA InternetWeb site. This service is free of charge,except for any cost already incurred forinternet connectivity. An electronicversion of this final rule is madeavailable on the day of publication onthe primary Web site listed below. TheEPA Office of Mobile Sources alsopublishes Federal Register actions andrelated documents on the secondaryWeb site listed below.1. http://www.epa.gov/docs/fedrgstr/

EPA-AIR/ (either select desired dateor use Search feature)

2. http://www.epa.gov/OMSWWW/(look in What’s New or under thespecific rulemaking topic)Please note that due to differences

between the software used to developthe document and the software intowhich the document may bedownloaded, changes in format, pagelength, etc., may occur.

Table of ContentsI. IntroductionII. Content of the Final Rule

A. Emission Standards and RelatedProvisions

B. Test ProceduresC. DurabilityD. Averaging, Banking, and TradingE. Flexibility for Equipment ManufacturersF. Flexibility for Post-Manufacture

MarinizersG. Control of Crankcase EmissionsH. Control of SmokeI. Voluntary Low-Emitting Engine ProgramJ. Technical Amendments

III. 2001 Review and Ensuring EmissionsControl In Use

A. 2001 ReviewB. Ensuring Emissions Control In Use

IV. Technological FeasibilityV. Projected Impacts

A. Environmental ImpactsB. Economic ImpactsC. Cost-Effectiveness

VI. Public ParticipationVII. Administrative Requirements

A. Administrative Designation andRegulatory Analysis

B. Regulatory Flexibility ActC. Paperwork Reduction ActD. Unfunded Mandates Reform ActE. Congressional Review ActF. National Technology Transfer and

Advancement ActG. Protection of ChildrenH. Enhancing Intergovernmental

PartnershipsI. Consultation and Coordination With

Indian Tribal GovernmentsVIII. Statutory Authority

I. IntroductionAir pollution continues to represent a

serious threat to the health and well-being of millions of Americans and alarge burden to the U.S. economy.Mobile source emission controlprograms, however, have a history oftechnological success that have made avery large contribution to reducingexposure to ambient air pollution. OnJune 17, 1994, the EnvironmentalProtection Agency (EPA) made anaffirmative determination under section213(a)(2) of the Clean Air Act thatnonroad engines are significantcontributors to ambient ozone or carbonmonoxide (CO) levels in more than onenonattainment area (59 FR 31306, June17, 1994). In the same notice, EPA alsomade a determination under section213(a)(4) that other emissions fromcompression-ignition (CI) nonroadengines rated at or above 37 kilowatts(kW), specifically emissions ofparticulate matter (PM) and smoke,cause or contribute to air pollution thatmay reasonably be anticipated toendanger public health or welfare. Alsoin the June 1994 final rule, EPA set afirst phase of emission standards (‘‘Tier1 standards’’) for nonroad diesel enginesrated 37 kW and above.1, 2 In the Notice

56969Federal Register / Vol. 63, No. 205 / Friday, October 23, 1998 / Rules and Regulations

other fuels may also be used. This contrasts withotto-cycle engines (also called spark-ignition or SIengines), which typically operate on gasoline.

2 This rulemaking is based on metric units. Withthe exception of engine power ratings, English unitsare included parenthetically throughout thepreamble. The conversion of engine power ratingsis included in Table 1, but is not repeated in therest of the document.

3 See also, ‘‘Nonroad Engine and VehicleEmission Study—Report and Appendices,’’ EPA–21A–201, November 1991 (available in Air DocketA–96–40).

of Proposed Rulemaking (NPRM) forthis final rule (September 24, 1997, 62FR 50152), EPA extended the findingunder 213(a)(4) to CI nonroad enginesrated under 37 kW. A more detaileddiscussion of the history of emissioncontrol programs for nonroad enginesand other mobile sources is included inthe preamble to the proposal for thisrule.

In the NPRM, EPA estimated thecontribution of nonroad diesel enginesfor comparison with other emissionsources. For 1996, these engines wereestimated to represent about 27 percentof mobile source emissions of oxides ofnitrogen (NOX) and 13 percent of totalNOX emissions. EPA estimates thatthese engines currently contribute about48 percent of the directly emitted PMfrom mobile sources and 16 percent oftotal controllable PM emissions. Inaddition to directly emitted PM, EPAestimates that NOX emissions cause asignificant additional amount of PM inthe form of secondary nitrate particles.On average nationwide, this indirect PMrepresents an additional contribution toPM equal to about 30 percent of the totaldirectly emitted PM tonnage. EPAprojections also indicate that withoutfurther emission controls, the alreadysignificant contribution of nonroaddiesels to NOX and PM will increase inthe future. Chapter 5 of the FinalRegulatory Impact Analysis (Final RIA)presents more complete estimates ofemissions from all land-based nonroaddiesel engines and marine dieselengines rated under 37 kW.3

This final rule is the result of severalyears of activity focused on reducingdiesel engine emissions in the U.S. In1994 and 1995, states andenvironmental groups encouraged EPAto adopt more stringent emissionstandards for highway and nonroaddiesel engines to address the need fornational pollution reduction measuresto improve air quality in many urbanareas. In response, EPA initiateddiscussions with engine manufacturersand other interested parties regardingfuture emission controls for theseengines. EPA subsequently finalizednew emission standards for heavy-dutyhighway engines starting with the 2004

model year (October 21, 1997 62 FR54695) and proposed the emissionrequirements for nonroad diesel enginesthat are finalized in this document(September 24, 1997, 62 FR 50152).

This document finalizes a new set ofemission standards for all nonroaddiesel engines, except for locomotiveengines, engines used in undergroundmining equipment, and marine enginesrated at or above 37 kW. This ruleincludes first-ever EPA emissionstandards for emissions from dieselengines rated under 37 kW. Theemission reductions resulting fromthese engines will be a major step inreducing the human health andenvironmental impacts of ground-levelozone and particulate matter. Emissionsfrom other nonroad engines not coveredby this final rule are being addressed inother EPA rulemakings.

As EPA has pursued the emissionreductions needed to meet air qualitygoals, an important consideration hasbeen harmonization with standards fornonroad engines adopted or underconsideration in California, Europe, andelsewhere in the world. The goal ofharmonization has been a major impetusand an important factor in thedevelopment of this rule. The principalgoal of harmonization efforts, avoidingwidespread duplicative designconfigurations, has been addressed infinalizing these emission standards.While some differences remain betweenEPA’s final rule and the proposalestablished in Europe, EPA plans tocontinue its harmonization work withgovernments in Europe and in othercountries. One major area in which acoordinated effort is being pursued isthe development of a more effectiveparticulate emission control program,including the evaluation and possiblemodification of the certification testcycle, as discussed in Section III.

Based on the information presented inthe preamble to the proposed rule andin the Final RIA, EPA believes the newstandards are technologically feasibleand otherwise appropriate under theAct. Nonetheless, it is clear that asignificant amount of research anddevelopment will be needed on the partof engine manufacturers and others tocomply with the new standards.Accordingly, EPA intends to review thefeasibility of some of the standardsfinalized in this document by 2001, asdescribed in Section III.

II. Content of the Final RuleThis rulemaking includes a

comprehensive program to reduceemissions from nonroad diesel enginesand equipment. The program asfinalized consists of stringent new

emission standards, requirements toensure that engines maintain their levelof emission performance as they age,provisions providing complianceflexibility to engine and equipmentmanufacturers, and a voluntary programto encourage the introduction of low-emitting engines.

A. Emission Standards and RelatedProvisions

EPA is finalizing new emissionstandards for PM, CO, and nonmethanehydrocarbons (NMHC) and NOX

combined, covering all nonroad dieselengines except for locomotives, enginesused in underground miningequipment, and large (rated at or above37 kW) engines used in marineapplications. Engines not included inthis rulemaking are or will be addressedby other federal programs. EPA isfinalizing a set of emission standardsthat vary in level and implementationdate, depending on the rated power ofthe engine and other factors. TheAgency believes that the standardsfinalized in this document areconsistent with the Clean Air Actrequirement that standards represent the‘‘greatest degree of emission reductionachievable’’ given the criteria specifiedby the Act (see Section IV below).

1. Emission Standards

In general, new emission standardsfor engines rated between 37 and 560kW are finalized in two tiers, buildingon the phase-in schedule adopted in1994 in the Tier 1 rule. Table 1 lists therange of standards for the differentpower categories, including all the tiersof standards with the affected modelyears. These standards approximate thedegree of control anticipated fromexisting standards covering enginesused in heavy-duty diesel highwayvehicles, with appropriate considerationof differences in the sizes andoperational characteristics of theengines and in the organization of theindustries. Specifically, the first set ofnew standards (Tier 2) generally parallelthe emission standards that applybeginning with 1998 model yearhighway engines (58 FR 15781, March24, 1993). The second set of newstandards (Tier 3) parallel standards thatapply beginning with 2004 highwayengines (October 21, 1997, 62 FR54695). The standards for engines ratedat or above 37 kW become effective inthe 2001 to 2006 time frame for Tier 2levels and 2006 to 2008 for Tier 3 levels.

BILLING CODE 6560–50–P


BILLING CODE 6560–50–C


4 ‘‘Summary and Analysis of Comments on theNotice of Proposed Rulemaking for EmissionStandards and Test Procedures for Methanol-FueledVehicles and Engines,’’ EPA, January 1989.

The standards finalized in thisdocument for engines rated under 37kW are the first EPA emission standardsfor these engines. The Tier 1 standardswill be phased in by power categorybeginning in 1999, with Tier 2 standardsphased in by power category beginningin 2004. Tier 3 standards are not beingset for these engines, or for enginesrated over 560 kW, in this rule.

In power categories for which Tier 3standards are finalized, the Agency haschosen not to include more stringentPM standards. As discussed in SectionIII below, EPA has a number of reasonsfor deferring the establishment of a Tier3 PM control program at this time, butis actively working toward this goal.The Agency believes that Tier 3 PMstandards will be more appropriatelydiscussed in the context of theimproved technical understanding thatwill exist by the time of the 2001feasibility review, also discussed inSection III.

EPA will maintain the current smokestandards for nonroad diesel enginesrated at or above 37 kW and will extendthe applicability of these standards tononroad diesel engines rated under 37kW, except 1-cylinder engines andmarine propulsion engines. In addition,constant-speed engines are beingexempted from smoke regulations. Thisis discussed in detail in Section II.H.

2. Related Provisionsa. Definition of Compression-Ignition.

The requirements of 40 CFR Part 89apply to all compression-ignitionengines. Most current compression-ignition engines burn diesel fuel andoperate over the conventional dieselcycle, which generally allowsinterchangeable use of the terms‘‘compression-ignition,’’ ‘‘diesel-cycle,’’and ‘‘diesel.’’ Some of these engines,however, can be modified to operate onother fuels such as natural gas orliquefied petroleum gas. Because theseengines do not clearly fall into existingengine categories, EPA proposed adefinition for nonroad compression-ignition engines that follows fromdefinitions established for highwayengines. The proposed definitionfocuses on the engine cycle, rather thanthe ignition mechanism, with thepresence of a throttle as an indicator todistinguish between diesel-cycle andotto-cycle operation. Use of a throttle toregulate power (not just to maintainsmooth low-load operation) correspondswith otto-cycle operation. Regulatingpower by controlling the fuel supply inlieu of a throttle corresponds with leancombustion and diesel-cycle operation.This language allows the possibility thata natural gas-fueled engine equipped

with a sparkplug will be considered acompression-ignition engine, but EPAcontinues to believe that the proposeddefinition is the best way to segregatethese engines. Nonroad engines fueledby natural gas could then fall underemission standards for nonroad dieselengines, finalized in this document, orfor nonroad spark-ignition engines,which are currently under development.The supporting documentation forEPA’s introduction of emissionstandards for methanol-fueled enginesprovides a more complete considerationof the different technologies involvedand lays out a rationale for thisconclusion.4 To allow adequate time tocertify engines that may be affected, thisdefinition will take effect beginningJanuary 1, 2000.

b. Hobby Engines. Many extremelysmall engines used to power modelairplanes, model boats, and other suchhobby equipment qualify as nonroadcompression ignition engines. EPA isnot establishing an emission standardfor these small hobby engines at thistime. These engines are designed andoperated very differently than largerengines used in other applications. TheAgency is not aware of informationabout these engines that would allow anassessment of the feasibility of theproposed standards, or help to establishfeasible alternative standards, takinginto consideration the factors relevantunder section 213(a)(3) of the Act. Also,it is not clear whether such smallengines could be appropriately andconsistently tested with existingequipment, or, if so, whether any of thetest cycles described below wouldadequately represent the in-useoperation of these engines. Furthermore,EPA could not realistically impose theproposed useful life requirements or thewarranty and maintenance intervalprovisions on these engines given theirlimited durability and frequentadjustment by the user. It should benoted that these engines have a lowaverage annual hours of usage and anextremely low power output, andtherefore contribute very little to theemissions inventory.

Although there are manydistinguishing features of this hobbyclass of engines, the comments receivedon the proposal indicate that per-cylinder displacement provides anadequate and simple basis fordistinguishing this class from othertypes of engines. Even though theAgency lacks the information that

would allow a precise determination ofthe displacement level above which theproposed standards can be consideredfeasible, a displacement of 50 cubiccentimeters per cylinder is well abovethe displacement level that is typical ofthis class of engines, and well belowthat of the smallest engines outside thisgroup. Therefore, the final rule excludesengines with a displacement of less than50 cubic centimeters per cylinder fromthe emissions standards in Part 89.

c. NMHC Measurement. EPA in thisfinal rule changes from a measurementof total hydrocarbons to nonmethanehydrocarbons. There is, however, nostandardized method for measuringmethane in diesel engine exhaust.Therefore, EPA will allowmanufacturers to develop and use theirown procedure to analyze nonmethanehydrocarbons, with prior approval fromEPA, or measure total hydrocarbons andsubtract 2 percent from the measuredhydrocarbon mass to correct formethane.

d. Selective Enforcement Audits. Inthe Tier 1 rule, the Agency adopted aprogram of Selective EnforcementAudits (SEAs) to ensure that actualproduction engines meet the emissionsstandards. The Agency is not makingchanges to this program. However,recognizing that engine manufacturerswill be required to undertake significantengineering challenges in relativelyshort time frames in order to meet theTier 2 and Tier 3 standards adopted inthis rulemaking, including the challengeof stabilizing initial productionvariability, EPA will only impose SEAsduring the first year in which a standardis in effect for those engine familieswhere strong evidence exists that SEAfailure would be likely.

B. Test ProceduresThe standards finalized in this

document are based on the use of EPA’sexisting steady-state (modal) testprocedures. In addition, new steady-state test cycles are specified forconstant-speed engines, marinepropulsion engines, and engines ratedunder 19 kW. The Agency and theindustry are working to betterunderstand the sensitivity of nonroaddiesel engine emissions to the test cycle,as discussed in Section III. Thefollowing sections describe EPA’sselection of various test cycles and fuelspecifications.

1. Test CyclesCompliance with emission standards

is determined by measuring emissionswhile operating engines over aprescribed test cycle. The final rule,following the practice established in the


5 For a description of the development of the D2cycle, see ‘‘Exhaust Emission Testing of DieselEngines for Industrial Applications,’’ (Docket A–96–40, item II-D–26).

Tier 1 rule, specifies a cycle that isnominally the same as the InternationalOrganization for Standards (ISO) 8178C1 test cycle as the principle test cyclefor measuring emissions from mostengines. Additional cycles are definedfor specific engine types. Engines thatare limited by design to constant-speedoperation will be subject to testing usinga test cycle equivalent to the ISO 8178D2 cycle. This cycle, which omits idleand intermediate-speed modes from theC1 cycle, is representative of enginessuch as generators, which are designednever to run at these omitted speeds.5Because of the more limited range ofengine operation in the D2 cycle,manufacturers must ensure that enginescertified with data generated with theD2 cycle are used exclusively inconstant-speed applications.Accordingly, these engines mustinclude labeling information indicatingthis limited emission certification.

For variable-speed engines ratedunder 19 kW, EPA is specifying a testcycle that is equivalent to the ISO 8178G2 cycle. The G2 cycle includes thesame modes as the D2 cycle and addsa mode for operation at idle. The G2 andD2 cycles also have different weightingfactors for the various modes. The G2cycle was developed to represent theoperation of small diesel engines usedprimarily at rated speed, such as inlawn and garden applications,generators, pumps, welders, and aircompressors. EPA is specifying a testcycle equivalent to the ISO 8178 E3cycle for testing propulsion marineengines rated under 37 kW. The E3cycle, which consists of engineoperation at four different engine speedsand four different loads, was developedby ISO to represent the operation ofpropulsion marine engines, and hasbeen supported by an Agencyinvestigation. Auxiliary marine enginessubject to this rule (i.e., enginesinstalled on a marine vessel, but notused for propulsion) will be tested usingthe either G2, C1, or D2 test cycles,consistent with the constraintsdescribed above for the counterpartland-based nonroad engines.

Finally, EPA will generally allowmanufacturers to use the C1 test cycleto generate certification data for enginesotherwise required to use the D2 or G2test cycle. EPA will also allowmanufacturers to use the C1 test cycleto generate certification data forpropulsion marine engines where suchengines are included in a land-based

engine family. In each of these cases inwhich the manufacturer elects to use theC1 cycle, EPA would retain its ability totest using the respective G2, D2, or E3test cycle, but would also be able to testusing the C1 test cycle. Additionaldiscussion of EPA plans for furtherevaluation and development ofappropriate test cycles is provided inSection III.

2. Test FuelSection 206(h) of the Clean Air Act

requires that test fuels be representativeof in-use conditions. Therefore EPA isupdating the specifications for thesulfur content in diesel test fuels tomake them more representative of in-use fuels. EPA is finalizing test fuelspecifications with a sulfur specificationof 0.03 to 0.40 weight-percent (wt%),which covers the range of sulfur levelsobserved for most in-use fuels. The finalsulfur specifications are slightlydifferent from that proposed (0.05 to 0.5wt%), because EPA believes the finalspecification more appropriately coversthe range of sulfur levels found in themajority of in-use fuels. Manufacturerswill be free to test using any fuel withinthis range. Thus, they will be able toharmonize their nonroad test fuel witheither on-highway testing (<0.05 wt%)or with European testing (0.1 to 0.2wt%). Testing conducted by EPA woulduse test fuels typical of in-use fuels.

At this time, EPA believes that theaverage sulfur level of diesel fuel beingused in current nonroad engines is onthe order of 0.2 wt%. In order to providemanufacturers with some certaintyregarding how EPA will implement itstest fuel policy, the Agency is includinga regulatory provision specifying that itwill use test fuels with sulfur levels nogreater than 0.20 wt% when it performstesting of Tier 1 engines and Tier 2engines rated at or above 37 kW. EPAis not applying this provision to Tier 3engines or Tier 2 engines rated under 37kW because those standards do no takeeffect for some time, and EPA has nobasis for determining what theproperties of in-use fuels for theseengines will be. Moreover, EPA has notdetermined that it would be anappropriate long-term policy to specifya narrow range for the sulfurspecification. This would be especiallytrue for engines utilizing catalyticaftertreatment to reduce particulateemissions. Such engines may complywith the emission standards whentested using a moderately low sulfurfuel, but have much higher particulateemissions when using a higher sulfurfuel with a sulfur level between 0.3 and0.4 wt%. Although not addressing it atthis time, EPA intends to examine test

fuels for Tier 3 engines and Tier 2engines rated under 37 kW in its 2001feasibility review.

In the 1994 final rule, EPA allowedmanufacturers to test for certification ofPM emission levels using the low-sulfurtest fuel specified by the California AirResources Board (California ARB) fornonroad diesel engines, with amaximum sulfur content of 0.05 wt%.EPA’s objective was to minimize anydifference from the protocol previouslyestablished for California, because EPAfinalized PM standards for engines ratedover 130 kW only in response toindustry’s request to adopt California’sPM standard, which was not consideredtechnology-forcing. Under thoseprevious regulations, testing withfederal test fuel involved an optionaladjustment of measured PM levels toaccount for the higher PM emissionsassociated with the higher fuel sulfurcontent.

Effective with the Tier 2 standards(and Tier 1 standards for engines ratedunder 37 kW), EPA is eliminating theparticulate adjustment factor for testfuels with different sulfur levels. Suchan adjustment, while potentiallyappropriate for an initial, modestparticulate emission control program fora newly regulated industry, is notappropriate as a long-term policy. EPAis now establishing PM standards thatwill require meaningful reductions fromall sizes of engines used nationwide.The Clean Air Act requires EPA toensure that the test procedure, includingfuel specifications, adequately representin-use operation. Moreover, EPA hassignificant concerns regarding theaccuracy of the previously usedadjustment factor equation, which wasbased on limited data. However, even ifmore complete data were available, itwould not be possible for a singleadjustment factor equation to accuratelypredict the effect of different sulfurlevels on particulate emissions for eachengine model. This is because the effectof sulfur levels on particulate emissionscan vary significantly from enginefamily to engine family, especially forengines with and withoutaftertreatment.

EPA recognizes that the sulfur level oftest fuels has an effect on the stringencyof the standards, and that theelimination of the particulateadjustment factor has the effect ofmaking the particulate standards morestringent than they otherwise wouldhave been. Using the calculatedadjustment to PM emission levels forfuel sulfur finalized in 1994, thedifference between 0.20 and 0.05 wt%would result in an adjustment on theorder of 0.03 grams per kilowatt-hour (g/


6 ICF Incorporated, ‘‘Industry Characterization:Nonroad Heavy Duty Diesel Engine Rebuilders,’’prepared for U.S. Environmental Protection Agency,Contract 68–C5–0010, WAN 102, January 3, 1997,(Docket A–96–40, item II–A–02).

kW-hr) (0.02 grams per horsepower-hour (g/hp-hr)) in PM emission levels.(Testing for NOX, NMHC, CO, andsmoke is not affected, since the 1994final rule already specified that federaltest fuel was appropriate withoutadjustment for measuring emissions ofthose pollutants.) However, EPA hasconsidered this effect in making itsdetermination that the standards beingadopted in this rulemaking are feasible.

C. Durability

To achieve the full benefit of theemissions standards, programs arenecessary to encourage manufacturers todesign and build engines with durableemission controls and encourage theproper maintenance and repair ofengines throughout their lifetime. Thegoal is for engines to maintain goodemission performance throughout theirin-use operation.

When the Tier 1 standards for enginesrated at or above 37 kW were developed,deterioration was not expected to be aproblem for two reasons. First, the Tier

1 standards were not considered by EPAto be technology forcing. Second, thefocus was on NOX control and NOX

emissions performance was thought notto deteriorate for these engines. As aresult, there are few requirements in thecurrent regulations that addressdeterioration concerns for nonroaddiesel engines. As tighter standards areput into place, EPA believes that itbecomes necessary to adopt measures toaddress concerns about possible in-useemission performance degradation.

EPA is making some changes to theexisting durability program, as the newstandards are phased in, to help ensurethat engines meet applicable standardsin use. The specific areas of thedurability program that are beingfocused on here are useful life, warrantyperiod, deterioration factors, allowablemaintenance intervals, and rebuildingrequirements.

1. Useful Life

Currently, nonroad diesel enginesrated at or above 37 kW are defined, for

emission control purposes, to have auseful life of 8,000 hours or 10 years,whichever occurs first. The in-usetesting liability period is currently 6,000hours or 7 years, whichever occurs first.Based on a study performed for EPA,this is representative of the average timeuntil first rebuild for the majority ofnonroad diesel engines.6 EPA is makingno changes to these requirements.

EPA is adopting a shorter useful lifeand liability period for engines ratedunder 37 kW than for larger engines.Based on EPA’s current understanding,these smaller engines have a shorter lifeexpectancy. Also, engines rated under37 kW that operate constantly at highspeeds (at or above 3000 revolutions perminute (rpm)) and very small engines(those rated under 19 kW) have a shorterlife expectancy than other smallengines. As a result, EPA has adjustedthe useful lives and liability periods forthese engines accordingly. Table 2presents the specified useful lives andin-use testing liability periods beingadopted.

TABLE. 2—USEFUL LIFE AND RECALL TESTING PERIODS

Power rating Rated engine speedUseful life Recall testing period

Hours Years Hours Years

<19 kW ................................ All .................................................................................... 3,000 5 2,250 419–37 kW ............................ Constant speed engines @≥3,000 rpm .......................... 3,000 5 2,250 4

All others ......................................................................... 5,000 7 3,750 5

Liability periods were based on theratio of useful life and liability periodsestablished for engines rated at or above37 kW. The purpose of having liabilityperiods that are shorter than the usefullives is to ensure that engines used inrecall testing are not statistical outlierswith poor emissions durability.However, if a recall were ordered, allengines in that family would be subjectto the recall regardless of their age.

2. Warranty Period

Tied to the useful life is the minimumwarranty period imposed by the CleanAir Act on manufacturers of nonroadengines. Currently, the minimumwarranty period for nonroad dieselengines rated at or above 37 kW is 3,000hours or 5 years of use, whicheveroccurs first. EPA is extending thisminimum warranty period to mostengines rated between 19 and 37 kW;however, for engines under 19 kW andfor 19 to 37 kW constant speed engines

rated at 3000 rpm and above, EPA isspecifying a warranty period of 1,500hours or 2 years, whichever occurs first.The shorter warranty requirement forthese engines is due to their shorteruseful lives.

3. Deterioration Factors

In the Tier 1 nonroad engine rule,EPA did not require manufacturers toaccumulate operating time on durabilitydata engines or to generate deteriorationfactors for engine certification becausethat rule focused on modest reductionsin NOX emissions, requiring emissioncontrol technologies that were notexpected to deteriorate. Analysis ofhighway engine data at that time ledEPA to conclude that heavy-duty dieselengines do not generally produce moreNOX emissions as they get older. EPAbelieves that this stability of emissioncontrol can be attributed to the fact thatdiesel engine manufacturers have metemission standards through internalimprovements to the engine and fuelsystems, rather than relying onaftertreatment and other devices thatwould be more susceptible to in-usedegradation. In fact, engine

deterioration in current technologynonroad diesel engines could result inlower NOX emission levels due to a lossin cylinder compression.

As NOX, NMHC, and PM standardsare made more stringent and nonroaddiesel engine manufacturers introducenew technologies solely for emissioncontrol purposes, such as aftertreatment,sophisticated fuel delivery controls, andexhaust gas recirculation (EGR), long-term emissions performance becomes agreater concern. In addition, emissiondeterioration characteristics are not wellknown for aftertreatment, EGR, andother more sophisticated emissioncontrol strategies.

EPA will require the application ofdeterioration factors (DFs) to all enginescovered by this rule. The DF is a factorapplied to the certification emission testdata to represent emissions at the end ofthe useful life of the engine. SeparateDFs apply to each measured pollutant,except that a combined NMHC + NOX

DF applies to engines that do not useaftertreatment devices, consistent withthe form of the standard. Consistent


with the approach taken in other EPAprograms, decreasing emissions of onepollutant over time would not beallowed to offset increasing emissions ofthe other pollutant in this combined DF.Currently, DFs are required for highwayheavy-duty engines but are onlyrequired for nonroad diesel enginesrated at or above 37 kW if engines useaftertreatment technologies.Deterioration factors for those enginesare to be determined by the enginemanufacturers in accordance with goodengineering practices. EPA has not set aspecified procedure. The deteriorationfactors are nevertheless subject to EPAapproval.

It is not EPA’s intent to force a greatdeal of data gathering on engines usingestablished technology for which themanufacturers have the experience todevelop appropriate DFs. New DFtesting may not be needed wheresufficient data already exists. EPA’smain interest is that technologies withunproven durability in nonroadapplications, such as EGR, aredemonstrated to meet emissionrequirements throughout their usefullives. However, because this rule createsa program that will introduce newstandards and new technologies overmany years, the DF requirement is beingfinalized for all engines so that EPA canbe sure that reasonable methods arebeing used to ascertain the capability ofengines to meet standards throughouttheir useful lives. This DF program willallow EPA to act in the traditional roleof establishing emission performancestandards, rather than putting EPA in aposition in which it would appear to beprejudging the durability of specifictechnologies and designs.

Similar to the provisions for highwayengines, EPA will allow the nonroadengine manufacturers the flexibility ofusing durability emission data from asimilar engine that has either beencertified to the same standard or forwhich all of the data applicable forcertification has been submitted. Inaddition, EPA is extending thisflexibility to allow deterioration datafrom highway engines to be used forsimilar nonroad engine families.

EPA is especially concerned that anunnecessarily burdensome durabilitydemonstration not be required forengines using established technology forwhich the manufacturers have theexperience to determine appropriatedeterioration factors. In these cases, EPAwill allow nonroad enginemanufacturers to perform an analysis,based on good engineering practices, inplace of actual service accumulation.For instance, in the case where nodurability data exists for a certain

engine but both smaller and largerengines using similar technology havebeen shown not to deteriorate for NOX

in use, it would be possible to build acase showing no NOX deterioration forthat engine. EPA is allowing engines tobe considered as using establishedtechnologies if they do not meet the Tier3 emission standards, unless they useEGR or aftertreatment devices. Inaddition, manufacturers of engines thatdo meet the Tier 3 standards but havetechnologies similar to those employedin Tier 2 designs may also rely onengineering analysis in lieu of actualservice accumulation, with prior EPAapproval.

Because there may be insufficienttime for manufacturers of engines ratedbelow 37 kW to verify DFs before theTier 1 compliance dates, the Agency isallowing manufacturers to specify DFsfor these engines in model years 1999and 2000 based on good engineeringjudgement using reasonably availableinformation. Any requests for carryoverof these models into the 2001 modelyear would need to include justificationof DFs under the new requirements.

4. Allowable Maintenance IntervalsManufacturers are currently required

to furnish the ultimate purchaser ofeach new nonroad engine with writteninstructions for the maintenance neededto ensure proper functioning of theemission control system. Generally,manufacturers require the owners toperform this maintenance as a conditionof their emission warranties. Further,the performance of maintenance wouldbe considered during any in-use recalltesting conducted by the Agency.

For the engines covered in this action,EPA believes that there is a need to limitthe minimum maintenance intervalsspecified by the manufacturers, toensure that the technologies employedare practical in use. Because the actualmaintenance intervals for nonroadengines are likely to be similar tohighway engines, EPA proposedmaintenance requirements parallelthose for highway engines (40 CFR86.094–25).

There are two aspects to theimplementation of allowablemaintenance interval requirements. Thefirst relates to the maintenanceinstructions specified by manufacturersin users manuals. The second concernshow often maintenance has been or willbe performed on engines undergoingtesting to verify compliance withemission standards. Ideally these wouldbe consistent. However, due to concernsabout the need for more frequentmaintenance in the severe operatingenvironments that nonroad engines

sometimes operate in, EPA is focusingits allowable maintenance intervalrequirements on testing performed bymanufacturers to demonstratecompliance. This testing would not, ofcourse, occur in severe operatingenvironments. Manufacturers have abusiness incentive to avoid specifyingoverly frequent maintenance in usermanuals, and so EPA is not, at this time,insisting that the intervals be reflectedin user manuals. In addition,manufacturers may adopt shorterintervals for engines rated below 19 kWand 19 to 37 kW constant speed enginesrated at 3000 rpm and above, subject toEPA approval. Subject to thesemodifications, the Agency is finalizingthe proposed allowable maintenanceinterval requirements.

The following minimum intervals arebeing adopted for adjustment, cleaning,repair, or replacement of variouscomponents:

At 1,500 hours, and 1,500-hourintervals thereafter:1. EGR related filters and coolers2. Positive crankcase ventilation valve3. Fuel injector tips (cleaning only)

At 3,000 hours, and 3,000-hourintervals thereafter for engines ratedunder 130 kW or 4,500-hour intervalsthereafter for engines rated over 130 kW:1. Fuel injectors2. Turbocharger3. Electronic engine control unit and its

associated sensors and actuators4. PM trap or trap-oxidizer system5. EGR system (including all related

control valves and tubing)6. Catalytic convertor7. Any other add-on emissions-related

componentAdd-on emission-related components

are those whose sole or primary purposeis to reduce emissions or whose failurewill significantly degrade emissioncontrol, yet not significantly affect theperformance of the engine.

In addition, EPA is defining thefollowing components as criticalemission-related components:1. Catalytic convertor2. Electronic engine control unit and its

associated sensors and actuators3. EGR system (including all related

filters, coolers, control valves andtubing)

4. Positive crankcase ventilation valve5. PM trap or trap-oxidizer system6. Any other add-on emissions-related

componentIf maintenance is scheduled on

critical emission-related components in-use, EPA requires that the manufacturershow the reasonable likelihood that themaintenance will, in fact, be performed


in use. The regulations list options forthis demonstration, including showingthat performance would degradewithout maintenance, providing surveydata showing that the maintenance isperformed, using a visible signal system,offering free maintenance, and othermethods approved by theAdministrator. These special provisionsdo not apply to critical emission-relatedcomponents for which no maintenanceis specified over the useful life of theengine.

5. Rebuilding RequirementsIn this action, EPA is addressing two

concerns regarding the rebuilding ofnonroad diesel engines, both related tonew emission-related components thatmay be added to the engine to meet thenew standards. First, EPA is concernedthat during engine rebuilding, there maynot be an incentive to check and repairemission controls that do not affectengine performance. Second, EPA isconcerned that there may be anincentive to rebuild engines to an olderconfiguration due to real or perceivedperformance penalties associated withtechnologies that would be used to meetthe standards finalized in thisdocument. Such practices would likelyresult in a loss in emission control.

EPA is requiring that parties involvedin the process of rebuilding orremanufacturing engines (which mayinclude the removal of the engine,rebuilding, assembly, reinstallation andother acts associated with enginerebuilding) must follow the provisionslisted below to avoid tampering with theengine and emission controls. Theapplicability for these provisions isbased on the date the engine wasoriginally built. The rebuildrequirements only apply to enginessubject to the new standards beingestablished in this rule.

(1) During engine rebuilding, partiesinvolved must have a reasonabletechnical basis for knowing that therebuilt engine is equivalent, from anemissions standpoint, to a certifiedconfiguration (i.e., tolerances,calibrations, and specifications), andmust identify the model year(s) of theresulting engine configuration. Thisallows for a rebuilder who is unable toidentify the original certifiedconfiguration to rebuild the engine toany certified configuration.

(2) When an engine is being rebuiltand remains installed or is reinstalled inthe same piece of equipment, it must berebuilt to a configuration of the same orlater model year as the original engine.When an engine is being replaced, thereplacement engine must be an engineof (or rebuilt to) a certified configuration

that is equivalent, from an emissionsstandpoint, to the engine beingreplaced. This allows for rebuilt engineconfigurations that, although of adifferent model year than the originalengine, were designed for the same tierof emission standards. If thereplacement engine is new, it must alsomeet the requirements of 40 CFR89.1003(b)(7), discussed in section II.E.3below.

(3) At the time of rebuild, emission-related codes or signals from on-boardmonitoring systems may not be erasedor reset without diagnosing andresponding appropriately to thediagnostic codes. Diagnostic systemsmust be free of all such codes when therebuilt engines are returned to service.Further, such signals may not berendered inoperative during therebuilding process.

(4) When conducting an in-framerebuild or the installation of a rebuiltengine, all emission-related componentsnot otherwise addressed by the aboveprovisions must be checked andcleaned, repaired, or replaced wherenecessary, following manufacturerrecommended practices.

Under this final rule, any person orentity engaged in the process, in wholeor part, of rebuilding engines who failsto comply with the above provisionsmay be liable for tampering. Parties areresponsible for the activities over whichthey have control and as such there maybe more than one responsible party fora single engine in cases where differentparties perform different tasks duringthe engine rebuilding process (e.g.,engine rebuild, full engine assembly,installation). EPA has included nocertification or in-use emissionsrequirements for the rebuilder or engineowner in this final rule.

EPA has adopted modestrecordkeeping requirements that EPAbelieves are in line with customarybusiness practices. The records must bekept by persons involved in the processof nonroad engine rebuilding orremanufacturing and shall include thebest available information on the totaloperating hours at time of rebuild anda list of the work performed on theengine and related emission controlsystems, including a list of replacementparts used, engine parameteradjustments, design element changes,and work performed as described initem (4) of the rebuild provisions above.EPA now requires that such records bekept for two years after the engine isrebuilt.

