40 CFR 94 PDF

Pt. 94 40 CFR Ch.
I (7–1–05 Edition)
an implementation schedule con- PART 94—CONTROL OF EMISSIONS

taining explicit timelines for imple- FROM MARINE COMPRESSION-
mentation. IGNITION ENGINES
(b) Prior to determining that a Fed-
eral action is in conformity, the Fed- Subpart A—General Provisions for Emission
eral agency making the conformity de- Regulations for Compression-Ignition
termination must obtain written com- Marine Engines
mitments from the appropriate persons
Sec.
or agencies to implement any mitiga-
94.1 Applicability.
tion measures which are identified as 94.2 Definitions.
conditions for making conformity de- 94.3 Abbreviations.
terminations. 94.4 Treatment of confidential information.
(c) Persons or agencies voluntarily 94.5 Reference materials.
94.6 Regulatory structure.
committing to mitigation measures to
94.7 General standards and requirements.
facilitate positive conformity deter- 94.8 Exhaust emission standards.
minations must comply with the obli- 94.9 Compliance with emission standards.
gations of such commitments. 94.10 Warranty period.
(d) In instances where the Federal 94.11 Requirements for rebuilding certified
engines.
agency is licensing, permitting or oth-
94.12 Interim provisions.
erwise approving the action of another
governmental or private entity, ap- Subpart B—Test Procedures
proval by the Federal agency must be
94.101 Applicability.
conditioned on the other entity meet-
94.102 General provisions.
ing the mitigation measures set forth 94.103 Test procedures for Category 1 ma-
in the conformity determination. rine engines.
(e) When necessary because of 94.104 Test procedures for Category 2 ma-
changed circumstances, mitigation rine engines.
measures may be modified so long as 94.105 Duty cycles.
94.106 Supplemental test procedures for Cat-
the new mitigation measures continue egory 1 and Category 2 marine engines.
to support the conformity determina- 94.107 Determination of maximum test
tion. Any proposed change in the miti- speed.
gation measures is subject to the re- 94.108 Test fuels.
porting requirements of § 93.156 and the 94.109 Test procedures for Category 3 ma-
rine engines.
public participation requirements of
§ 93.157. Subpart C—Certification Provisions
(f) The implementation plan revision
required in § 93.151 shall provide that 94.201 Applicability.
94.202 Definitions.
written commitments to mitigation
94.203 Application for certification.
measures must be obtained prior to a 94.204 Designation of engine families.
positive conformity determination and 94.205 Prohibited controls, adjustable pa-
that such commitments must be ful- rameters.
filled. 94.206 Required information.
(g) After a State revises its SIP to 94.207 Special test procedures.
94.208 Certification.
adopt its general conformity rules and 94.209 Special provisions for post-manufac-
EPA approves that SIP revision, any ture marinizers and small-volume manu-
agreements, including mitigation facturers.
measures, necessary for a conformity 94.210 Amending the application and certifi-
determination will be both State and cate of conformity.
94.211 Emission-related maintenance in-
federally enforceable. Enforceability
structions for purchasers.
through the applicable SIP will apply 94.212 Labeling.
to all persons who agree to mitigate di- 94.213 Submission of engine identification
rect and indirect emissions associated numbers.
with a Federal action for a conformity 94.214 Production engines.
determination. 94.215 Maintenance of records; submittal of
information; right of entry.
94.216 Hearing procedures.
94.217 Emission data engine selection.
588
VerDate Aug<04>2004 14:24 Aug 11, 2005 Jkt 205160 PO 00000 Frm 00598 Fmt 8010 Sfmt 8010 Y:\SGML\205160.XXX 205160
Environmental Protection Agency Pt. 94
94.218 Deterioration factor determination. Subpart H—Recall Regulations
94.219 Durability data engine selection.
94.220 Service accumulation. 94.701 Applicability.
94.221 Application of good engineering judg- 94.702 Definitions.
ment. 94.703 Applicability of 40 CFR Part 85, Sub-
94.222 Certification of engines on imported part S.
vessels.
Subpart I—Importation of Nonconforming
Subpart D—Certification Averaging, Engines
Banking, and Trading Provisions
94.801 Applicability.
94.301 Applicability. 94.802 Definitions.
94.302 Definitions. 94.803 Admission.
94.303 General provisions. 94.804 Exemptions.
94.304 Compliance requirements. 94.805 Prohibited acts; penalties.
94.305 Credit generation and use calcula-
tion. Subpart J—Exclusion and Exemption
94.306 Certification.
94.307 Labeling.
Provisions
94.308 Maintenance of records. 94.901 Purpose and applicability.
94.309 Reports. 94.902 Definitions.
94.310 Notice of opportunity for hearing.
94.903 Exclusions.
94.904 Exemptions.
Subpart E—Emission-related Defect Report-
94.905 Testing exemption.
ing Requirements, Voluntary Emission
94.906 Manufacturer-owned exemption, dis-
Recall Program play exemption, and competition exemp-
94.401 Applicability. tion.
94.402 Definitions. 94.907 Engine dressing exemption.
94.403 Emission defect information report. 94.908 National security exemption.
94.404 Voluntary emissions recall reporting. 94.909 Export exemptions.
94.405 Alternative report formats. 94.910 Granting of exemptions.
94.406 Reports filing: record retention. 94.911 Submission of exemption requests.
94.407 Responsibility under other legal pro-
visions preserved. Subpart K—Requirements Applicable to
94.408 Disclaimer of production warranty Vessel Manufacturers, Owners, and
applicability. Operators
Subpart F—Manufacturer Production Line 94.1001 Applicability.
Testing Programs 94.1002 Definitions.
94.1003 Production testing, in-use testing,
94.501 Applicability. and inspections.
94.502 Definitions. 94.1004 Maintenance, repair adjustment, and
94.503 General requirements. recordkeeping.
94.504 Right of entry and access.
94.505 Sample selection for testing. Subpart L—General Enforcement Provisions
94.506 Test procedures.
and Prohibited Acts
94.507 Sequence of testing.
94.508 Calculation and reporting of test re- 94.1101 Applicability.
sults. 94.1102 Definitions.