Under this final rule, parties arerequired to keep the information for twoyears but are allowed to use whateverformat or system they choose, provided

that the information can be readilyunderstood by an EPA enforcementofficer. EPA will not require that partieskeep information that they do not haveaccess to as part of normal businesspractice. In cases where it is customarypractice to keep records for enginefamilies rather than specific engines,where the engines within that family arebeing rebuilt or remanufactured to anidentical configuration, suchrecordkeeping practices should besatisfactory. Rebuilders may use recordssuch as build lists, parts lists, andengineering parameters of the enginefamilies being rebuilt rather thankeeping information on individualengines, provided that each engine isrebuilt in the same way to thosespecifications.

D. Averaging, Banking, and TradingIn this final rule, EPA is replacing the

existing nonroad engine averaging,banking, and trading (ABT) programwith a comprehensive new program.EPA believes the revised program is animportant element in making thestringent emissions standards adoptedin this final rule appropriate with regardto technological feasibility, lead time,and cost. The revised ABT program isintended to enhance the flexibilityoffered to engine manufacturers thatwill be needed in transitioning theirentire product lines to meet thestringent NMHC + NOX standards andthe PM standards being adopted. TheABT program also encourages the earlyintroduction of cleaner engines, thussecuring earlier emission benefits. Itshould be noted that as part of the 2001feasibility review described earlier, theAgency plans to reassess theappropriateness of the averaging,banking, and trading provisionsapplicable to nonroad diesel enginesand modify the provisions if deemednecessary.

The revised ABT program will applyto all nonroad diesel engines subject toPart 89. The following discussion of therevised ABT provisions is divided intotwo sections. The first section describesthe provisions for engines rated at orabove 37 kW. The second sectiondescribes the provisions for thoseengines rated under 37 kW, includingland-based and marine engines, both ofwhich are currently unregulated byEPA.

1. Revised Program for Engines Rated ator Above 37 kW

The following section is divided intotwo subsections and describes therevised ABT program for engines at orabove 37 kW. The first subsectiondescribes the general provisions


applicable to all engines. The secondsubsection describes several provisionsspecific to engines certified to theexisting Tier 1 standards for engines ator above 37 kW.

a. General Provisions. Beginning withthe Tier 2 standards, the form of thestandard changes from separatehydrocarbon and NOX standards to acombined NMHC + NOX standard.Therefore, once the Tier 2 standardstake effect, credits will be based oncombined NMHC + NOX values. In theTier 2 time frame, NMHC + NOX creditswill be generated against the Tier 2standards, which vary from 6.4 to 7.5 g/kW-hr (4.8 to 5.6 g/hp-hr), depending onthe power rating of the engine. In theTier 3 time frame, NMHC + NOX creditswill be generated against the Tier 3standards, which vary from 4.0 to 4.7 g/kW-hr (3.0 to 3.5 g/hp-hr), depending onthe power rating of the engine.

The existing Tier 1 ABT program fornonroad engines does not cover PMemissions. Beginning with theintroduction of Tier 2 engines, EPA isincluding PM emissions in the ABTprogram in order to providemanufacturers with greater flexibility incomplying with the new PM standards.(As described later, EPA is allowing theearly banking of PM credits from Tier 1engines.) All PM credits will begenerated against the Tier 2 standardsuntil EPA adopts subsequent PMstandards. Because EPA is includingboth NMHC + NOX and PM in the ABTprogram and given the tradeoff betweenNOX and PM emissions, manufacturerswill not be allowed to generate creditsagainst the applicable standard for onepollutant while using credits against theapplicable standard for anotherpollutant on the same engine family.

EPA is setting upper limits to thefamily emission limit (FEL) values thatmay be declared under the newstandards. EPA is adopting an NMHC +NOX FEL upper limit of 10.5 g/kW-hr(7.9 g/hp-hr) for engines at or above 130kW certified in the Tier 2 time frame.For Tier 2 engines at or above 37 kWand less than 130 kW, EPA is adoptinga NMHC + NOX FEL upper limit of 11.5g/kW-hr (8.6 g/hp-hr). For Tier 3 enginefamilies, the NMHC + NOX FEL upperlimits are the Tier 2 NMHC + NOX

standards for the same power categoryof engines.

For PM, EPA is adopting a PM FELupper limit of 0.54 g/kW-hr (0.40 g/hp-hr) for engines at or above 130 kWcertified in the Tier 2 time frame.Engines at or above 37 kW and less than130 kW will have a PM FEL upper limitof 1.2 g/kW-hr (0.9 g/hp-hr) for Tier 2engines. (EPA is not adopting a PM FELupper limit beyond Tier 2 because EPA

is not adopting Tier 3 PM standards atthis time.)

There are several other provisionsEPA is adopting for the revised ABTprogram. EPA is replacing the three yearcredit life provision of the existing ABTprogram with no limit on credit life. Inaddition, EPA is eliminating the ‘‘buyhigh/sell low’’ power conversion factorprovision of the existing ABTregulations and replacing it with a sales-weighted average power value. EPA isincluding an adjustment in thecalculation of credits for the useful lifeof the engine. (The existing ABTprogram does not include anyadjustment for useful life to the creditcalculations.) EPA is also allowingmanufacturers to include enginescertified to meet the State of California’sstandards in the revised ABT programbecause the California ARB is expectedto adopt the same standards for theirnonroad compression-ignition enginecontrol program.

In a similar manner to the existingABT provisions for Tier 1 engines at orabove 37 kW, EPA is not requiring anydiscounting of credits from Tier 2 orTier 3 engines with this finalrulemaking. EPA plans to monitor theemission levels of engines and the useof the ABT program over the next fewyears. EPA will take this informationinto account and plans to reassess theappropriateness of not having anydiscounting of credits from Tier 2 andTier 3 engines as part of the 2001feasibility review.

Finally, EPA has decided not tofinalize two ABT provisions discussedin the proposal for this rule. First, asdiscussed later in the equipmentmanufacturer flexibility section, EPA isnot adopting the proposed provisionthat would have given enginemanufacturers the option to trade theNMHC + NOX and PM credits generatedby their engines to equipmentmanufacturers. This is discussed furtherin Section II.E of this final rule. Second,EPA is not adopting a restriction whichwould have limited the use of PMcredits to the power category in whichthe credits were generated. As with theexisting Tier 1 ABT program, creditsmay be exchanged across all powercategories at or above 37 kW. (Asdescribed below, there are somerestrictions on the trading of credits forengines below 37 kW and tradingcredits between land-based applicationsand marine applications.)

b. Special Provisions for Tier 1Engines. As described above, EPA isreplacing the existing ABT programwith a comprehensive new program.Based on EPA’s experience with Tier 1certification and because of

implementation differences between theexisting Tier 1 provisions and the newlyadopted Tier 2 and later provisions,EPA is adopting two changes that willspecifically affect engines certified tothe existing Tier 1 standards. First, EPAis adopting a methodology forcalculating NOX credits earned fromTier 1 engines that can be used forshowing compliance with the Tier 2NMHC + NOX standards. Second, EPAis allowing engine manufacturers tobank early PM credits from Tier 1engines that can be used once the newlyadopted Tier 2 standards take effect.The changes noted in the generalprovisions discussion above, includingthe unlimited life, use of average powerfor credit calculations, and useful lifeadjustment, will also apply to enginescertified to the existing Tier 1 standards.

With regard to the generation of NOX

credits from engines certified to theexisting Tier 1 standards, EPA willcontinue to allow manufacturers to earnNOX credits, but not NMHC + NOX

credits. The NOX credits earned onengines certified to the existing Tier 1standards can be used to showcompliance with the current Tier 1 NOX

standard or the newly adopted Tier 2NMHC + NOX standards. However, dueto concerns over the potential to delaythe Tier 3 standards with credits earnedfrom Tier 1 engines, the NOX creditsearned on engines certified to theexisting Tier 1 standards cannot be usedto show compliance with the newlyadopted Tier 3 NMHC + NOX standards.

With regard to the calculation of NOX

credits from Tier 1 engines that are tobe banked or traded and subsequentlyused for Tier 2 NMHC + NOX

compliance, EPA is requiring that thevalue of the NOX credits be discountedunless the engine on which the creditswere earned is below the applicable Tier1 standard by a specified amount. EPAbelieves this requirement is appropriatedue to concerns that manufacturerscould potentially earn significant NOX

credits from their current Tier 1 enginesand delay compliance with the Tier 2standards, and also to encourage thepull-ahead of newer and cleanertechnologies. (Credits from Tier 1engines that are to be used to showcompliance for other Tier 1 engines, arenot required to be discounted.) EPA isadopting a trigger mechanism todistinguish between Tier 1 enginefamilies which are eligible for noadjustment and those families whichmust be adjusted. For engine familiescertified with a NOX FEL at or below 8.0g/kW-hr (6.0 g/HP-hr), no discount willbe applied to any NOX credits. Forengine families certified at a NOX FELabove the 8.0 g/kW-hr trigger in the Tier


1 time frame, the value of the NOX

credits will be discounted by 35percent.

With regard to PM credit generation,EPA is allowing early banking of PMcredits from Tier 1 engines as soon asthis final rule becomes effective. Underthe revised program, the number of PMcredits generated will be calculatedagainst the Tier 2 standards and mayonly be used to show compliance oncethe Tier 2 PM standards take effect.Neither the trigger nor the creditdiscounting concept described above forTier 1 NOX credits, will apply to PMcredits.

EPA requested comment on someadditional limitations regarding the useof credits generated from Tier 1 engines.EPA is not adopting a provision thatwould apply a surcharge to NOX creditsused by a manufacturer to certify morethan 20 percent of its fleet. EPA is alsonot adopting any limit on the number ofyears a manufacturer may earn early PMcredits from Tier 1 engines.

2. Program for Engines Rated Under 37kW

As noted earlier, EPA is adoptingstandards for engines rated under 37kW. These engines are currentlyunregulated by EPA. Therefore, theexisting ABT program did not apply tosuch engines. EPA is adoptingprovisions to include both land-basedand marine engines rated under 37 kWin the revised ABT program. A numberof issues have been addressed for theseengines, including credit generation,credit life, credit calculation, tradingacross power categories, credit exchangebetween land-based and marineapplications, and a special multi-yearaveraging and banking program. Thefollowing section addresses each ofthese issues.

With regard to credit generation, EPAis making credits available for bothNMHC + NOX emissions and for PMemissions as soon as the standardsbecome effective. Because many of theengines below 19 kW use indirectinjection technology, which tends tolow-emitting, EPA is requiring that allcredits generated from engines ratedunder 19 kW be calculated against theTier 2 standards, even prior to the Tier2 time frame. This requirement appliesfor both NMHC + NOX credits and PMcredits. For engines rated at or above 19kW and less than 37 kW, where directinjection engines are more common,EPA is requiring that all enginesgenerate credits against the applicablestandards.

For Tier 1 engines below 37 kW, EPAis adopting FEL upper limits of 16.0 g/kW-hr (12.0 g/hp-hr) for NMHC + NOX

and 1.2 g/kW-hr (0.9 g/hp-hr) for PM.These levels are based on existingCalifornia ARB standards for nonroaddiesel engines rated under 19 kW. TheFEL upper limits for the Tier 2standards are the Tier 1 standards.

With regard to credit life, EPA isadopting the unlimited life provisionsfor engines rated under 37 kW, asdescribed earlier for engines rated at orabove 37 kW, with one exception.Because of concerns over the amount ofcredits manufacturers could earn onindirect injection engines under thenewly adopted Tier 1 standards and thepotential for significant delay inimplementation of the Tier 2 standards,EPA is requiring that all creditsgenerated prior to the Tier 2 time frameon engines rated under 19 kW expire atthe end of 2007.

With respect to credit generation andusage calculations, EPA is requiring thatmanufacturers use the sales-weightedaverage power for engines rated under37 kW, as described earlier for enginesrated at or above 37 kW. The inclusionof useful life in the calculation ofcredits, as described earlier, will alsoapply to the revised ABT program forengines rated under 37 kW.

With respect to trading across powercategories, EPA is adopting tworestrictions on such trading because ofconcerns regarding excessive creditgeneration by low-emitting indirectinjection engines. First, EPA will notallow manufacturers to use creditsgenerated on engines rated under 19 kWto demonstrate compliance for enginesrated at or above 19 kW. Second, EPAis prohibiting manufacturers fromtrading credits earned on indirectinjection engines rated at or above 19kW to other manufacturers. (Thisrestriction applies to engines at or above37 kW as well.) Under this secondrestriction, a manufacturer would stillbe allowed to use such credits foraveraging or banking purposes withother engines rated at or above 19 kWthat the manufacturer produces itself.As part of the 2001 feasibility reviewdescribed earlier, the Agency plans toreassess the appropriateness of theserestrictions and modify them asappropriate.

With respect to the exchange ofcredits across applications, EPA isadopting provisions that will prohibitmanufacturers from using creditsgenerated on land-based engines todemonstrate compliance for marineengines. EPA is concerned thatmanufacturers making engines used inboth marine and land-basedapplications could effectively trade outof the marine portion of the programgiving them a competitive advantage

over small marinizers who only sellmarine engines. EPA will, however,allow manufacturers to use creditsgenerated on marine engines todemonstrate compliance for land-basedapplications.

Finally, EPA is adopting a specialfour-year averaging and bankingprogram for engines rated under 37 kWdue to the short lead time before theTier 1 standards begin to apply. Theprogram would apply separately toengines rated under 19 kW and toengines rated at or above 19 kW and lessthan 37 kW. Under the special program,manufacturers will be allowed to createa negative balance of credits for the firsttwo years the Tier 1 standards apply.This negative balance will have to beeliminated by the end of the fourth yearafter the Tier 1 standards becomeapplicable along with a ten percentpenalty for any negative balance ofcredits carried over from one year to thenext. Under this special program,manufacturers will not be allowed touse emission credits obtained throughtrading with other engine manufacturersto offset their negative credit balances.The manufacturer must offset theirnegative balances within positivecredits generated from their ownengines.

E. Flexibility for EquipmentManufacturers

In implementing the new standards,EPA desires to avoid unnecessaryhardship for equipment manufacturers(sometimes referred to as originalequipment manufacturers or OEMs),who install diesel engines in theirproducts. There is concern that enginesuppliers may not always provideadequate lead time for the equipmentredesigns needed to accommodateengine design changes such as mountinglocations and heat rejection loads. Forsome OEMs, even timely information onthe new engine designs may not besufficient because of the sheer volumeof redesign work needed to changediverse product offerings with limitedengineering staffs.

In response to these concerns, theAgency is including in this final rule anOEM transition program to provideequipment manufacturers with somecontrol of the transition process to newstandards. The design of this program isbased on extensive discussions withinvolved parties prior to the proposal,on recommendations made in the reportof the panel convened for this ruleunder the Small Business RegulatoryEnforcement Fairness Act of 1996


7 ‘‘Final Report of the SBREFA Small BusinessAdvocacy Review Panel for Control of Emissions ofAir Pollution from Nonroad Diesel Engines’’, May23, 1997 (available in Air Docket A–96–40).

8 Section 89.1003(a)(6) has been revised in thefinal rule to clarify that certificates of conformitywill not be required for engines and equipmentmanufactured in compliance with the flexibilityprovisions of the rule. See ‘‘Revision of ProhibitedActs Regulatory Text,’’ EPA memorandum fromCharles Moulis to Docket A–96–40, August 26,1998.

(SBREFA),7 and on written commentsreceived on the proposal. It representsan effort on the part of the Agency toaccommodate the flexibility needs of anextremely diverse industry withoutintroducing competitive advantages,and while maintaining theenvironmental benefit sought in thestandard-setting program.

The OEM transition program consistsof four major elements, each directed ata specific need. Although they involvecertain planning and recordkeepingresponsibilities if taken advantage of, allof these elements are voluntary. AnOEM has the option to continue to dobusiness as under the currentregulations, subject to the prohibitedacts provisions of 40 CFR Part 89,Subpart K.8 The elements of theprogram are a percent-of-productionallowance, a small-volume allowance,continuance of the Tier 1 allowance touse up existing inventories of engines,and availability of hardship relief. Eachof these is discussed in detail below.

One element of the proposed programthat is not being finalized is a provisionfor OEMs to obtain and use ABTprogram credits. The ABT provision isnot being finalized because it wouldlikely be little used and would greatlycomplicate the ABT program. It shouldbe noted that OEMs may achieve asimilar benefit by working to have theirengine suppliers directly obtain andretire ABT credits in order to producemore previous-tier engines for the OEM.Further explanation of this decision isprovided in the Summary and Analysisof Comments for this final rule.

Another proposed program elementthat is being approached differentlyconcerns an expanded exemptionallowance for farm and loggingequipment. EPA’s rationale for limitingspecial treatment to farm and loggingequipment was not supported bycommenters, even those who werelikely to benefit from it. Commentersidentified a wide range of otherapplications and special situations thatinvolved the same or comparableconsiderations as those related to farmand logging applications. As describedfurther in the Percent-of-ProductionAllowance discussion below, EPA istherefore allowing expanded flexibility

for all applications equally, not just forfarm and logging equipment.

1. Percent-of-Production AllowanceEach equipment manufacturer may

install engines not certified to newemission standards in a limitedpercentage of machines produced forthe U.S. market. This percentage appliesseparately to each power category and isexpressed as a cumulative percentage of80 percent over the 7 years beginningwhen the Tier 2 standard first applies inthe category (Tier 1 for power categoriesunder 37 kW). No exemptions areallowed after the seventh year. Forexample, an OEM may exempt 40percent of its 1999 production ofmachines that use engines ratedbetween 19 and 37 kW, 30 percent of its2000 production, and 10 percent of its2001 production. If the same OEM wereto produce machines using enginesrated between 8 and 19 kW, a separatecumulative percentage allowance of 80percent would apply to these machinesduring the seven years beginning in2000.

The Agency recognizes that the 80percent exemption allowance, were it tobe used to its maximum extent by allOEMs, would bring about theintroduction of cleaner engines severalmonths later than would have occurredif the new standards were to be fullyimplemented on their effective dates.However, the Agency notes too that theallowance is truly that—an allowance tobe tapped as needed to assist OEMs indealing with implementation problemsthat might arise. EPA is aware that manyengine designs being planned for thenew standards will fit the equipmentwith little change. Also, the desire ofengine manufacturers to avoidproducing two engine designs that, froman applications perspective, areredundant, will prompt them to changeover to the new designs as quickly asthey can accommodate their customers’needs. Although there is no way ofknowing at this time how manyexempted engines will be produced, theAgency believes it will be substantiallyless than the allowance. Moreover, theOEM flexibility program has beenintegrated with the standard-settingprocess from the beginning of thisrulemaking, and as such it is a keyfactor in enabling the initiation of newstandards according to the adoptedschedule.

Machines that use engines built beforethe standard goes into effect need not beincluded in the exemption count.Engines that produce emissions athigher levels than the standards, but forwhich the engine manufacturer usesABT program credits to demonstrate

compliance, count as complyingengines. In power categories above 37kW, the exempted engines must complywith Tier 1 standards. In powercategories below 37 kW, the exemptedengines may be uncertified.

The Agency has expanded thepercent-of-production allowance fromthe proposed level because numerouscommenters pointed out that there areapplications other than farm and loggingequipment for which the proposedallowance is inadequate. The Agencyreviewed these comments andconcluded that some additionalflexibility is warranted to meet therequirements of paragraph 213(a)(3) ofthe Clean Air Act calling for the‘‘greatest degree of emission reductionachievable’’ given certain criteria,including ‘‘the cost of applying suchtechnology within the time available tomanufacturers’’. The Agency is alsoconvinced by the comments and its ownreview of equipment redesignchallenges that the need for thisflexibility is widespread across theregulated power bands. For example,many smaller engines must fit into verycompact equipment packages for whichcost considerations are paramount; farmequipment predominates in themedium-size power bands; and thelargest engines are typically used invery low sales-volume equipmentmodels, for which aggressive redesignschedules may be costly or impossible.

This approach is superior toattempting to identify all applicationsand situations deserving of specialtreatment and either assigningindividual allowances to them orgranting exemptions on a request basis,because it maintains the proposal’sfocus on giving OEMs long-rangecontrol over how they use their assignedpool of exemptions for their productsaffected by each new set of standards,rather than on dictating category-by-category or model-by-model allowances.It also serves the goal of avoidingunnecessary complexity by avoiding theneed for numerous equipment categorydefinitions and exemption ‘‘account’’calculations, a goal that was supportedby several commenters.

The choice of a cumulative percentallowance of 80 percent is based on theAgency’s best estimate of the degree offlexibility needed to meet therequirements of the Clean Air Act. EPAbelieves the 80 percent allowanceresponds to the need for flexibilityidentified by commenters whileensuring approximately the same levelof emission reductions originallyproposed. EPA has examined the impacton environmental benefits of thecombination of changes being finalized


for this program, including thisexpanded allowance for all equipmentand the decision to treat agriculturalequipment as part of this pool. Althoughthe actual impact will depend on thedegree to which the industry takesadvantage of the flexibility provisions,the Agency has determined that the neteffect will be roughly equivalent to theimpact of the proposed program. TheSummary and Analysis of Commentsdocument and the Final RIA provideadditional information regarding thisdecision and its net environmentalimpact.

2. Small Volume AllowanceThe percent-of-production approach

described above may provide littlebenefit to small businesses focused on asmall number of equipment models.Therefore EPA is allowing equipmentmanufacturers to exceed the percent-of-production allowances described aboveduring the same years affected by theallowance program for generalapplications, provided they limit thenumber of exempted engines used ineach power category to 700 total overthe 7 years, and to 200 in any one year.In addition, manufacturers making useof this provision must limit exemptedengines to a single engine family (or toa single manufacturer for engines ratedunder 37 kW) in each power category.These restrictions are considerednecessary to maintain the intent of thisprovision—helping small businesseswith limited product offerings—ratherthan giving bigger exemptionallowances for larger OEMs who caneffectively use the percent-of-production provisions.

3. Existing Inventory Allowance andReplacement Engines

The Tier 1 rule for engines rated at orabove 37 kW included a provision forOEMs to continue to use uncertifiedengines built prior to the effective dateof Tier 1 standards, until uncertifiedengine inventories are depleted. It alsoprohibited purposeful stockpiling ofuncertified engines. EPA is extendingthis provision to the Tier 1-to-Tier 2 andTier 2-to-Tier 3 transitions, as well as tothe under 37 kW engines. The existingprovision that provides an exception tothe Tier 1 compliance regulations forthe sale of replacement engines is alsobeing extended to engines covered bythis action. In extending this provision,the Agency is requiring that enginesbuilt to replace certified engines beidentical in all material respects to anengine of a previously certifiedconfiguration that is of the same or latermodel year as the engine being replaced.The term ‘‘identical in all material

respects’’ allows for minor differencesthat would not reasonably be expectedto affect emissions.

4. Hardship Relief ProvisionEPA is providing a safety valve

provision whereby an OEM that doesnot make its own engines could obtainlimited additional relief by providingevidence that, despite its best efforts, itcannot meet the implementation dates,even with the OEM transition programprovisions outlined above. Such asituation might occur if an enginesupplier without a major businessinterest in the OEM were to change ordrop an engine model very late in theimplementation process. This conceptwas put forward for consideration inthis rulemaking by the Small BusinessAdvocacy Review Panel convenedunder SBREFA, as a means ofaddressing small business concerns.Comments received on the proposal,however, have convinced the Agencythat these concerns are not limited tosmall businesses.

Appeals for hardship relief must bemade in writing, must be submittedbefore the earliest date ofnoncompliance, must include evidencethat failure to comply was not the faultof the OEM (such as a supply contractbroken by the engine supplier), andmust include evidence that seriouseconomic hardship to the company willresult if relief is not granted. TheAgency intends work with the applicantto ensure that all other remediesavailable under the flexibilityprovisions are exhausted before grantingadditional relief, and would limit theperiod of relief to no more than oneyear. Furthermore, applications forhardship relief will only be acceptedduring the first year after the effectivedate of an applicable new emissionstandard.

To avoid the creation of a self-fulfilling prophecy, by which the veryexistence of this provision promptsengine manufacturers to delay enginedevelopments, the Agency wishes tomake clear that it expects this provisionto be rarely used. Each granting of reliefwould be treated as a separateagreement with no prior guarantee ofsuccess, and with the inclusion ofmeasures, agreed to in writing by theOEM, for recovering the lostenvironmental benefit.

5. Enforcement and RecordkeepingRequirements

Engine manufacturers will be allowedto continue to build and sell the enginesneeded to meet the market demandcreated by the OEM transition program,provided they receive written assurance

from the engine purchasers that suchengines are being procured for thispurpose. Engine manufacturers whoparticipate in this program will berequired to annually provideinformation on the number of suchengines produced and on who they areprovided to, in order to help EPAprevent abuse of the program.

OEMs choosing to take advantage ofthe allowances must: (1) keep records ofthe production of all pieces ofequipment excepted under theallowance provisions for at least twofull years after the final year in whichallowances are available for each powercategory; (2) include in such records theserial and model numbers and dates ofproduction of equipment and installedengines, rated power of each engine,and the calculations used to verify thatthe allowances have not been exceededin each power category; and (3) makethese records available to the Agencyupon request. The Agency intends toconduct only limited audits of theserecords, and expects that scrutiny by theOEMs of their competitors’ productswill help identify potential candidatesfor audits.

Secondary manufacturers who modifyor relabel and resell new equipmentalready introduced into commercewould be subject to the regulations inthe same way as independent dealersand distributors. These regulationsprimarily concern tampering. EPA’sdesire to limit the number of machinesusing noncomplying engines is thereforesatisfied by regulation of the originalequipment manufacturers who installthe engine into the machine, such thatthe secondary manufacturers do notneed exemption allowances. They maysell as many machines withnoncomplying engines as they arelegally able to obtain.

All entities that are under the controlof a common entity, and that meet thedefinition of a nonroad vehicle ornonroad equipment manufacturer, mustbe considered together for the purposesof applying exemption allowances. Thisprovides certain benefits for the purposeof pooling exemptions but alsoprecludes the abuse of the small volumeallowances that would exist ifcompanies could treat each operatingunit as a separate OEM.

EPA recognizes that the OEMtransition program may involve acertain amount of complexity andadministrative burden that was notpresent for OEMs under the Tier 1 rule,which limited the compliance optionsfor OEMs. However, this program isentirely voluntary and manufacturerswishing to implement the newstandards in the same manner as for the


9 U.S. Environmental Protection Agency, Office ofMobile Sources, NEVES, Appendix I, Chapter 4,November 1991 (available in Air Docket A–96–40).

Tier 1 regulations are free to do so. TheAgency intends to develop guidance toassist OEMs in taking advantage of theseprovisions, but also intends to fullyenforce the regulations in order toensure a fair implementation processthat achieves the environmental benefitsought in setting new standards.

F. Flexibility for Post-ManufactureMarinizers

Post-manufacture marinizers (PMMs)produce marine engines by modifyingengines purchased from othermanufacturers. They are thereforesubject to both the enginemanufacturer’s concern about certifyingengines to the standards and the OEM’sconcern about timely delivery ofredesigned engines from their enginesuppliers.

EPA recognizes that the potentialunavailability of certified base enginesmay make it difficult for PMMs tocomply with the proposed emissioncontrol program, since they may not beable to obtain base engines in time toadjust their marinization process,especially considering that most of themarine engines affected by this rule aresubject to standards beginning in 1999.Based on these concerns, EPA hasdetermined that the proposed emissionstandards would not be feasible forPMMs who produce marine enginesunder 37 kW without some flexibilityprovisions beyond those available in theABT program. As a result EPA isfinalizing two additional flexibilityprovisions for PMMs.

First, the OEM flexibility provisionsdiscussed above are being extended toPMMs, as proposed. Second, providedthey inform EPA in writing before thedate Tier 1 standards would take effect,PMMs may elect to delay the effectivedates applicable to marine enginesunder 37 kW for one year, instead ofusing the OEM flexibility provisions.PMMs may not take advantage of boththe delayed effective date provision andthe OEM flexibility provisions.

Although it provides a substantialboost in certainty to PMMs, the optional1-year delay provision will have a verysmall environmental impact. This isbecause: (1) the marine engines under37 kW produced by PMMs are a verysmall part of the total nonroad dieselengine production, (2) these enginesproduce relatively low emissions due totheir small size and low usagecharacteristics, and (3) the total numberof engines potentially exempted underthis flexibility provision is not muchgreater than that possible under theexemption allowance provisions.

G. Control of Crankcase EmissionsCrankcase gases are those exhaust

gases that discharge (blowby) into thecrankcase via the clearance between thepiston and the cylinder wall. On mostengines (those engines with opencrankcases), these gases eventuallyescape from the crankcase into theatmosphere. Some manufacturersproduce engines that route crankcasevapors to the air intake system of theequipment; such a design is called aclosed crankcase. This method, alsocalled positive crankcase ventilation,recirculates blowby gases through avalve back to the intake manifold to beburned in the combustion chamber.9

Since 1985, closed crankcases havebeen required in naturally aspirated(non-turbocharged) highway dieselengines (45 FR 4136, January 21, 1980).Turbocharged engines have not beenrequired to have crankcase emissioncontrols due to concerns related toproblems associated with the durabilityand effectiveness of turbocharger andaftercooler components which can beaffected by recycling gases containingparticulate matter and corrosive gases.EPA is extending the closed crankcaserequirement to nonroad engines,including the exemption forturbocharged diesel engines. Manynaturally aspirated nonroad engines arealready equipped with this technology;for those nonroad engine models stillmanufactured with open crankcases,EPA expects that closed-crankcasetechnology will be readily transferable.EPA has included the cost of closingcrankcases in the analysis of the costs ofcomplying with the new standards. EPAhad originally proposed to apply theclosed crankcase requirement to someTier 1 engines, but has now decided toapply it only Tier 2 and later naturallyaspirated engines because of lead-timeconcerns. This delay will not have amajor environmental impact because itis short, directed at a small segment ofthe engine market, and confined to aminor emission source relative toexhaust emissions.

EPA will also allow manufacturers tocomply with this requirement byrouting the crankcase emissions into theexhaust. Manufacturers choosing thisoption would effectively be required toreduce their engine-out exhaustemissions further than othermanufacturers that choose to route thecrankcase emissions into the engineintake. It is important to note that thisoptional approach will require that theengine (and equipment) be designed so

that the routing would occur under allin-use conditions. Manufacturers usingthis approach will be required to modifytheir deterioration factors to account forincreases over time in crankcaseemissions. EPA will also consider usingthis approach in the future forcontrolling crankcase emissions fromturbocharged engines, which arecurrently uncontrolled. The advantageof this approach is that allowsmanufacturers the flexibility to eitherroute crankcase emissions into theengine intake, thereby combusting thecrankcase emissions of hydrocarbonsand CO, or to route the emissions intothe exhaust (where they would bemeasured as part of the exhaustemissions) and to reduce the totalexhaust emissions using other means.

H. Control of Smoke

1. Standards and Procedures

In 1994, EPA finalized smokestandards for nonroad diesel enginesrated at or above 37 kW. The specifiedmeasurement method and calculationsare from 40 CFR Part 86, Subpart I,which was developed for highwayengines. EPA is making no majorchanges to the smoke emissionstandards and procedures currently inplace.

EPA is extending the smoke standardsto diesel engines rated under 37 kW,bringing these engines under the sameregulatory framework as the largerengines. While these new standards maylead to lower smoke levels from someengines, the principal intent of settingstandards is to prevent increased levelsof smoke as engines are redesigned tocomply with Tier 2 and Tier 3 standardsfor gaseous and particulate emissions.The same numerical standards apply tothe small engines. With minorexceptions, the same procedure,equipment, and calculation methods arealso specified for these engines.

In applying the smoke standards andprocedures to engines rated under 37kW, EPA has chosen to exempt one-cylinder engines. EPA believes thatoperation and testing of these engines isunique in ways that would need to beaddressed before applying smokestandards. For example, one-cylinderengines operating on the specified testprocedure produce puffs of smoke thatmay make the smoke measurementerratic. EPA is therefore postponing theregulation of smoke from these one-cylinder engines until a laterrulemaking. The Agency believes the airquality impact of this postponementwill be minimal because the largemajority of one-cylinder diesel enginesare used in generator sets and other


steady-state applications, which rarelyexperience acceleration modes—theprincipal focus of smoke standards. In asimilar manner, because two-cylinderengines operating on the specified testprocedure may also produce puffs ofsmoke that would make the smokemeasurement erratic, though to a lesserdegree than single-cylinder engines,EPA will permit manufacturers theoption of testing two-cylinder engineswith a preconditioned muffler of thetype used in the field. Such an engineconfiguration is the same as that foundin use, and thus will ensure meaningfulcontrol of in-use smoke, even thoughinstantaneous smoke emissions may beflattened out somewhat, resulting inpotentially reduced levels of measuredsmoke. Engines with more than twocylinders will continue to be testedwithout a muffler, which is a ‘‘worstcase’’ condition.

EPA is also slightly modifying theexhaust pipe diameter specificationsfound in 40 CFR Part 86, Subpart I. Theprevious specifications called for a 2inch (5 centimeters (cm)) insidediameter exhaust pipe for testing anyengine rated under 101 horsepower (hp)maximum (75 kW), and a 5 inch (13 cm)inside diameter exhaust pipe for thetesting any engine with a rated power of301 hp (225 kW) or greater. In thisaction, the Agency is specifying thatengines rated between 50 and 100 hp(37 and 75 kW) be tested with a 2 inch(5 cm) inside diameter exhaust pipe,while engines rated under 50 hp (37kW) should be tested with an exhaustpipe of 1.5 inches (3.8 cm). EPA is alsospecifying that all engines rated over500 hp (373 kW) should be tested withan exhaust pipe of 6 inches (15.2 cm).

EPA is not establishing smokerequirements for propulsion marinediesel engines rated under 37 kW. EPAhas concluded that the existing smoketest procedures are not appropriate forsmall propulsion marine engines. TheAgency believes that the smallenvironmental risks associated withsmoke emissions from such engines donot justify the creation of special smoketest procedures for them at this time.EPA expects to reconsider this issue inthe future at the same time that itreconsiders other smoke issues. Finally,EPA is dropping smoke requirements forconstant speed engines until a smoketest becomes available for these engines,because the current smoke test cannoteffectively be performed on them. TheAgency believes the air quality impactwill be minimal because these enginesdo not often experience accelerationmodes, which are the principal focus ofsmoke standards.

2. Future Reconsideration of SmokeIssues

An International StandardsOrganization committee (ISO TC70/SC8/WG1) has been developing a smoketest procedure specifically for nonroadengines. The EPA and regulatedindustry recognize the value ofharmonized test procedures andstandards limits. However, this ISOprocedure has not been finalized andthus is not included in this rulemaking.EPA has analyzed the draft ISOprocedure (8178–9) and concluded thatmost of its elements would beappropriate for adoption. Thus, theAgency expects that it will adopt theISO smoke measurement procedure afterit is finalized. At that time EPA mayalso reconsider the issues related to theuse of mufflers, single-cylinder and two-cylinder engines, constant speedengines, marine engines and standardexhaust pipe diameters. It is importantto note that the ISO 8178–9 smokeemissions test procedure is verydifferent from the procedure specifiedin Subpart I of Part 86. As aconsequence , if EPA adopts the ISO8178–9 procedure, then it will also needto revise the numerical limit values tobe associated with the ISO procedure.EPA believes the appropriate numericalstandard that should be associated withISO 8178–9 peak measurements is likelyto be within the range of 20 to 30percent opacity. It is important to note,however, that this is only a preliminaryestimate.

EPA also expects to give futureconsideration to the need for an in-usesmoke test. Some state governmentshave expressed a desire for a smokeregulatory program that would enablethem to test in-use nonroad engines ina manner that would permit actionagainst gross emitters of smoke. Themain elements of such a program wouldbe a certification smoke requirement fornew engines, EPA guidance for state in-use smoke control programs (includingan in-use smoke test procedure andaccompanying limit values), and ameans by which the data from the twoprograms could be related. The currentsmoke test procedure from Part 86,Subpart I, does not provide datacomparable to the most practical in-usesmoke test procedure (a snapacceleration with measured opacity).Based on the current draft ISO 8178–9certification smoke test procedure, EPAbelieves the future ISO test will providethe desired linkage.