94.509 Maintenance of records; submittal of 94.1103 Prohibited acts.
information. 94.1104 General enforcement provisions.
94.510 Compliance with criteria for produc-
94.1105 Injunction proceedings for prohib-
tion line testing.
ited acts.
94.511 [Reserved]
94.1106 Penalties.
94.512 Suspension and revocation of certifi-
cates of conformity. 94.1107 Warranty provisions.
94.513 Request for public hearing. 94.1108 In-use compliance provisions.
94.514 Administrative procedures for public APPENDIX I TO PART 94—EMISSION-RELATED
hearing. ENGINE PARAMETERS AND SPECIFICATIONS.
94.515 Hearing procedures.
AUTHORITY: 42 U.S.C. 7522, 7523, 7524, 7525,
94.516 Appeal of hearing decision.
7541, 7542, 7543, 7545, 7547, 7549, 7550 and
94.517 Treatment of confidential informa-
7601(a).
tion.
SOURCE: 64 FR 73331, Dec. 29, 1999, unless
Subpart G [Reserved] otherwise noted.
589
§ 94.1 40 CFR Ch. I (7–1–05 Edition)
Subpart A—General Provisions for Agency or his/her authorized represent-

Emission Regulations for Com- ative.
pression-Ignition Marine En- Aftertreatment system or aftertreatment
component or aftertreatment technology
gines
means any system or component or
§ 94.1 Applicability. technology mounted downstream of the
exhaust valve or exhaust port whose
(a) Except as noted in paragraphs (b) design function is to reduce exhaust
and (c) of this section, the provisions of emissions.
this part apply to manufacturers (in-
Annex VI Technical Code means the
cluding post-manufacture marinizers
‘‘Technical Code on Control of Emis-
and dressers), rebuilders, owners and
sion of Nitrogen Oxides from Marine
operators of:
Diesel Engines,’’ adopted by the Inter-
(1) Marine engines that are compres- national Maritime Organization (incor-
sion-ignition engines manufactured (or porated by reference in § 94.5).
that otherwise become new) on or after
Applicable standard means a standard
January 1, 2004;
to which an engine is subject; or, where
(2) Marine vessels manufactured (or
an engine is certified to another stand-
that otherwise become new) on or after
ard or FEL, applicable standard means
January 1, 2004 and which include a
the other standard or FEL to which the
compression-ignition marine engine.
engine is certified, as allowed by § 94.8.
(b) Notwithstanding the provision of This definition does not apply to sub-
paragraph (c) of this section, the re- part D of this part.
quirements and prohibitions of this
Auxiliary engine means a marine en-
part do not apply with respect to the
gine that is not a propulsion engine.
engines identified in paragraphs (a)(1)
and (2) of this section where such en- Auxiliary emission control device
gines are: (AECD) means any element of design
which senses temperature, vessel speed,
(1) Marine engines with rated power
engine RPM, atmospheric pressure,
below 37 kW; or
manifold pressure or vacuum, or any
(2) Marine engines on foreign vessels. other parameter for the purpose of ac-
(c) The provisions of Subpart L of tivating, modulating, delaying, or de-
this part apply to everyone with re- activating the operation of any part of
spect to the engines identified in para- the emission control system (including,
graph (a) of this section. but not limited to injection timing); or
[67 FR 68341, Nov. 8, 2002, as amended at 68 any other feature that causes in-use
FR 9780, Feb. 28, 2003] emissions to be higher than those
measured under test conditions.
§ 94.2 Definitions. Averaging means the exchange of
(a) The definitions of this section emission credits among engine families
apply to this subpart. They also apply within a given manufacturer’s product
to all subparts of this part, except line.
where noted otherwise. Banking means the retention of emis-
(b) As used in this part, all terms not sion credits by a credit holder for use
defined in this section shall have the in future calendar year averaging or
meaning given them in the Act: Act trading as permitted by the regulations
means the Clean Air Act as amended in this part.
(42 U.S.C. 7401 et seq.). Base engine means a land-based en-
Adjustable Parameter means any de- gine to be marinized, as configured
vice, system, or element of design prior to marinization.
which is physically or electronically Blue Sky Series engine means an en-
capable of being adjusted (including gine meeting the requirements of
those which are difficult to access) and § 94.7(e).
which, if adjusted, may affect emis- Brake-specific fuel consumption means
sions or engine performance during the mass of fuel consumed by an engine
emission testing. during a test segment divided by the
Administrator means the Adminis- brake-power output of the engine dur-
trator of the Environmental Protection ing that same test segment.
590
Environmental Protection Agency § 94.2
Calibration means the set of specifica- (1) Such conditions are substantially
tions, including tolerances, specific to represented by the portion of the appli-
a particular design, version, or applica- cable duty cycle of § 94.105 during which
tion of a component, or components, or the applicable emission rates are meas-
assembly capable of functionally de- ured;
scribing its operation over its working (2) The need for the AECD or other
range. control feature is justified in terms of
Category 1 means relating to a marine protecting the engine or vessel against
engine with a rated power greater than damage or accident; or
or equal to 37 kilowatts and a specific (3) The AECD or other control fea-
engine displacement less than 5.0 liters ture does not go beyond the require-
per cylinder. ments of engine starting.
Category 2 means relating to a marine Designated Officer means the Manager
engine with a specific engine displace- of the Engine Programs Group (6405–J),
ment greater than or equal to 5.0 liters U.S. Environmental Protection Agen-
per cylinder but less than 30 liters per cy, 1200 Pennsylvania Ave., Wash-
cylinder. ington, DC 20460.
Category 3 means relating to a marine Deterioration factor means the dif-
engine with a specific engine displace- ference between exhaust emissions at
ment greater than or equal to 30 liters the end of useful life and exhaust emis-
per cylinder. sions at the low hour test point ex-
pressed as either: the ratio of exhaust
Commercial means relating to an en-
emissions at the end of useful life to
gine or vessel that is not a recreational
exhaust emissions at the low hour test
marine engine or a recreational vessel.
point (for multiplicative deterioration
Compliance date means the date on factors); or the difference between ex-
which compliance with a standard be- haust emissions at the end of useful
comes mandatory. For example, the life and exhaust emissions at the low
compliance date for standards which hour test point (for additive deteriora-
first apply to the 2004 model year, is tion factors).
January 1, 2004. Diesel fuel means any fuel suitable for
Compression-ignition means relating use in diesel engines which is com-
to an engine that is not a spark-igni- monly or commercially known or sold
tion engine. as diesel fuel or marine distillate fuel.
Configuration means any subclassi- Dresser means any entity that modi-
fication of an engine family which can fies a land-based engine for use in a
be described on the basis of gross marine vessel, in compliance with the
power, emission control system, gov- provisions of § 94.907. This means that
erned speed, injector size, engine cali- dressers may not modify the engine in
bration, and other parameters as des- a way that would affect emissions.
ignated by the Administrator. Emission control system means those
Constant-speed engine means an en- devices, systems or elements of design
gine that is governed to operate only which control or reduce the emission of
at a single rated speed. substances from an engine. This in-
Crankcase emissions means airborne cludes, but is not limited to, mechan-
substances emitted to the atmosphere ical and electronic components and
from any portion of the engine crank- controls, and computer software.
case ventilation or engine lubrication Emission credits means the amount of
system. emission reduction or exceedance, by
Defeat device means an AECD or other an engine family, below or above the
control feature that reduces the effec- emission standard, respectively, as cal-
tiveness of the emission control system culated under subpart D of this part.
under conditions which may reason- Emission reductions below the stand-
ably be expected to be encountered in ard are considered as ‘‘positive cred-
normal engine operation and use, units,’’ while emission exceedances above
less the AECD or other control feature the standard are considered as ‘‘nega-
has been identified by the manufac- tive credits.’’ In addition, ‘‘projected
turer in the application for certifi- credits’’ refer to emission credits based
cation, and: on the projected applicable production/
591
§ 94.2 40 CFR Ch. I (7–1–05 Edition)
sales volume of the engine family. Family Emission Limit (FEL) means an
‘‘Reserved credits’’ are emission credits emission level declared by the certi-
generated within a calendar year wait- fying manufacturer to serve in lieu of
ing to be reported to EPA at the end of an otherwise applicable emission
the calendar year. ‘‘Actual credits’’ standard for certification and compli-
refer to emission credits based on ac- ance purposes in the averaging, bank-
tual applicable production/sales vol- ing and trading program. FELs are ex-
ume as contained in the end-of-year re- pressed to the same number of decimal
ports submitted to EPA. places as the applicable emission
Emission-data engine means an engine standard.
which is tested for purposes of emission Foreign vessel means a vessel of for-
certification or production line testing. eign registry or a vessel operated under
Emission-related defect means a defect the authority of a country other than
in design, materials, or workmanship the United States.
in a device, system, or assembly which Fuel system means the combination of
affects any parameter or specification fuel tank(s), fuel pump(s), fuel lines
enumerated in Appendix I of this part. and filters, pressure regulator(s), and
Emission-related maintenance means fuel injection components, fuel system
that maintenance which substantially vents, and any other component in-
affects emissions or which is likely to volved in the delivery of fuel to the en-
affect the deterioration of the engine gine.
or vessel with respect to emissions.
Green Engine Factor means a factor
Engine family means a group of en-
that is applied to emission measure-
gine configurations that are expected
ments from an engine that has had lit-
to have similar emission characteris-
tle or no service accumulation. The
tics throughout the useful lives of the
Green Engine Factor adjusts emission
engines (see § 94.204), and that are (or
measurements to be equivalent to
were) covered (or requested to be cov-
emission measurements from an engine
ered) by a specific certificate of con-
that has had approximately 300 hours
formity.
of use.
Engineering analysis means a sum-
mary of scientific and/or engineering Hydrocarbon standard means an emis-
principles and facts that support a con- sion standard for total hydrocarbons,
clusion made by a manufacturer, with nonmethane hydrocarbons, or total hy-
respect to compliance with the provi- drocarbon equivalent; or a combined
sions of this part. emission standard for NOX and total
EPA Enforcement Officer means any hydrocarbons, nonmethane hydro-
officer or employee of the Environ- carbons, or total hydrocarbon equiva-
mental Protection Agency so des- lent.
ignated in writing by the Adminis- Identification number means a speci-
trator or his/her designee. fication (for example, model number/
Exhaust emissions means substances serial number combination) which al-
(i.e., gases and particles) emitted to lows a particular engine to be distin-
the atmosphere from any opening guished from other similar engines.
downstream from the exhaust port or Importer means an entity or person
exhaust valve of an engine. who imports engines from a foreign
Exhaust gas recirculation means an country into the United States (includ-
emission control technology that re- ing its territories).
duces emissions by routing gases that Intermediate Speed means peak torque
had been exhausted from the combus- speed if peak torque speed occurs from
tion chamber(s) back into the engine to 60 to 75 percent of maximum test speed.
be mixed with incoming air prior to or If peak torque speed is less than 60 per-
during combustion. The use of valve cent of maximum test speed, inter-
timing to increase the amount of resid- mediate speed means 60 percent of
ual exhaust gas in the combustion maximum test speed. If peak torque
chamber(s) that is mixed with incom- speed is greater than 75 percent of max-
ing air prior to or during combustion is imum test speed, intermediate speed
not considered to be exhaust gas recir- means 75 percent of maximum test
culation for the purposes of this part. speed.