I. Voluntary Low-Emitting EngineProgram

Officials representing certain cities,states, or regions in the U.S. haveexpressed interest in developingincentive programs to encourage the useof engines that go beyond federalemission standards. EPA also wouldlike to encourage manufacturers toinitiate demonstration projects to proveout these technologies in areas wherethere is a particular need for superioremission controls. EPA is thereforefinalizing a set of voluntary standardsthat may be used to earn a designationas a ‘‘Blue Sky Series’’ low-emittingengine. The program, if successful, willlead to the introduction and morewidespread use of these low-emissiontechnologies. Possible incentives toencourage production of these enginesare described below.

Central to the purpose of thevoluntary standards is the need todemonstrate superior control ofparticulate emissions. Because of thesensitivity of particulate emissions totest cycles, as described in Section III,testing on a transient cycle is animportant element of the program forBlue Sky Series engines. EPA has begunwork toward developing transient testcycles for nonroad equipment, but thereis not yet any established or provennonroad transient cycle. The highwaytest cycle, while not developed fornonroad engine operation, would resultin a significant degree of control fornonroad equipment. EPA has thereforespecified the highway transient testcycle to evaluate emission levelsrelative to the voluntary standards. IfEPA adopts a transient test for certifyingnonroad engines in the future, theAgency will accordingly re-evaluate thetest cycle and standards for Blue SkySeries engines.

To best align with future emissionstandards, Tier 3 emission levels, whereapplicable, were chosen as the best levelfor defining Blue Sky Series engines.This represents a reduction ofapproximately 40 percent beyond theTier 2 NMHC + NOX levels. For PMemissions and for engines with no Tier3 standards, a calculated levelcorresponding to a 40 percent reductionbeyond Tier 2 levels will be used toqualify as a Blue Sky Series engine (seeTable 3).

TABLE 3.—VOLUNTARY EMISSIONSTANDARDS IN G/KW-HR (G/HP-HR)

Rated brakepower (kW) NMHC+NOX PM

kW<8 ................... 4.6 0.48(3.4) (0.36)


10 ‘‘Justification for Amendments to 40 CFR Part89,’’ EPA memorandum from Greg Orehowsky toDocket A–96–40, August 21, 1997.

TABLE 3.—VOLUNTARY EMISSIONSTANDARDS IN G/KW-HR (G/HP-HR)—Continued

Rated brakepower (kW) NMHC+NOX PM

8≤kW<19 ............. 4.5 0.48(3.4) (0.36)

19≤kW<37 ........... 4.5 0.36(3.4) (0.27)

37≤kW<75 ........... 4.7 0.24(3.5) (0.18)

75≤kW<130 ......... 4.0 0.18(3.0) (0.13)

130≤kW≤560 ....... 4.0 0.12(3.0) (0.09)

kW>560 ............... 3.8 0.12(2.8) (0.09)

Blue Sky Series engines need to meetall the requirements that wouldotherwise be applicable to Tier 2engines. This would include allowablemaintenance, warranty, useful life,rebuild, and deterioration factorprovisions. Manufacturers mustdemonstrate compliance with the COstandard by comparing the emissionlevels generated on the highway testcycle with the numerical value of theCO standard for the applicable tier ofnonroad engines for that model year.Manufacturers must also demonstratecompliance with applicable smokestandards.

Repeating the certification process todevelop and submit test data to make ahighway engine available for nonroaduse adds a significant hurdle to enginesexpected to sell in low volumes fornonroad applications. Under the BlueSky Series engine program,manufacturers with highway-certifiedengines may waive the testingrequirements for obtaining nonroadcertification. This includes the need tocomply with the provisions related tothe durability of emission controls. EPA,however, needs to ensure that enginedesigns are not tailored to the transientcycle with much higher emissions on asteady-state cycle. To accommodatethis, EPA retains the ability to conductin-use testing to verify that engines areoperating in steady-state modes withsubstantially the same level of emissioncontrol. EPA will therefore require thatNOX and PM emissions be no more than20 percent higher on the appropriatenonroad steady-state test cyclecompared with the highway test cycle.This is intended to provide relief fordevelopment testing needed to protectagainst in-use liability, while preventingany active strategies designedspecifically for the transient test cycle atthe expense of controlling emissionsduring steady-state operation. Forevaluation of the performance of one of

these engines in steady-state operationat any point in an engine’s useful life,the Agency intends to conduct paireddata generated on both the appropriatesteady-state test cycle and the highwaytransient test cycle.

The Blue Sky Series program beginsimmediately upon promulgation andcontinues through the 2004 model year.EPA will evaluate the program todetermine if it should be continued for2005 and later engines, and if so, whatchanges are needed to reflect thetransition to Tier 3 emission standards.This evaluation will be considered aspart of the 2001 feasibility review. Theexperience gained with these enginesand the Tier 3 resolution of certificationtest cycles and PM standards will factorinto this evaluation.

The Agency sees substantial potentialfor users and state and localgovernments to establish these incentiveprograms. For example, the increasingpublic concern about the effects ofdiesel engine emissions on health raisesthe possibility that some constructioncompanies will purchase Blue SkySeries engines to protect its workers orthe public from localized emissions,especially if benefits can also be gainedin employee or public relations, such aswith highly visible projects in pollutedcity centers. Similarly, a miningcompany could select these low-emitting engines for undergroundapplications to minimize miners’exposure to exhaust pollutants. A stateor local government may be able to addincentives for companies committing torely on Blue Sky Series engines incontract bidding on publicly fundedconstruction projects in nonattainmentareas. Some farmers may be willing topay more for equipment with thecleaner engines to lower their fieldexposure to engine exhaust pollutants.In some of these applications,alternative fuels may be readilyavailable, possibly even providing a costsavings compared to diesel fuel.

The Agency is concerned thatincentive programs not lead to a netdetriment to the environment throughthe double-counting of benefits. Also,manufacturers have indicated that thepotential to participate in an averaging,banking, and trading program would notbe an important factor leading to thedevelopment of Blue Sky Series engines.EPA has therefore concluded thatmanufacturers choosing to sell anengine with the Blue Sky Seriesdesignation will not generate averaging,banking, and trading credits fordemonstrating compliance with EPAprograms. Other groups are then free todesign credit programs without concernfor any double-counting or other

unintended effect of overlappingprograms.

J. Technical AmendmentsThis final rule contains technical

amendments to the certification andemission test procedures previouslyadopted for nonroad diesel engines (40CFR Part 89). The most significantchanges are highlighted here; acomplete description of the technicalamendments is detailed in amemorandum to the docket.10

EPA is adding definitions of ratedspeed and intermediate speed. Ratedspeed is defined as the maximum fullload speed for governed engines andspeed of maximum horsepower forungoverned engines. The definition forintermediate speed was based on peaktorque speed and limits intermediatespeed to 60 to 75 percent of rated speed.The maximum full load speed is thehighest speed with an advertised powergreater than zero. EPA is linking fullload governed speed to advertisementsat this time since no adequate languagehas been developed that mathematicallydefines full load governed speed as apoint on the torque or power curve.Power curves in manufacturer’sadvertisements typically end at thegoverned speed. EPA believes thatmanufacturers will continue to advertisethe full range of power of its engine.Manufacturers would therefore not setrated speed at less than full loadgoverned speed. It is unlikely thatmanufacturers will advertise powersbeyond the full load governed speed,since a manufacturer cannot guaranteepower beyond this point. EPA isapplying the new definitions to Tier 1,as well as Tier 2 and 3 programs.However, to avoid unnecessarilyburdensome recertification, EPA is notrequiring manufacturers to use the newdefinitions for Tier 1 engines certifiedprior to January 1, 1999. Engine familiesthat are certified prior to January 1, 1999may carry over certification under theold definitions into subsequent Tier 1model years. All Tier 2 engines mustmeet the definitions for rated andintermediate speeds.

Engines are grouped into families thatare expected to have similar emissionscharacteristics throughout their usefullives. EPA’s regulations list a number ofcharacteristics which distinguish enginefamilies. EPA is concerned that thephasing in of the new standards bypower categories, which is intended asan aid to implementation, may actuallyincrease manufacturers’ costs without a


11 The current control program for PM and allother pollutants includes an emissions standardand related emissions test procedure. For control ofPM, as well as other regulated pollutants, an enginemay not be equipped with a defeat device, definedas a device, system, or element of design whichsenses operation outside normal emission testconditions and reduces emission controleffectiveness, including any auxiliary emissioncontrol device (AECD) that reduces theeffectiveness of the emission control system underconditions which may reasonably be expected to beencountered in normal operation and use unless theconditions are included in the test procedure (40CFR 89.107). Manufacturers must provide a detaileddescription of all auxiliary emissions controldevices when they apply for certification (40 CFR89.115(d)(2)). The defeat device prohibition isdesigned to ensure that proper control of emission-related engine parameters is maintained duringengine operation that is not substantiallyrepresented in the certification test cycle. Electroniccontrols may be considered an AECD, and subjectto the defeat device provision.

significant emissions benefit in thesituation where an engine familymarginally straddles a power categorycutpoint, and therefore must be split.This is especially of concern for Tier 1engines below 37 kW because of theshort lead time provided for thecertification of these engines, andbecause this group is comprised of 3rather narrow power bands. Therefore,EPA is allowing the creation of Tier 1engine families that straddle the powerband cutpoints at 8, 19, and 37 kW,subject to EPA approval. To avoidpotential abuse of this provision by amanufacturer attempting to takeadvantage of the least stringent emissionstandards applicable to the engines inthe family, such grouping will beallowed only if: (1) most of the enginefamily’s sales in each year are fromengines with rated power in the powerband with which the engine family iscertified, and (2) all power ratings in theengine family that are not within thepower band with which the enginefamily is certified are within 10 percentof one of the two power levels thatdefine this power band. The limitationswould not apply if the emissionstandards for the power band in whichthe engine family is being certified areat least as stringent as those of thepower band that the included engineswould otherwise be in. EPA may extendthis provision beyond Tier 1 in a futureaction, but first wishes to examine itseffectiveness over time in providingsufficient flexibility without leading toabuse.

The amendments change the criteriafor test engine selection. Test engineselection is no longer based onmaximum fuel per stroke at maximumpower, but is now based primarily onthe highest fuel per stroke at peaktorque and secondarily on the highestfuel per stroke at rated speed.

The calibration requirements for thegaseous emission measurementanalyzers are modified in various ways.The requirements for measurementaccuracy below fifteen percent of fullscale are revised to include a specificnumber of gas concentrations at the lowend of the calibration curve. Also,calibration requirements are simplifiedto allow laboratories to calibrate onlyone analyzer range and still ensureaccurate measurements. Additionalchanges to calibration requirements forother equipment are described in theSummary and Analysis of Commentsdocument.

Other modifications relate to the testsequence and calculation of emissionresults. A ‘‘mode’’ is defined and theprocedure for dealing with void modesis included. The equations used to

calculate emissions during rawsampling are corrected. Theamendments also correct errors in thecurrently listed equations and includenew equations that were mistakenlyomitted.

III. 2001 Review and EnsuringEmissions Control In Use

A. 2001 Review

Over the next several years, EPA willbe actively engaged in programs toevaluate technology developments andprogress toward meeting the newstandards. This process will involveengine research programs, coordinationwith the involved industries, and activeinteraction with other stakeholders.This effort will culminate in a specialreview, to be concluded in 2001, toreassess the appropriateness of the Tier2 standards for engines rated under 37kW and the Tier 3 standards for enginesrated between 37 and 560 kW. Thereview will also include proposal andadoption of appropriate Tier 3 standardsfor PM. In addition to reviewingwhether or not the new standards aretechnologically feasible and otherwiseappropriate under the Clean Air Act, theAgency will examine the need forequipment redesign due to the newstandards and will take appropriateaction if significant adverse impacts onthe nonroad equipment industry areidentified.

Before making a final decision in thisreview, EPA intends to issue a proposaland offer an opportunity for publiccomment on whether the standardsunder review are technologicallyfeasible for implementation according tothe proposed schedule, and areotherwise appropriate under the Act.Any changes to certification testprocedures or Tier 3 PM standardswould also be proposed in thatdocument. Following the close of thecomment period, EPA intends to issuea final Agency decision under section307 of the Act.

If, based on the information collectedfor the 2001 feasibility review, EPAfinds the emission standards are notappropriate under the Act, EPA willpropose changes to the program,possibly including adjustments to thelevels of the standards. Consistent withthe Statement of Principles, the adjustedstandards may be more or less stringentthan those already established or theschedule could be adjusted. Forexample, progress to date in the designof low-emitting heavy-duty highwaydiesel engines has been encouraging,and EPA believes that this progress maybenefit designs of large nonroad dieselengines as well, due to the many

similarities in these classes of engines.Therefore, the Agency believes that by2001 it may well be appropriate toconsider moving the standards for equalto or greater than 300 horsepowerengines forward in time, and so expectsto consider this issue in the 2001feasibility review. Any change to thespecified certification test procedure,including the possible adoption of atransient test cycle, will be factored intothe evaluation of the appropriateness ofthe numerical standards. The standardsfinalized in this document will stay ineffect unless revised by subsequentrulemaking procedure.

The review may include other topicsas well. Some topics identified in thisrulemaking that the Agency plans toreview are test fuel sulfur specifications,ABT provisions, Blue Sky Series enginestandards, established technologies fordeterioration factor determinations, andengine family designations.

B. Ensuring Emissions Control In Use

Key among EPA activities directedtoward completing the 2001 feasibilityreview are those related to adoption ofa more effective PM control program fornonroad diesel engines.11 Theestablishment of a more effectiveprogram will be informed not just byprogress in engine designs but also bystudies currently being performed bythe Agency and by others on therelationship between diesel PMemissions and various health problems.

Establishing an appropriate test cycleis critical to the success of a moreeffective PM control program. Testingan engine for emissions consists ofexercising it over a duty cycle of speedsand loads using an enginedynamometer. The test cycle used tomeasure emissions should representoperation typical of actual operation inthe field. A test procedure that does not


12 ‘‘Final Regulatory Impact Analysis: Control ofEmissions of Air Pollution from Highway Heavy-Duty Engines,’’ U.S. EPA, September 16, 1997(Docket A–95–27).

adequately represent in-use operationmight not lead to, on average, the levelof control in use set by the emissionstandards. A test procedure that doesreflect real world operating conditionswill drive engine designers to developtechnologies that achieve in-use controlcorresponding to the emissionstandards. EPA has addressed suchconcerns in the past; for example, thehighway heavy-duty engine test cycleswere changed to address transientoperation (45 FR 4136, January 21,1980) and, more recently, EPA hasrevised the test cycle for light-dutyvehicles (61 FR 54852, October 22,1996).

EPA has concerns that the current testcycle does not adequately reflecttransient operation, and, therefore, willnot lead to the level of average in-useemission control reflected by the PMstandard. PM emissions, like NOX

emissions, depend somewhat on engineload characteristics that can be modeledin the steady-state test, but are mostsensitive to the degree of transientengine operation. Most nonroad enginesare used in applications that are largelytransient in nature. Even equipmentsuch as pumps and generators, thatoperate mostly at constant enginespeeds, may depart from steady-stateoperation due to variation in engineloads over time. EPA believes that theTier 2 PM emission standards, with thecurrent steady-state test, will producesome degree of in-use emissions controlfrom nonroad engines, especially fromengines that typically operate at aconstant speed. The level of controlfrom the many nonroad engines thatfrequently operate in more transientmodes, however, is less certain,especially in an engine design erainvolving stringent PM and NOX

standards and electronic enginecontrols, as is likely to be the case inTier 3. Therefore, EPA is movingforward with developing a transientcomponent to the nonroad engine testcycle to control the transient element ofPM emissions generation; thiscomponent would supplement thesteady-state test.

EPA has an additional concern thatgoes beyond choosing an appropriatetest cycle. EPA has observed at timesthat manufacturers may tailor the designof their engines to narrowly meet therequirements of the emission test. Thisconcern applies not just to PMemissions but to other pollutants suchas NOX and hydrocarbons, as well. Thecurrent nonroad test cycle, with alimited combination of steady-statespeeds and loads, does not includesome of the operating modes that arecommonly experienced in the field. In

fact, any single prescribed test cycle,although advantageous for test resultrepeatability and predictability, may notensure that engine manufacturers designrobust emission controls that achievegood control in use. This concern isincreased with the advent of electroniccontrols, which greatly increases thelevel of sophistication available tomanufacturers in controlling emissionslevels over the full range of engineoperation. To address this and otherconcerns, in the Tier 1 rulemaking EPAadopted the prohibition on defeatdevices (see footnote 11), which theAgency intends to implement for alltiers of standards. EPA may alsosupplement existing regulations throughchanges in its nonroad diesel engineprogram to better control in-useemissions, in a manner that will ensureeffective in-use emissions controlwithout unduly increasingmanufacturers’ testing burden andcertification uncertainty.

Although the Agency intends toestablish its Tier 3 PM standards and atransient test cycle in the context of the2001 feasibility review, other activitiessuch as its investigation of in-useoperation emissions, including possibleregulatory action, may proceed on anearlier schedule. The concernsdescribed above about in-use emissionsapply to the pre-Tier 3 as well as theTier 3 standards, and the Agencybelieves that prompt action in this areais appropriate. The two efforts discussedabove, development of a transient testcycle for PM control and adoption ofsupplemental measures to better controlin-use emissions, have the same overallfocus—achieving effective control ofemissions in the real world. As a result,the need for a separate transient testcycle may be eliminated if the measuresEPA adopts to better control in-useemissions prove adequate for control ofPM in use.

IV. Technological FeasibilityThe emission standards finalized in

this document apply to a broad range ofdiesel engines used in a wide variety ofnonroad applications. Section 213 (a)(3)of the Clean Air Act calls for EPA toestablish standards that provide for the‘‘greatest degree of emission reductionachievable through the application oftechnology which the Administratordetermines will be available for theengines or vehicles to which suchstandards apply, giving appropriateconsideration to the cost of applyingsuch technology within the period oftime available to manufacturers and tonoise, energy, and safety factorsassociated with the application of suchtechnology.’’ EPA has concluded, as

described in the Final RIA, that the newstandards will have no significantnegative effect on noise, energy, orsafety.

Because the emission standards fornonroad diesel engines are based largelyon the standards for highway enginesand rely on the evaluation oftechnologies for complying with thestandards for highway engines, thediscussion of technological feasibility inthe highway engine rulemaking iscentral to supporting the feasibility ofthe new standards for nonroad engines.This analysis of diesel enginetechnologies is contained in Chapter 4of the Final RIA for the highwayrulemaking. 12 This analysis isconsidered and applied to nonroadengines in Chapter 3 of the Final RIA forthis rulemaking.

The level and implementation timingof the standards finalized in thisdocument are the most challenging thatcan be justified. Engine manufacturerswill need to use the available lead timeto develop the necessary emissioncontrol technologies, including transferof technology from highway engines.This development effort will require notonly achieving the targeted emissionlevels, but also ensuring that eachengine will meet all performance andemission requirements over its usefullife. The emission standards clearlyrepresent major reductions comparedwith current emission levels.

Emission control technology for dieselengines is in a period of rapiddevelopment in response to the range ofemission standards anticipated for theyears ahead. This effort will need tocontinue to meet the requirements ofthis final rule. However, the emissiontargets are set in the framework of a longlead time with various flexibilityprovisions, which providemanufacturers the time they will needto apply emission control technologydevelopments to nonroad engines. Also,the experience gained in response toEPA’s emission standards for highwayengines will be invaluable in meetingthe comparable requirements fornonroad engines. Because thetechnology development for highwayengines will to a large extent constitutebasic research of diesel enginecombustion, this effort will also benefitmanufacturers that produce no highwayengines.

On the basis of information currentlyavailable, EPA believes that it is feasiblefor nonroad diesel engine manufacturers


to meet the standards finalized in thisdocument within the specified timeframe, using combinations of thetechnological approaches discussed inthe Final RIA. In addition, EPA believesthat the flexibilities incorporated intothis final rule will permit nonroadvehicle and equipment manufacturers torespond to engine changes in an orderlyway. For both industries, EPA expectsthat meeting these requirements willpose a significant challenge. Asdescribed above, EPA plans to assess, aspart of the 2001 feasibility review, theappropriateness of the Tier 3 standards,and the Tier 2 standards for enginesrated under 37 kW.

V. Projected Impacts

A. Environmental Impacts

To assess the environmental impact ofthe new emission standards, EPA hasused a draft version of the newNONROAD model, developed by EPAfor predicting emissions from nonroadequipment. Chapter 5 of the Final RIAcontains a thorough discussion of themethodology used to project theemission inventories and emissionreductions from nonroad equipmentcovered by the new standards. Thereader is directed to the RIA for moreinformation on the environmentalimpact of this final rule.

The amount of growth experienced inthe nonroad market will have asignificant impact on the emissioninventories and emission reductionsexpected from the new emissionstandards. For this environmentalimpact analysis, EPA has examined theimpact of the emission standards undertwo different growth scenarios. (Thegrowth rates used in the nonroadmodeling are compounded growthrates.) The first scenario uses growthrates based on information developed by

the Bureau of Economic Analysis (BEA).The BEA growth rates, which areprospective, are based on a variety ofeconomic indicators and vary bynonroad segment (i.e., agriculture,construction, etc.). The BEA growthrates typically range from one to twopercent per year. Based on trends inhistorical nonroad equipment sales,trends in nonroad fuel usage, and thecontinuing strong performance of theU.S. economy, EPA believes that theBEA growth rates may underestimatethe future growth of the nonroadmarket. Therefore, EPA has alsomodeled the impact of the newstandards using information on nonroadequipment population from a databasedeveloped by Power Systems Research(PSR). The growth rates based on aretrospective analysis of 1989 to 1996PSR equipment population data resultin typically higher growth ratescompared to the BEA information. EPAbelieves the results from the two growthscenarios serve to bracket the expectedenvironmental impact of the standards.The following discussion ofenvironmental impacts presents theresults from both the BEA growthscenario and the PSR growth scenario.

EPA modeled the impact of the newstandards for NOX, NMHC, and PMemissions. The modeling inputsconservatively assume that equipmentmanufacturers take full advantage of theflexibility provisions described earlier.EPA did not model the impacts ofstandards on CO because CO emissionsfrom nonroad diesel equipment are avery small portion of the overall COinventory and the standards are notexpected to have a significant impact onCO levels.

Because of the uncertainties about thedegree to which the steady-state testprocedure will control PM emissions inuse, especially from the many nonroad

engines that frequently operate intransient modes, EPA cannot be certainthat any assessment of expected PMemission reductions made at this timewill be completely accurate.Nevertheless, EPA has attempted tomake a reasonable estimate of thesereductions by assuming that engineswill certify at the level of the newemission standards, and applying EPA’sbest current estimates of adjustmentfactors for in-use PM emission levels, asreflected in the NONROAD model.These factors and other assumptions inthe model are still under review, andwill continue to be improved in thefuture as new information becomesavailable. The baseline levels used inthis analysis are consistent with theposition taken in the Tier 1 rule that noPM benefits are claimed from the Tier1 PM standard. EPA believes that thisapproach provides a reasonable estimateof PM benefits from the new standardsbut actual benefits could varysignificantly from these levels.

Based on the results of the modeling,the expected emission benefits from thenew standards are quite substantial.Tables 4, 5, and 6 contain thenationwide NOX, NMHC, and PMinventories, respectively, under thebaseline scenario, which assumes onlythe current Tier 1 standards are ineffect, and under the control scenario,which assumes the new standards takeeffect. (The PM reductions contained inTable 6 are direct PM and do notinclude secondary PM benefits, whichare described below.) By 2020, theemission reductions due to the newstandards exceed 50 percent for bothNOX and NMHC, and 40 percent for PM.All percentages are calculated relative tothe baseline inventories, which assumesonly the current Tier 1 standards are ineffect.

TABLE 4.—NO2 EMISSIONS INVENTORY FROM NONROAD DIESEL ENGINES

[Short tons]

Calendar year

PSR growth rates BEA growth rates

With currentstandards

With newstandards


With newstandards

2000 .................................................................................................................. 2,932,000 2,916,000 2,740,000 2,727,0002010 .................................................................................................................. 3,787,000 2,576,000 2,827,000 1,954,0002020 .................................................................................................................. 5,445,000 2,689,000 3,005,000 1,463,000

TABLE 5.—NMHC EMISSIONS INVENTORY FROM NONROAD DIESEL ENGINES

[Short tons]

Calendar year



With newstandards


With newstandards

2000 .................................................................................................................. 361,000 350,000 337,000 328,000


13 ‘‘Benefits of Mobile Source NOX RelatedParticulate Matter Reductions,’’ SystemsApplications International, EPA Contract No. 68–C5–0010, WAN 1–8, October 1996 (available in AirDocket A–96–40).

TABLE 5.—NMHC EMISSIONS INVENTORY FROM NONROAD DIESEL ENGINES—Continued[Short tons]

Calendar year



With newstandards


With newstandards

2010 .................................................................................................................. 419,000 256,000 301,000 193,0002020 .................................................................................................................. 619,000 258,000 317,000 138,000

TABLE 6.—PM EMISSIONS INVENTORY FROM NONROAD DIESEL ENGINES

[Short tons]

Calendar year



With newstandards


With newstandards

2000 .................................................................................................................. 294,000 292,000 271,000 269,0002010 .................................................................................................................. 410,000 270,000 295,000 195,0002020 .................................................................................................................. 604,000 338,000 315,000 170,000

In addition to the effect of the newemission standards on direct PMemissions noted above, the standardsare expected to reduce theconcentrations of secondary PM.Secondary PM is formed when NOX

reacts with ammonia in the atmosphereto yield ammonium nitrate particulate.Systems Applications International,under contract with EPA, evaluated theeffect of the NOX reductions on theformation of nitrate particulate.13 Thereport concluded that, as a nationalaverage, each 100 tons of NOX reductionwill result in about 4 tons of secondaryPM reduction. This conversion ratevaries from region to region, and isgreatest in the West. EPA estimates thatthe approximately 2.8 million tons peryear of NOX reduction projected in 2020resulting from this final rule (assumingPSR growth rates) will result in anational average of about 110,000 tonsper year reduction in secondary PM.This level of secondary PM reduction isequivalent to about 40 percent of theprojected direct PM reductionsdetermined from Table 6 (based on PSRgrowth rates).

As discussed below in section V.B,some technology upgrades associatedwith this program may have beenintroduced absent the changes inemission standards. Any emissionreductions that would normally haveoccurred with improvements intechnology should not be considered indetermining the benefits and costeffectiveness of new emission standards.However, EPA believes that as

manufacturers modernize and improvethe technologies used on nonroadengines, they are faced with manychoices on how to employ the newtechnologies to the greatest advantagefor their customers. Many times, in theabsence of requirements to meet tighteremission standards, the manufacturerwill design the parameters of a newtechnology, or similarly, redesign theexisting engine, to minimize fuelconsumption or some other desirabletrait, while not taking advantage of theemissions control capability of the newtechnology. Because none of thesetechnologies leads to inherently loweremissions, EPA has not made anyadjustments to the emission reductionor cost-effectiveness calculations toaccount for emission benefits thatwould have occurred independent ofthe new standards.

B. Economic Impacts

In assessing the economic impact ofchanging the emission standards, EPAhas made a best estimate of thecombination of technologies that anengine manufacturer might use to meetthe new standards at an acceptable cost.EPA published detailed cost estimateswith the proposed rule, which has beenextensively revised based oninformation received during the publiccomment period. The principal changeincorporated into the analysis for thefinal rule is the inclusion of estimatedcosts for adding or improvingturbocharging and aftercooler systems.The substantial additional costs forthese technologies are offset to a greatdegree by the expected savings fromreduced fuel consumption. These andother changes to the estimated economic

impact analysis are described in theSummary and Analysis of Comments.

While equipment manufacturers bearno responsibility for meeting emissionstandards, they will need to makechanges in the design of theirequipment models to accommodate thenew engines. EPA’s treatment of theimpacts of the new emission standardstherefore includes an analysis of costsfor equipment manufacturers. Fulldetails of EPA’s cost and cost-effectiveness analyses can be found inChapters 4 and 6 of the Final RIA.

Estimated cost increases are brokeninto purchase price and total life-cycleoperating costs. The incrementalpurchase price for new engines andequipment is comprised of variablecosts (for hardware and assembly time)and fixed costs (for research anddevelopment (R&D), retooling, andcertification). Total operating costsinclude any expected increases inmaintenance or fuel consumption. Costestimates based on these projectedtechnology packages represent anexpected incremental cost of engines asthey begin to comply with new emissionstandards. Costs in subsequent years areprojected to decrease due to severalfactors, as described below. Separateprojected costs were derived for enginesand equipment used in six differentranges of rated power; costs weredeveloped for engines near the middleof the listed ranges. All costs arepresented in 1995 dollars. Life-cyclecosts have been discounted to the yearof sale using a discount rate of 7percent.

1. Engine Technologies

The following discussion provides abrief description of those technologies


EPA projects will be needed to complywith the new emission standards. Insome cases it is difficult to make adistinction between technologiesneeded to reduce emissions forcompliance with emission standardsand those technologies that offer otherbenefits for improved fuel economy,power density, and other aspects ofengine performance. EPA believes thatwithout new emission standards,manufacturers would continue researchon and eventually deploy manytechnological upgrades to improveengine performance or more cost-effectively control emissions.Modifications to fuel injection systemsand the introduction of electroniccontrols are expected to continue,regardless of any change in emissionstandards, to improve engineperformance. Some further developmentwith a focus on NOX, HC, and PMemissions will nevertheless play animportant role in achieving emissionreduction targets.

Because several technology upgradeshave benefits that go beyond reducingemissions, a difficulty in assessing theimpact of new emission standards isestablishing the appropriate technologybaseline from which to makeprojections. Ideally, the analysis wouldestablish the mix of technologies thatmanufacturers would have introducedabsent the changes in emissionstandards, then make a projection forany additional changes in hardware orcalibration required to comply withthose standards. The costs of thoseprojected technology and calibrationchanges would then most accuratelyquantify the impact of setting newemission standards. While it is difficultto take into account the effect of ongoingtechnology development, EPA believesthat assessing the full cost of theanticipated technologies as an impact ofthe new emission standards wouldinappropriately exclude fromconsideration the observed benefits forengine performance, fuel consumption,and durability. Short of havingsufficient data to predict the future witha reasonable degree of confidence, EPAfaces the need to devise an alternateapproach to quantifying the true impactof the new emission standards. EPA

believes the observed value ofperformance improvements in the fieldjustifies the use of a discount based onequal weighting of emission and non-emission benefits of those technologieswhich clearly have substantial non-emission benefits, namely electroniccontrols, fuel injection changes,turbocharging, and enginemodifications. For some or all of thesetechnologies, a greater value for the non-emission benefits could likely bejustified.

A variety of technologicalimprovements are projected forcomplying with the multiple tiers ofnew emission standards. Selecting thesetechnology packages requires extensiveengineering analysis and judgment. Thefact that manufacturers have nearly afull decade before implementation ofthe most challenging of the newstandards ensures that technologies willdevelop significantly before reachingproduction. This ongoing developmentwill lead to reduced costs in three ways.First, research will lead to enhancedeffectiveness for individualtechnologies, allowing manufacturers touse simpler packages of emissioncontrol technologies than would bepredicted given the current state ofdevelopment. Similarly, the continuingeffort to improve the emission controltechnologies will include innovationsthat allow lower-cost production.Finally, manufacturers will focusresearch efforts on any potentialdrawbacks, such as increased fuelconsumption or maintenance costs,attempting to minimize or overcome anynegative effects.

A combination of technologyupgrades are anticipated as a result ofthe new emission standards.Modifications to basic engine designfeatures, such as piston bowl shape andengine block and head geometry, canimprove intake air characteristics anddistribution during combustion.Manufacturers are expected to introduceelectronic controls on most enginesrated at or above 37 kW. Advanced fuel-injection techniques and hardware willallow designers to modify various fuelinjection parameters for higher pressure,further rate shaping, and some splitinjection. For Tier 3 standards, EPA

expects that many engines will seefurther fuel injection improvements andwill incorporate a moderate degree ofcooled exhaust gas recirculation. Detailsof the mix of technologies included inthe cost analysis can be found inChapter 4 of the Final RIA.

While the following analysis projectsa relatively uniform emission controlstrategy for designing the differentcategories of engines, this should notsuggest that EPA expects a singlecombination of technologies will beused by all manufacturers. In fact,depending on basic engine emissioncharacteristics, EPA expects that controltechnology packages will gradually befine-tuned to different applications.Furthermore, EPA expectsmanufacturers to use averaging,banking, and trading programs as ameans to deploy varying degrees ofemission control technologies ondifferent engines. EPA neverthelessbelieves that the projections presentedhere provide a cost estimaterepresentative of the differentapproaches manufacturers mayultimately take.

2. Engine Costs

The projected costs of these newtechnologies for meeting the newstandards are itemized in the Final RIAand summarized in Table 7. For the Tier1 standards for engines rated under 37kW, estimated costs vary widely. Thoseengines that already operate withemissions low enough to meet the Tier1 standards will bear costs only forcertifying the engine, or about $10 perengine. For the remaining one-third ofengines expected to need reducedemissions, adding engine modificationsleads to total costs of around $90. Theanticipated increase in operating costswill similarly be focused on theminority of engines that need designimprovements, totaling about $130 innet present value (npv) over the lifetimeof those engines. The calculated sales-weighted composite increase in both thepurchase price and the operating costsfor all engines rated under 37 kW is lessthan $50.

TABLE 7.—PROJECTED UNIT COSTS—ENGINES

Cost category Year ofproduction

Power (kW)

0–37 37–75 75–130 130–450 450–560 560+

Tier 1

Incremental purchase price ................ 1 ....................... $34 .................... .................... .................... .................... ....................Life-cycle Operating Costs (npv) ....... All ..................... 44 .................... .................... .................... .................... ....................


14 ‘‘Engine Price (On-Highway and Nonroad) &Life-cycle Cost Methodology,’’ memorandum fromThomas Uden, ICF, Inc. to Alan Stout, U.S. EPA,March 21, 1997 (available in Air Docket A–96–40).

15 ‘‘Learning Curves in Manufacturing,’’ LindaArgote and Dennis Epple, Science, February 23,1990, Vol. 247, pp. 920–924 (available in Air DocketA–96–40).

TABLE 7.—PROJECTED UNIT COSTS—ENGINES—Continued

Cost category Year ofproduction

Power (kW)

0–37 37–75 75–130 130–450 450–560 560+

Tier 2

Incremental purchase price ................ 1 ....................... 72 $124 $425 $464 $1,355 $683Life-cycle Operating Costs (npv) ....... All ..................... 44 59 ¥147 ¥262 ¥1,347 0

Tier 3

Incremental purchase price ................ 1 ....................... .................... 240 511 758 1,858 ....................6 ....................... .................... 120 297 435 535 ....................

Life-cycle Operating Costs (npv) ....... All ..................... .................... 97 ¥652 ¥826 ¥1,212 ....................

Tier 2 standards, which apply to thefull range of power ratings, involvehigher estimated cost impacts. The setof technologies anticipated for Tier 2engines include varying degrees ofengine modifications, improved fuelinjection, electronic controls,turbocharging, aftercooling, and exhaustgas recirculation. A small increase inoperating costs is expected for enginesrated between 37 and 75 kW, but forother engines operating costs areexpected to remain unchanged or insome cases to decrease as a result ofcharge air cooling, as described in theFinal RIA. The price of engines ratedunder 75 kW is expected to increase byabout $100. Engines rated between 75and 450 kW will likely see costincreases between $400 and $500, whilelarger engines may see price increasesapproaching or exceeding $1,000. Theprojected cost of compliance with Tier3 standards entails increases from Tier2 costs that follow a similar pattern tothe increases for Tier 2 standards,though the Tier 3 standards apply onlyto engines rated between 37 and 560kW.

Characterizing these estimated costsin the context of their fraction of thetotal purchase price and life-cycleoperating costs is helpful in gauging theeconomic impact of the new standards.ICF conducted a study to characterizethe range of current engine costs.14

Although the incremental costprojections in Table 7 increasedramatically with increasing powerrating, they in fact represent acomparable price change relative to thetotal price of the engine. The estimatedcost increases for all engines are at most13 percent of estimated engine prices(after typical discounts and rebates).Moreover, the cost savings describedbelow further reduce the projected

impact of the new emission standards;long-term cost increases are expected tobe 8 percent of total engine price or less.