592
Low hour engine means an engine dur- Method of aspiration means the meth-
ing the interval between the time that od whereby air for fuel combustion en-
normal assembly operations and ad- ters the engine (e.g., naturally aspi-
justments are completed and the time rated or turbocharged).
that 300 additional operating hours Model year means the manufacturer’s
have been accumulated (including annual new model production period
hours of operation accumulated during which includes January 1 of the cal-
emission testing, if performed). endar year, ends no later than Decem-
Malfunction means a condition in ber 31 of the calendar year, and does
which the operation of a component in not begin earlier than January 2 of the
an engine occurs in a manner other previous calendar year. Where a manu-
than that specified by the certifying facturer has no annual new model pro-
manufacturer (e.g., as specified in the duction period, model year means cal-
application for certification); or the endar year.
operation of an engine in that condi- New marine engine means:
tion. (1)(i) A marine engine, the equitable
Manufacturer means any person en- or legal title to which has never been
gaged in the manufacturing or assem- transferred to an ultimate purchaser;
bling of new engines or importing such
(ii) A marine engine installed on a
engines for resale, or who acts for and
vessel, the equitable or legal title to
is under the control of any such person
such vessel has never been transferred
in connection with the distribution of
to an ultimate purchaser; or
such engines. The term manufacturer
(iii) A marine engine that has not
includes post-manufacturer marinizers,
been placed into service on a vessel.
but does not include any dealer with
respect to new engines received by such (2) Where the equitable or legal title
person in commerce. to an engine or vessel is not trans-
Manufacturer-owned engine means an ferred to an ultimate purchaser prior
uncertified marine engine that is to its being placed into service, the en-
owned and controlled by a manufac- gine ceases to be new after it is placed
turer, is used for product development, into service.
and is not sold or leased. (3) With respect to imported engines,
Marine engine means an engine that the term ‘‘new marine engine’’ means
is installed or intended to be installed an engine that is not covered by a cer-
on a marine vessel. This definition does tificate of conformity under this part
not include portable auxiliary engines at the time of importation, and that
for which the fueling, cooling and ex- was manufactured after the starting
haust systems are not integral parts of date of the emission standards in this
the vessel. part which are applicable to such en-
Marine vessel has the meaning speci- gine (or which would be applicable to
fied in the General Provisions of the such engine had it been manufactured
United States Code, 1 U.S.C. 3. for importation into the United
Maximum Test Power means: States).
(1) For Category 1 engines, the power New vessel means:
output observed at the maximum test (1)(i) A vessel, the equitable or legal
speed with the maximum fueling rate title to which has never been trans-
possible. ferred to an ultimate purchaser; or
(2) For Category 2 engines, 90 percent (ii) For vessels with no Category 3
of the power output observed at the engines, a vessel that has been modi-
maximum test speed with the max- fied such that the value of the modi-
imum fueling rate possible. fications exceeds 50 percent of the
Maximum test speed means the engine value of the modified vessel. The value
speed defined by § 94.107 to be the max- of the modification is the difference in
imum engine speed to use during test- the assessed value of the vessel before
ing. the modification and the assessed value
Maximum Test Torque means the of the vessel after the modification.
torque output observed at the test Use the following equation to deter-
speed with the maximum fueling rate mine if the fractional value of the
possible at that speed. modification exceeds 50 percent:
593
§ 94.2 40 CFR Ch. I (7–1–05 Edition)
Percent of value = [(Value after modi- manufacture marinizers. For the pur-
fication)¥(Value before modification)] × pose of this definition, ‘‘substantially
100% (Value after modification) modify’’ means changing an engine in a
(iii) For vessels with Category 3 en- way that could change engine emission
gines, a vessel that has undergone a characteristics.
modification, which: Presentation of credentials means the
(A) Substantially alters the dimen- display of the document designating a
sions or carrying capacity of the ves- person as an EPA enforcement officer.
sel; or Primary fuel means that type of fuel
(B) Changes the type of vessel; or (e.g., petroleum distillate diesel fuel)
(C) Substantially prolongs the ves- that is expected to be consumed in the
sel’s life. greatest quantity (volume basis) when
(2) Where the equitable or legal title the engine is operated in use.
to a vessel is not transferred to an ulti- Propulsion engine means an engine
mate purchaser prior to its being that moves a vessel through the water
placed into service, the vessel ceases to or directs the movement of a vessel.
be new when it is placed into service. Recreational marine engine means a
Nonconforming marine engine means a Category 1 propulsion marine engine
marine engine which is not covered by that is intended by the manufacturer
a certificate of conformity prior to im- to be installed on a recreational vessel,
portation or being offered for importa- and which is permanently labeled as
tion (or for which such coverage has follows: ‘‘THIS ENGINE IS CAT-
not been adequately demonstrated to EGORIZED AS A RECREATIONAL
EPA); or a marine engine which was MARINE ENGINE UNDER 40 CFR
originally covered by a certificate of PART 94. INSTALLATION OF THIS
conformity, but which is not in a cer- ENGINE IN ANY NONRECREATIONAL
tified configuration, or otherwise does VESSEL IS A VIOLATION OF FED-
not comply with the conditions of that ERAL LAW SUBJECT TO CIVIL PEN-
certificate of conformity. ALTY.’’.
Recreational vessel has the meaning
NOTE: This definition does not include do- given in 46 U.S.C. 2101 (25), but excludes
mestic marine engines which are not covered ‘‘passenger vessels’’ and ‘‘small pas-
by a certificate of conformity prior to their
introduction into U.S. commerce; such en-
senger vessels’’ as defined by 46 U.S.C.
gines are considered to be ‘‘noncomplying 2101 (22) and (35) and excludes vessels
marine engines.’’ used solely for competition. In general,
for this part, ‘‘recreational vessel’’
Oxides of nitrogen means nitric oxide means a vessel that is intended by the
and nitrogen dioxide. Oxides of nitro- vessel manufacturer to be operated pri-
gen are expressed quantitatively as if marily for pleasure or leased, rented or
the nitric oxide were in the form of ni- chartered to another for the latter’s
trogen dioxide (oxides of nitrogen are pleasure, excluding the following ves-
assumed to have a molecular weight sels:
equivalent to nitrogen dioxide). (1) Vessels of less than 100 gross tons
Passenger has the meaning given by that carry more than 6 passengers (as
46 U.S.C. 2101 (21) and (21a). In the con- defined in this section).
text of commercial vessels, this gen- (2) Vessels of 100 gross tons or more
erally means that a passenger is a per- that carry one or more passengers (as
son that pays to be on the vessel. defined in this section).
Post-manufacture marinizer means an (3) Vessels used solely for competi-
entity that produces a marine engine tion.
by modifying a non-marine engine, Residual fuel means a petroleum prod-
whether certified or uncertified, com- uct containing the heavier compounds
plete or partially complete, where such that remain after the distillate fuel
entity is not controlled by the manu- oils (e.g., diesel fuel and marine dis-
facturer of the base engine or by an en- tillate fuel) and lighter hydrocarbons
tity that also controls the manufac- are distilled away in refinery oper-
turer of the base engine. In addition, ations.
vessel manufacturers that substan- Round means to round numbers ac-
tially modify marine engines are post- cording to ASTM E29–02 (incorporated
594
by reference in § 94.5), unless otherwise Tier 1 means relating to an engine

specified. subject to the Tier 1 emission stand-
Service life means the total life of an ards listed in § 94.8.
engine. Service life begins when the en- Tier 2 means relating to an engine
gine is originally manufactured and subject to the Tier 2 emission stand-
continues until the engine is perma- ards listed in § 94.8.
nently removed from service. Total Hydrocarbon Equivalent means
Specific emissions means emissions ex- the sum of the carbon mass contribu-
pressed on the basis of observed brake tions of non-oxygenated hydrocarbons,
power, using units of g/kW-hr. Observed
alcohols and aldehydes, or other or-
brake power measurement includes ac-
ganic compounds that are measured
cessories on the engine if these acces-
sories are required for running an emis- separately as contained in a gas sam-
sion test (except for the cooling fan). ple, expressed as petroleum-fueled en-
When it is not possible to test the engine hydrocarbons. The hydrogen-to-
gine in the gross conditions, for exam- carbon ratio of the equivalent hydro-
ple if the engine and transmission form carbon is 1.85:1.
a single integral unit, the engine may Trading means the exchange of en-
be tested in the net condition. Power gine emission credits between credit
corrections from net to gross condi- holders.
tions will be allowed with prior ap- Ultimate Purchaser means, with re-
proval of the Administrator. spect to any new engine or vessel, the
Small-volume boat builder means a first person who in good faith pur-
boat manufacturer with fewer than 500 chases such new engine or vessel for
employees and with annual U.S.-di- purposes other than resale.
rected production of fewer than 100 United States means the States, the
boats. For manufacturers owned by a District of Columbia, the Common-
parent company, these limits apply to wealth of Puerto Rico, the Common-
the combined production and number wealth of the Northern Mariana Is-
of employees of the parent company
lands, Guam, American Samoa, the
and all its subsidiaries.
U.S. Virgin Islands, and the Trust Ter-
Small-volume manufacturer means a
manufacturer with annual U.S.-di- ritory of the Pacific Islands.
rected production of fewer than 1,000 U.S.-directed production volume means
internal combustion engines (marine the number of marine engine units,
and nonmarine). For manufacturers subject to this part, produced by a
owned by a parent company, the limit manufacturer for which the manufac-
applies to the production of the parent turer has reasonable assurance that
company and all its subsidiaries. sale was or will be made to ultimate
Spark-ignition means relating to a purchasers in the United States.
gasoline-fueled engine or other engines Useful life means the period during
with a spark plug (or other sparking which an engine is designed to properly
device) and with operating characteris- function in terms of reliability and fuel
tics significantly similar to the theo- consumption, without being remanu-
retical Otto combustion cycle. Spark- factured, specified as hours of oper-
ignition engines usually use a throttle ation and years. It is the period during
to regulate intake air flow to control which a new engine is required to com-
power during normal operation. ply with all applicable emission stand-
Specified by a certificate of conformity ards. (Note: § 94.9(a) specifies minimum
or specified in a certificate of conformity requirements for useful life values.)
means stated or otherwise specified in
Vessel means a marine vessel.
a certificate of conformity or an ap-
proved application for certification. Vessel operator means any individual
Test engine means an engine in a test that physically operates or maintains a
sample. vessel, or exercises managerial control
Test sample means the collection of over the operation of the vessel.
engines or vessels selected from the Vessel owner means the individual or
population of an engine family for company that holds legal title to a ves-
emission testing. sel.
595
§ 94.3 40 CFR Ch. I (7–1–05 Edition)
Voluntary emission recall means a re- PMM—post-manufacture marinizer.

pair, adjustment, or modification pro- ppm—parts per million by volume.
gram voluntarily initiated and con- ppmC—parts per million, carbon.
ducted by a manufacturer to remedy rpm—revolutions per minute.
any emission-related defect for which s—second(s).
notification of engine or vessel owners SAE—Society of Automotive Engineers.
has been provided. SEA—Selective Enforcement Auditing.
SI—International system of units (i.e., met-
[64 FR 73331, Dec. 29, 1999, as amended at 67 ric).
FR 68341, Nov. 8, 2002; 68 FR 9781, Feb. 28, THC—Total hydrocarbon.
2003; 68 FR 54960, Sept. 19, 2003]
THCE—Total hydrocarbon equivalent.
§ 94.3 Abbreviations. U.S.—United States.
U.S.C.—United States Code.
The abbreviations of this section vs—versus.
apply to all subparts of this part and W—watt(s).
have the following meanings: wt—weight.
AECD—Auxiliary emission control device.