For the long term, EPA has identifiedtwo principal factors that would causethe estimated incremental costs todecrease over time. First, since fixedcosts are assumed to be recovered overa fixed period, these costs disappearfrom the analysis after they have beenfully recovered. This has a most strikingeffect on the projected costs for enginesrated over 450 kW, for which the muchhigher projected costs are dominated byfixed costs. Second, the analysisincorporates the expectation thatmanufacturers will apply ongoingresearch to making emission controlsmore effective and less costly over time.Research in the costs of manufacturinghas consistently shown that asmanufacturers gain experience inproduction, they are able to applyinnovations to simplify machining andassembly operations, use lower costmaterials, and reduce the number orcomplexity of component parts.15 Theanalysis incorporates the effects of thislearning curve by projecting that thevariable costs of producing the low-emitting engines decreases by 20percent starting with the third year ofproduction and by reducing variablecosts again by 20 percent starting withthe sixth year of production. Table 7lists the projected costs for eachcategory of engine, including the set ofnumbers that illustrate the projectedreduction in long-term costs for Tier 3engines.

3. Equipment CostsIn addition to the costs directly

associated with engines that areredesigned to meet new standards, costsmay also result from the need toredesign the nonroad equipment inwhich these engines are used. Such

redesigns could occur if the engine hasa different shape or heat rejection rate,or is no longer made available in theconfiguration previously used. Based ontheir experience with the Tier 1standards set in 1994, equipmentmanufacturers have told EPA that themain barrier to accommodatingcomplying engines is the late delivery ofsuch engines by engine manufacturers,which cuts into the lead time thatequipment manufacturers need toproperly redesign their equipment.Thus, attempts were made indeveloping this rulemaking to providecompliance flexibility to helpequipment manufacturers avoidbusiness disruptions resulting from thechanges associated with new emissionstandards.

In addition, the Tier 3 emissionstandards and implementation dates forengines rated at or above 37 kW andTier 2 emission standards andimplementation dates for engines ratedunder 37 kW are based on the premisethat no significant equipment redesignbeyond that required to accommodateengines meeting the previous tier ofstandards will be required toaccommodate the new engines.Equipment manufacturers may, ofcourse, choose to spread equipmentredesigning over the time frame for bothfirst and second tiers of standards. Thisanalysis accounts for this flexibility byprojecting one major redesign for eachequipment model, spreading the costs ofthis redesign over both tiers ofstandards. For each tier of standards,EPA projects that equipmentmanufacturers will have sufficientopportunity to accommodate complyingengines and to market their product.EPA will consider the potential formultiple design changes to equipmentmodels during the 2001 FeasibilityReview.

In assessing the economic impact ofthe new emission standards, EPA hasmade a best estimate of themodifications to equipment that relate


to packaging (installing engines inequipment engine compartments),power train (torque curve), and heatrejection effects of the new complyingengines. The incremental purchase pricefor new engines is comprised of fixedcosts (for R&D and retooling) andvariable costs (for new or modifiedcomponents). In its analysis, EPAattributes all changes in operating costs(i.e., additional maintenance and fueleconomy benefit or penalty) to the costestimates for engines. After a newstandard takes effect, projectedequipment costs in subsequent yearswould be reduced for the same reasonsas described in the engine cost sectionabove. Separate projected costs weredetermined for equipment using thesame ranges of power ratings usedabove. Full details of EPA’s equipmentcost analysis can be found in Chapter 4of the Final RIA.

a. Projected Equipment Changes. Asdescribed earlier, the amount of timethat an equipment manufacturer has tointegrate a new engine into a piece ofequipment is of critical importance.These manufacturers have experienced

that late engine delivery may preventthem from adequately engineering theirequipment designs, resulting in theneed for various improvised changes. Inthis case, the costs associated with theengine change would be for fabricatedcomponents and other hardwarechanges more than for engineering time.In contrast, with adequate lead time, anequipment manufacturer can investenough engineering time to designaround the new engine, usually withminimal increase in hardware costs.Depending on the degree of changerequired, sales volumes, and otherfactors, actual costs in either of thesescenarios may be comparable. EPA’sanalysis follows the latter scenario,emphasizing engineering time overhardware costs.

The biggest change anticipated forequipment redesign is in changing theengine compartments to accommodatethe physical changes to engines,especially for those engines that add air-to-air aftercoolers. The costs for enginedevelopment and the principalhardware components (radiator andplumbing) associated with air-to-air

aftercooling are included as costs to theengines, as described above. Whatremains to be quantified for equipmentmanufacturers is then the effort to makespace for the larger engine system andto integrate the engine into the overallfunctioning of the equipment. Extensiveengineering time is allocated to thiseffort. In addition, significant costs areincluded for new, added, or improvedmaterials that may be required, such asbrackets, hoses, gaskets, or sheet metal.

b. Projected Equipment Costs. Thecosts of the projected equipmentchanges resulting from the newstandards are itemized in the Final RIAand summarized in Table 8. For the Tier1 emission standards that apply toequipment with engines rated under 37kW, the estimated composite costincrease is $24 per piece of equipment.As described in the section on enginecosts above, this estimate is based onthe determination that many of theengines for this range of equipmentalready operate with emissions lowenough to meet the Tier 1 standards.

TABLE 8.—PROJECTED UNIT COSTS

TierPower (kW)

0–37 37–75 75–130 130–450 450–560 560+

TIER 1Equipment ......................................................................... $24 .................... .................... .................... .................... ....................Total Engine and Equipment ............................................ 59 .................... .................... .................... .................... ....................

TIER 2Equipment ......................................................................... 8 $125 $441 $340 $1,315 $404Total Engine and Equipment ............................................ 80 250 867 804 2,670 1,087

TIER 3: Short-TermEquipment ......................................................................... .................... 42 147 113 439 ....................Total Engine and Equipment ............................................ .................... 282 658 872 2,296 ....................

TIER 3: Long-TermEquipment ......................................................................... .................... 3 4 5 7 ....................Total Engine and Equipment ............................................ .................... 122 301 440 543 ....................

For Tier 2 standards, the relativelylow equipment costs for equipmentrated under 75 kW reflect the highersales volume of this range. The highestprojected cost of $1315 for equipmentutilizing engines rated between 450 and560 kW demonstrates that high unitequipment costs are due to amortizinglarge fixed costs over small salesvolumes. These large fixed costs resultfrom the effort to accommodate air-to-airaftercooling. Equipment with enginesrated over 560 kW are expected torequire less redesign, and havecorrespondingly lower costs, since nochanges in aftercooling are anticipatedfor these models as a result of Tier 2emission standards.

The projected incremental cost ofcomplying with Tier 3 standards arelower than that for Tier 2 standards,because EPA expects most of thesignificant changes to equipmentdesigns will occur for Tier 2 standards.For Tier 3 standards, projectedequipment costs range from $42 to $439.

As discussed in the section on enginecosts above, characterizing both theseestimated incremental equipment andengine costs in the context of theirfraction of the total equipment purchaseprice is useful for evaluating theeconomic impact of the new standards.EPA collected quoted retail (list) priceson several equipment pieces tocharacterize the range of current

equipment prices. The combinedincremental costs estimated forequipment and engines together for allpower ranges are almost all under 2percent of list prices, while many arewell below 1 percent.

Furthermore, as described in thesection on engine costs above, the costsavings from full amortization of fixedcosts and application of a learning curvefurther reduce the projected cost impactof the new standards. Table 8 shows theprojected equipment costs for eachcategory of equipment, including thelong-term cost projections for complyingwith Tier 3 standards. The table alsopresents the combined costs estimated


for equipment and engines (excludingchanges to operating costs).

4. Aggregate Costs to SocietyThe above analysis presents unit cost

estimates for each power category. Withcurrent data for equipment sales foreach category and projections for thefuture, these costs can be translated intoa total projected cost to the nation forthe new emission standards in any year.Accounting for the projected favorableimpact of the new standards onoperating costs, primarily from fuelsavings in larger engines, wouldproduce negative aggregate costs (neteconomic gains) in future years.However, because it is difficult toaccurately assess the fuel economyimpacts of hardware changes and thedegree to which these savings wouldhave developed in the absence of newemission standards, EPA hasconservatively chosen to presentaggregate costs to society withoutfactoring in the expected changes inoperating costs. Using only theincreased purchase prices leads toaggregate costs of about $5 million inthe first year the new standards apply,increasing to a peak of about $550million in 2010 as increasing numbersof engines become subject to the newstandards. The following years showdeclining aggregate costs as the per-unitcost of compliance decreases, resultingin a minimum aggregate cost of about$390 million in 2017. After 2017, stableengine costs applied to a slowly growingmarket lead to slowly increasingaggregate costs.

As described earlier, EPA developedthe cost and cost-effectiveness analysesby attributing half of the cost of certaintechnologies to benefits unrelated to

emission control. To analyze thesensitivity of the cost analysis to thisassumption, EPA estimated unit costsby attributing the full cost of thesetechnologies to the new emissionstandards. EPA then estimated the effectof these increased costs on the 20-yearcosts to society. Assigning the full costof technology as an to the emissioncontrol program, the 20-year fleetwidediscounted cost is estimated to be $4.4billion, approximately $1.2 billionhigher than calculated using the basecase. Similarly, the resulting 20-yearannualized fleetwide costs are $411million per year, approximately $115million higher than the base caseresults.

EPA also developed alternative costfigures to test the sensitivity ofdistributing fixed costs over worldwideproduction of nonroad engines andequipment. Because some countries arenot expected to adopt harmonizedemission standards in the foreseeablefuture, manufacturers could choose todistribute fixed costs over a subset offoreign sales. Since it is very difficult toquantify sales volumes for individualcountries for all the companies thatparticipate in the U.S. market, EPAmade the simplifying assumption thatfixed costs could be distributed overonly half of engines sold into othercountries. Distributing costs over thissmaller number of engines leads to a 20-year fleetwide discounted cost of $3.6billion, approximately $0.4 billionhigher than the base case results. Thecorresponding 20-year annualizedfleetwide costs are $339 million peryear, approximately $40 million higherthan the base case results.

C. Cost-Effectiveness

EPA has estimated the cost-effectiveness (i.e., the cost per ton ofemission reduction) of the Tier 1, Tier2 and Tier 3 standards for the samepower categories of nonroad equipmenthighlighted earlier in this section.Chapter 6 of the Final RIA contains amore detailed discussion of the cost-effectiveness analysis.

As described above in the precedingsection, the projected cost of complyingwith the new standards will vary bypower category and model year.Therefore, the cost-effectiveness willalso vary from model year to modelyear. For comparison purposes, thediscounted costs (including increasedengine costs and equipment costs),emission reductions (in short tons), andcost-effectiveness of the NMHC + NOX

standards are shown in Table 9 for thesame model years discussed in thepreceding section. EPA believes this isa conservative estimate because EPAassumed for the sake of this analysisthat all of the increased costs presentedearlier were attributable to NMHC +NOX control and none of the costs wereattributed to PM control. NOX

reductions represent approximately 90percent of the total NMHC + NOX

emission reductions expected from thenew standards. In addition, the costspresented in Table 9 do not include theexpected effect on operating costs overthe lifetime of the equipment. EPAexpects the operating costs to offsetmuch, if not all, of the increased engineand equipment costs presented in Table9 for engines above 75 kW due toexpected improvements in fueleconomy for engines meeting the newstandards.

TABLE 9.—COST-EFFECTIVENESS OF THE NEW NMHC+NOX STANDARDS

Standard Power (kW) Year ofproduction

Discountedengine andequipment

cost

Discountedlifetime

NMHC+NOXreductions

(tons)

Discountedlifetime

cost-effec-tiveness per

ton

Tier 1 ..................................................................................................... 0–37 1 $59 0.20 $300Tier 2 ..................................................................................................... 0–37 1 80 0.04 2,090

...................... 6 35 ..................... 91037–75 1 249 0.49 51075–130 1 867 1.02 850

130–450 1 804 1.82 440450–560 1 2,670 7.68 350

>560 1 1,087 9.83 110...................... 6 1,025 ..................... 100

Tier 3 ..................................................................................................... 37–75 1 282 0.51 560...................... 6 160 ..................... 320

75–130 1 658 0.82 800...................... 6 442 ..................... 540

130–450 1 872 1.46 600...................... 6 545 ..................... 380

450–560 1 2,296 5.91 390...................... 6 1,991 ..................... 340


Weighting the projected cost andemission benefit numbers presentedabove by the populations of theindividual power categories, EPAcalculated the cost-effectiveness of thenew NMHC + NOX standards for theentire nonroad diesel engine fleet. Table10 contains the resulting fleet-wide cost-effectiveness results for the Tier 2 andTier 3 standards. The sensitivityanalyses described in Section V.B.4.above would affect cost-effectivenesscalculations in the same way asdescribed for fleetwide total costs. TheAppendix to the Final RIA includescost-effectiveness results for thesensitivity analysis in which full costsare attributed to emissions control.

TABLE 10.—FLEET-WIDE COST-EFFEC-TIVENESS OF THE NEW NONROADNMHC+NOX STANDARDS

Standard

Discountedlifetime

cost-effec-tiveness per

ton

Tier 2 ......................................... $600Tier 3—Short term .................... 650Tier 3—Long term ..................... 410

For comparison to other PM controlstrategies, EPA has also analyzed thecost-effectiveness of the new standardsby very conservatively assuming thathalf of the increased costs wereattributable to PM control. Such a fleet-wide discounted lifetime cost-effectiveness represents the highestfigure that could be expected for cost-effectiveness of the new standards andwas calculated to provide an indicationof the upper bound of PM cost-effectiveness values. The resulting fleet-wide discounted lifetime cost-effectiveness of the Tier 1 and Tier 2 PMstandards is approximately $2,300 perton.

In an effort to evaluate the cost-effectiveness of the NMHC + NOX

controls for nonroad engines, EPA hassummarized the cost-effectivenessresults for four other recent EPA mobilesource rulemakings that requiredreductions in NOX (or NMHC + NOX)emissions. The heavy-duty vehicleportion of the Clean Fuel Fleet VehicleProgram yielded a cost-effectiveness ofapproximately $1,500/ton of NOX, PhaseII of the Reformulated Gasoline Programyielded approximately $5,000/ton ofNOX, the most recent NMHC + NOX

standards for highway heavy-duty dieselengines yielded a cost-effectiveness of$100–$600/ton of NMHC + NOX, andthe newly adopted standards forlocomotive engines yielded a cost-effectiveness of $160–$250/ton of NOX.

The cost-effectiveness of the new NMHC+ NOX standards for nonroad dieselengines presented above are morefavorable than the cost-effectiveness ofboth the clean fuel fleet vehicle programand reformulated gasoline. The cost-effectiveness of the new NMHC + NOX

standards for nonroad diesel engines iscomparable to the cost-effectiveness ofthe most recent NMHC + NOX standardsfor heavy-duty highway diesel enginesand slightly less favorable than the cost-effectiveness of the locomotivestandards.

EPA has also summarized the cost-effectiveness results for two other recentEPA mobile source rulemakings thatrequired reductions in PM emissions.The cost-effectiveness of the most recenturban bus engine PM standard wasestimated to be $10,000–$16,000/tonand the cost-effectiveness of the urbanbus retrofit/rebuild program wasestimated to be approximately $25,000/ton. The PM cost-effectiveness of thenew emission standards presentedabove are more favorable than either ofthe urban bus programs.

In addition to the benefits of reducingozone within and transported into urbanozone nonattainment areas, the NOX

reductions from the new standards areexpected to have beneficial impactswith respect to crop damage, secondaryparticulate formation, acid deposition,eutrophication, visibility, and forests, asdescribed earlier. Because of thedifficulty of quantifying the monetaryvalue of these societal benefits, the cost-effectiveness values presented do notassign any numerical value to theseadditional benefits. However, based onan analysis of existing studies that haveestimated the value of such benefits inthe past, the Agency believes that theactual monetary value of the multipleenvironmental and public healthbenefits produced by large NOX

reductions similar to those projectedunder this final rule will likely begreater than the estimated compliancecosts.

VI. Public ParticipationA wide variety of interested parties

participated in the rulemaking processthat culminates with this final rule. Thisprocess provided several opportunitiesfor public comment over a period ofmore than two years. An AdvanceNotice of Proposed Rulemaking(ANPRM) (60 FR 45580, August 31,1995) announced EPA’s intention toaddress emissions from nonroad dieselengines, and a Supplemental ANPRM(62 FR 199, January 2, 1997) detailed theframework for a proposed rule.Comments received during this periodwere considered in the development of

the NPRM and are discussed in thatdocument. These comments includedinformation received from smallbusinesses as a part of the multi-agencySmall Business Advocacy Review Panelprocess which was completed prior tothe NPRM and is described below underthe discussion of the RegulatoryFlexibility Act. The formal commentperiod and public hearing associatedwith the NPRM provided anotheropportunity for public input. EPA hasalso met with a variety of stakeholdersat various points in the process,including environmental organizations,engine manufacturers, equipmentmanufacturers, and states.

EPA has prepared a detailedSummary and Analysis of Commentsdocument which describes thecomments received on the NPRM andpresents the Agency’s response to eachof these comments. The Summary andAnalysis of Comments document isavailable in the docket for this rule andon the Office of Mobile Sources internethome page.

VII. Administrative Requirements

A. Administrative Designation andRegulatory Analysis

Under Executive Order 12866, theAgency must assess whether thisregulatory action is ‘‘significant’’ andtherefore subject to Office ofManagement and Budget (OMB) reviewand the requirements of the ExecutiveOrder (58 FR 51735, Oct. 4, 1993). Theorder defines ‘‘significant regulatoryaction’’ as any regulatory action that islikely to result in a rule that may:

(1) Have an annual effect on theeconomy of $100 million or more oradversely affect in a material way theeconomy, a sector of the economy,productivity, competition, jobs, theenvironment, public health or safety, orState, local, or tribal governments orcommunities;

(2) Create a serious inconsistency orotherwise interfere with an action takenor planned by another agency;

(3) Materially alter the budgetaryimpact of entitlements, grants, user fees,or loan programs or the rights andobligations of recipients thereof; or,

(4) Raise novel legal or policy issuesarising out of legal mandates, thePresident’s priorities, or the principlesset forth in the Executive Order.

Pursuant to the terms of ExecutiveOrder 12866, EPA has determined thatthis rulemaking is a ‘‘significantregulatory action’’ because the newstandards and other regulatoryprovisions, if implemented, areexpected to have an annual effect on theeconomy in excess of $100 million. A


Final RIA has been prepared and isavailable in the docket associated withthis rulemaking. This action wassubmitted to OMB for review asrequired by Executive Order 12866. Anywritten comments from OMB and anyEPA response to OMB comments are inthe public docket for this rulemaking.

B. Regulatory Flexibility ActThe Regulatory Flexibility Act, 5

U.S.C. 601–612, was amended by theSmall Business Regulatory EnforcementFairness Act of 1996 (SBREFA), Pub. L.104–121, to ensure that concernsregarding small entities are adequatelyconsidered during the development ofnew regulations that affect them. Inresponse to the provisions of thisstatute, EPA identified industries thatwould be subject to this rulemaking andprovided information to and receivedcomment from small entities andrepresentatives of small entities in theseindustries prior to the formal proposalof the program. Small entities submittedwritten comments on the January, 1997Supplemental Advance Notice ofProposed Rulemaking and oralcomments at an informal workshop inChicago. From these and otherinteractions, EPA developed a list ofpotential provisions that might offerflexibility to small entities whilemeeting air quality goals.

The Agency convened a SmallBusiness Advocacy Review Panel undersection 609(b) of the RegulatoryFlexibility Act. The Panel distributedthe list of potential flexibility provisionsto the identified small entity contactsfor further comment and held ateleconference which led to furtherimprovement of the flexibility options.The Panel then received additionalwritten comments on potential options.Based on suggestions from small entitiesbefore and after the convening of thePanel, the Panel identified a set of fiveflexibility provisions to address smallbusiness concerns which itrecommended to the Agency forproposal in the rule. As detailed inChapter 4 of the Final RIA, the fiverecommended provisions were thefollowing: (1) flexibility for equipmentmanufacturers to aggregate and useexemption allowances on a schedulethat best suited their needs, (2)equivalent flexibility for manufacturersof equipment using small engines as forthose using larger engines, (3) provisionfor equipment manufacturers topurchase credits in the averaging,banking, and trading program and to usethose credits to exempt moreequipment, (4) dropping of therequirement that the small volumeallowance be restricted to a single

equipment model, and (5) adoption of ahardship relief provision. Subsequently,EPA incorporated all five recommendedprovisions into the Notice of ProposedRulemaking. Subsequently, EPAincorporated all five recommendedprovisions into the Notice of ProposedRulemaking.

After evaluating additional commentsreceived on the proposed regulatoryalternatives, EPA is adopting some ofthe provisions as they wererecommended by the Panel as well asalternative flexibility provisions. TheAgency is adopting the first twoprovisions, although by removing aspecial broader exemption for farmingand logging equipment and insteadincreasing the allowances available tomanufacturers of all types of equipment,the benefit to most small entities willactually be greater than under theproposed program. EPA is also adoptingthe fifth provision, establishinghardship relief.

The Agency agreed with commenterswho said that the third provision,allowing equipment manufacturers topurchase ABT program credits, wouldnot likely provide significant relief toequipment manufacturers while addingthe complexity of credit accounting andrecordkeeping. This provision was notfinalized. The fourth provision wasadopted in a revised form, expandingthe small volume allowance to multipleequipment models while establishinglimitations to prevent widespread use ofthis provision by larger companies forwhom this allowance is not intended.

The Agency believes that, taken as awhole, the flexibility provisionsestablished in this final rule providesmall businesses with at least the sameand probably greater flexibilitycompared to the set of provisionsrecommended by the Panel, whilemeeting the Agency’s air quality goals.These provisions represent a verysignificant mitigation of the economicimpacts on small equipmentmanufacturers compared to the impactsthat might otherwise have occurred ifsmall businesses had not beenconsulted. The final set of flexibilityprovisions and EPA’s rationale foradopting these provisions are discussedin detail in Section II.E above and in theSummary and Analysis of Commentsdocument.

EPA prepared an Initial RegulatoryFlexibility Analysis which analyzed theeconomic impacts of the proposed ruleon small companies and discussedrelated issues. EPA has now prepared aFinal Regulatory Flexibility Analysis,which is incorporated in Chapter 4(Economic Impact) of the FinalRegulatory Impact Analysis associated

with this final rule. The FinalRegulatory Flexibility Analysis presentsthe Agency’s final assessments of theimpacts this rule is likely to have onsmall entities.

The Final Regulatory FlexibilityAnalysis incorporates commentsreceived related to the Initial RegulatoryFlexibility Analysis and reassesses theimpact of the regulations on smallentities. As did the Initial document, theFinal Regulatory Flexibility Analysisanalyzes the four separate but relatedindustries that will be subject to thisproposed rule and that contain smallbusinesses as defined by regulations ofthe Small Business Administration(SBA): nonroad diesel enginemanufacturing, manufacturing ofnonroad diesel equipment, post-manufacturer marinizing of dieselengines, and the rebuilding orremanufacturing of diesel nonroadengines. A detailed economic analysiswas conducted only for equipmentmanufacturers, for several reasons. First,there is only one manufacturer of dieselengines affected by the proposed rulethat meets SBA’s small business criteria,and this small engine manufacturerwould have impacts from the proposalthat are similar to those impactsexperienced by large nonroad enginemanufacturers as described elsewhere inthis final rule. Second, marinizers areexpected to experience impacts similarto those of nonroad equipmentmanufacturers since changes made bythe original engine manufacturers mightrequire changes in the parts and processinvolved in marinization. Finally,engine rebuilders/remanufacturers willnot be significantly economicallyimpacted, since the provisions of thisfinal rule for these entities does notrequire a substantial change to theircurrent practices.

As described above in Section II, thisrule includes flexibility provisions forequipment manufacturers (both largeand small manufacturers). The FinalRegulatory Flexibility Analysisconcludes that the final rule, with itscompliance flexibility provisions, willresult in an estimated 11 percent ofsmall equipment manufacturers havingannual compliance costs greater than 1percent of their sales revenues. Also, anestimated 7 percent of small equipmentmanufacturers would experience acompliance cost impact greater than 3percent of sales revenues. EPA believesthe effects of the flexibility provisionsare conservatively estimated, in partbecause the hardship relief provisionsand the more generous exemptionallowances finalized in this rule werenot taken into account in the analysis.EPA considers the flexibility provisions


put in place by this rule to be a veryeffective way of minimizing significanteconomic impacts on small equipmentmanufacturers consistent with theAgency’s air quality objectives.

C. Paperwork Reduction Act

The Paperwork Reduction Act, 44U.S.C. 3501 et seq., requires agencies tosubmit for OMB review and approval,federal requirements and activities thatresult in the collection of informationfrom ten or more persons. Informationcollection requirements may include

reporting, labeling, and recordkeepingrequirements. Federal agencies may notimpose penalties on persons who fail tocomply with collections of informationthat do not display a currently validOMB control number.

The information collectionrequirements in this final rule have beenapproved by OMB without commentunder the Paperwork Reduction Act,except for the requirement that enginemanufacturers’ annual reports includeinformation on engines produced for theequipment manufacturer flexibility

program, discussed above in sectionII.E.5. This requirement was notincluded in the Information CollectionRequest (ICR) submitted to OMBbecause it was not formally proposed byEPA in the NPRM. This reportingrequirement was, however, put forth inthe NPRM for comment, and is beingadopted in the final rule based onfurther analysis and consideration ofcomments received. EPA plans tosubmit a separate ICR for thisrequirement. The following ICRdocuments have been prepared by EPA:

EPA ICR No. Title OMBcontrol No.

0011.09 ............................... Selective Enforcement Auditing and recordkeeping requirements for on-highway HDE, nonroadcompression ignition engines, and on-highway light-duty vehicles and Light duty trucks.

2060–0604

0095.10 ............................... Pre-certification and testing exemption reporting and recordkeeping requirements ......................... 2060–00070282.10 ............................... Emission Defect Information and Voluntary Emission recall reports ................................................. 2060–00481684.04 ............................... Compression Ignition Non-Road Engine Certification Application ..................................................... 2060–01041695.03 ............................... Amendment to the Information Collection Request Emission Standards for New Nonroad Spark-

Ignition Engines.2060–0104

1826.01 ............................... Information collection for equipment manufacturer flexibility ............................................................. 2060–0369

The Information Collection Requests(ICR) were subject to public notice andcomment prior to OMB approval and, asa result, EPA finds that there is ‘‘goodcause’’ under section 553(b) of theAdministrative Procedures Act (5 U.S.C.553 (b)) to include these informationcollection requirements in 40 CFR Part9 without additional notice andcomment. EPA received variouscomments on the rulemaking provisionscovered by the ICRs, but no commentson the paperwork burden or otherinformation in the ICRs. All commentsthat were submitted to EPA areconsidered in the Summary andAnalysis of Comments, which can befound in the docket (A–96–40). A copyof any of the submitted ICR documentsmay be obtained from Sandy Farmer,OPPE Regulatory Information Division,U.S. Environmental Protection Agency(2137), 401 M St., S.W., Washington, DC20460, or by calling (202) 260–2740.

D. Unfunded Mandates Reform Act

Title II of the Unfunded MandatesReform Act of 1995 (UMRA), PublicLaw 104–4, establishes requirements forfederal agencies to assess the effects oftheir regulatory actions on state, local,and tribal governments and the privatesector. Under section 202 of the UMRA,EPA generally must prepare a writtenstatement, including a cost-benefitanalysis, for proposed and final ruleswith ‘‘federal mandates’’ that may resultin expenditures to state, local, and tribalgovernments, in the aggregate, or to theprivate sector, of $100 million or morefor any one year. Before promulgating

an EPA rule for which a writtenstatement is needed, section 205 of theUMRA generally requires EPA toidentify and consider a reasonablenumber of regulatory alternatives andadopt the least costly, most cost-effective, or least burdensomealternative that achieves the objectivesof the rule. The provisions of section205 do not apply when they areinconsistent with applicable law.Moreover, section 205 allows EPA toadopt an alternative other than the leastcostly, most cost-effective, or leastburdensome alternative if theAdministrator publishes with the finalrule an explanation of why thatalternative was not adopted. Before EPAestablishes any regulatory requirementsthat may significantly or uniquely affectsmall governments, including tribalgovernments, it must have developedunder section 203 of the UMRA a smallgovernment agency plan. The plan mustprovide for notifying potentiallyaffected small governments, enablingofficials of affected small governmentsto have meaningful and timely input inthe development of EPA regulatoryproposals with significant federalintergovernmental mandates, andinforming, educating, and advisingsmall governments on compliance withthe regulatory requirements.

This final rule contains no federalmandates (under the regulatoryprovisions of Title II of the UMRA) forstate, local, or tribal governments. Therule imposes no enforceable duties onany of these governmental entities.Nothing in the final program will

significantly or uniquely affect smallgovernments. EPA has determined thatthis rule contains federal mandates thatmay result in expenditures of $100million or more in any one year for theprivate sector. EPA believes that theproposed program represents the leastcostly, most cost-effective approach toachieve the air quality goals of the rule.The cost-benefit analysis required byUMRA is contained in the Final RIA.The reader is directed to Section VII.Afor further information regarding theseanalyses.

E. Congressional Review Act

The Congressional Review Act, 5U.S.C. 801 et seq., as added by the SmallBusiness Regulatory EnforcementFairness Act of 1996, generally providesthat before a rule may take effect, theagency promulgating the rule mustsubmit a rule report, which includes acopy of the rule, to each House of theCongress and to the Comptroller Generalof the United States. EPA will submit areport containing this rule and otherrequired information to the U.S. Senate,the U.S. House of Representatives, andthe Comptroller General of the UnitedStates prior to publication of the rule inthe Federal Register. This rule is a‘‘major rule’’ as defined by 5 U.S.C.804(2).

F. National Technology Transfer andAdvancement Act

Section 12(d) of the NationalTechnology Transfer and AdvancementAct of 1995 (‘‘NTTAA’’), Public Law104–113, section 12(d) (15 U.S.C. 272


note) directs EPA to use voluntaryconsensus standards in its regulatoryactivities unless doing so would beinconsistent with applicable law orotherwise impractical. Voluntaryconsensus standards are technicalstandards (e.g., materials specifications,test methods, sampling procedures, andbusiness practices) that are developed oradopted by voluntary consensusstandards bodies. The NTTAA directsEPA to provide Congress, through OMB,explanations when the Agency decidesnot to use available and applicablevoluntary consensus standards.

This final rule involves technicalstandards. While commenters suggestedthe use of ISO 8178 test procedures formeasuring emissions, the Agency hasdecided not to rely on these ISOprocedures in this rulemaking. TheAgency has determined that theseprocedures would be impracticablebecause they rely too heavily onreference testing conditions. Becausethe test procedures in these regulationsneed to represent in-use operationtypical of operation in the field, theymust be based on a range of ambientconditions. EPA has determined that theISO procedures are not broadly usablein their current form, and thereforecannot be adopted by reference. EPAhas instead chosen to continue to relyon the procedures outlined in 40 CFRPart 89. EPA is hopeful that future ISOtest procedures will be developed thatare usable for the broad range of testingneeded, and that such procedures couldthen be adopted by reference. EPA alsoexpects that any development of revisedtest procedures will be done inaccordance with ISO procedures and ina balanced manner and thus include theopportunity for involvement of a rangeof interested parties (potentiallyincluding parties such as industry, EPA,state governments, and environmentalgroups) so that the resulting procedurescan represent these different interests.

G. Protection of ChildrenExecutive Order 13045, entitled

‘‘Protection of Children fromEnvironmental Health Risks and SafetyRisks’’ (62 FR 19885, April 23, 1997),applies to a rule that is determined tobe ‘‘economically significant,’’ asdefined under Executive Order 12866, ifthe environmental health or safety riskaddressed by the rule has adisproportionate effect on children. Forthese rules, the Agency must evaluatethe environmental health or safetyeffects of the planned rule on children;and explain why the planned regulationis preferable to other potentiallyeffective and reasonably feasiblealternatives considered by the Agency.

This final rule is not subject toExecutive Order 13045, because thisrule does not involve decisions onenvironmental health or safety risks thatmay disproportionately affect children.

H. Enhancing IntergovernmentalPartnerships

Under Executive Order 12875, EPAmay not issue a regulation that is notrequired by statute and that creates amandate upon a State, local or tribalgovernment, unless the Federalgovernment provides the fundsnecessary to pay the direct compliancecosts incurred by those governments. Ifthe mandate is unfunded, EPA mustprovide to the Office of Managementand Budget a description of the extentof EPA’s prior consultation withrepresentatives of affected State, localand tribal governments, the nature oftheir concerns, copies of any writtencommunications from the governments,and a statement supporting the need toissue the regulation. In addition,Executive Order 12875 requires EPA todevelop an effective process permittingelected officials and otherrepresentatives of State, local and tribalgovernments ‘‘to provide meaningfuland timely input in the development ofregulatory proposals containingsignificant unfunded mandates.’’

This rule will be implemented at thefederal level and imposes complianceobligations only on private industry.The rule thus creates no mandate onState, local or tribal governments, nordoes it impose any enforceable dutieson these entities. Accordingly, therequirements of Executive Order 12875do not apply to this rule.

I. Consultation and Coordination WithIndian Tribal Governments

Under Executive Order 13084, EPAmay not issue a regulation that is notrequired by statute, that significantly oruniquely affects the communities ofIndian tribal governments, and thatimposes substantial direct compliancecosts on those communities, unless theFederal government provides the fundsnecessary to pay the direct compliancecosts incurred by the tribalgovernments. If the mandate isunfunded, EPA must provide to theOffice of Management and Budget, in aseparately identified section of thepreamble to the rule, a description ofthe extent of EPA’s prior consultationwith representatives of affected tribalgovernments, a summary of the natureof their concerns, and a statementsupporting the need to issue theregulation. In addition, Executive Order13084 requires EPA to develop aneffective process permitting elected and

other representatives of Indian tribalgovernments ‘‘to provide meaningfuland timely input in the development ofregulatory policies on matters thatsignificantly or uniquely affect theircommunities.’’

This rule does not significantly oruniquely affect the communities ofIndian tribal governments. As notedabove, this rule will be implemented atthe federal level and imposescompliance obligations only on privateindustry. Accordingly, the requirementsof Executive Order 13084 do not applyto this rule.

VIII. Statutory Authority

In accordance with section 213(a) ofthe Clean Air Act, 42 U.S.C. 7547(a),EPA conducted a study of emissionsfrom nonroad engines, vehicles, andequipment in 1991. Based on the resultsof that study, EPA determined thatemissions of NOX, volatile organiccompounds (including hydrocarbons),and CO from nonroad engines andequipment contribute significantly toozone and CO concentrations in morethan one nonattainment area. See 59 FR31306, June 17, 1994. Given thisdetermination, section 213(a)(3) of theAct requires EPA to promulgate (andfrom time to time revise) emissionsstandards for those classes or categoriesof new nonroad engines, vehicles, andequipment that in EPA’s judgment causeor contribute to such air pollution. EPAhas determined that the enginesregulated under this final rule ‘‘cause orcontribute’’ to such air pollution. See 59FR 31306, June 17, 1994.

Where EPA determines that otheremissions from new nonroad engines,vehicles, or equipment significantlycontribute to air pollution that mayreasonably be anticipated to endangerpublic health or welfare, section213(a)(4) authorizes EPA to establish(and from time to time revise) emissionstandards from those classes orcategories of new nonroad engines,vehicles, and equipment that EPAdetermines cause or contribute to suchair pollution. In the June 1994 final rule,EPA made this determination foremissions of PM and smoke fromnonroad engines in general and for CInonroad engines rated at or above 37kW. This rule extends the same findingsto nonroad diesel engines rated under37 kW.

List of Subjects

40 CFR Part 9

Environmental protection, Reportingand recordkeeping requirements.


40 CFR Part 86

Administrative practice andprocedure, Confidential businessinformation, Labeling, Motor vehiclepollution, Reporting and recordkeepingrequirements.

40 CFR Part 89

Environmental protection,Administrative practice and procedure,Confidential business information,Diesel fuel, Imports, Incorporation byreference, Motor vehicle pollution,Reporting and recordkeepingrequirements, Research, Warranties.

Dated: August 27, 1998.Carol M. Browner,Administrator.

For the reasons set out in thepreamble, title 40, chapter I, parts 9, 86,and 89 of the Code of FederalRegulations are amended as set forthbelow.