API—American Petroleum Institute. § 94.4 Treatment of confidential infor-
ASTM—American Society for Testing and mation.
Materials. (a) Any manufacturer may assert
°C—Degrees Celsius.
CI—Compression ignition.
that some or all of the information
CO—Carbon monoxide. submitted pursuant to this part is enti-
CO2—Carbon dioxide. tled to confidential treatment as pro-
disp.—volumetric displacement of an engine vided by 40 CFR part 2, subpart B.
cylinder. (b) Any claim of confidentiality must
EGR—Exhaust gas recirculation.
accompany the information at the time
EP—End point.
EPA—Environmental Protection Agency. it is submitted to EPA.
FEL—Family emission limit. (c) To assert that information sub-
ft—foot or feet. mitted pursuant to this part is con-
FTP—Federal Test Procedure. fidential, a person or manufacturer
g—gram(s). must indicate clearly the items of in-
g/kW-hr—Grams per kilowatt hour.
gal—U.S. gallon. formation claimed confidential by
h—hour(s). marking, circling, bracketing, stamp-
HC—hydrocarbon. ing, or otherwise specifying the con-
Hg—Mercury. fidential information. Furthermore,
hp—horsepower. EPA requests, but does not require,
ICI—Independent Commercial Importer.
in—inch(es).
that the submitter also provide a sec-
K—Kelvin. ond copy of its submittal from which
kg—kilogram(s). all confidential information has been
km—kilometer(s). deleted. If a need arises to publicly re-
kPa—kilopascal(s). lease nonconfidential information,
kW—kilowatt. EPA will assume that the submitter
L/cyl—liters per cylinder.
m—meter(s).
has accurately deleted the confidential
max—maximum. information from this second copy.
mg—milligram(s). (d) If a claim is made that some or all
min—minute. of the information submitted pursuant
ml—milliliter(s). to this part is entitled to confidential
mm—millimeter. treatment, the information covered by
NIST—National Institute for Standards and
Testing.
that confidentiality claim will be dis-
NMHC—Non-methane hydrocarbons. closed by EPA only to the extent and
NTIS—National Technical Information Serv- by means of the procedures set forth in
ice. 40 CFR part 2, subpart B.
NO—nitric oxide. (e) Information provided without a
NO2—nitrogen dioxide. claim of confidentiality at the time of
NOX—oxides of nitrogen.
No.—number.
submission may be made available to
O2—oxygen. the public by EPA without further no-
pct—percent. tice to the submitter, in accordance
PM—particulate matter. with 40 CFR 2.204(c)(2)(i)(A).
596
§ 94.5 Reference materials. federallregister/

We have incorporated by reference codeloflfederallregulations/
the documents listed in this section. ibrllocations.html.
The Director of the Federal Register (a) ASTM material. Table 1 of § 94.5
approved the incorporation by ref- lists material from the American Soci-
erence as prescribed in 5 U.S.C. 552(a) ety for Testing and Materials that we
and 1 CFR part 51. Anyone may inspect have incorporated by reference. The
copies at the U.S. EPA, Air and Radi- first column lists the number and name
ation Docket and Information Center, of the material. The second column
1301 Constitution Ave., NW., Room lists the sections of this part where we
B102, EPA West Building, Washington, reference it. Anyone may purchase cop-
DC 20460 or at the National Archives ies of these materials from the Amer-
and Records Administration (NARA). ican Society for Testing and Materials,
For information on the availability of 100 Barr Harbor Dr., PO Box C700, West
this material at NARA, call 202–741– Conshohocken, PA 19428. Table 1 fol-
6030, or go to: http://www.archives.gov/ lows:
TABLE 1 OF § 94.5—ASTM MATERIALS
Document No. and name Part 94 reference
ASTM D 86–01, Standard Test Method for Distillation of Petroleum Products at Atmospheric 94.108
Pressure.
ASTM D 93–02, Standard Test Methods for Flash-Point by Pensky-Martens Closed Cup Test- 94.108
er.
ASTM D 129–00, Standard Test Method for Sulfur in Petroleum Products (General Bomb 94.108
Method).
ASTM D 287–92 (Reapproved 2000), Standard Test Method for API Gravity of Crude Petro- 94.108
leum and Petroleum Products (Hydrometer Method).
ASTM D 445–01, Standard Test Method for Kinematic Viscosity of Transparent and Opaque 94.108
Liquids (the Calculation of Dynamic Viscosity).
ASTM D 613–01, Standard Test Method for Cetane Number of Diesel Fuel Oil ......................... 94.108
ASTM D 1319–02a, Standard Test Method for Hydrocarbon Types in Liquid Petroleum Prod- 94.108
ucts by Fluorescent Indicator Adsorption.
ASTM D 2622–98, Standard Test Method for Sulfur in Petroleum Products by Wavelength Dis- 94.108
persive X-ray Fluorescence Spectrometry.
ASTM D 5186–99, Standard Test Method for Determination of the Aromatic Content and 94.108
Polynuclear Aromatic Content of Diesel Fuels and Aviation Turbine Fuels by Supercritical
Fluid Chromatography.
ASTM E 29–02, Standard Practice for Using Significant Digits in Test Data to Determine Con- 94.2
formance with Specifications.
(b) ISO material. Table 2 of § 94.5 lists reference it. Anyone may purchase cop-
material from the International Orga- ies of these materials from the Inter-
nization for Standardization that we national Organization for Standardiza-
have incorporated by reference. The tion, Case Postale 56, CH–1211 Geneva
first column lists the number and name 20, Switzerland.
of the material. The second column Table 2 follows:
lists the section of this part where we
TABLE 2 OF § 94.5—ISO MATERIALS
Document No. and name 40 CFR part 94 reference
ISO 8178–1, Reciprocating internal combustion engines—Exhaust emission measurement— 94.109

Part 1: Test-bed measurement of gaseous and particulate exhaust emissions, 1996.
(c) IMO material. Table 3 of § 94.5 lists tion of this part where we reference it.
material from the International Mari- Anyone may purchase copies of these
time Organization that we have incor- materials from the International Mari-
porated by reference. The first column time Organization, 4 Albert Embank-
lists the number and name of the mate- ment, London SE1 7SR, United King-
rial. The second column lists the sec- dom.
597
§ 94.6 40 CFR Ch. I (7–1–05 Edition)
Table 3 follows:
TABLE 3 OF § 94.5—IMO MATERIALS
Document No. and name 40 CFR part 94 reference
Resolution 2—Technical Code on Control of Emission of Nitrogen Oxides from Marine Diesel 94.2, 94.11, 94.108, 94.109,
Engines, 1997. 94.204, 94.211, 94.1004.
[68 FR 9781, Feb. 28, 2003] § 94.7 General standards and require-
ments.
§ 94.6 Regulatory structure.
(a) Marine engines and vessels may
This section provides an overview of not be equipped with a defeat device.
the regulatory structure of this part. (b) An engine may not be equipped
(a) The regulations of this Part 94 are with an emission control system for
intended to control emissions from in- the purpose of complying with emis-
use marine engines. sion standards if such a system will
(b) The engines for which the regula- cause or contribute to an unreasonable
tions of this part (i.e., 40 CFR part 94) risk to public health, welfare, or safety
apply are specified by § 94.1, and by the in its operation or function.
definitions of § 94.2. The point at which (c) You may not design your engines
an engine or vessel becomes subject to with emission-control devices, sys-
the regulations of this part is deter- tems, or elements of design that cause
mined by the definitions of new marine or contribute to an unreasonable risk
engine and new marine vessel in § 94.2. to public health, welfare, or safety
Subpart J of this part contains provi- while operating. For example, this
sions exempting certain engines and would apply if the engine emits a nox-
vessels from the emission standards in ious or toxic substance it would other-
this part under special circumstances. wise not emit that contributes to such
(c) To comply with the requirements an unreasonable risk.
of this part, a manufacturer must dem- (d) Manufacturers shall ensure that
onstrate to EPA that the engine meets all engines subject to the emission
the applicable standards of §§ 94.7 and standards of this part are equipped
94.8, and all other requirements of this with a connection in the engine ex-
part. The requirements of this certifi- haust system that is located down-
cation process are described in sub- stream of the engine and before any
parts C and D of this part. point at which the exhaust contacts
(d) Subpart B of this part specifies water (or any other cooling/scrubbing
procedures and equipment to be used medium) for the temporary attachment
for conducting emission tests for the of gaseous and/or particulate emission
purpose of the regulations of this part. sampling equipment. Use good engi-
(e) Subparts E, F, and H of this part neering judgment to locate the connec-
specify requirements for manufactur- tion. This connection shall be inter-
ers after certification; that is during nally threaded with standard pipe
production and use of the engines. threads of a size not larger than one-
(f) Subpart I of this part contains re- half inch, and shall be closed by a pipe-
quirements applicable to the importa- plug when not in use. Equivalent con-
tion of marine engines covered by the nections are allowed. Engine manufac-
provisions of this part. turers may comply with this require-
(g) Subpart L of this part describes ment by providing vessel manufactur-
prohibited acts and contains other en- ers with clear instructions explaining
forcement provisions relating to ma- how to meet this requirement, and not-
rine engines and vessels covered by the ing in the instructions that failure to
provisions of this part. comply may subject the vessel manu-
(h) Unless specified otherwise, the facturer to federal penalties. Vessel
provisions of this part apply to all ma- manufacturers are required to comply
rine engines and vessels subject to the with the engine manufacturer’s in-
emission standards of this part. structions.
598
(e) Electronically controlled engines per cylinder may not exceed the fol-
subject to the emission standards of lowing values:
this part shall broadcast on engine’s (i) 17.0 g/kW-hr when maximum test
controller area networks engine torque speed is less than 130 rpm.
(as percent of maximum torque at that (ii) 45.0 × N¥0.20 when maximum test
speed) and engine speed. speed is at least 130 but less than 2000
rpm, where N is the maximum test
[64 FR 73331, Dec. 29, 1999, as amended at 67
speed of the engine in revolutions per
FR 68341, Nov. 8, 2002; 68 FR 9782, Feb. 28,
2003] minute.
(NOTE: Round speed-dependent standards to
§ 94.8 Exhaust emission standards. the nearest 0.1 g/kW-hr.)
(a) The Tier 1 standards of paragraph (iii) 9.8 g/kW-hr when maximum test
(a)(1) of this section apply until re- speed is 2000 rpm or more.
placed by the standards of paragraph (2) Tier 2 standards. (i) Exhaust emis-
(a)(2) of this section. sions from marine compression-igni-
(1) Tier 1 standards. NOX emissions tion engines shall not exceed the appli-
from model year 2004 and later engines cable Tier 2 exhaust emission stand-
with displacement of 2.5 or more liters ards contained in Table A–1 as follows:
TABLE A–1.—PRIMARY TIER 2 EXHAUST EMISSION STANDARDS (G/KW-HR)
Engine Size liters/cylinder, THC+NOX g/
Category Model year a CO g/kW-hr PM g/kW-hr
rated power kW-hr
disp. <0.9 and power ≥37 kW .. Category 1, Commercial 2005 7.5 5.0 0.40
Category 1, Recreational 2007 7.5 5.0 0.40
0.9 ≤ disp. <1.2 all power lev- Category 1, Commercial 2004 7.2 5.0 0.30
els.
els.
els.
5.0 ≤ disp. <15.0 all power lev- Category 2 ...................... 2007 7.8 5.0 0.27
els.
15.0 ≤ disp. <20.0 power Category 2 ...................... 2007 8.7 5.0 0.50
<3300 kW.
15.0 ≤ disp. <20.0 power Category 2 ...................... 2007 9.8 5.0 0.50
≥3300 kW.