PART 9—[AMENDED]

1. The authority citation for part 9continues 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; 33U.S.C. 1251 et seq., 1311, 1313d, 1314, 1318,1321, 1326, 1330, 1342 1344, 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.,6901–6992k, 7401–7671q, 7542, 9601–9657,11023, 11048.

2. Section 9.1 is amended in the tableby removing the center heading‘‘Control of Emissions From New andIn-Use Nonroad Engines’’ and theentries under that center heading andadding a new center heading and entriesin numerical order to read as follows:

§ 9.1 OMB approvals under the PaperworkReduction Act.

* * * * *

40 CFR citation OMB controlNo.

* * * * *Control of Emissions From New and In-

Use Nonroad Compression-Ignition En-gines

89.1 ....................................... 2060–012489.2 ....................................... 2060–012489.114–89.120 ...................... 2060–028789.122–89.127 ...................... 2060–028789.129 ................................... 2060–028789.203–89.207 ...................... 2060–028789.209–89.211 ...................... 2060–028789.304–89.331 ...................... 2060–028789.404–89.424 ...................... 2060–028789.505–89.512 ...................... 2060–0064

40 CFR citation OMB controlNo.

89.603–89.605 ...................... 2060–009589.607–89.610 ...................... 2060–009589.611 ................................... 2060–0007,

2060–009589.612 ................................... 2060–009589.801–89.803 ...................... 2060–004889.903 ................................... 2060–012489.905–89.911 ...................... 2060–0007

* * * * *

PART 86—CONTROL OF EMISSIONSFROM NEW AND IN-USE HIGHWAYVEHICLES AND ENGINES

3. The heading of part 86 is revisedas set forth above.


Authority: 42 U.S.C. 7401–7671(q).

5. Section 86.884–8 is amended byrevising the table in paragraph (c)(4) toread as follows:

§ 86.884–8 Dynamometer and engineequipment.

* * * * *(c) * * *(4) * * *

Maximum rated horsepower

Exhaustpipe

diameter(inches)

HP>50 ....................................... 1.550≤HP>100 ............................... 2.0100≤HP>200 ............................. 3.0200≤HP>300 ............................. 4.0300≤HP>500 ............................. 5.0HP≤5006.0.

* * * * *

PART 89—CONTROL OF EMISSIONSFROM NEW AND IN-USE NONROADCOMPRESSION-IGNITION ENGINES

6. The heading of part 89 is revisedas set forth above.


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

8. The following sections areredesignated as set forth in thefollowing table:

Olddesignation

Newdesignation

89.101–96 ................................. 89.10189.102–96 ................................. 89.10289.103–96 ................................. 89.10389.104–96 ................................. 89.10489.105–96 ................................. 89.105

Olddesignation

Newdesignation

89.106–96 ................................. 89.10689.107–96 ................................. 89.10789.108–96 ................................. 89.10889.109–96 ................................. 89.10989.110–96 ................................. 89.11089.111–96 ................................. 89.11189.112–96 ................................. 89.11289.113–96 ................................. 89.11389.114–96 ................................. 89.11489.115–96 ................................. 89.11589.116–96 ................................. 89.11689.117–96 ................................. 89.11789.118–96 ................................. 89.11889.119–96 ................................. 89.11989.120–96 ................................. 89.12089.121–96 ................................. 89.12189.122–96 ................................. 89.12289.123–96 ................................. 89.12389.124–96 ................................. 89.12489.125–96 ................................. 89.12589.126–96 ................................. 89.12689.127–96 ................................. 89.12789.128–96 ................................. 89.12889.129–96 ................................. 89.12989.201–96 ................................. 89.20189.202–96 ................................. 89.20289.203–96 ................................. 89.20389.204–96 ................................. 89.20489.205–96 ................................. 89.20589.206–96 ................................. 89.20689.207–96 ................................. 89.20789.208–96 ................................. 89.20889.209–96 ................................. 89.20989.210–96 ................................. 89.21089.211–96 ................................. 89.21189.212–96 ................................. 89.21289.301–96 ................................. 89.30189.302–96 ................................. 89.30289.303–96 ................................. 89.30389.304–96 ................................. 89.30489.305–96 ................................. 89.30589.306–96 ................................. 89.30689.307–96 ................................. 89.30789.308–96 ................................. 89.30889.309–96 ................................. 89.30989.310–96 ................................. 89.31089.311–96 ................................. 89.31189.312–96 ................................. 89.31289.313–96 ................................. 89.31389.314–96 ................................. 89.31489.315–96 ................................. 89.31589.316–96 ................................. 89.31689.317–96 ................................. 89.31789.318–96 ................................. 89.31889.319–96 ................................. 89.31989.320–96 ................................. 89.32089.321–96 ................................. 89.32189.322–96 ................................. 89.32289.323–96 ................................. 89.32389.324–96 ................................. 89.32489.325–96 ................................. 89.32589.326–96 ................................. 89.32689.327–96 ................................. 89.32789.328–96 ................................. 89.32889.329–96 ................................. 89.32989.330–96 ................................. 89.33089.331–96 ................................. 89.33189.401–96 ................................. 89.40189.402–96 ................................. 89.40289.403–96 ................................. 89.40389.404–96 ................................. 89.40489.405–96 ................................. 89.40589.406–96 ................................. 89.406


Olddesignation

Newdesignation

89.407–96 ................................. 89.40789.408–96 ................................. 89.40889.409–96 ................................. 89.40989.410–96 ................................. 89.41089.411–96 ................................. 89.41189.412–96 ................................. 89.41289.413–96 ................................. 89.41389.414–96 ................................. 89.41489.415–96 ................................. 89.41589.416–96 ................................. 89.41689.417–96 ................................. 89.41789.418–96 ................................. 89.41889.419–96 ................................. 89.41989.420–96 ................................. 89.42089.421–96 ................................. 89.42189.422–96 ................................. 89.42289.423–96 ................................. 89.42389.424–96 ................................. 89.42489.425–96 ................................. 89.42589.501–96 ................................. 89.50189.502–96 ................................. 89.50289.503–96 ................................. 89.50389.504–96 ................................. 89.50489.505–96 ................................. 89.50589.506–96 ................................. 89.50689.507–96 ................................. 89.50789.508–96 ................................. 89.50889.509–96 ................................. 89.50989.510–96 ................................. 89.51089.511–96 ................................. 89.51189.512–96 ................................. 89.51289.513–96 ................................. 89.51389.514–96 ................................. 89.51489.515–96 ................................. 89.51589.516–96 ................................. 89.51689.601–96 ................................. 89.60189.602–96 ................................. 89.60289.603–96 ................................. 89.60389.604–96 ................................. 89.60489.605–96 ................................. 89.60589.606–96 ................................. 89.60689.607–96 ................................. 89.60789.608–96 ................................. 89.60889.609–96 ................................. 89.60989.610–96 ................................. 89.61089.611–96 ................................. 89.61189.612–96 ................................. 89.61289.613–96 ................................. 89.613

9. In part 89, all internal sectionreferences are revised as indicated inthe above redesignation table.

Subpart A—[Amended]

10. Section 89.1 is amended byrevising paragraphs (a) and (b)(4), byremoving the word ‘‘and’’ at the end ofparagraph (b)(3), and adding paragraph(b)(5), to read as follows:

§ 89.1 Applicability.

(a) This part applies to nonroadcompression-ignition engines.

(b) * * *(4) Engines used in marine vessels as

defined in the General Provisions of theUnited States Code, 1 U.S.C. 3 , if thoseengines have a rated power at or above37 kW; and

(5) Engines with a per cylinderdisplacement of less than 50 cubiccentimeters.

11. Section 89.2 is amended byrevising the definition of Nonroadvehicle or nonroad equipmentmanufacturer, removing the definitionof Nonroad compression-ignition engineand adding new definitions inalphabetical order to read as follows:

§ 89.2 Definitions.

* * * * *Auxiliary marine diesel engine means

a marine diesel engine that is not apropulsion marine diesel engine.

Blue Sky Series engine means anonroad engine meeting therequirements of § 89.112(f).* * * * *

Compression-ignition means relatingto a type of engine with operatingcharacteristics significantly similar tothe theoretical Diesel combustion cycle.The non-use of a throttle to regulateintake air flow for controlling powerduring normal operation is indicative ofa compression-ignition engine. Thisdefinition is applicable beginningJanuary 1, 2000.

Constant-speed engine means anengine that is governed to operate onlyat rated speed.

Crankcase emissions means airbornesubstances emitted to the atmospherefrom any portion of the enginecrankcase ventilation or lubricationsystems.* * * * *

Exhaust gas recirculation means anemission control technology thatreduces emissions by routing exhaustgases that had been exhausted from thecombustion chamber(s) back into theengine to be mixed with incoming airprior to or during combustion. The useof valve timing to increase the amountof residual exhaust gas in thecombustion chamber(s) that is mixedwith incoming air prior to or duringcombustion is not considered to beexhaust gas recirculation for thepurposes of this part.* * * * *

Full load governed speed is themaximum full load speed as specifiedby the manufacturer in the sales andservice literature and certificationapplication. This speed is the highestengine speed with an advertised powergreater than zero.* * * * *

Intermediate speed means peaktorque speed if peak torque speedoccurs from 60 to 75 percent of ratedspeed. If peak torque speed is less than60 percent of rated speed, intermediatespeed means 60 percent of rated speed.

If peak torque speed is greater than 75percent of rated speed, intermediatespeed means 75 percent of rated speed.

Marine diesel engine means acompression-ignition engine that isintended to be installed on a vessel.* * * * *

Nonroad vehicle or nonroadequipment manufacturer means anyperson engaged in the manufacturing orassembling of new nonroad vehicles orequipment or importing such vehiclesor equipment for resale, or who acts forand is under the control of any suchperson in connection with thedistribution of such vehicles orequipment. A nonroad vehicle orequipment manufacturer does notinclude any dealer with respect to newnonroad vehicles or equipment receivedby such person in commerce. A nonroadvehicle or equipment manufacturer doesnot include any person engaged in themanufacturing or assembling of newnonroad vehicles or equipment whodoes not install an engine as part of thatmanufacturing or assembling process.All nonroad vehicle or equipmentmanufacturing entities that are underthe control of the same person areconsidered to be a single nonroadvehicle or nonroad equipmentmanufacturer.* * * * *

Post-manufacture marinizer means aperson who produces a marine dieselengine by substantially modifying acertified or uncertified complete orpartially complete engine, and is notcontrolled by the manufacturer of thebase engine or by an entity that alsocontrols the manufacturer of the baseengine. For the purpose of thisdefinition, ‘‘substantially modify’’means changing an engine in a way thatcould change engine emissioncharacteristics.* * * * *

Propulsion marine diesel enginemeans a marine diesel engine that isintended to move a vessel through thewater or direct the movement of avessel.

Rated speed is the maximum full loadgoverned speed for governed enginesand the speed of maximum horsepowerfor ungoverned engines.

Specific emissions means emissionsexpressed on the basis of observed brakepower, using units of g/kW-hr. Observedbrake power measurement includesaccessories on the engine if theseaccessories are required for running anemission test (except for the coolingfan). When it is not possible to test theengine in the gross conditions, forexample, if the engine and transmissionform a single integral unit, the engine


may be tested in the net condition.Power corrections from net to grossconditions will be allowed with priorapproval of the Administrator.* * * * *

Tier 1 engine means an engine subjectto the Tier 1 emission standards listedin § 89.112(a).

Tier 2 engine means an engine subjectto the Tier 2 emission standards listedin § 89.112(a).

Tier 3 engine means an engine subjectto the Tier 3 emission standards listedin § 89.112(a).* * * * *

U.S.-directed production volumemeans the number of nonroadequipment, vehicle, or marine dieselengine units produced by a

manufacturer for which themanufacturer has reasonable assurancethat sale was or will be made to ultimatepurchasers in the United States.* * * * *

Vessel has the meaning given to it in1 U.S.C. 3.

12. Section 89.3 is amended byadding new acronyms in alphabeticalorder to read as follows:

§ 89.3 Acronyms and abbreviations.* * * * *

EGR Exhaust gas recirculation.* * * * *

NMHC Nonmethane hydrocarbon.* * * * *

PM Particulate matter.* * * * *

THC Total hydrocarbon.* * * * *

§ 89.4 [Removed and Reserved]

13. Remove and reserve § 89.4.14. Section 89.6 is amended by

revising the last sentence in paragraph(b)(1) introductory text and the table inparagraph (b)(1) to read as follows:

§ 89.6 Reference materials.

* * * * *(b) * * *(1) * * * Copies of these materials

may be obtained from American Societyfor Testing and Materials, 100 BarrHarbor Drive, West Conshohocken, PA19428–2959.

Document number and name 40 CFR part 89 reference

ASTM D86–97:‘‘Standard Test Method for Distillation of Petroleum Products at Atmospheric Pressure’’ ..................................... Appendix A to Subpart D.

ASTM D93–97:‘‘Standard Test Methods for Flash Point by Pensky-Martens Closed Cup Tester’’ ............................................... Appendix A to Subpart D.

ASTM D129–95:‘‘Standard Test Method for Sulfur in Petroleum Products (General Bomb Method)’’ ............................................. Appendix A to Subpart D.

ASTM D287–92:‘‘Standard Test Method for API Gravity of Crude Petroleum and Petroleum Products’’ (Hydrometer Method) .... Appendix A to Subpart D

ASTM D445–97:‘‘Standard Test Method for Kinematic Viscosity of Transparent and Opaque Liquids (the Calculation of Dy-

namic Viscosity)’’.Appendix A to Subpart D.

ASTM D613–95:‘‘Standard Test Method for Cetane Number of Diesel Fuel Oil’’ ............................................................................ Appendix A to Subpart D.

ASTM D1319–98:‘‘Standard Test Method for Hydrocarbon Types in Liquid Petroleum Products by Fluorescent Indicator Adsorp-

tion’’.Appendix A to Subpart D.

ASTM D2622–98:‘‘Standard Test Method for Sulfur in Petroleum Products by Wavelength Dispersive X-ray Fluorescence Spec-

trometry’’.Appendix A to Subpart D.

ASTM D5186–96:‘‘Standard Test Method for ‘‘Determination of the Aromatic Content and Polynuclear Aromatic Content of Die-

sel Fuels and Aviation Tubine Fuels By Supercritical Fluid Chromatography’’.Appendix A to Subpart D.

ASTM E29–93a:‘‘Standard Practice for Using Significant Digits in Test Data to Determine Conformance with Specifications’’ .... 89.120; 89.207; 89.509.

* * * * *

Subpart B—[Amended]

15. The newly designated § 89.102 isamended by revising the sectionheading and paragraph (a) and addingnew paragraphs (c), (d), (e), (f), (g), and(h) to read as follows:

§ 89.102 Effective dates, optionalinclusion, flexibility for equipmentmanufacturers.

(a) This subpart applies to all enginesdescribed in § 89.101 with the followingpower rating and manufactured after thefollowing dates:

(1) Less than 19 kW andmanufactured on or after January 1,2000;

(2) Greater than or equal to 19 kW butless than 37 kW and manufactured onor after January 1, 1999;



(5) Greater than or equal to 130 kWbut less than or equal to 560 kW andmanufactured on or after January 1,1996;

(6) Greater than 560 kW andmanufactured on or after January 1,2000.* * * * *

(c) Engines meeting the voluntarystandards described in § 89.112(f) maybe designated as Blue Sky Seriesengines through the 2004 model year.

(d) Implementation flexibility forequipment and vehicle manufacturersand post-manufacture marinizers.Nonroad equipment and vehicle

manufacturers and post-manufacturemarinizers may take any of theotherwise prohibited actions identifiedin § 89.1003(a)(1) with respect tononroad equipment and vehicles andmarine diesel engines, subject to therequirements of paragraph (e) of thissection. The following allowances applyseparately to each engine powercategory subject to standards under§ 89.112:

(1) Percent-of-production allowances.(i) Equipment rated at or above 37 kW.For nonroad equipment and vehicleswith engines rated at or above 37 kW,a manufacturer may take any of theactions identified in § 89.1003(a)(1) fora portion of its U.S.-directed productionvolume of such equipment and vehiclesduring the seven years immediatelyfollowing the date on which Tier 2engine standards first apply to engines


used in such equipment and vehicles,provided that the seven-year sum ofthese portions in each year, as expressedas a percentage for each year, does notexceed 80, and provided that all suchequipment and vehicles or equipmentcontain Tier 1 engines;

(ii) Equipment rated under 37 kW. Fornonroad equipment and vehicles andmarine diesel engines with enginesrated under 37 kW, a manufacturer maytake any of the actions identified in§ 89.1003(a)(1) for a portion of its U.S.-directed production volume of suchequipment and vehicles during theseven years immediately following thedate on which Tier 1 engine standardsfirst apply to engines used in suchequipment and vehicles, provided thatthe seven-year sum of these portions ineach year, as expressed as a percentagefor each year, does not exceed 80.

(2) Small volume allowances. Anonroad equipment or vehiclemanufacturer or post-manufacturemarinizer may exceed the productionpercentages in paragraph (d)(1) of thissection, provided that in each regulatedpower category the manufacturer’s totalof excepted nonroad equipment andvehicles and marine diesel engines:

(i) Over the years in which thepercent-of-production allowance appliesdoes not exceed 100 units times thenumber of years in which the percent-of-production allowance applies; and

(ii) Does not exceed 200 units in anyyear; and

(iii) Does not use engines from morethan one engine family, or, for exceptedequipment vehicles, and marine dieselengines using engines not belonging toany engine family, from more than oneengine manufacturer.

(3) Inclusion of previous-tier engines.Nonroad equipment and vehicles andmarine diesel engines built withprevious tier or noncertified enginesunder the existing inventory provisionsof § 89.1003(b)(4) need not be includedin determining compliance withparagraphs (d)(1) and (d)(2) of thissection.

(e) Recordkeeping and calculation toverify compliance. The following shallapply to nonroad equipment or vehiclemanufacturers and post-manufacturemarinizers who produce exceptedequipment or vehicles or marine dieselengines under the provisions ofparagraph (d) of this section:

(1) For each power category in whichexcepted nonroad equipment orvehicles or marine diesel engines areproduced, a calculation to verifycompliance with the requirements ofparagraph (d) of this section shall bemade by the nonroad equipment orvehicle manufacturer or post-

manufacture marinizer. This calculationshall be made no later than December 31of the year following the last year inwhich allowances are used, and shall bebased on actual production informationfrom the subject years. If both thepercent-of-production and small volumeallowances have been exceeded, thenthe manufacturer is in violation ofsection 203 of the Act and § 89.1003,except as provided under paragraphs (f)and (h) of this section.

(2) A nonroad equipment or vehiclemanufacturer or post-manufacturemarinizer shall keep records of allnonroad equipment and vehicles andmarine diesel engines excepted underthe provisions of paragraph (d) of thissection, for each power category inwhich exceptions are taken. Theserecords shall include equipment andengine model numbers, serial numbers,and dates of manufacture, and enginerated power. In addition, themanufacturer shall keep recordssufficient to demonstrate theverifications of compliance required inparagraph (e)(1) of this section. Allrecords shall be kept until at least twofull years after the final year in whichallowances are available for each powercategory, and shall be made available toEPA upon request.

(f) Hardship relief. Nonroadequipment and vehicle manufacturersand post-manufacture marinizers maytake any of the otherwise prohibitedactions identified in § 89.1003(a)(1) ifapproved by the Administrator, andsubject to the following requirements:

(1) Application for relief must besubmitted to the Engine Programs andCompliance Division of the EPA inwriting prior to the earliest date inwhich the applying manufacturer wouldbe in violation of § 89.1003. Themanufacturer must submit evidenceshowing that the requirements forapproval have been met.

(2) The applying manufacturer mustnot be the manufacturer of the enginesused in the equipment for which reliefis sought. This requirement does notapply to post-manufacture marinizers.

(3) The conditions causing theimpending violation must not besubstantially the fault of the applyingmanufacturer.

(4) The conditions causing theimpending violation must be such thatthe applying manufacturer willexperience serious economic hardship ifrelief is not granted.

(5) The applying manufacturer mustdemonstrate that no allowances underparagraph (d) of this section will beavailable to avoid the impendingviolation.

(6) Any relief granted must beginwithin one year after theimplementation date of the standardapplying to the engines being used inthe equipment, or to the marine dieselengines, for which relief is requested,and may not exceed one year induration.

(7) The Administrator may imposeother conditions on the granting of reliefincluding provisions to recover the lostenvironmental benefit.

(g) Allowance for the production ofengines. Engine manufacturers may takeany of the otherwise prohibited actionsidentified in § 89.1003(a)(1) with regardto uncertified engines or Tier 1 engines,as appropriate, if the enginemanufacturer has received writtenassurance from the equipmentmanufacturer that the engine is requiredto meet the demand for engines createdunder paragraph (d), (f), or (h) of thissection.

(h) Alternative Flexibility for Post-Manufacture Marinizers. Post-manufacture marinizers may elect todelay the effective date of the Tier 1standards in § 89.112 for marine dieselengines rated under 37 kW by one year,instead of using the provisions ofparagraphs (d) and (f) of this section.Post-manufacture marinizers wishing totake advantage of this provision mustinform the Director of the EnginePrograms and Compliance Division oftheir intent to do so in writing beforethe date that the standards wouldotherwise take effect.

16. The newly designated § 89.104 isamended by revising paragraphs (a), (b),and (c) to read as follows:

§ 89.104 Useful life, recall, and warrantyperiods.

(a) The useful life is based on therated power and rated speed of theengine.

(1) For all engines rated under 19 kW,and for constant speed engines ratedunder 37 kW with rated speeds greaterthan or equal to 3,000 rpm, the usefullife is a period of 3,000 hours or fiveyears of use, whichever first occurs.

(2) For all other engines rated at orabove 19 kW and under 37 kW, theuseful life is a period of 5,000 hours orseven years of use, whichever firstoccurs.

(3) For all engines rated at or above 37kW, the useful life is a period of 8,000hours of operation or ten years of use,whichever first occurs.

(b) Engines are subject to recall testingfor a period based on the rated powerand rated speed of the engines.However, in a recall, engines in thesubject class or category would be


subject to recall regardless of actualyears or hours of operation.

(1) For all engines rated under 19 kW,and for constant speed engines ratedunder 37 kW with rated speeds greaterthan or equal to 3,000 rpm, the enginesare subject to recall testing for a periodof 2,250 hours or four years of use,whichever first occurs.

(2) For all other engines rated at orabove 19 kW and under 37 kW, theengines are subject to recall for a periodof 3,750 hours or five years of use,whichever first occurs.

(3) For all engines rated at or above 37kW, the engines are subject to recall fora period of 6,000 hours of operation orseven years of use, whichever firstoccurs.

(c) The warranty periods forwarranties imposed by the Clean AirAct and § 89.1007 for all engines ratedunder 19 kW, and for constant speedengines rated under 37 kW with ratedspeeds greater than or equal to 3,000rpm, are 1,500 hours of operation or twoyears of use, whichever first occurs. Forall other engines, the warranty periodsfor warranties imposed by the Clean AirAct and § 89.1007 are 3,000 hours ofoperation or five years of use, whicheverfirst occurs.* * * * *

17. The newly designated § 89.109 isrevised to read as follows:

§ 89.109 Maintenance instructions andminimum allowable maintenance intervals.

(a) The manufacturer must furnish orcause to be furnished to the ultimatepurchaser of each new nonroad enginesubject to standards under this partwritten instructions for the maintenanceneeded to ensure proper functioning ofthe emission control system. Paragraphs(b) through (h) of this section do notapply to Tier 1 engines with ratedpower at or above 37 kW.

(b) Maintenance performed onequipment, engines, subsystems orcomponents used to determine exhaustemission deterioration factors isclassified as either emission-related ornonemission-related and each of thesecan be classified as either scheduled orunscheduled. Further, some emission-related maintenance is also classified ascritical emission-related maintenance.

(c) This paragraph (c) specifiesemission-related scheduledmaintenance for purposes of obtainingdurability data for nonroad engines. Themaintenance intervals specified beloware minimum intervals:

(1) All emission-related scheduledmaintenance for purposes of obtainingdurability data must occur at the sameor longer hours of use intervals as thosespecified in the manufacturer’s

maintenance instructions furnished tothe ultimate purchaser of the engineunder paragraph (a) of this section. Thismaintenance schedule may be updatedas necessary throughout the testing ofthe engine, provided that nomaintenance operation is deleted fromthe maintenance schedule after theoperation has been performed on thetest equipment or engine.

(2) Any emission-related maintenancewhich is performed on equipment,engines, subsystems, or componentsmust be technologically necessary toensure in-use compliance with theemission standards. The manufacturermust submit data which demonstrate tothe Administrator that all of theemission-related scheduledmaintenance which is to be performedis technologically necessary. Scheduledmaintenance must be approved by theAdministrator prior to being performedor being included in the maintenanceinstructions provided to the purchasersunder paragraph (a) of this section.

(i) The Administrator may requirelonger maintenance intervals than thoselisted in paragraphs (c)(3) and (c)(4) ofthis section where the listed intervalsare not technologically necessary.

(ii) The Administrator may allowmanufacturers to specify shortermaintenance intervals than those listedin paragraphs (c)(3) and (c)(4) of thissection where technologically necessaryfor engines rated under 19 kW, or forconstant speed engines rated under 37kW with rated speeds greater than orequal to 3,000 rpm.

(3) The adjustment, cleaning, repair,or replacement of items listed inparagraphs (c)(3)(i) through (c)(3)(iii) ofthis section shall occur at 1,500 hoursof use and at 1,500-hour intervalsthereafter.

(i) Exhaust gas recirculation system-related filters and coolers.

(ii) Positive crankcase ventilationvalve.

(iii) Fuel injector tips (cleaning only).(4) The adjustment, cleaning and

repair of items in paragraphs (c)(4)(i)through (c)(4)(vii) of this section shalloccur at 3,000 hours of use and at 3,000-hour intervals thereafter for nonroadcompression-ignition engines ratedunder 130 kW, or at 4,500-hour intervalsthereafter for nonroad compression-ignition engines rated at or above 130kW.

(i) Fuel injectors.(ii) Turbocharger.(iii) Electronic engine control unit and

its associated sensors and actuators.(iv) Particulate trap or trap-oxidizer

system (including related components).(v) Exhaust gas recirculation system

(including all related control valves and

tubing) except as otherwise provided inparagraph (c)(3)(i) of this section.

(vi) Catalytic convertor.(vii) Any other add-on emission-

related component (i.e., a componentwhose sole or primary purpose is toreduce emissions or whose failure willsignificantly degrade emission controland whose function is not integral to thedesign and performance of the engine).

(d) Scheduled maintenance notrelated to emissions which is reasonableand technologically necessary (e.g., oilchange, oil filter change, fuel filterchange, air filter change, cooling systemmaintenance, adjustment of idle speed,governor, engine bolt torque, valve lash,injector lash, timing, lubrication of theexhaust manifold heat control valve,etc.) may be performed on durabilityvehicles at the least frequent intervalsrecommended by the manufacturer tothe ultimate purchaser, (e.g., not theintervals recommended for severeservice).

(e) Adjustment of engine idle speedon emission data engines may beperformed once before the low-houremission test point. Any other engine,emission control system, or fuel systemadjustment, repair, removal,disassembly, cleaning, or replacementon emission data vehicles shall beperformed only with advance approvalof the Administrator.

(f) Equipment, instruments, or toolsmay not be used to identifymalfunctioning, maladjusted, ordefective engine components unless thesame or equivalent equipment,instruments, or tools will be available todealerships and other service outletsand:

(1) Are used in conjunction withscheduled maintenance on suchcomponents; or

(2) Are used subsequent to theidentification of a vehicle or enginemalfunction, as provided in paragraph(e) of this section for emission dataengines; or

(3) Specifically authorized by theAdministrator.

(g) All test data, maintenance reports,and required engineering reports shallbe compiled and provided to theAdministrator in accordance with§ 89.124.

(h)(1) The components listed inparagraphs (h)(1)(i) through (h)(1)(vi) ofthis section are defined as criticalemission-related components.

(i) Catalytic converter.(ii) Electronic engine control unit and

its associated sensors and actuators.(iii) Exhaust gas recirculation system

(including all related filters, coolers,control valves, and tubing).


(iv) Positive crankcase ventilationvalve.

(v) Particulate trap or trap-oxidizersystem.

(vi) Any other add-on emission-related component (i.e., a componentwhose sole or primary purpose is toreduce emissions or whose failure willsignificantly degrade emission controland whose function is not integral to thedesign and performance of the engine).

(2) All critical emission-relatedscheduled maintenance must have areasonable likelihood of beingperformed in use. The manufacturermust show the reasonable likelihood ofsuch maintenance being performed in-use. Critical emission-related scheduledmaintenance items which satisfy one ofthe conditions defined in paragraphs(h)(2)(i) through (h)(2)(vi) of this sectionwill be accepted as having a reasonablelikelihood of being performed in use.

(i) Data are presented which establishfor the Administrator a connectionbetween emissions and vehicleperformance such that as emissionsincrease due to lack of maintenance,vehicle performance willsimultaneously deteriorate to a pointunacceptable for typical operation.

(ii) Survey data are submitted whichadequately demonstrate to theAdministrator with an 80 percentconfidence level that 80 percent of suchengines already have this criticalmaintenance item performed in-use atthe recommended interval(s).

(iii) A clearly displayed visible signalsystem approved by the Administratoris installed to alert the equipmentoperator that maintenance is due. Asignal bearing the message‘‘maintenance needed’’ or ‘‘checkengine,’’ or a similar message approvedby the Administrator, shall be actuatedat the appropriate usage point or by

component failure. This signal must becontinuous while the engine is inoperation and not be easily eliminatedwithout performance of the requiredmaintenance. Resetting the signal shallbe a required step in the maintenanceoperation. The method for resetting thesignal system shall be approved by theAdministrator. The system must not bedesigned to deactivate upon the end ofthe useful life of the engine orthereafter.

(iv) A manufacturer may desire todemonstrate through a survey that acritical maintenance item is likely to beperformed without a visible signal on amaintenance item for which there is noprior in-use experience without thesignal. To that end, the manufacturermay in a given model year market up to200 randomly selected vehicles percritical emission-related maintenanceitem without such visible signals, andmonitor the performance of the criticalmaintenance item by the owners toshow compliance with paragraph(h)(2)(ii) of this section. This option isrestricted to two consecutive modelyears and may not be repeated until anyprevious survey has been completed. Ifthe critical maintenance involves morethan one engine family, the sample willbe sales weighted to ensure that it isrepresentative of all the families inquestion.

(v) The manufacturer provides themaintenance free of charge, and clearlyinforms the customer that themaintenance is free in the instructionsprovided under paragraph (a) of thissection.

(vi) The manufacturer uses any othermethod which the Administratorapproves as establishing a reasonablelikelihood that the critical maintenancewill be performed in-use.

(3) Visible signal systems used underparagraph (h)(2)(iii) of this section areconsidered an element of design of theemission control system. Therefore,disabling, resetting, or otherwiserendering such signals inoperativewithout also performing the indicatedmaintenance procedure is a prohibitedact.

18. The newly designated § 89.110 isamended by removing ‘‘and’’ at the endof paragraph (b)(9), by adding asemicolon at the end of paragraph(b)(10), and by adding new paragraphs(b)(11) and (b)(12) to read as follows:

§ 89.110 Emission control informationlabel.

* * * * *(b) * * *(11) Engines belonging to an engine

family that has been certified as aconstant-speed engine using the testcycle specified in Table 2 of appendixB to subpart E of this part must containthe statement on the label: ‘‘constant-speed only’’; and

(12) Engines meeting the voluntarystandards described in § 89.112(f)(1) tobe designated as Blue Sky Seriesengines must contain the statement onthe label: ‘‘Blue Sky Series’’.* * * * *

19. The newly designated § 89.112 isamended by revising paragraphs (a), (b),and (d), and adding new paragraphs (e)and (f) to read as follows:

§ 89.112 Oxides of nitrogen, carbonmonoxide, hydrocarbon, and particulatematter exhaust emission standards.

(a) Exhaust emission from nonroadengines to which this subpart isapplicable shall not exceed theapplicable exhaust emission standardscontained in Table 1, as follows:



(b) Exhaust emissions of oxides ofnitrogen, carbon monoxide,hydrocarbon, and nonmethanehydrocarbon are measured using theprocedures set forth in subpart E of thispart.* * * * *

(d) In lieu of the NOX standards,NMHC + NOX standards, and PMstandards specified in paragraph (a) ofthis section, manufacturers may elect toinclude engine families in the averaging,banking, and trading program, theprovisions of which are specified in

subpart C of this part. The manufacturermust set a family emission limit (FEL)not to exceed the levels contained inTable 2. The FEL established by themanufacturer serves as the standard forthat engine family. Table 2 follows:




(e) Naturally aspirated nonroadengines to which this subpart isapplicable shall not discharge crankcaseemissions into the ambient atmosphere,unless such crankcase emissions arepermanently routed into the exhaustand included in all exhaust emissionmeasurements. This provision applies toall Tier 2 engines and later models. Thisprovision does not apply to enginesusing turbochargers, pumps, blowers, orsuperchargers for air induction.

(f) The following paragraphs definethe requirements for low-emitting BlueSky Series engines:

(1) Voluntary standards. Engines maybe designated ‘‘Blue Sky Series’’ enginesthrough the 2004 model year by meetingthe voluntary standards listed in Table3, which apply to all certification andin-use testing, as follows:

TABLE 3.—VOLUNTARY EMISSIONSTANDARDS (G/KW-HR)

Rated BrakePower (kW) NMHC+NOX PM

kW<8 ....................... 4.6 0.488≤kW<19 ................. 4.5 0.4819≤kW<37 ............... 4.5 0.3637≤kW<75 ............... 4.7 0.2475≤kW<130 ............. 4.0 0.18130≤kW≤560 ........... 4.0 0.12kW>560 ................... 3.8 0.12

(2) Additional standards. Blue SkySeries engines are subject to allprovisions that would otherwise applyunder this part, except as specified inparagraph (f)(3) of this section.

(3) Test procedures. NOX, NMHC, andPM emissions are measured using theprocedures set forth in 40 CFR part 86,subpart N, in lieu of the procedures setforth in subpart E of this part. COemissions may be measured using theprocedures set forth either in 40 CFRpart 86, subpart N, or in Subpart E ofthis part. Manufacturers may use analternate procedure to demonstrate thedesired level of emission control ifapproved in advance by theAdministrator. Engines meeting therequirements to qualify as Blue SkySeries engines must be capable ofmaintaining a comparable level ofemission control when tested using theprocedures set forth in paragraph (c) ofthis section and subpart E of this part.The numerical emission levelsmeasured using the procedures fromsubpart E of this part may be up to 20percent higher than those measuredusing the procedures from 40 CFR part86, subpart N, and still be consideredcomparable.

20. The newly designated § 89.113 isamended by revising paragraph (b) and

adding new paragraph (c) to read asfollows:

§ 89.113 Smoke emission standard.

* * * * *(b) Opacity levels are to be measured

and calculated as set forth in 40 CFRpart 86, subpart I. Notwithstanding theprovisions of 40 CFR part 86, subpart I,two-cylinder nonroad engines may betested using an exhaust muffler that isrepresentative of exhaust mufflers usedwith the engines in use.

(c) The following engines are exemptfrom the requirements of this section:

(1) Single-cylinder engines;(2) Propulsion marine diesel engines;

and(3) Constant-speed engines.21. The newly designated § 89.114 is

amended by revising the sectionheading, paragraph (a) and the headingof paragraph (b) to read as follows:

§ 89.114 Special and alternate testprocedures.

(a) Special test procedures. TheAdministrator may, on the basis ofwritten application by a manufacturer,establish special test procedures otherthan those set forth in this part, for anynonroad engine that the Administratordetermines is not susceptible tosatisfactory testing under the specifiedtest procedures set forth in subpart E ofthis part or 40 CFR part 86, subpart I.

(b) Alternate test procedures. * * *22. The newly designated § 89.116 is

amended by adding a new paragraph (e)to read as follows:

§ 89.116 Engine families.

* * * * *(e)(1) This paragraph (e) applies only

to the placement of Tier 1 engines withpower ratings under 37 kW into enginefamilies. The provisions of paragraphs(a) through (d) of this section also applyto these engines. The power categoriesreferred to in this paragraph (e) arethose for which separate standards orimplementation dates are described in§ 89.112.

(2) A manufacturer may place engineswith power ratings in one powercategory into an engine familycomprised of engines with powerratings in another power category, andconsider all engines in the engine familyas being in the latter power category forthe purpose of determining compliancewith the standards and otherrequirements of this part, subject toapproval in advance by theAdministrator and the followingrestrictions:

(i) The engines that have powerratings outside the engine family’spower category must constitute less

than half of the engine family’s sales ineach model year for which the enginefamily grouping is made; and

(ii) The engines that have powerratings outside the engine family’spower category must have power ratingsthat are within ten percent of either ofthe two power levels that define theengine family’s power category.

(3) The restrictions described inparagraphs (e)(2)(i) and (e)(2)(ii) of thissection do not apply if the emissionsstandards and other requirements of thispart are at least as stringent for theengine family’s power category as thoseof the other power categories containingengines in the engine family.

23. The newly designated § 89.117 isamended by revising paragraph (a) andadding a new paragraph (d) to read asfollows:

§ 89.117 Test fleet selection.

(a) The manufacturer must select fortesting, from each engine family, theengine with the most fuel injected perstroke of an injector, primarily at thespeed of maximum torque andsecondarily at rated speed.* * * * *

(d) For establishing deteriorationfactors, the manufacturer shall select theengines, subsystems, or components tobe used to determine exhaust emissiondeterioration factors for each engine-family control system combination.Engines, subsystems, or componentsshall be selected so that their emissiondeterioration characteristics areexpected to represent those of in-useengines, based on good engineeringjudgment.

24. The newly designated § 89.118 isamended by revising the sectionheading and adding new introductorytext and a new paragraph (e) to read asfollows:

§ 89.118 Deterioration factors and serviceaccumulation.

This section applies to serviceaccumulation used to determinedeterioration factors and serviceaccumulation used to condition testengines. Paragraphs (a) and (b) of thissection apply only for serviceaccumulation used to condition testengines. Paragraph (e) of this sectionapplies only for service accumulationused to determine deterioration factors.Paragraphs (c) and (d) of this sectionapply for all service accumulationrequired by this part.* * * * *

(e) This paragraph (e) describesservice accumulation and alternativerequirements for the purpose ofdeveloping deterioration factor.


(1) Service accumulation on engines,subsystems, or components selected bythe manufacturer under § 89.117(d). Themanufacturer shall describe the formand extent of this service accumulationin the application for certification.

(2) Determination of exhaust emissiondeterioration factors. The manufacturershall determine the deterioration factorsin accordance with the applicableprovisions of this part based on serviceaccumulation and related testing,according to the manufacturer’sprocedures, except as provided inparagraph (e)(3) of this section.

(3) Alternatives to serviceaccumulation and testing for thedetermination of a deterioration factor.A written explanation of theappropriateness of using an alternativemust be included in the application forcertification.

(i) Carryover and carryacross ofdurability emission data. In lieu oftesting an emission data or durabilitydata engine selected under § 89.117(d),a manufacturer may, with Administratorapproval, use exhaust emissiondeterioration data on a similar enginefor which certification to the samestandard has previously been obtainedor for which all applicable data requiredunder § 89.124 has previously beensubmitted. This data must be submittedin the application for certification.

(ii) Use of on-highway deteriorationdata. In the case where a manufacturerproduces a certified on-highway enginethat is similar to the nonroad engine tobe certified, deterioration data from theon-highway engine may be applied tothe nonroad engine. This application ofdeterioration data from an on-highwayengine to a nonroad engine is subject toAdministrator approval, and thedetermination of whether the enginesare similar must be based on goodengineering judgment.

(iii) Engineering analysis forestablished technologies. (A) In the casewhere an engine family uses establishedtechnology, an analysis based on goodengineering practices may be used inlieu of testing to determine adeterioration factor for that enginefamily, subject to Administratorapproval.

(B) Engines for which the certificationlevels are not at or below the Tier 3NMHC+NOX standards described in§ 89.112 are considered establishedtechnology, except as provided inparagraph (e)(3)(iii)(D) of this section.

(C) Manufacturers may petition theAdministrator to consider an enginewith a certification level below the Tier3 NMHC+NOX standards as establishedtechnology. This petition must be basedon proof that the technology used is not

significantly different than that used onengines that have certification levelsthat are not below the Tier 3NMHC+NOX levels.

(D) Engines using exhaust gasrecirculation or aftertreatment areexcluded from the provision set forth inparagraphs (e)(3)(iii)(A) through(e)(3)(iii)(C) of this section.

(E) The manufacturer shall provide awritten statement to the Administratorthat all data, analyses, test procedures,evaluations, and other documents, onwhich the deterioration factor is based,are available to the Administrator uponrequest.

(iv) Interim provision for enginesrated under 37 kW. For model year 1999and 2000 engines rated under 37 kW,manufacturers may determinedeterioration factors based on goodengineering judgement and reasonablyavailable information. The manufacturermust maintain and provide to theAdministrator, if requested, allinformation used to determinedeterioration factors for these engines.

25. The newly designated § 89.119 isamended by revising paragraph (d) toread as follows:

§ 89.119 Emission tests.

* * * * *(d) The provisions of this paragraph

(d) apply only to Tier 1 nonroad engineswithout exhaust aftertreatment rated ator above 37 kW.

(1) Particulate emissionmeasurements from Tier 1 nonroadengines without exhaust aftertreatmentrated at or above 37 kW may be adjustedto a sulfur content of 0.05 weightpercent.

(2) Adjustments to the particulatemeasurement shall be made using thefollowing equation:

PMadj=PM-[BSFC × 0.0917 × (FSF–0.0005)]Where:PMadj=adjusted measured PM level [g/

Kw-hr].PM=measured weighted PM level [g/

Kw-hr].BSFC=measured brake specific fuel

consumption [G/Kw-hr].FSF=fuel sulfur weight fraction.

(3) Where a manufacturer certifiesusing test fuel with a sulfur content lessthan or equal to 0.050 weight percent,EPA shall not use emission datacollected using test fuel with a sulfurcontent greater than 0.050 weightpercent to determine compliance withthe Tier 1 PM standards.

(4) Where a manufacturer certifiesusing test fuel with a sulfur contentgreater than 0.050 weight percent, EPAshall not use emission data collected

using test fuel with a sulfur contentgreater than 0.050 weight percent todetermine compliance with the Tier 1PM standards, unless EPA adjusts thePM measurement using the equationspecified in paragraph (d)(2) of thissection.

26. The newly designated § 89.120 isamended by revising paragraph (c) andadding paragraph (e) to read as follows:

§ 89.120 Compliance with emissionstandards.

* * * * *(c) For each nonroad engine family,

except Tier 1 engine families with ratedpower at or above 37 kW that do notemploy aftertreatment, a deteriorationfactor must be determined and applied.

(1) The applicable exhaust emissionstandards (or family emission limits, asappropriate) for nonroad compression-ignition engines apply to the emissionsof engines for their useful life.

(2) [Reserved](3)(i) This paragraph (c)(3) describes

the procedure for determiningcompliance of an engine with emissionstandards (or family emission limits, asappropriate), based on deteriorationfactors supplied by the manufacturer.The NMHC + NOX deterioration factorsshall be established based on the sum ofthe pollutants, except as provided inparagraph (c)(3)(iv) of this section.When establishing deterioration factorsfor NMHC + NOX, a negativedeterioration (emissions decrease fromthe official emissions test result) for onepollutant may not offset deterioration ofthe other pollutant.

(ii) Separate emission deteriorationfactors, determined by the manufactureraccording to the requirements of§ 89.118, shall be provided in thecertification application for each engine-system combination. Separatedeterioration factors shall be establishedfor each regulated pollutant, except thata combined NMHC + NOX deteriorationfactor shall be established forcompression-ignition nonroad enginesnot utilizing aftertreatment technology.For smoke testing, separate deteriorationfactors shall also be established for theacceleration mode (designated as ‘‘A’’),the lugging mode (designated as ‘‘B’’),and peak opacity (designated as ‘‘C’’).

(iii) Compression-ignition nonroadengines not utilizing aftertreatmenttechnology (e.g., particulate traps). ForCO, NMHC + NOX, and particulate, theofficial exhaust emission results foreach emission data engine at theselected test point shall be adjusted byaddition of the appropriate deteriorationfactor. However, if the deteriorationfactor supplied by the manufacturer is


less than zero, it shall be zero for thepurposes of this paragraph (c)(3)(iii).

(iv) Compression-ignition nonroadengines utilizing aftertreatmenttechnology (e.g., particulate traps). ForCO, NMHC + NOX, and particulate, theofficial exhaust emission results foreach emission data engine at theselected test point shall be adjusted bymultiplication by the appropriatedeterioration factor. Separate NMHCand NOX deterioration factors shall beapplied to the results for thesepollutants prior to combining theresults. If the deterioration factorsupplied by the manufacturer is lessthan one, it shall be one for thepurposes of this paragraph (c)(3)(iv).

(v) For acceleration smoke (‘‘A’’),lugging smoke (‘‘B’’), and peak opacity(‘‘C’’), the official exhaust emissionresults for each emission data engine atthe selected test point shall be adjustedby the addition of the appropriatedeterioration factor. However if thedeterioration supplied by themanufacturer is less than zero, it shallbe zero for the purposes of thisparagraph (c)(3)(v).

(vi) The emission values to comparewith the standards (or family emissionlimits, as appropriate) shall be theadjusted emission values of paragraphs(c)(3)(iii) through (v) of this section,rounded to the same number ofsignificant figures as contained in theapplicable standard in accordance withASTM E29–93a, for each emission dataengine. This procedure has beenincorporated by reference at § 89.6.

(4) Every test engine of an enginefamily must comply with all applicablestandards (or family emission limits, asappropriate), as determined inparagraph (c)(3)(vi) of this section,before any engine in that family will becertified.* * * * *

(e) For the purposes of setting anNMHC + NOX certification level or FEL,one of the following options shall beused for the determination of NMHC foran engine family. The manufacturermust declare which option is used in itsapplication for certification of thatengine family.

(1) The manufacturer may assume thatup to two percent of the measured THCis methane (NMHC = 0.98 × THC).

(2) The manufacturer may measureNMHC emissions using a methodapproved by the Administrator prior tothe start of testing. This option allowsthe determination of NMHC emissionsby subtracting measured methaneemissions from measured THCemissions.

27. The newly designated § 89.124 isamended by adding paragraph (a)(3) toread as follows:

§ 89.124 Record retention, maintenance,and submission.

(a) * * *(3) Information required to be kept by

the manufacturer in § 89.118(e)(3) foralternatives to service accumulation andtesting for the determination of adeterioration factor.* * * * *

28. The newly designated § 89.125 isamended by revising paragraph (b) toread as follows:

§ 89.125 Production engines, annualreport.

* * * * *(b) The manufacturer must annually,

within 30 days after the end of themodel year, notify the Administrator ofthe number of engines produced byengine family, by gross power, bydisplacement, by fuel system, and, forengines produced under the provisionof § 89.102(g), by engine model andpurchaser (or shipping destination forengines used by the enginemanufacturer), or by other categories asthe Administrator may require.

29. The newly designated § 89.126 isamended by revising paragraph (c) toread as follows:

§ 89.126 Denial, revocation of certificate ofconformity.

* * * * *(c) If a manufacturer knowingly

commits an infraction specified inparagraph (b)(1) or (b)(4) of this section,knowingly commits any otherfraudulent act which results in theissuance of a certificate of conformity,or fails to comply with the conditionsspecified in § 89.203(d), § 89.206(c),§ 89.209(c) or § 89.210(g), theAdministrator may deem suchcertificate void ab initio.* * * * *

30. A new § 89.130 is added tosubpart B to read as follows:

§ 89.130 Rebuild practices.(a) The provisions of this section are

applicable to engines subject to thestandards prescribed in § 89.112 and areapplicable to the process of enginerebuilding (or rebuilding a portion of anengine or engine system). This sectiondoes not apply to Tier 1 engines ratedat or above 37 kW. The process ofengine rebuilding generally includesdisassembly, replacement of multipleparts due to wear, and reassembly, andalso may include the removal of theengine from the vehicle and other actsassociated with rebuilding an engine.

(b) When rebuilding an engine,portions of an engine, or an enginesystem, there must be a reasonabletechnical basis for knowing that theresultant engine is equivalent, from anemissions standpoint, to a certifiedconfiguration (i.e., tolerances,calibrations, specifications), and themodel year(s) of the resulting engineconfiguration must be identified. Areasonable basis would exist if:

(1) Parts installed, whether the partsare new, used, or rebuilt, are such thata person familiar with the design andfunction of motor vehicle engines wouldreasonably believe that the partsperform the same function with respectto emission control as the original parts;and

(2) Any parameter adjustment ordesign element change is made only:

(i) In accordance with the originalengine manufacturer’s instructions; or

(ii) Where data or other reasonabletechnical basis exists that suchparameter adjustment or design elementchange, when performed on the engineor similar engines, is not expected toadversely affect in-use emissions.

(c) When an engine is being rebuiltand remains installed or is reinstalled inthe same equipment, it must be rebuiltto a configuration of the same or latermodel year as the original engine. Whenan engine is being replaced, thereplacement engine must be an engineof (or rebuilt to) a certified configurationthat is equivalent, from an emissionsstandpoint, to the engine beingreplaced.

(d) At time of rebuild, emission-related codes or signals from on-boardmonitoring systems may not be erasedor reset without diagnosing andresponding appropriately to thediagnostic codes, regardless of whetherthe systems are installed to satisfyrequirements in § 89.109 or for otherreasons and regardless of form orinterface. Diagnostic systems must befree of all such codes when the rebuiltengine is returned to service. Suchsignals may not be rendered inoperativeduring the rebuilding process.

(e) When conducting a rebuildwithout removing the engine from theequipment, or during the installation ofa rebuilt engine, all critical emission-related components listed in 40 CFRpart 86, subpart B, not otherwiseaddressed by paragraphs (b) through (d)of this section must be checked andcleaned, adjusted, repaired, or replacedas necessary, following manufacturerrecommended practices.

(f) Records shall be kept by partiesconducting activities included inparagraphs (b) through (e) of thissection. The records shall include at


minimum the hours of operation at timeof rebuild, a listing of work performedon the engine, and emission-relatedcontrol components including a listingof parts and components used, engineparameter adjustments, emission-relatedcodes or signals responded to and reset,and work performed under paragraph(e) of this section.

(1) Parties may keep records inwhatever format or system they chooseas long as the records areunderstandable to an EPA enforcementofficer or can be otherwise provided toan EPA enforcement officer in anunderstandable format when requested.

(2) Parties are not required to keeprecords of information that is notreasonably available through normalbusiness practices includinginformation on activities not conductedby themselves or information that theycannot reasonably access.

(3) Parties may keep records of theirrebuilding practices for an engine familyrather than on each individual enginerebuilt in cases where those rebuildpractices are followed routinely.

(4) Records must be kept for aminimum of two years after the engineis rebuilt.

Subpart C—[Amended]


§ 89.203 General provisions.

(a) The averaging, banking, andtrading programs for NOX, NMHC+NOX,and PM emissions from eligible nonroadengines are described in this subpart.Participation in these programs isvoluntary.

(b) Requirements for Tier 1 enginesrated at or above 37 kW. (1) A nonroadengine family is eligible to participate inthe averaging, banking, and tradingprogram for NOX emissions and thebanking and trading program for PMemissions if it is subject to regulationunder subpart B of this part with certainexceptions specified in paragraph (b)(2)of this section. No averaging, banking,and trading program is available formeeting the Tier 1 HC, CO, or smokeemission standards specified in subpartB of this part. No averaging program isavailable for meeting the Tier 1 PMemission standards specified in subpartB of this part.

(2) Nonroad engines may notparticipate in the averaging, banking,and trading programs if they areexported or are sold as Blue Sky Seriesengines as described in § 89.112(f).Nonroad engines certified on a specialtest procedure under § 89.114(a), maynot participate in the averaging, banking

and trading programs unless themanufacturer has requested that theengines be included in the averaging,banking, and trading programs at thetime the request for the special testprocedure is made and has been grantedapproval by the Administrator forinclusion in the averaging, banking, andtrading programs.

(3) A manufacturer may certify one ormore nonroad engine families at NOX

family emission limits (FELs) above orbelow the Tier 1 NOX emissionstandard, provided the summation ofthe manufacturer’s projected balance ofall NOX credit transactions in a givenmodel year is greater than or equal tozero, as determined under § 89.207(a). Amanufacturer may certify one or morenonroad engine families at PM FELsbelow the Tier 2 PM emission standardthat will be applicable to those enginefamilies.

(i) FELs for NOX may not exceed theTier 1 upper limit specified in§ 89.112(d).

(ii) An engine family certified to anFEL is subject to all provisions specifiedin this part, except that the applicableFEL replaces the emission standard forthe family participating in theaveraging, banking, and tradingprogram.

(iii) A manufacturer of an enginefamily with a NOX FEL exceeding theTier 1 NOX emission standard mustobtain NOX emission credits sufficientto address the associated credit shortfallvia averaging, banking, or trading.

(iv) An engine family with a NOX FELbelow the applicable Tier 1 standardmay generate emission credits foraveraging, banking, trading, or acombination thereof. An engine familywith a PM FEL below the Tier 2standard that will be applicable to thatengine family may generate emissioncredits for banking, trading, or acombination thereof. Emission creditsmay not be used to offset an enginefamily’s emissions that exceed itsapplicable FEL. Credits may not be usedto remedy nonconformity determined bya Selective Enforcement Audit (SEA) orby recall (in-use) testing. However, inthe case of an SEA failure, credits maybe used to allow subsequent productionof engines for the family in question ifthe manufacturer elects to recertify to ahigher FEL.

(4) NOX credits generated in a givenmodel year may be used to addresscredit shortfalls with other enginesduring that model year or in anysubsequent model year except as notedunder paragraph (b)(5)(ii) of this section.PM credits may be used to addresscredit shortfalls with Tier 2 and laterengines greater than or equal to 37 kW

and Tier 1 and later engines less than 37kW and greater than or equal to 19 kW.Credits generated in one model yearmay not be used for prior model years.

(5) The following provisions apply tothe use of Tier 1 NOX credits forshowing compliance with the Tier 2 orTier 3 NMHC+NOX standards.

(i) A manufacturer may use NOX

credits from engines subject to the Tier1 NOX standard to address NMHC+NOX

credit shortfalls with engines in thesame averaging set subject to Tier 1NMHC+NOX or Tier 2 NMHC+NOX

emission standards.(ii) A manufacturer may not use NOX

credits from engines subject to the Tier1 standards to address NMHC+NOX

credit shortfalls with engines subject tothe Tier 3 NMHC+NOX emissionstandards.

(c) Requirements for Tier 2 and laterengines rated at or above 37 kW andTier 1 and later engines rated under 37kW.

(1) A nonroad engine family is eligibleto participate in the averaging, banking,and trading programs for NMHC+NOX

emissions and PM emissions if it issubject to regulation under subpart B ofthis part with certain exceptionsspecified in paragraph (c)(2) of thissection. No averaging, banking, andtrading program is available for meetingthe CO or smoke emission standardsspecified in subpart B of this part.

(2) Nonroad engines may notparticipate in the averaging, banking,and trading programs if they areexported or are sold as Blue Sky Seriesengines as described in § 89.112(f).Nonroad engines certified on a specialtest procedure under § 89.114(a), maynot participate in the averaging, bankingand trading programs unless themanufacturer has requested that theengines be included in the averaging,banking, and trading programs at thetime the request for the special testprocedure is made and has been grantedapproval by the Administrator forinclusion in the averaging, banking, andtrading programs.

(3)(i) A manufacturer may certify oneor more nonroad engine families at FELsabove or below the applicableNMHC+NOX emission standard and PMemission standard, provided thesummation of the manufacturer’sprojected balance of all NMHC+NOX

credit transactions and the summationof the manufacturer’s projected balanceof all PM credit transactions in a givenmodel year in a given averaging set isgreater than or equal to zero, asdetermined under § 89.207(b).

(A) FELs for NMHC+NOX and FELsfor PM may not exceed the upper limitsspecified in § 89.112(d).


(B) An engine family certified to anFEL is subject to all provisions specifiedin this part, except that the applicableFEL replaces the emission standard forthe family participating in theaveraging, banking, and tradingprogram.

(C) A manufacturer of an enginefamily with an FEL exceeding theapplicable emission standard mustobtain emission credits sufficient toaddress the associated credit shortfallvia averaging, banking, or trading,within the restrictions described in§ 89.204(c) and § 89.206(b)(4).

(D) An engine family with an FELbelow the applicable standard maygenerate emission credits for averaging,banking, trading, or a combinationthereof. Emission credits may not beused to offset an engine family’semissions that exceed its applicableFEL. Credits may not be used to remedynonconformity determined by aSelective Enforcement Audit (SEA) orby recall (in-use) testing. However, inthe case of an SEA failure, credits maybe used to allow subsequent productionof engines for the family in question ifthe manufacturer elects to recertify to ahigher FEL.

(ii)(A) In lieu of generating creditsunder paragraph (c)(3)(i) of this section,a manufacturer may certify one or morenonroad engine families rated under 37kW at family emission limits (FELs)above or below the applicableNMHC+NOX emission standard and PMemission standard. The summation ofthe manufacturer’s projected balance ofall NMHC+NOX credit transactions andthe summation of the manufacturer’sprojected balance of all PM credittransactions in a given model year, asdetermined under § 89.207(b), are eachallowed to be less than zero. Separatecalculations shall be required for thefollowing two categories of engines:engines rated under 19 kW and enginesrated at or above 19 kW and under 37kW.

(B) For each calendar year a negativecredit balance exists as of December 31,a penalty equal to ten percent of thenegative credit balance as of December31 of the calendar year shall be addedto the negative credit balance. Theresulting negative credit balance shallbe carried into the next calendar year.

(C) For engines rated under 19 kW, amanufacturer will be allowed to carryover a negative credit balance untilDecember 31, 2003. For engines rated ator above 19 kW and under 37 kW, amanufacturer will be allowed to carryover a negative credit balance untilDecember 31, 2002. As of these dates,the summation of the manufacturer’sprojected balance of all NMHC+NOX

credit transactions and the summationof the manufacturer’s projected balanceof all PM credit transactions must eachbe greater than or equal to zero.

(D) FELs for NMHC+NOX and FELsfor PM may not exceed the upper limitsspecified in § 89.112(d).

(E) An engine family certified to anFEL is subject to all provisions specifiedin this part, except that the applicableNMHC+NOX FEL or PM FEL replacesthe NMHC+NOX emission standard orPM emission standard for the familyparticipating in the averaging andbanking program.

(F) A manufacturer of an enginefamily with an FEL exceeding theapplicable emission standard mustobtain emission credits sufficient toaddress the associated credit shortfallvia averaging or banking. The exchangeof emission credits generated under thisprogram with other nonroad enginemanufacturers in trading is not allowed.

(G) An engine family with an FELbelow the applicable standard maygenerate emission credits for averaging,banking, or a combination thereof.Emission credits may not be used tooffset an engine family’s emissions thatexceed its applicable FEL. Credits maynot be used to remedy nonconformitydetermined by a Selective EnforcementAudit (SEA) or by recall (in-use) testing.However, in the case of an SEA failure,credits may be used to allow subsequentproduction of engines for the family inquestion if the manufacturer elects torecertify to a higher FEL.

(4)(i) Except as noted in paragraphs(c)(4)(ii), (c)(4)(iii), and (c)(4)(iv) of thissection, credits generated in a givenmodel year may be used during thatmodel year or used in any subsequentmodel year. Except as allowed underparagraph (c)(3)(ii) of this section,credits generated in one model year maynot be used for prior model years.

(ii) Credits generated from enginesrated under 19 kW prior to theimplementation date of the applicableTier 2 standards, shall expire onDecember 31, 2007.

(iii) Credits generated from enginesrated under 19 kW under the provisionsof paragraph (c)(3)(ii) shall expire onDecember 31, 2003.

(iv) Credits generated from enginesrated at or above 19 kW and under 37kW under the provisions of paragraph(c)(3)(ii) of this section shall expire onDecember 31, 2002.

(5) Except as provided in paragraph(b)(3) of this section, engine familiesmay not generate credits for onepollutant while also using credits foranother pollutant in the same modelyear.

(d) Manufacturers must demonstratecompliance under the averaging,banking, and trading programs for aparticular model year within 270 daysof the end of the model year. Except asallowed under paragraph (c)(3)(ii) ofthis section, manufacturers that havecertified engine families to FELs abovethe applicable emission standards anddo not have sufficient emission creditsto offset the difference between theemission standards and the FEL for suchengine families will be in violation ofthe conditions of the certificate ofconformity for such engine families. Thecertificates of conformity may be voidedab initio under § 89.126(c) for thoseengine families.


§ 89.204 Averaging.

(a) Requirements for Tier 1 enginesrated at or above 37 kW. A manufacturermay use averaging to offset an emissionexceedance of a nonroad engine familycaused by a NOX FEL above theapplicable emission standard. NOX

credits used in averaging may beobtained from credits generated byanother engine family in the samemodel year, credits banked in a previousmodel year, or credits obtained throughtrading.

(b) Requirements for Tier 2 and laterengines rated at or above 37 kW andTier 1 and later engines rated under 37kW. A manufacturer may use averagingto offset an emission exceedance of anonroad engine family caused by anNMHC+NOX FEL or a PM FEL above theapplicable emission standard. Creditsused in averaging may be obtained fromcredits generated by another enginefamily in the same model year, creditsbanked in previous model years thathave not expired, or credits obtainedthrough trading. The use of credits shallbe within the restrictions described inparagraph (c) of this section,§ 89.206(b)(4) and § 89.203(b)(5)(ii).

(c) Averaging sets for emission credits.The averaging and trading of NOX

emission credits, NMHC + NOX

emission credits, and PM emissionscredits will only be allowed betweenengine families in the same averagingset. The averaging sets for the averagingand trading of NOX emission credits,NMHC + NOX emission credits, and PMemission credits for nonroad engines aredefined as follows:

(1) Eligible engines rated at or above19 kW, other than marine dieselengines, constitute an averaging set.

(2) Eligible engines rated under 19kW, other than marine diesel engines,constitute an averaging set.


(3) Marine diesel engines rated at orabove 19 kW constitute an averaging set.Emission credits generated from marinediesel engines rated at or above 19 kWmay be used to address credit shortfallsfor eligible engines rated at or above 19kW other than marine diesel engines.

(4) Marine diesel engines rated under19 kW constitute an averaging set.Emission credits generated from marinediesel engines rated under 19 kW maybe used to address credit shortfalls foreligible engines rated under 19 kW otherthan marine diesel engines.


§ 89.205 Banking.(a) Requirements for Tier 1 engines

rated at or above 37 kW. (1) Amanufacturer of a nonroad enginefamily with a NOX FEL below theapplicable standard for a given modelyear may bank credits in that modelyear for use in averaging and trading inany subsequent model year.

(2) A manufacturer of a nonroadengine family may bank NOX credits upto one calendar year prior to theeffective date of mandatory certification.Such engines must meet therequirements of subparts A, B, D, E, F,G, H, I, J, and K of this part.

(3)(i) A manufacturer of a nonroadengine family may bank PM credits fromTier 1 engines under the provisionsspecified in § 89.207(b) for use inaveraging and trading in the Tier 2 orlater timeframe.

(ii) Such engine families are subject toall provisions specified in subparts A, B,D, E, F, G, H, I, J, and K of this part,except that the applicable PM FELreplaces the PM emission standard forthe family participating in the bankingand trading program.

(b) Requirements for Tier 2 and laterengines rated at or above 37 kW andTier 1 and later engines rated under 37kW. (1) A manufacturer of a nonroadengine family with an NMHC + NOX

FEL or a PM FEL below the applicablestandard for a given model year maybank credits in that model year for usein averaging and trading in anyfollowing model year.

(2) For engine rated under 37 kW, amanufacturer of a nonroad enginefamily may bank credits prior to theeffective date of mandatory certification.Such engines must meet therequirements of subparts A, B, D, E, F,G, H, I, J, and K of this part.

(c) A manufacturer may bank actualcredits only after the end of the modelyear and after EPA has reviewed themanufacturer’s end-of-year reports.During the model year and beforesubmittal of the end-of-year report,

credits originally designated in thecertification process for banking will beconsidered reserved and may beredesignated for trading or averaging inthe end-of-year report and final report.

(d) Credits declared for banking fromthe previous model year that have notbeen reviewed by EPA may be used inaveraging or trading transactions.However, such credits may be revokedat a later time following EPA review ofthe end-of-year report or any subsequentaudit actions.


§ 89.206 Trading.(a) Requirements for Tier 1 engines

rated at or above 37 kW. (1) A nonroadengine manufacturer may exchangeemission credits with other nonroadengine manufacturers within the sameaveraging set in trading.

(2) Credits for trading can be obtainedfrom credits banked in a previous modelyear or credits generated during themodel year of the trading transaction.

(3) Traded credits can be used foraveraging, banking, or further tradingtransactions within the restrictionsdescribed in § 89.204(c).

(b) Requirements for Tier 2 and laterengines rated at or above 37 kW andTier 1 and later engines rated under 37kW. (1) A nonroad engine manufacturermay exchange emission credits withother nonroad engine manufacturerswithin the same averaging set in trading.

(2) Credits for trading can be obtainedfrom credits banked in previous modelyears that have not expired or creditsgenerated during the model year of thetrading transaction.

(3) Traded credits can be used foraveraging, banking, or further tradingtransactions within the restrictionsdescribed in § 89.204(c) and paragraph(b)(4) of this section.

(4) Emission credits generated fromengines rated at or above 19 kWutilizing indirect fuel injection may notbe traded to other manufacturers.

(c) In the event of a negative creditbalance resulting from a transaction,both the buyer and the seller are liable,except in cases deemed involving fraud.Certificates of all engine familiesparticipating in a negative trade may bevoided ab initio under § 89.126(c).


§ 89.207 Credit calculation.(a) Requirements for calculating NOX

credits from Tier 1 engines rated at orabove 37 kW. (1) For each participatingengine family, emission credits (positiveor negative) are to be calculatedaccording to one of the following

equations and rounded, in accordancewith ASTM E29–93a, to the nearest one-hundredth of a megagram (Mg). ThisASTM procedure has been incorporatedby reference (see § 89.6). Consistentunits are to be used throughout theequation.

(i) For determining credit availabilityfrom all engine families generatingcredits: Emission credits = (Std¥FEL) ×(Volume) × (AvgPR) × (UL) ×(Adjustment) × (10¥6)

(ii) For determining credit usage forall engine families requiring credits tooffset emissions in excess of thestandard:Emission credits = (Std¥FEL) ×

(Volume) × (AvgPR) × (UL) × (10¥6)Where:Std = the applicable Tier 1 NOX nonroad

engine emission standard, in grams perkilowatt-hour.

FEL = the NOX family emission limit for theengine family in grams per kilowatt-hour.

Volume = the number of nonroad engineseligible to participate in the averaging,banking, and trading program within thegiven engine family during the modelyear. Engines sold to equipment orvehicle manufacturers under theprovisions of § 89.102(g) shall not beincluded in this number. Quarterlyproduction projections are used forinitial certification. Actual applicableproduction/sales volume is used for end-of-year compliance determination.

AvgPR = the average power rating of all ofthe configurations within an enginefamily, calculated on a sales-weightedbasis, in kilowatts.

UL = the useful life for the engine family, inhours.

Adjustment = a one-time adjustment, asspecified in paragraph (a)(2) of thissection, to be applied to Tier 1 NOX

credits to be banked or traded fordetermining compliance with the Tier 1NOX standards or Tier 2 NOX+NMHCstandards specified in subpart B of thispart. Banked credits traded in asubsequent model year will not besubject to an additional adjustment.Banked credits used in a subsequentmodel year’s averaging program will nothave the adjustment restored.

(2) If an engine family is certified toa NOX FEL of 8.0 g/kW-hr or less, anAdjustment value of 1.0 shall be used inthe credit generation calculationdescribed in paragraph (a)(1)(i) of thissection. If an engine family is certifiedto a NOX FEL above 8.0 g/kW-hr, anAdjustment value of 0.65 shall be usedin the credit generation calculationdescribed in paragraph (a)(1)(i) of thissection. If the credits are to be used bythe credit-generating manufacturer foraveraging purposes in the same modelyear in which they are generated, anAdjustment value of 1.0 shall be usedfor all engines regardless of the level of


the NOX FEL. If the credits are to bebanked by the credit-generatingmanufacturer and used in a subsequentmodel year for another Tier 1 enginefamily, an Adjustment value of 1.0 shallbe used for all engines regardless of thelevel of the NOX FEL.

(b) Requirements for calculatingNMHC + NOX Credits from Tier 2 andlater engines rated at or above 37 kWand Tier 1 and later engines rated under37 kW and PM credits from all engines.(1) For each participating engine family,NOX + NMHC emission credits and PMemission credits (positive or negative)are to be calculated according to one ofthe following equations and rounded, inaccordance with ASTM E29–93a, to thenearest one-hundredth of a megagram(Mg). This procedure has beenincorporated by reference (see § 89.6).Consistent units are to be usedthroughout the equation.

(i) For determining credit availabilityfrom all engine families generatingcredits:Emission credits = (Std-FEL) x (Volume)

x (AvgPR) x (UL) x (10–6)(ii) For determining credit usage for

all engine families requiring credits tooffset emissions in excess of thestandard:Emission credits = (Std-FEL) x (Volume)

x (AvgPR) x (UL) x (10–6)Where:Std = the current and applicable

nonroad engine emission standard,in grams per kilowatt-hour, exceptfor PM calculations where it is theapplicable nonroad engine Tier 2PM emission standard, and exceptfor engines rated under 19 kWwhere it is the applicable nonroadengine Tier 2 emission standard, ingrams per kilowatt-hour. (Enginesrated under 19 kW participating inthe averaging and banking programprovisions of § 89.203(c)(3)(ii) shalluse the Tier 1 standard for creditcalculations.)

FEL = the family emission limit for theengine family in grams per kilowatt-hour.

Volume = the number of nonroadengines eligible to participate in theaveraging, banking, and tradingprogram within the given enginefamily during the model year.Engines sold to equipment orvehicle manufacturers under theprovisions of § 89.102(g) shall notbe included in this number.Quarterly production projectionsare used for initial certification.Actual applicable production/salesvolume is used for end-of-yearcompliance determination.

AvgPR = the average power rating of allof the configurations within an

engine family, calculated on a sales-weighted basis, in kilowatts.

UL = the useful life for the given enginefamily, in hours.


§ 89.208 Labeling.For all nonroad engines included in

the averaging, banking, and tradingprograms, the family emission limits towhich the engine is certified must beincluded on the label required in§ 89.110.

37. The newly designated § 89.209 isamended by revising paragraph (a) toread as follows:

§ 89.209 Certification.(a) In the application for certification

a manufacturer must:(1) Declare its intent to include

specific engine families in theaveraging, banking, and tradingprograms.

(2) Submit a statement that theengines for which certification isrequested will not, to the best of themanufacturer’s belief, cause themanufacturer to have a negative creditbalance when all credits are calculatedfor all the manufacturer’s enginefamilies participating in the averaging,banking, and trading programs, exceptas allowed under § 89.203(c)(3)(ii).

(3) Declare the applicable FELs foreach engine family participating inaveraging, banking, and trading.

(i) The FELs must be to the samenumber of significant digits as theemission standard for the applicablepollutant.

(ii) In no case may the FEL exceed theupper limits prescribed in § 89.112(d).

(4) Indicate the projected number ofcredits generated/needed for this family;the projected applicable production/sales volume, by quarter; and the valuesrequired to calculate credits as given in§ 89.207.

(5) Submit calculations in accordancewith § 89.207 of projected emissioncredits (positive or negative) based onquarterly production projections foreach participating family.

(6)(i) If the engine family is projectedto have negative emission credits, statespecifically the source (manufacturer/engine family or reserved) of the creditsnecessary to offset the credit deficitaccording to quarterly projectedproduction, or, if the engine family is tobe included in the provisions of§ 89.203(c)(3)(ii), state that the enginefamily will be subject to thoseprovisions.

(ii) If the engine family is projected togenerate credits, state specifically(manufacturer/engine family or

reserved) where the quarterly projectedcredits will be applied.* * * * *

38. The newly designated § 89.210 isamended by revising paragraphs (b) and(c) to read as follows:

§ 89.210 Maintenance of records.

* * * * *(b) The manufacturer of any nonroad

engine family that is certified under theaveraging, banking, and tradingprograms must establish, maintain, andretain the following adequatelyorganized and indexed records for eachsuch family:

(1) EPA engine family;(2) Family emission limits (FEL);(3) Power rating for each

configuration tested;(4) Projected applicable production/

sales volume for the model year; and(5) Actual applicable production/sales

volume for the model year.(c) Any manufacturer producing an

engine family participating in tradingreserved credits must maintain thefollowing records on a quarterly basisfor each engine family in the tradingprogram:

(1) The engine family;(2) The actual quarterly and

cumulative applicable production/salesvolume;

(3) The values required to calculatecredits as given in § 89.207;

(4) The resulting type and number ofcredits generated/required;

(5) How and where credit surplusesare dispersed; and

(6) How and through what meanscredit deficits are met.* * * * *

39. The newly designated § 89.211 isamended by revising paragraphs (a) and(c) to read as follows:

§ 89.211 End-of-year and final reports.(a) End-of-year and final reports must

indicate the engine family, the actualapplicable production/sales volume, thevalues required to calculate credits asgiven in § 89.207, and the number ofcredits generated/required.Manufacturers must also submit howand where credit surpluses weredispersed (or are to be banked) and/orhow and through what means creditdeficits were met. Copies of contractsrelated to credit trading must beincluded or supplied by the broker, ifapplicable. The report shall include acalculation of credit balances to showthat the summation of themanufacturer’s use of credits results ina credit balance equal to or greater thanzero, except as allowed under§ 89.203(c)(3)(ii). Manufacturersparticipating under the program


described in § 89.203(c)(3)(ii) shallinclude the NMHC + NOX credit balanceand the PM credit balance as ofDecember 31 of that calendar year.* * * * *

(c)(1) End-of-year reports must besubmitted within 90 days of the end ofthe model year to: Director, EnginePrograms and Compliance Division(6405-J), U.S. Environmental ProtectionAgency, 401 M Street S.W., Washington,DC 20460.

(2) Final reports must be submittedwithin 270 days of the end of the modelyear to: Director, Engine Programs andCompliance Division (6405-J), U.S.Environmental Protection Agency, 401M Street S.W., Washington, DC 20460.* * * * *


§ 89.212 Notice of opportunity for hearing.Any voiding of the certificate under

§§ 89.203(d), 89.206(c), 89.209(c) or89.210(g) will be made only after themanufacturer concerned has beenoffered an opportunity for a hearingconducted in accordance with §§ 89.512and 89.513 and, if a manufacturerrequests such a hearing, will be madeonly after an initial decision by thePresiding Officer.

Subpart D—[Amended]


§ 89.302 Definitions.The definitions in subpart A of this

part apply to this subpart. For terms notdefined in this part, the definitions in40 CFR part 86, subparts A, D, I, and N,apply to this subpart.


§ 89.304 Equipment required for gaseousemissions; overview.

* * * * *(c) Analyzers used are a non-

dispersive infrared (NDIR) absorptiontype for carbon monoxide and carbondioxide analysis; a heated flameionization (HFID) type for hydrocarbonanalysis; and a chemiluminescentdetector (CLD) or heatedchemiluminescent detector (HCLD) foroxides of nitrogen analysis. Sections89.309 through 89.324 set forth a fulldescription of analyzer requirementsand specifications.

43. The newly designated § 89.307 isamended by revising paragraphs (b)(7)and (b)(8) to read as follows:

§ 89.307 Dynamometer calibration.

* * * * *

(b) * * *(7) The measured torque must be

within either 2 percent of point or 1percent of the engine maximum torqueof the calculated torque.

(8) If the measured torque is notwithin the above requirements, adjust orrepair the system. Repeat steps inparagraphs (b)(1) through (b)(6) of thissection with the adjusted or repairedsystem.* * * * *


§ 89.308 Sampling system requirementsfor gaseous emissions.

* * * * *(b) If water is removed by

condensation, the sample gastemperature shall be monitored withinthe water trap or the sample dewpointshall be monitored downstream. Ineither case, the indicated temperatureshall not exceed 7°C.

45. The newly designated § 89.309 isamended by removing and reservingparagraph (a)(3) and revising paragraphs(a)(4)(iii), (a)(5)(i)(C), and (a)(5)(i)(D) toread as follows:

§ 89.309 Analyzers required for gaseousemissions.

(a) * * *(3) [Reserved](4) * * *(iii) The FID oven must be capable of

maintaining temperature within 5.5°C ofthe set point.* * * * *

(5) * * *(i) * * *(C) For raw analysis, an ice bath or

other cooling device located after theNOX converter (optional for diluteanalysis).

(D) A chemiluminescent detector(CLD or HCLD).* * * * *

46. The newly designated § 89.310 isamended by revising paragraphs (a)(1)and (c) to read as follows:

§ 89.310 Analyzer accuracy andspecifications.

(a) * * *(1) Response time. As necessary,

measure and account for the responsetime of the analyzer.* * * * *

(c) Emission measurement accuracy—Bag sampling. (1) Good engineeringpractice dictates that exhaust emissionsample analyzer readings below 15percent of full-scale chart deflectionshould generally not be used.

(2) Some high resolution read-outsystems, such as computers, data

loggers, and so forth, can providesufficient accuracy and resolution below15 percent of full scale. Such systemsmay be used provided that additionalcalibrations of at least 4 non-zeronominally equally spaced points, usinggood engineering judgement, below 15percent of full scale are made to ensurethe accuracy of the calibration curves. Ifa gas divider is used, the gas dividermust conform to the accuracyrequirements specified in § 89.312(c).The procedure in paragraph (c)(3) of thissection may be used for calibrationbelow 15 percent of full scale.

(3) The following procedure shall befollowed:

(i) Span the analyzer using acalibration gas meeting the accuracyrequirements of § 89.312(c), within theoperating range of the analyzer, and atleast 90% of full scale.

(ii) Generate a calibration over the fullconcentration range at a minimum of 6,approximately equally spaced, points(e.g. 15, 30, 45, 60, 75, and 90 percentof the range of concentrations providedby the gas divider). If a gas divider orblender is being used to calibrate theanalyzer and the requirements ofparagraph (c)(2) of this section are met,verify that a second calibration gasbetween 10 and 20 percent of full scalecan be named within 2 percent of itscertified concentration.

(iii) If a gas divider or blender is beingused to calibrate the analyzer, input thevalue of a second calibration gas (a spangas may be used for the CO2 analyzer)having a named concentration between10 and 20 percent of full scale. This gasshall be included on the calibrationcurve. Continue adding calibrationpoints by dividing this gas until therequirements of paragraph (c)(2) of thissection are met.

(iv) Fit a calibration curve per§ 89.319 through § 89.322 for the fullscale range of the analyzer using thecalibration data obtained with bothcalibration gases.* * * * *

47. The newly designated § 89.312 isamended by removing and reservingparagraph (b)(2), revising paragraphs(c)(2), (d), and (f) and adding a newparagraph (g) to read as follows:

§ 89.312 Analytical gases.

* * * * *(b) * * *(2) [Reserved].(c) * * *(2) Mixtures of gases having the

following chemical compositions shallbe available:

(i) C3H8 and purified synthetic air ;(ii) C3H8 and purified nitrogen

(optional for raw measurements);


(iii) CO and purified nitrogen;(iv) NOX and purified nitrogen (the

amount of NO2 contained in thiscalibration gas must not exceed 5percent of the NO content);

(v) CO2 and purified nitrogen.* * * * *

(d) Oxygen interference check gasesshall contain propane with 350 ppmC±75 ppmC hydrocarbon. The threeoxygen interference gases shall contain21% ± 1% O2, 10% ± 1% O2, and5% ± 1% O2. The concentration valueshall be determined to calibration gastolerances by chromatographic analysisof total hydrocarbons plus impurities orby dynamic blending. Nitrogen shall bethe predominant diluent with thebalance oxygen.* * * * *

(f) Hydrocarbon analyzer burner air.The concentration of oxygen for rawsampling must be within 1 mole percentof the oxygen concentration of theburner air used in the latest oxygeninterference check (%O2I). If thedifference in oxygen concentration isgreater than 1 mole percent, then theoxygen interference must be checkedand, if necessary, the analyzer adjustedto meet the %O2I requirements. Theburner air must contain less than 2ppmC hydrocarbon.

(g) Gases for the methane analyzershall be single blends of methane usingair as the diluent.

48. The newly designated § 89.314 isamended by revising paragraphs (a) and(b) to read as follows:

§ 89.314 Pre-and post-test calibration ofanalyzers.* * * * *

(a) The calibration is checked byusing a zero gas and a span gas whosenominal value is between 75 percentand 100 percent of full-scale, inclusive,of the measuring range.

(b) After the end of the final mode, azero gas and the same span gas will beused for rechecking. As an option, thezero and span may be rechecked at theend of each mode or each test segment.The analysis will be consideredacceptable if the difference between thetwo measuring results is less than 2percent of full scale.

§ 89.316 [Amended]49. The newly designated § 89.316 is

amended by removing and reservingparagraph (b).

50. The newly designated § 89.317 isamended by revising paragraphs (g), (h),and (k) to read as follows:

§ 89.317 NOX converter check.* * * * *

(g) Turn on the NOX generator O2 (orair) supply and adjust the O2 (or air)

flow rate so that the NO indicated by theanalyzer is about 10 percent less thanindicated in paragraph (f) of thissection. Record the concentration of NOin this NO+O2 mixture.

(h) Switch the NOX generator to thegeneration mode and adjust thegeneration rate so that the NO measuredon the analyzer is 20 percent of thatmeasured in paragraph (f) of thissection. There must be at least 10percent unreacted NO at this point.Record the concentration of residualNO.* * * * *

(k) Turn off the NOX generator O2 (orair) supply. The analyzer will nowindicate the NOX in the original NO-in-N2 mixture. This value should be nomore than 5 percent above the valueindicated in paragraph (f) of thissection.* * * * *

51. The newly designated § 89.318 isamended by revising paragraphs (c)(2)heading, (c)(2)(i) and (c)(2)(iv) to read asfollows:

§ 89.318 Analyzer interference checks.

* * * * *(c) * * *(2) NOx analyzer water quench check.

(i) This check applies to wetmeasurements only. An NO span gashaving a concentration of 80 to 100percent of full scale of a normaloperating range shall be passed throughthe CLD (or HCLD) and the responserecorded as D. The NO span gas shallthen be bubbled through water at roomtemperature and passed through theCLD (or HCLD) and the analyzerresponse recorded as AR. Determine andrecord the bubbler absolute operatingpressure and the bubbler watertemperature. (It is important that the NOspan gas contains minimal NO2

concentration for this check. Noallowance for absorption of NO2 inwater has been made in the followingquench calculations. This test may beoptionally run in the NO mode tominimize the effect of any NO2 in theNO span gas.)* * * * *

(iv)(A) The maximum raw or diluteexhaust water vapor concentrationexpected during testing (designated asWm) can be estimated from the CO2

span gas (or as defined in the equationin this paragraph and designated as A)criteria in paragraph (c)(1) of thissection and the assumption of a fuelatom H/C ratio of 1.8:1 as:

Wm(%)=0.9×A(%)

Where:

A = maximum CO2 concentrationexpected in the sample systemduring testing.

(B) Percent water quench shall notexceed 3 percent and shall be calculatedby:

%Water Quench = 100D1× − ×AR

D

Wm

Z1 152. The newly designated § 89.319 is

amended by revising paragraphs (b)(1),(b)(2), (c), (d) heading, (d) introductorytext, (d)(2), and (d)(6) to read as follows:

§ 89.319 Hydrocarbon analyzer calibration.

* * * * *(b) * * *(1) Follow good engineering practices

for initial instrument start-up and basicoperating adjustment using theappropriate fuel (see § 89.312(e)) andzero-grade air.

(2) Optimize the FID’s response on themost common operating range. Theresponse is to be optimized with respectto fuel pressure or flow. Efforts shall bemade to minimize response variations todifferent hydrocarbon species that areexpected to be in the exhaust. Goodengineering judgment is to be used totrade off optimal FID response topropane-in-air against reductions inrelative responses to otherhydrocarbons. A good example oftrading off response on propane forrelative responses to other hydrocarbonspecies is given in Society ofAutomotive Engineers (SAE) Paper No.770141, ‘‘Optimization of FlameIonization Detector for Determination ofHydrocarbon in Diluted AutomotiveExhausts’’; author Glenn D. Reschke. Itis also required that the response be setto optimum condition with respect toair flow and sample flow. Heated FlameIonization Detectors (HFIDs) must be attheir specified operating temperature.One of the following procedures isrequired for FID or HFID optimization:

(i) The procedure outlined in Societyof Automotive Engineers (SAE) paperNo. 770141, ‘‘Optimization of a FlameIonization Detector for Determination ofHydrocarbon in Diluted AutomotiveExhausts’’; author, Glenn D. Reschke.This procedure has been incorporatedby reference at § 89.6.

(ii) The HFID optimization proceduresoutlined in 40 CFR part 86, subpart D.

(iii) Alternative procedures may beused if approved in advance by theAdministrator.

(iv) The procedures specified by themanufacturer of the FID or HFID.* * * * *

(c) Initial and periodic calibration.Prior to introduction into service, afterany maintenance which could alter


calibration, and monthly thereafter, theFID or HFID hydrocarbon analyzer shallbe calibrated on all normally usedinstrument ranges using the steps in thisparagraph (c). Use the same flow rateand pressures as when analyzingsamples. Calibration gases shall beintroduced directly at the analyzer,unless the ‘‘overflow’’ calibration optionof 40 CFR part 86, subpart N, for theHFID is taken. New calibration curvesneed not be generated each month if theexisting curve can be verified ascontinuing to meet the requirements ofparagraph (c)(3) of this section.

(1) Adjust analyzer to optimizeperformance.

(2) Zero the hydrocarbon analyzerwith zero-grade air.

(3) Calibrate on each used operatingrange with propane-in-air (dilute or raw)or propane-in-nitrogen (raw) calibrationgases having nominal concentrationsstarting between 10–15 percent andincreasing in at least six incrementalsteps to 90 percent (e.g., 15, 30, 45, 60,75, and 90 percent of that range) of thatrange. The incremental steps are to bespaced to represent good engineeringpractice. For each range calibrated, ifthe deviation from a least-squares best-fit straight line is 2 percent or less of thevalue at each data point, concentrationvalues may be calculated by use of asingle calibration factor for that range. Ifthe deviation exceeds 2 percent at eachnon-zero data point and within ±0.3percent of full scale on the zero, thebest-fit non-linear equation whichrepresents the data to within theselimits shall be used to determineconcentration.

(d) Oxygen interference optimization(required for raw). Choose a range wherethe oxygen interference check gases willfall in the upper 50 percent. Conductthe test, as outlined in this paragraph,with the oven temperature set asrequired by the instrumentmanufacturer. Oxygen interferencecheck gas specifications are found in§ 89.312(d).* * * * *

(2) Span the analyzer with the 21%oxygen interference gas specified in§ 89.312(d).* * * * *

(6) Calculate the percent of oxygeninterference (designated as percent O2I)for each mixture in paragraph (d)(4) ofthis section.percent O2I = ((B–C) × 100)/BWhere: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) ofthis section.

C = analyzer response (ppmC) = A/D;where

D = (percent of full-scale analyzerresponse due to A) × (percent offull-scale analyzer response due toB).

* * * * *53. The newly designated § 89.320 is

amended by revising paragraph (c) toread as follows:

§ 89.320 Carbon monoxide analyzercalibration.

* * * * *(c) Initial and periodic calibration.

Prior to its introduction into service,after any maintenance which could altercalibration, and every two monthsthereafter, the NDIR carbon monoxideanalyzer shall be calibrated. Newcalibration curves need not be generatedevery two months if the existing curvecan be verified as continuing to meet therequirements of paragraph (c)(3) of thissection.

(1) Adjust the analyzer to optimizeperformance.

(2) Zero the carbon monoxideanalyzer with either zero-grade air orzero-grade nitrogen.

(3) Calibrate on each used operatingrange with carbon monoxide-in-N2

calibration gases having nominalconcentrations starting between 10 and15 percent and increasing in at least sixincremental steps to 90 percent (e.g., 15,30, 45, 60, 75, and 90 percent) of thatrange. The incremental steps are to bespaced to represent good engineeringpractice. For each range calibrated, ifthe deviation from a least-squares best-fit straight line is 2 percent or less of thevalue at each non-zero data point andwithin ± 0.3 percent of full scale on thezero, concentration values may becalculated by use of a single calibrationfactor for that range. If the deviationexceeds these limits, the best-fit non-linear equation which represents thedata to within these limits shall be usedto determine concentration.* * * * *


§ 89.321 Oxides of nitrogen analyzercalibration.

* * * * *(c) Initial and periodic calibration.

Prior to its introduction into service,after any maintenance which could altercalibration, and monthly thereafter, thechemiluminescent oxides of nitrogenanalyzer shall be calibrated on allnormally used instrument ranges. Newcalibration curves need not be generated

each month if the existing curve can beverified as continuing to meet therequirements of paragraph (c)(3) of thissection. Use the same flow rate as whenanalyzing samples. Proceed as follows:

(1) Adjust analyzer to optimizeperformance.

(2) Zero the oxides of nitrogenanalyzer with zero-grade air or zero-grade nitrogen.

(3) Calibrate on each normally usedoperating range with NO-in-N2

calibration gases with nominalconcentrations starting at between 10and 15 percent and increasing in at leastsix incremental steps to 90 percent (e.g.,15, 30, 45, 60, 75, and 90 percent) ofthat range. The incremental steps are tobe spaced to represent good engineeringpractice. For each range calibrated, ifthe deviation from a least-squares best-fit straight line is 2 percent or less of thevalue at each non-zero data point andwithin ± 0.3 percent of full scale on thezero, concentration values may becalculated by use of a single calibrationfactor for that range. If the deviationexceeds these limits, the best-fit non-linear equation which represents thedata to within these limits shall be usedto determine concentration.* * * * *


§ 89.322 Carbon dioxide analyzercalibration.

(a) Prior to its introduction intoservice, after any maintenance whichcould alter calibration, and bi-monthlythereafter, the NDIR carbon dioxideanalyzer shall be calibrated on allnormally used instrument ranges. Newcalibration curves need not be generatedeach month if the existing curve can beverified as continuing to meet therequirements of paragraph (a)(3) of thissection. Proceed as follows:

(1) Follow good engineering practicesfor instrument start-up and operation.Adjust the analyzer to optimizeperformance.

(2) Zero the carbon dioxide analyzerwith either zero-grade air or zero-gradenitrogen.

(3) Calibrate on each normally usedoperating range with carbon dioxide-in-N2 calibration or span gases havingnominal concentrations startingbetween 10 and 15 percent andincreasing in at least six incrementalsteps to 90 percent (e.g., 15, 30, 45, 60,75, and 90 percent) of that range. Theincremental steps are to be spaced torepresent good engineering practice. Foreach range calibrated, if the deviationfrom a least-squares best-fit straight lineis 2 percent or less of the value at each


non-zero data point and within ± 0.3percent of full scale on the zero,concentration values may be calculatedby use of a single calibration factor forthat range. If the deviation exceeds theselimits, the best-fit non-linear equationwhich represents the data to withinthese limits shall be used to determineconcentration.* * * * *


§ 89.324 Calibration of other equipment.

(a) Other test equipment used fortesting shall be calibrated as often asrequired by the instrumentmanufacturer or necessary according togood practice.

(b) If a methane analyzer is used, themethane analyzer shall be calibratedprior to introduction into service andmonthly thereafter:

(1) Follow the manufacturer’sinstructions for instrument startup andoperation. Adjust the analyzer tooptimize performance.

(2) Zero the methane analyzer withzero-grade air.

(3) Calibrate on each normally usedoperating range with CH4 in air withnominal concentrations startingbetween 10 and 15 percent andincreasing in at least six incrementalsteps to 90 percent (e.g., 15, 30, 45, 60,75, and 90 percent) of that range. Theincremental steps are to be spaced torepresent good engineering practice. Foreach range calibrated, if the deviationfrom a least-squares best-fit straight lineis 2 percent or less of the value at each

non-zero data point and within ± 0.3percent of full scale on the zero,concentration values may be calculatedby use of a single calibration factor forthat range. If the deviation exceeds theselimits, the best-fit non-linear equationwhich represents the data to withinthese limits shall be used to determineconcentration.

57. The newly designated § 89.328 isamended by revising paragraphs (b)(1)and (b)(2) to read as follows:

§ 89.328 Inlet and exhaust restrictions.

* * * * *(b) * * *(1) Equip the test engine with an air

inlet system presenting an air inletrestriction within 5 percent of the upperlimit at maximum air flow, as specifiedby the engine manufacturer for a cleanair cleaner. A system representative ofthe installed engine may be used. Inother cases a test shop system may beused.

(2) The exhaust backpressure must bewithin 5 percent of the upper limit atmaximum declared power, as specifiedby the engine manufacturer. A systemrepresentative of the installed enginemay be used. In other cases a test shopsystem may be used.

58. The newly designated § 89.330 isamended by revising paragraph (b)(2)and adding paragraph (b)(3) to read asfollows:

§ 89.330 Lubricating oil and test fuels.

* * * * *(b) Test fuels. * * *(2) Use petroleum fuel meeting the

specifications in Table 4 in Appendix A

of this subpart, or substantiallyequivalent specifications approved bythe Administrator, for exhaust emissiontesting. The grade of diesel fuel usedmust be commercially designated as‘‘Type 2–D’’ grade diesel fuel andrecommended by the enginemanufacturer.

(3) Testing of Tier 1 engines ratedunder 37 kW or Tier 2 engines rated ator above 37 kW that is conducted by theAdministrator shall be performed usingtest fuels that meet the specifications inTable 4 in Appendix A of this subpartand that have a sulfur content no higherthan 0.20 weight percent.* * * * *

59–63. Tables 1 through 4 ofAppendix A to subpart D are revisedand Table 5 is removed to read asfollows:

Appendix A To Subpart D—Tables

TABLE 1.—ABBREVIATIONS USED INSUBPART D

CLD ...... Chemiluminescent detector.CO ........ Carbon monoxide.CO2 ...... Carbon dioxide.HC ........ Hydrocarbons.HCLD ... Heated chemiluminescent detec-

tor.HFID ..... Heated flame ionization detector.GC ........ Gas chromatograph.NDIR .... Non-dispersive infra-red analyzer.NIST ..... National Institute for Standards

and Testing.NO ........ Nitric Oxide.NO2 ...... Nitrogen Dioxide.NOX ...... Oxides of nitrogen.O2 ......... Oxygen.

TABLE 2.—SYMBOLS USED IN SUBPARTS D AND E

Symbol Term Unit

conc .................. Concentration (ppm by volume) ........................................................................................................................ ppmf ......................... Engine specific parameter considering atmospheric conditionsFFCB .................. Fuel specific factor for the carbon balance calculationFFD .................... Fuel specific factor for exhaust flow calculation on dry basisFFH .................... Fuel specific factor representing the hydrogen to carbon ratioFFW ................... Fuel specific factor for exhaust flow calculation on wet basisFR ..................... Rate of fuel consumed ...................................................................................................................................... g/hGAIRW ............... Intake air mass flow rate on wet basis .............................................................................................................. kg/hGAIRD ................ Intake air mass flow rate on dry basis .............................................................................................................. kg/hGEXHW .............. Exhaust gas mass flow rate on wet basis ......................................................................................................... kg/hGFuel .................. Fuel mass flow rate ........................................................................................................................................... kg/hH ....................... Absolute humidity (water content related to dry air) ......................................................................................... g/kgi ......................... Subscript denoting an individual modeKH ..................... Humidity correction factorL ........................ Percent torque related to maximum torque for the test mode .......................................................................... %mass ................. Pollutant mass flow ............................................................................................................................................ g/hnd,i ..................... Engine speed (average at the i’th mode during the cycle) ............................................................................... 1/minPs ...................... Dry atmospheric pressure ................................................................................................................................. kPaPd ...................... Test ambient saturation vapor pressure at ambient temperature ..................................................................... kPaP ....................... Observed brake power output uncorrected ....................................................................................................... kWPAUX ................. Declared total power absorbed by auxiliaries fitted for the test ........................................................................ kWPM ..................... Maximum power measured at the test speed under test conditions ................................................................ kWPi ...................... Pi = PM,i + PAUX,i

PB ..................... Total barometric pressure (average of the pre-test and post-test values) ....................................................... kPaPv ...................... Saturation pressure at dew point temperature .................................................................................................. kPa


TABLE 2.—SYMBOLS USED IN SUBPARTS D AND E—Continued

Symbol Term Unit

Ra ...................... Relative humidity of the ambient air .................................................................................................................. %S ....................... Dynamometer setting ......................................................................................................................................... kWT ....................... Absolute temperature at air inlet ....................................................................................................................... KTbe ..................... Air temperature after the charge air cooler (if applicable) (average) ................................................................ KTclout .................. Coolant temperature outlet (average) ............................................................................................................... KTDd .................... Absolute dewpoint temperature ......................................................................................................................... KTd,i ..................... Torque (average at the i’th mode during the cycle) .......................................................................................... N-mTSC .................... Temperature of the intercooled air .................................................................................................................... KTref. .................... Reference temperature ...................................................................................................................................... KVEXHD ................ Exhaust gas volume flow rate on dry basis ...................................................................................................... m3/hVAIRW ................ Intake air volume flow rate on wet basis ........................................................................................................... m3/hPB ..................... Total barometric pressure .................................................................................................................................. kPaVEXHW ............... Exhaust gas volume flow rate on wet basis ...................................................................................................... m3/hWF .................... Weighing factorWFE .................. Effective weighing factor

TABLE 3.—MEASUREMENT ACCURACY AND CALIBRATION FREQUENCY

No. Item Calibration accuracy 1 Calibration frequency

1 ............... Engine speed ............................................... ± 2% ............................................................. 30 days.2 ............... Torque .......................................................... Larger of ± 2% of point or ± 1% of engine

maximum.30 days.

3 ............... Fuel consumption (raw measurement) ........ ± 2% of engine maximum ............................ 30 days.4 ............... Air consumption (raw measurement) ........... ± 2% of engine maximum ............................ As required.5 ............... Coolant temperature .................................... ±2°K .............................................................. As required.6 ............... Lubricant temperature .................................. ±2°K .............................................................. As required.7 ............... Exhaust backpressure .................................. ± 1.0% of engine maximum ......................... As required.8 ............... Inlet depression ............................................ 1.0% of engine maximum ............................ As required.9 ............... Exhaust gas temperature ............................. ±15°K ............................................................ As required.10 ............. Air inlet temperature (combustion air) ......... ±2°K .............................................................. As required.11 ............. Atmospheric pressure .................................. ± 0.5% .......................................................... As required.12 ............. Humidity (combustion air) (g of H2O/Kg of

dry air).± 0.5 ............................................................. As required.

13 ............. Fuel temperature .......................................... ±2°K .............................................................. As required.14 ............. Temperature with regard to dilution tunnel .. ±2°K .............................................................. As required.15 ............. Dilution air humidity (g of H2O/Kg of dry air) ± 0.5 ............................................................. As required.16 ............. HC analyzer ................................................. ± 2% ............................................................. Monthly or as required.17 ............. CO analyzer ................................................. ± 2% ............................................................. Once per 60 days or as required.18 ............. NOX analyzer ............................................... ± 2% ............................................................. Monthly or as required.19 ............. Methane analyzer ......................................... ± 2% ............................................................. Monthly or as required.20 ............. NOX converter efficiency check ................... 90% .............................................................. Monthly.21 ............. CO2 analyzer ................................................ ± 2% ............................................................. Once per 60 days or as required.

1 All accuracy requirements pertain to the final recorded value which is inclusive of the data acquisition system.

TABLE 4.—FEDERAL TEST FUEL SPECIFICATIONS

Item Procedure (ASTM) 1 Value(type 2–D)

Cetane ................................................................................................................................ D613–95 ................................................... 40–48Distillation Range:

IBP, °C ......................................................................................................................... D86–97 ..................................................... 171–20410% point, °C .............................................................................................................. 86–97 ........................................................ 204–23850% point, °C .............................................................................................................. 86–97 ........................................................ 243–28290% point, °C .............................................................................................................. 86–97 ........................................................ 293–332EP, °C .......................................................................................................................... 86–97 ........................................................ 321–366Gravity, API ................................................................................................................. D287–92 ................................................... 32–37

Total Sulfur, %mass ........................................................................................................... D129–95 or D2622–98 ............................. 0.03—0.40Hydrocarbon composition:

Aromatics, %vol ........................................................................................................... D1319–98 or D5186–96 ........................... 2 10Paraffins, Naphthenes, Olefins ........................................................................................... D1319–98 ................................................. (3)Flashpoint, °C (minimum) ................................................................................................... D93–97 ..................................................... 54Viscosity @ 38°C, Centistokes ........................................................................................... D445–97 ................................................... 2.0–3.2

1 All ASTM procedures in this table have been incorporated by reference. See § 89.6.2 Minimum.3 Remainder.


Subpart E—[Amended]


§ 89.401 Scope; applicability.

* * * * *(b) Exhaust gases, either raw or dilute,

are sampled while the test engine isoperated using the appropriate test cycleon an engine dynamometer. The exhaustgases receive specific componentanalysis determining concentration ofpollutant, exhaust volume, the fuel flow(raw analysis), and the power outputduring each mode. Emissions arereported as grams per kilowatt hour (g/kW-hr).* * * * *


§ 89.402 Definitions.

The definitions in subpart A of thispart apply to this subpart. For terms notdefined in this part, the definitions in40 CFR part 86, subparts A, D, I, and N,apply to this subpart.

66. The newly designated § 89.404 isamended by revising paragraph (b) andremoving paragraph (e) to read asfollows:

§ 89.404 Test procedure overview.

* * * * *(b) The test is designed to determine

the brake-specific emissions ofhydrocarbons, carbon monoxide, oxidesof nitrogen, and particulate matter. Formore information on particulate mattersampling see § 89.112(c). The test cyclesconsist of various steady-state operatingmodes that include differentcombinations of engine speeds andloads. These procedures require thedetermination of the concentration ofeach pollutant, exhaust volume, the fuelflow (raw analysis), and the poweroutput during each mode. The measuredvalues are weighted and used tocalculate the grams of each pollutantemitted per kilowatt hour (g/kW-hr).* * * * *

67. The newly designated § 89.405 isamended by revising paragraphs (d), (e),and (f) to read as follows:

§ 89.405 Recorded information.

* * * * *(d) Test data; pre-test.(1) Date and time of day.(2) Test number.(3) Intermediate speed and rated

speed as defined in § 89.2 andmaximum observed torque for thesespeeds.

(4) Recorder chart or equivalent.Identify the zero traces for each range

used, and span traces for each rangeused.

(5) Air temperature after and pressuredrop across the charge air cooler (ifapplicable) at maximum observedtorque and rated speed.

(e) Test data; modal.(1) Recorder chart or equivalent.

Identify for each test mode the emissionconcentration traces and the associatedanalyzer range(s). Identify the start andfinish of each test.

(2) Observed engine torque.(3) Observed engine rpm.(4) Record engine torque and engine

rpm continuously during each modewith a chart recorder or equivalentrecording device.

(5) Intake air flow (for raw mass flowsampling method only) and depressionfor each mode.

(6) Engine intake air temperature atthe engine intake or turbocharger inletfor each mode.

(7) Mass fuel flow (for raw sampling)for each mode.

(8) Engine intake humidity.(9) Coolant temperature outlet.(10) Engine fuel inlet temperature at

the pump inlet.(f) Test data; post-test.(1) Recorder chart or equivalent.

Identify the zero traces for each rangeused and the span traces for each rangeused. Identify hangup check, ifperformed.

(2) Total number of hours of operationaccumulated on the engine.

68. The newly designated § 89.406 isamended by revising paragraphs (b) and(c)(1) to read as follows:

§ 89.406 Pre-test procedures.* * * * *

(b) Replace or clean the filter elementsand then vacuum leak check the systemper § 89.316(a). Allow the heatedsample line, filters, and pumps to reachoperating temperature.

(c) * * *(1) Check the sample-line

temperatures (see § 89.309(a)(4)(ii) and(a)(5)(i)(A)).* * * * *

69. The newly designated § 89.407 isamended by revising paragraphs (a), (c),and (d)(2) to read as follows:

§ 89.407 Engine dynamometer test run.(a) Measure and record the

temperature of the air supplied to theengine, the fuel temperature, the intakeair humidity, and the observedbarometric pressure during the samplingfor each mode. The fuel temperatureshall be less than or equal to 43C duringthe sampling for each mode.* * * * *

(c) The following steps are taken foreach test:

(1) Install instrumentation and sampleprobes as required.

(2) Perform the pre-test procedure asspecified in § 89.406.

(3) Read and record the general testdata as specified in § 89.405(c).

(4) Start cooling system.(5) Precondition (warm up) the engine

in the following manner:(i) For variable-speed engines:(A) Operate the engine at idle for 2 to

3 minutes;(B) Operate the engine at

approximately 50 percent power at thepeak torque speed for 5 to 7 minutes;

(C) Operate the engine at rated speedand maximum horsepower for 25 to 30minutes;

(ii) For constant-speed engines:(A) Operate the engine at minimum

load for 2 to 3 minutes;(B) Operate the engine at 50 percent

load for 5 to 7 minutes;(C) Operate the engine at maximum

load for 25 to 30 minutes;(iii) Optional. It is permitted to

precondition the engine at rated speedand maximum horsepower until the oiland water temperatures are stabilized.The temperatures are defined asstabilized if they are maintained within2 percent of point on an absolute basisfor 2 minutes. The engine must beoperated a minimum of 10 minutes forthis option. This optional proceduremay be substituted for the procedure inparagraph (c)(5)(i)or (c)(5)(ii) of thissection;

(iv) Optional. If the engine has beenoperating on service accumulation for aminimum of 40 minutes, the serviceaccumulation may be substituted for theprocedure in paragraphs (c)(5)(i)through (iii) of this section.

(6) Read and record all pre-test dataspecified in § 89.405(d).

(7) Start the test cycle (see § 89.410)within 20 minutes of the end of thewarmup. (See paragraph (c)(13) of thissection.) A mode begins when the speedand load requirements are stabilized towithin the requirements of § 89.410(b).A mode ends when valid emissionsampling for that mode ends. For amode to be valid, the speed and loadrequirements must be maintainedcontinuously during the mode.Sampling in the mode may be repeateduntil a valid sample is obtained as longthe speed and torque requirements aremet.

(8) Calculate the torque for any modewith operation at rated speed.

(9) During the first mode withintermediate speed operation, ifapplicable, calculate the torquecorresponding to 75 and 50 percent ofthe maximum observed torque for theintermediate speed.


(10) Record all modal data specifiedin § 89.405(e) during a minimum of thelast 60 seconds of each mode.

(11) Record the analyzer(s) responseto the exhaust gas during the aminimum of the last 60 seconds of eachmode.

(12) Test modes may be repeated, aslong as the engine is preconditioned byrunning the previous mode. In the caseof the first mode of any cycle,precondition according to paragraph(c)(5) of this section.

(13) If a delay of more than 20minutes, but less than 4 hours, occursbetween the end of one mode and thebeginning of another mode,precondition the engine by running theprevious mode. If the delay exceeds 4hours, the test shall includepreconditioning (begin at paragraph(c)(2) of this section).

(14) The speed and load points foreach mode are listed in Tables 1 through4 of Appendix B of this subpart. Theengine speed and load shall bemaintained as specified in § 89.410(b).

(15) If at any time during a test mode,the test equipment malfunctions or thespecifications in paragraph (c)(14) ofthis section are not met, the test modeis void and may be aborted. The testmode may be restarted bypreconditioning with the previousmode.

(16) Fuel flow and air flow during theidle load condition may be determinedjust prior to or immediately followingthe dynamometer sequence, if longertimes are required for accuratemeasurements.

(d) * * *(2) Each analyzer range that may be

used during a test mode must have thezero and span responses recorded priorto the execution of the test. Only thezero and span for the range(s) used tomeasure the emissions during the testare required to be recorded after thecompletion of the test .* * * * *

70. The newly designated § 89.408 isamended by revising paragraph (e) toread as follows:

§ 89.408 Post-test procedures.

* * * * *(e) For a valid test, the zero and span

checks performed before and after eachtest for each analyzer must meet thefollowing requirements:

(1) The span drift (defined as thechange in the difference between thezero response and the span response)must not exceed 3 percent of full-scalechart deflection for each range used.

(2) The zero response drift must notexceed 3 percent of full-scale chartdeflection.

71. The newly designated § 89.410 isamended by revising paragraphs (a), (b),and (c) to read as follows:

§ 89.410 Engine test cycle.(a) Emissions shall be measured using

one of the test cycles specified in Tables1 through 4 of Appendix B of thissubpart, subject to the provisions ofparagraphs (a)(1) through (a)(4) of thissection. These cycles shall be used totest engines on a dynamometer.

(1) The 8-mode test cycle described inTable 1 of Appendix B of this subpartshall be used for all engines, exceptconstant speed engines, engines ratedunder 19 kW, and propulsion marinediesel engines.

(2) The 5-mode test cycle described inTable 2 of Appendix B of this subpartshall be used for constant-speed enginesas defined in § 89.2. Any enginecertified under this test cycle must meetthe labeling requirements of§ 89.110(b)(11).

(3) The 6-mode test cycle described inTable 3 of Appendix B of this subpartshall be used for variable speed enginesrated under 19 kW.

(4) Notwithstanding the provisions ofparagraphs (a)(1) through (a)(3) of thissection, the 4-mode test cycle describedin Table 4 of Appendix B of this subpartshall be used for propulsion marinediesel engines.

(5) Notwithstanding the provisions ofparagraphs (a)(1) through (a)(4) of thissection:

(i) Manufacturers may use the 8-modetest cycle described in Table 1 ofAppendix B of this subpart for:

(A) Constant speed engines, orvariable speed engines rated under 19kW; or

(B) Propulsion marine diesel engines,provided the propulsion marine dieselengines are certified in an engine familythat includes primarily non-marinediesel engines, and the manufacturerobtains advance approval from theAdministrator.

(ii) The Administrator may use the 8-mode test cycle specified in Table 1 ofAppendix B of this subpart duringtesting of any engine which wascertified based on emission datacollected from that test cycle.

(b) During each non-idle mode, holdthe specified load to within 2 percent ofthe engine maximum value and speed towithin ±2 percent of point. During eachidle mode, speed must be held withinthe manufacturer’s specifications for theengine, and the throttle must be in thefully closed position and torque mustnot exceed 5 percent of the peak torquevalue of mode 5.

(c) For any mode except thoseinvolving either idle or full-load

operation, if the operating conditionsspecified in paragraph (b) of this sectioncannot be maintained, theAdministrator may authorize deviationsfrom the specified load conditions. Suchdeviations shall not exceed 10 percentof the maximum torque at the testspeed. The minimum deviations aboveand below the specified load necessaryfor stable operation shall be determinedby the manufacturer and approved bythe Administrator prior to the test run.* * * * *

72. The newly designated § 89.411 isamended by revising paragraphs (d)(5)and (e)(5) to read as follows:

§ 89.411 Exhaust sample procedure—gaseous components.

* * * *(d) * * *(5) Zero and span each range to be

used on each analyzer operated prior tothe beginning of the test cycle. The spangases shall have a concentrationbetween 75 and 100 percent of full-scalechart deflection. The flow rates andsystem pressures shall be approximatelythe same as those encountered duringsampling. The HFID analyzer shall bezeroed and spanned either through theoverflow sampling system or throughthe analyzer port.* * * * *

(e) * * *(5) If the difference between the

readings obtained greater than or equalto 2 percent of full scale deflection,clean the sample probe and the sampleline.* * * * *

73. The newly designated § 89.412 isamended by revising paragraph (c)(3)and removing and reserving paragraph(g)(1) to read as follows:

§ 89.412 Raw gaseous exhaust samplingand analytical system description.

* * * * *(c) * * *(3) The location of optional valve V16

may not be greater than 61 cm from thesample pump.* * * * *

(g) * * *(1) [Reserved].

* * * * *74. The newly designated § 89.413 is

amended by revising paragraph (d) andremoving paragraph (e) to read asfollows:

§ 89.413 Raw sampling procedures.

* * * * *(d) All gaseous heated sampling lines

shall be fitted with a heated filter toextract solid particles from the flow ofgas required for analysis. The sample


line for CO and CO2 analysis may beheated or unheated.


§ 89.414 Air flow measurementspecifications.

(a) The air flow measurement methodused must have a range large enough toaccurately measure the air flow over theengine operating range during the test.Overall measurement accuracy must be± 2 percent of the maximum enginevalue for all modes. The Administratormust be advised of the method usedprior to testing.* * * * *


§ 89.415 Fuel flow measurementspecifications.

The fuel flow rate measurementinstrument must have a minimumaccuracy of 2 percent of the enginemaximum fuel flow rate. Thecontrolling parameters are the elapsedtime measurement of the event and theweight or volume measurement.

77. The newly designated § 89.418 isamended by revising paragraphs (b), (c),(d), (f) introductory text, (f)(1), and (g)and the table in paragraph (e) to read asfollows:

§ 89.418 Raw emission samplingcalculations.

* * * * *

(b) The exhaust gas flow rate GEXHW

and VEXHW shall be determined for eachmode.

(1) For measurements using the massflow method, see § 89.416(a).

(2) For measurements using the fuelconsumption and exhaust gasconcentrations method, use thefollowing equations:

G G GH

EXHW fuel aird= + +

11000

Where:

GG

fla Hairdfuel= =

× −

( )

Mass Fuel Measured

Gairw 11000

( ). ( / ) ( )

( ) ( ) ( )

.

( )

( )

( )

flafla

XDCO

X

DHC

X

DHC

X

K

DCO

X

K

DHC

X

stoich=+

−

−

+ −

−

+ −

−

4 77 1 4

1

2 10 10 41

10

0 75

10

1

110

6 6 6

6 6

α

α α

( ). ( / )

flaM M

Stoichc H=

++

αα13818 1 4

XDCO DCO DHC= + +2

2 6 610 10 10

K = 3.5(3) Humidity values may be

calculated from either one of thefollowing equations:

HR p

p p Ra d

R d a

=× ×

− × ×( )−6 22

10 2

.

or

HP

P Pv

B v

=×−( )

622

(c) When applying GEXHW, themeasured ‘‘dry’’ concentration shall becorrected to a wet basis, if not alreadymeasured on a wet basis. This section isapplicable only for measurements madeon raw exhaust gas. Correction to a wet

basis shall be according to the followingformula:

ConcWET = Kw × ConcDRY

Where: KW is determined according tothe equations in paragraph (c)(1) or(c)(2) of this section.

(1) For measurements using the massflow method (see § 89.416(a)):

K FG

GKW FH

fuel

airdW1= − ×

−1

Where:

F ALFG

G

for diFH

fuel

aird

= × ×

+

0 14481

1

. esel fuel only

ALF = Hydrogen mass percentage of fuel =1.008

12.01+1.008 for CH1.8

××

× =αα

100 1312. fuel

α = H/C mole ratio of the fuel.

(2) For measurements using the fuel consumption and exhaust gas concentrations method (see § 89.416(b)):

KDCO

DCOKW W1=

+ × × =

−1

1 18 0 005104 2. .


Where:

KH

HW1 = ×+ ×

1 608

1000 1 608

.

.(d) As the NOX emission depends on

intake air conditions, the NOX

concentration shall be corrected forintake air temperature and humiditywith the factor Kh given in the followingformula. For engines operating onalternative combustion cycles, othercorrection formulas may be used if they

can be justified or validated. Theformula follows:

KHH =

− −1

1 0 0182 10 71. ( . )(e) * * *

Gas u v w conc.

NOX .................................................................................................................. 0.001587 0.00205 0.00205 ppm.CO .................................................................................................................... 0.000966 0.00125 0.00125 ppm.HC ..................................................................................................................... 0.000478 0.000618 ppm.CO2 ................................................................................................................... 15.19 19.64 19.64 percent.

NOTE: The given coefficients u, v, and w are calculated for 273.15 °K (0 °C) and 101.3 kPa. In cases where the reference conditions vary fromthose stated, an error may occur in the calculations.

(f) The following equations may beused to calculate the coefficients u, v,and w in paragraph (e) of this section forother conditions of temperature andpressure:

(1) For the calculation of u, v, and wfor NOX (as NO2), CO, HC (in paragraph(e) of this section as CH1.80), CO2, andO2:Where:w = 4.4615.10¥5 × M if conc. in ppmw = 4.4615.10¥1 × M if conc. in percentv = wu = w/ρAir

M = Molecular weightρAir = Density of dry air at 273.15 °K (0

°C), 101.3 kPa = 1.293 kg/m3

* * * * *

(g)(1) The emission shall be calculatedfor all individual components in thefollowing way where power at idle isequal to zero:

individualgas =

gii=1

i=n

×( )

×( )

∑

∑=

=

WF

P WF

i

i ii

i n

1

(2) The weighting factors and thenumber of modes (n) used in thecalculation in paragraph (g)(1) of thissection are according to § 89.410.

78. The newly designated § 89.420 isamended by revising paragraph (a)introductory text to read as follows:

§ 89.420 Background sample.

(a) Background samples are producedby continuously drawing a sample ofdilution air during the exhaustcollection phase of each test cyclemode.* * * * *

79. The newly designated § 89.422 isamended by revising the table inparagraph (d)(3) to read as follows:

§ 89.422 Dilute sampling procedures—CVScalibration.

* * * * *(d) * * *(3) * *

CALIBRATION DATA MEASUREMENTS

Parameter Symbol Units Tolerances

Barometric pressure (corrected) ...................................................... PB kPa (Inches Hg) ........................................ 0.034 (0.01).Air temperature, flowmeter ............................................................... ETI deg.C (deg.F) ........................................... 0.14 (0.25).Pressure depression upstream of LFE ............................................ EPI kPa(Inches H2O) ....................................... 0.012 (0.05).Pressure drop across LFE matrix .................................................... EDP kPa (Inches H2O) ..................................... 0.001 (0.005).Air flow .............................................................................................. Qs m3/min. (Ft3/min) ....................................... 0.5 pct.CFV inlet depression ........................................................................ PPI kPa (Inches Hg) ........................................ 0.055 (0.016).CFV outlet pressure ......................................................................... PPO kPa (Inches Hg) ........................................ 0.17 (0.05).Temperature at venturi inlet ............................................................. Tv deg.C (deg.F) ........................................... 0.28 (0.5)Specific gravity of manometer fluid .................................................. Sp.Gr ................................................................... (1.75 oil).

* * * *


80. Remove and reserve the newlydesignated § 89.423.

81. The newly designated § 89.424 isamended by revising paragraphs (a),(d)(6), and (e), and the definition for M 1

in the CO2e equation in paragraph (d)(3)to read as follows:

§ 89.424 Dilute emission samplingcalculations.

(a) The final reported emission testresults are computed by use of thefollowing formula:

A

WF

P WFWM

i

i ii

i n=×( )

×( )

∑

∑=

=

gii=1

i=n

1

Where:Awm = Weighted mass emission level

(HC, CO, CO2, PM, or NOX) in g/kW-hr.

gi = Mass flow in grams per hour, =grams measured during the modedivided by the sample time for themode.

WFi = Effective weighing factor.Pi = Power measured during each mode

(Power set = zero for the idle mode).* * * * *

(d) * * *(3) * * *M 1 = Fuel mass consumed during the

mode.* * * * *

(6) Measured ‘‘dry’’ concentrationsshall be corrected to a wet basis, if notalready measured on a wet basis. Thissection is applicable only formeasurements made on dilute exhaustgas. Correction to a wet basis shall beaccording to the following formula:

ConcWET = KW × ConcDRY

Where: KW is determined according tothe equation in paragraph (d)(6)(i) or(d)(6)(ii), of this section.

(i) For wet CO2 measurement:


KCO conc wet

Kw w= −×

−1

2002

1α % ( )

(ii) For dry CO2 measurement:K

KCO conc dryw

W1=−( )

+ ×

1

1200

2α % ( )

(iii) For the equations in paragraph(d)(6)(i) and (d)(6)(ii) of this section, thefollowing equation applies:

KH DF H DF

H DF H DFw

d a

d a

1

1 608 1 1 1

1000 1 608 1 1 1=

× × −( ) + × ( )[ ]+ × × −( ) + × ( )[ ]{ } +.

.

Where: Ha and Hd are the grams ofwater per kilogram of dry air; asillustrated in the following equations:

HR p

p p Rd

d d

B d d

=× ×

− × ×( )−6 22

10 2

.

HR p

p p Ra

a a

B a a

=× ×

− × ×( )−6 22

10 2

.

(e) The final modal reported brake-specific fuel consumption (bsfc) shall becomputed by use of the followingformula:

bsfcM

kW hr=

−Where:bsfc = brake-specific fuel consumption

for a mode in grams of fuel perkilowatt-hour (kW-hr).

M = mass of fuel in grams, used by theengine during a mode.

kW-hr = total kilowatts integrated withrespect to time for a mode.

* * * * *


82. Remove and reserve the newlydesignated § 89.425.

83–87. Appendix B to Subpart E ofpart 89 is revised to read as follows:

Appendix B To Subpart E of Part 89—Tables

TABLE 1.—8-MODE TEST CYCLE FOR VARIABLE-SPEED ENGINES

Test segment Mode number Engine speed 1

Observedtorque 2

(percent ofmax. ob-served)

Minimumtime in

mode (min-utes)

Weightingfactors

1 ................................................. 1 ................................................ Rated ........................................ 100 5.0 0.151 ................................................. 2 ................................................ Rated ........................................ 75 5.0 0.151 ................................................. 3 ................................................ Rated ........................................ 50 5.0 0.151 ................................................. 4 ................................................ Rated ........................................ 10 5.0 0.102 ................................................. 5 ................................................ Int .............................................. 100 5.0 0.102 ................................................. 6 ................................................ Int .............................................. 75 5.0 0.102 ................................................. 7 ................................................ Int .............................................. 50 5.0 0.102 ................................................. 8 ................................................ Idle ............................................ 0 5.0 0.15

1 Engine speed (non-idle): ± 2 percent of point. Engine speed (idle): Within manufacturer’s specifications. Idle speed is specified by the manu-facturer.

2 Torque (non-idle): Throttle fully open for 100 percent points. Other non-idle points: ± 2 percent of engine maximum value. Torque (idle): Throt-tle fully closed. Load less than 5 percent of peak torque.

TABLE 2.—5-MODE TEST CYCLE FOR CONSTANT-SPEED ENGINES

Mode number Engine1 Speed

Observedtorque 2


Minimumtime in

mode (min-utes)

Weightingfactors

1 ............................................................................ Rated .................................................................... 100 5.0 0.052 ............................................................................ Rated .................................................................... 75 5.0 0.253 ............................................................................ Rated .................................................................... 50 5.0 0.304 ............................................................................ Rated .................................................................... 25 5.0 0.305 ............................................................................ Rated .................................................................... 10 5.0 0.10

1 Engine speed: ±2 percent of point.2 Torque: Throttle fully open for 100 percent point. Other points: ± 2 percent of engine maximum value.


TABLE 3.—6-MODE TEST CYCLE FOR ENGINES RATED UNDER 19 KW

Mode number Engine speed 1

Observedtorque 2


Minimumtime in

mode (min-utes)

Weightingfactors

1 ............................................................................ Rated .................................................................... 100 5.0 0.092 ............................................................................ Rated .................................................................... 75 5.0 0.203 ............................................................................ Rated .................................................................... 50 5.0 0.294 ............................................................................ Rated .................................................................... 25 5.0 0.305 ............................................................................ Rated .................................................................... 10 5.0 0.076 ............................................................................ Idle ........................................................................ 0 5.0 0.05

1 Engine speed (non-idle): ± 2 percent of point. Engine speed (idle): Within manufacturer’s specifications. Idle speed is specified by the manu-facturer.

2 Torque (non-idle): Throttle fully open for operation at 100 percent point. Other nonidle points: ± 2 percent of engine maximum value. Torque(idle): Throttle fully closed. Load less than 5 percent of peak torque.

TABLE 4.—4-MODE TEST CYCLE FOR PROPULSION MARINE DIESEL ENGINES

Mode number

Enginespeed 1 (per-cent of max.observed)

Observedpower 2 (per-cent of max.observed)

Minimum timein mode (min-

utes)

Weighting fac-tors

1 ........................................................................................................................ 100 100 5.0 0.202 ........................................................................................................................ 91 75 5.0 0.503 ........................................................................................................................ 80 50 5.0 0.154 ........................................................................................................................ 63 25 5.0 0.15

1 Engine speed: ± 2 percent of point.2 Power: Throttle fully open for operation at 100 percent point. Other points: ± 2 percent of engine maximum value.

Subpart F—[Amended]

88. The newly designated § 89.505 isamended by revising paragraph (e) toread as follows:

§ 89.505 Maintenance of records;submittal of information.

* * * * *(e) All reports, submissions,

notifications, and requests for approvalsmade under this subpart are addressedto: Director, Engine Programs andCompliance Division (6405–J), U.S.Environmental Protection Agency, 401M Street SW, Washington, DC 20460.

89. The newly designated § 89.506 isamended by revising paragraph (g) toread as follows:

§ 89.506 Right of entry and access.

* * * * *(g) A manufacturer is responsible for

locating its foreign testing andmanufacturing facilities in jurisdictionswhere local law does not prohibit anEPA enforcement officer(s) or EPAauthorized representative(s) fromconducting the entry and accessactivities specified in this section. EPAwill not attempt to make anyinspections which it has been informedthat local foreign law prohibits.

90. The newly designated § 89.509 isamended by revising paragraphs (a) and(b) to read as follows.

§ 89.509 Calculation and reporting of testresults.

(a) Initial test results are calculatedfollowing the applicable test procedurespecified in § 89.508(a). Themanufacturer rounds these results, inaccordance with ASTM E29–93a, to thenumber of decimal places contained inthe applicable emission standardexpressed to one additional significantfigure. This procedure has beenincorporated by reference. See § 89.6.

(b) Final test results are calculated bysumming the initial test results derivedin paragraph (a) of this section for eachtest engine, dividing by the number oftests conducted on the engine, androunding in accordance with theprocedure specified in paragraph (a) ofthis section to the same number ofdecimal places contained in theapplicable standard expressed to oneadditional significant figure.* * * * *

91. The newly designated § 89.512 isamended by revising paragraph (b) toread as follows.

§ 89.512 Request for public hearing.

* * * * *(b) The manufacturer’s request must

be filed with the Administrator not laterthan 15 days after the Administrator’snotification of the decision to suspendor revoke, unless otherwise specified bythe Administrator. The manufacturermust simultaneously serve two copies of

this request upon the Director of theEngine Programs and ComplianceDivision and file two copies with theHearing Clerk of the Agency. Failure ofthe manufacturer to request a hearingwithin the time provided constitutes awaiver of the right to a hearing.Subsequent to the expiration of theperiod for requesting a hearing as ofright, the Administrator may, at her orhis discretion and for good causeshown, grant the manufacturer a hearingto contest the suspension or revocation.* * * * *

92. The newly designated § 89.513 isamended by revising paragraph (e)(2) toread as follows.

§ 89.513 Administrative procedures forpublic hearing.

* * * * *(e) Filing and service. * * *(2) To the maximum extent possible,

testimony will be presented in writtenform. Copies of written testimony willbe served upon all parties as soon aspracticable prior to the start of thehearing. A certificate of service will beprovided on or accompany eachdocument or paper filed with theHearing Clerk. Documents to be servedupon the Director of the EnginePrograms and Compliance Divisionmust be sent by registered mail to:Director, Engine Programs andCompliance Division (6405–J), U.S.Environmental Protection Agency, 401


M Street SW., Washington, DC 20460.Service by registered mail is completeupon mailing.* * * * *

Subpart G—[Amended]

93. The newly designated § 89.602 isamended by revising the definition for‘‘Fifteen working day hold period’’ toread as follows:

§ 89.602 Definitions.* * * * *

Fifteen working day hold period. Theperiod of time between a request forfinal admission and the automaticgranting of final admission (unless EPAintervenes) for a nonconformingnonroad engine conditionally importedpursuant to § 89.605 or § 89.609. Dayone of the hold period is the firstworking day (see definition for‘‘working day’’ in this section) after theEngine Programs and ComplianceDivision of EPA receives a complete andvalid application for final admission.* * * * *


§ 89.603 General requirements forimportation of nonconforming nonroadengines.* * * * *

(d) The ICI must submit to the EnginePrograms and Compliance Division ofEPA a copy of all approved applicationsfor certification used to obtaincertificates of conformity for thepurpose of importing nonconformingnonroad engines pursuant to § 89.605 or§ 89.609. In addition, the ICI mustsubmit to the Engine Programs andCompliance Division a copy of allapproved production changesimplemented pursuant to § 89.605 orsubpart B of this part. Documentationsubmitted pursuant to this paragraph (d)must be provided to the EnginePrograms and Compliance Divisionwithin 10 working days of approval ofthe certification application (orproduction change) by EPA.

95. The newly designated § 89.604 isamended by revising paragraphs (c)(4)and (d) to read as follows:

§ 89.604 Conditional admission.* * * * *

(c) * * *(4) A copy of the written record is to

be submitted to the Engine Programsand Compliance Division of EPA withinfive working days of the transfer date.

(d) Notwithstanding any otherrequirement of this subpart or U.S.Customs Service regulations, an ICI mayalso assume responsibility for the

modification and testing of anonconforming nonroad engine whichwas previously imported by anotherparty. The ICI must be a holder of acurrently valid certificate of conformityfor that specific nonroad engine orauthorized to import it pursuant to§ 89.609 at the time of assuming suchresponsibility. The ICI must complywith all the requirements of § 89.603,§ 89.604, and either § 89.605 or § 89.609,as applicable. For the purposes of thissubpart, the ICI has ‘‘imported’’ thenonroad engine as of the date the ICIassumes responsibility for themodification and testing of the nonroadengine. The ICI must submit writtennotification to the Engine Programs andCompliance Division of EPA within 10working days of the assumption of thatresponsibility.

96. The newly designated § 89.605 isamended by revising paragraphs(a)(2)(i), (a)(3)(vi), and (c) to read asfollows:

§ 89.605 Final admission of certifiednonroad engines.

(a) * * *(2) * * *(i) The ICI attests that the nonroad

engine has been modified in accordancewith the provisions of the ICI’scertificate of conformity; presents toEPA a statement written by theapplicable Original EngineManufacturer that the Original EngineManufacturer must provide to the ICI,and to EPA, information concerningproduction changes to the class ofnonroad engines described in the ICI’sapplication for certification; delivers tothe Engine Programs and ComplianceDivision of EPA notification by the ICIof any production changes alreadyimplemented by the Original EngineManufacturer at the time of applicationand their effect on emissions; andobtains from EPA written approval touse this demonstration option; or.* * * * *

(3) * * *(vi) A report concerning these

production changes is to be made to theEngine Programs and ComplianceDivision of EPA within ten workingdays of initiation of the productionchange. The cause of any failure of anemission test is to be identified, ifknown;* * * * *

(c) Except as provided in paragraph(b) of this section, EPA approval forfinal admission of a nonroad engineunder this section is presumed to havebeen granted if the ICI does not receiveoral or written notice from EPA to thecontrary within 15 working days of thedate that the Engine Programs and

Compliance Division of EPA receivesthe ICI’s application under paragraph (a)of this section. EPA notice ofnonapproval may be made to anyemployee of the ICI. It is theresponsibility of the ICI to ensure thatthe Engine Programs and ComplianceDivision of EPA receives the applicationand to confirm the date of receipt.During this 15 working day hold period,the nonroad engine is to be stored at alocation where the Administrator hasreasonable access to the nonroad enginefor the Administrator’s inspection. Thestorage is to be within 50 miles of theICI’s testing facility to allow theAdministrator reasonable access forinspection and testing. A storage facilitynot meeting this criterion must beapproved in writing by theAdministrator prior to the submittal ofthe ICI’s application under paragraph (a)of this section.


§ 89.609 Final admission of modificationnonroad engines and test nonroad engines.* * * * *

(d) Except as provided in paragraph(c) of this section, EPA approval forfinal admission of a nonroad engineunder this section is presumed to havebeen granted if the ICI does not receiveoral or written notice from EPA to thecontrary within 15 working days of thedate that the Engine Programs andCompliance Division of EPA receivesthe ICI’s application under paragraph (b)of this section. Such EPA notice ofnonapproval may be made to anyemployee of the ICI. It is theresponsibility of the ICI to ensure thatthe Engine Programs and ComplianceDivision of EPA receives the applicationand to confirm the date of receipt.During this 15 working day hold period,the nonroad engine is stored at alocation where the Administrator hasreasonable access to the nonroad enginefor the Administrator’s inspection. Thestorage is to be within 50 miles of theICI’s testing facility to allow theAdministrator reasonable access forinspection and testing. A storage facilitynot meeting this criterion must beapproved in writing by theAdministrator prior to the submittal ofthe ICI’s application under paragraph (b)of this section.* * * * *

98. The newly designated § 89.610 isamended by revising paragraph (b)(1) toread as follows:

§ 89.610 Maintenance instructions,warranties, emission labeling.* * * * *


(b) * * * (1) ICIs must submit to theEngine Programs and ComplianceDivision of EPA sample copies(including revisions) of any warrantydocuments required by this sectionprior to importing nonroad enginesunder this subpart.* * * * *

99. The newly designated § 89.611 isamended by revising paragraph (g) toread as follows:

§ 89.611 Exemptions and exclusions.* * * * *

(g) An application for exemption andexclusion provided for in paragraphs(b), (c), and (e) of this section is to bemailed to: U.S. EnvironmentalProtection Agency, Office of MobileSources, Engine Programs andCompliance Division (6405–J), 401 MStreet, SW, Washington, DC 20460,Attention: Imports.

Subpart J—[Amended]

100. Section 89.903 is amended byrevising paragraph (b) to read as follows:

§ 89.903 Application of section 216(10) ofthe Act.* * * * *

(b) EPA will maintain a list ofnonroad engines that have beendetermined to be excluded because theyare used solely for competition. This listwill be available to the public and maybe obtained by writing to the followingaddress: Chief, Selective EnforcementAuditing Section, Engine Programs andCompliance Division (6405–J),Environmental Protection Agency, 401M Street SW, Washington, DC 20460.* * * * *

101. Section 89.905 is amended byrevising paragraph (f) to read as follows:

§ 89.905 Testing exemption.* * * * *

(f) A manufacturer of new nonroadengines may request a testing exemptionto cover nonroad engines intended foruse in test programs planned oranticipated over the course of asubsequent one-year period. Unlessotherwise required by the Director,Engine Programs and ComplianceDivision, a manufacturer requestingsuch an exemption need only furnishthe information required by paragraphs(a)(1) and (d)(2) of this section alongwith a description of the record-keepingand control procedures that will beemployed to assure that the engines areused for purposes consistent withparagraph (a) of this section.

102. Section 89.906 is amended byrevising paragraphs (a)(3) introductorytext, (a)(3)(iii)(D), and (b) to read asfollows:

§ 89.906 Manufacturer-owned exemptionand precertification exemption.

(a) * * *(3) Unless the requirement is waived

or an alternate procedure is approved bythe Director, Engine Programs andCompliance Division, the manufacturermust permanently affix a label to eachnonroad engine on exempt status. Thislabel should:* * * * *

(iii) * * *(D) The statement ‘‘This nonroad

engine is exempt from the prohibitionsof 40 CFR 89.1003.’’* * * * *

(b) Any independent commercialimporter that desires a precertificationexemption pursuant to § 89.611(b)(3)and is in the business of importing,modifying, or testing uncertifiednonroad engines for resale under theprovisions of subpart G of this part,must apply to the Director, EnginePrograms and Compliance Division. TheDirector may require such independentcommercial importer to submitinformation regarding the general natureof the fleet activities, the number ofnonroad engines involved, and ademonstration that adequate record-keeping procedures for control purposeswill be employed.

103. Section 89.911 is revised to readas follows:

§ 89.911 Submission of exemptionrequests.

Requests for exemption or furtherinformation concerning exemptionsand/or the exemption request reviewprocedure should be addressed to:Chief, Selective Enforcement AuditingSection, Engine Programs andCompliance Division (6405–J),Environmental Protection Agency, 401M Street SW, Washington, DC 20460.

104. Section 89.1003 is amended byrevising paragraphs (a)(3), (a)(5), (a)(6),(b)(4), and (b)(7) to read as follows:

§ 89.1003 Prohibited acts.(a) * * *(3)(i) For a person to remove or render

inoperative a device or element ofdesign installed on or in a nonroadengine, vehicle or equipment incompliance with regulations under thispart prior to its sale and delivery to theultimate purchaser, or for a personknowingly to remove or renderinoperative such a device or element ofdesign after the sale and delivery to theultimate purchaser; or

(ii) For a person to manufacture, sellor offer to sell, or install, a part orcomponent intended for use with, or aspart of, a nonroad engine, vehicle orequipment, where a principal effect of

the part or component is to bypass,defeat, or render inoperative a device orelement of design installed on or in anonroad engine in compliance withregulations issued under this part, andwhere the person knows or shouldknow that the part or component isbeing offered for sale or installed for thisuse or put to such use; or

(iii) for a person to deviate from theprovisions of § 89.130 when rebuildingan engine (or rebuilding a portion of anengine or engine system).* * * * *

(5) For a person to circumvent orattempt to circumvent the residencetime requirements of paragraph (2)(iii)of the nonroad engine definition in§ 89.2.

(6) For a manufacturer of nonroadvehicles or equipment to distribute incommerce, sell, offer for sale, orintroduce into commerce a nonroadvehicle or piece of equipment whichcontains an engine not covered by acertificate of conformity, except asotherwise allowed by this part.

(b) * * *(4) Certified nonroad engines shall be

used in all vehicles and equipmentmanufactured on or after the applicablemodel years in § 89.112 that are self-propelled, portable, transportable, or areintended to be propelled whileperforming their function, unless themanufacturer of the vehicle orequipment can prove that the vehicle orequipment will be used in a mannerconsistent with paragraph (2) of thedefinition of nonroad engine in § 89.2.After the date on which a new standardtakes effect, nonroad vehicle andequipment manufacturers may continueto use nonroad engines built prior tothis date that are not certified to thestandard until inventories of thoseengines are depleted; however,stockpiling of such nonroad engineswill be considered a violation of thissection.* * * * *

(7) A new nonroad engine intendedsolely to replace a nonroad engine in apiece of nonroad equipment, where theengine requiring replacement is notcertified or is certified to emissionstandards that are less stringent thanthose in effect when the replacementengine is built, shall not be subject tothe prohibitions of paragraph (a)(1) ofthis section or to the requirements of§ 89.105 and paragraph (b)(4) of thissection, provided that:

(i) The engine manufacturer hasascertained that no engine produced byitself or by the manufacturer of theengine that is being replaced, ifdifferent, and certified to the


requirements of this subpart, is availablewith the appropriate physical orperformance characteristics to repowerthe equipment; and

(ii) The engine manufacturer or itsagent takes ownership and possession ofthe engine being replaced in partialexchange for the replacement engine;and

(iii) The replacement engine is clearlylabeled with the following language, orsimilar alternate language approved bythe Administrator: THIS ENGINE DOESNOT COMPLY WITH FEDERALNONROAD OR ON-HIGHWAYEMISSION REQUIREMENTS. SALE ORINSTALLATION OF THIS ENGINE FORANY PURPOSE OTHER THAN AS AREPLACEMENT ENGINE FOR ANENGINE MANUFACTURED PRIOR TOJANUARY 1 [INSERT APPROPRIATEYEAR] IS A VIOLATION OF FEDERALLAW SUBJECT TO CIVIL PENALTY;and

(iv) In cases where an engine is to beimported for replacement purposesunder the provisions of this paragraph(b)(7), the term ‘‘engine manufacturer’’shall not apply to an individual or otherentity that does not possess a currentCertificate of Conformity issued by EPAunder this part; and

(v) Where the replacement engine isintended to replace an engine that iscertified to emission standards that areless stringent than those in effect whenthe replacement engine is built, thereplacement engine shall be identical inall material respects to a certifiedconfiguration of the same or later modelyear as the engine being replaced; and

(vi) Engines sold pursuant to theprovisions of this paragraph (b)(7) willneither generate nor use emissioncredits and will not be part of anyaccounting under the averaging, bankingand trading program.

105. Section 89.1007 is amended byrevising paragraph (c) to read as follows:

§ 89.1007 Warranty provisions.

* * * * *(c) For the purposes of this section,

the owner of any nonroad enginewarranted under this part is responsiblefor the proper maintenance of theengine. Proper maintenance includesreplacement and service, at the owner’sexpense at a service establishment orfacility of the owner’s choosing, of allparts, items, or devices related toemission control (but not designed foremission control) under the terms of thelast sentence of section 207(a)(3) of theAct, unless such part, item, or device iscovered by any warranty not mandatedby this Act.

[FR Doc. 98–24836 Filed 10–22–98; 8:45 am]


D-1

APPENDIX DCALIFORNIA AIR RESOURCES BOARD STATEMENT OF ADOPTION OF

EPA NONROAD DIESEL ENGINEFINAL RULE

ARB Adopts Federal Standards Applicable to Off-Road Diesel Engines -- On January 28, 2000, California’s Air Resources Board adopted the federal Tier 2 and Tier 3 standards applicable to diesel-powered off-road (nonroad) engines. The standards are shown in Table 1. The federal standards, adopted in October 1998, and the proposed ARB standards are based on an August 1996 Statement of Principals (SOP) signed by the manufacturers of off-road diesel engines, the U.S. EPA, and ARB. The standards are not expected to require the use of exhaust control technology. ARB also adopted the federal voluntary “Blue Sky Series” standards adopted by the U.S. EPA. These standards are applicable through the 2004 model year and are based on the Tier 3 standards, where applicable, and a 40 percent reduction from Tier 2 levels for PM standards where no Tier 3 PM standard has been established. At the hearing, several Board members indicated that further emission reductions from off-road engines will be needed to help California meet its air quality objectives.

Table 1

Proposed California Emission Standards for Off-Road Compression-Ignition Engines a

(grams per kilowatt-hour )

Maximum Rated Power (kW) Tier Model Year NOx HC NMHC+NOxe CO PM

Tier 1 2000-2004 — — 10.5 8.0 1.0 KW<8b Tier 2 2005 and later — — 7.5 8.0 0.80 Tier 1 2000-2004 — — 9.5 6.6 0.80 8#kW<19 b Tier 2 2005 and later — — 7.5 6.6 0.80 Tier 1 2000-2003 — — 9.5 5.5 0.80 19#kW<37 Tier 2 2004 and later — — 7.5 5.5 0.60 Tier 1 2000-2003 9.2 — — — — Tier 2 2004-2007 — — 7.5 5.0 0.40

37#kW<75

Tier 3 2008 and later — — 4.7 5.0 — Tier 1 2000-2002 9.2 — — — — Tier 2 2003-2006 — — 6.6 5.0 0.30

75#kW<130

Tier 3 2007 and later — — 4.0 5.0 — Tier 1c 1996-2002 9.2 1.3 — 11.4 0.54 Tier 2d 2003-2005 — — 6.6 3.5 0.20

130#kW<225

Tier 3 2006 and later — — 4.0 3.5 — Tier 1 c 1996-2000 9.2 1.3 — 11.4 0.54 Tier 2d 2001-2005 — — 6.4 3.5 0.20

225#kW<450

Tier 3 2006 and later — — 4.0 3.5 — Tier 1 c 1996-2001 9.2 1.3 — 11.4 0.54 Tier 2 d 2002-2005 — — 6.4 3.5 0.20

450#kW#560

Tier 3 2006 and later — — 4.0 3.5 — Tier 1 d 2000-2005 9.2 1.3 — 11.4 0.54 kW>560 Tier 2 2006 and later — — 6.4 3.5 0.20

Notes: a. The proposed California standards for engines less than 130 kilowatts (175 horsepower) apply only to non-

preempted equipment. b. The Tier 1 and Tier 2 emission standards for less than 25 horsepower compression-ignition engines were already

adopted in the small off-road engine rulemaking. c. The Tier 1 emission standards were already adopted for 1996 and later engines. This proposal will modify the

existing standards for 2000 and later engines, replacing them with the noted Tier 2 and Tier 3 standards. d. The Tier 1 emission standards were already adopted for 2000 and later engines. e. NMHC + NOx = non-methane hydrocarbons plus oxides of nitrogen