20.0 ≤ disp. <25.0 all power Category 2 ...................... 2007 9.8 5.0 0.50
levels.
25.0 ≤ disp. <30.0 all power Category 2 ...................... 2007 11.0 5.0 0.50
levels.
disp. ≥30.0 all power levels ...... Category 3 ...................... See paragraph (a)(2)(ii) of this section
a The model years listed indicate the model years for which the specified standards start.
(ii) EPA has not finalized Tier 2 lies in the averaging, banking, and
standards for Category 3 engines. EPA trading program, the provisions of
will promulgate final Tier 2 standards which are specified in subpart D of this
for Category 3 engines on or before part. The manufacturer shall then set a
April 27, 2007. family emission limit (FEL) which will
(b) Exhaust emissions of oxides of ni- serve as the standard for that engine
trogen, carbon monoxide, hydrocarbon, family. The ABT provisions of subpart
and particulate matter (and other com- D of this part do not apply for Cat-
pounds, as applicable) shall be meas- egory 3 engines.
ured using the procedures set forth in (d)(1) Naturally aspirated engines
subpart B of this part. subject to the standards of this section
(c) In lieu of the THC+NOX standards, shall not discharge crankcase emis-
and PM standards specified in para- sions into the ambient atmosphere.
graph (a) of this section, manufactur- (2) For engines using turbochargers,
ers may elect to include engine fami- pumps, blowers, or superchargers for
599
§ 94.8 40 CFR Ch. I (7–1–05 Edition)
air induction, if the engine discharges in § 94.106, instead of the limits in para-
crankcase emissions into the ambient graph (e)(1)(i) of this section.
atmosphere in use, these crankcase (2) Recreational marine engines. (i) 1.20
emissions shall be included in all ex- times the applicable standards (or
haust emission measurements. This re- FELs) when tested in accordance with
quirement applies only for engines sub- the supplemental test procedures speci-
ject to hydrocarbon standards (e.g., fied in § 94.106 at loads greater than or
THC standards, NMHC standards, or equal to 45 percent of the maximum
THC+NOX standards). power at rated speed and speeds less
(3) The crankcase requirements of than 95 percent of maximum test speed,
this paragraph (d) do not apply for Tier or 1.50 times the applicable standards
1 engines. (or FELs) at loads less than 45 percent
(e) Exhaust emissions from Category of the maximum power at rated speed,
or 1.50 times the applicable standards
1 and Category 2 propulsion engines
(or FELs) at any loads for speeds great-
subject to the standards (or FELs) in
er than or equal to 95 percent of the
paragraph (a), (c), or (f) of this section
maximum test speed.
shall not exceed:
(ii) As an option, the manufacturer
(1) Commercial marine engines. (i) 1.20 may choose to comply with limits of
times the applicable standards (or 1.25 times the applicable standards (or
FELs) when tested in accordance with FELs) when tested over the whole
the supplemental test procedures speci- power range in accordance with the
fied in § 94.106 at loads greater than or supplemental test procedures specified
equal to 45 percent of the maximum in § 94.106, instead of the limits in para-
power at rated speed or 1.50 times the graph (e)(2)(i) of this section.
applicable standards (or FELs) at loads (f) The following define the require-
less than 45 percent of the maximum ments for low-emitting Blue Sky Se-
power at rated speed. ries engines:
(ii) As an option, the manufacturer (1) Voluntary standards. (i) Category 1
may choose to comply with limits of and Category 2 engines may be des-
1.25 times the applicable standards (or ignated ‘‘Blue Sky Series’’ engines by
FELs) when tested over the whole meeting the voluntary standards listed
power range in accordance with the in Table A–2, which apply to all certifi-
supplemental test procedures specified cation and in-use testing:
TABLE A–2—VOLUNTARY EMISSION STANDARDS [G/KW-HR]
Rated brake power (kW) THC+NOX PM
Power ≥ 37 kW, and displ. < 0.9 .................................................................................................. 4.0 0.24

0.9 ≤ displ. < 1.2 ........................................................................................................................... 4.0 0.18
1.2 ≤ displ. < 2.5 ........................................................................................................................... 4.0 0.12
2.5 ≤ displ. < 5 .............................................................................................................................. 5.0 0.12
5 ≤ displ. < 15 ............................................................................................................................... 5.0 0.16
15 ≤ disp. < 20, and power < 3300 kW ........................................................................................ 5.2 0.30
15 ≤ disp. < 20, and power ≥ 3300 kW ........................................................................................ 5.9 0.30
20 ≤ disp. < 25 .............................................................................................................................. 5.9 0.30
25 ≤ disp. < 30 .............................................................................................................................. 6.6 0.30
(ii) Category 3 engines may be des- (NOTE: Round speed-dependent stand-

ignated ‘‘Blue Sky Series’’ engines by ards to the nearest 0.1 g/kW-hr.)
meeting these voluntary standards (B) An HC standard of 0.4 g/kW-hr.
that would apply to all certification (C) A CO standard of 3.0 g/kW-hr.
and in-use testing: (2) Additional standards. Blue Sky Se-
(A) A NOX standard of 9.0 × N¥0.20 ries engines are subject to all provi-
where N = the maximum test speed of sions that would otherwise apply under
the engine in revolutions per minute this part.
(or 4.8 g/kW-hr for engines with max- (3) Test procedures. Manufacturers
imum test speeds less than 130 rpm). may use an alternate procedure to
600
demonstrate the desired level of emis- (A) 1000 hours of operation.

sion control if approved in advance by (B) The manufacturer’s recommended
the Administrator. overhaul interval.
(g) Standards for alternative fuels. (C) The mechanical warranty pro-
The standards described in this section vided by the manufacturer to the
apply to compression-ignition engines, owner.
irrespective of fuel, with the following (ii) The manufacturer must have doc-
two exceptions for Category 1 and Cat- umentation from in-use engines show-
egory 2 engines: ing that these engines will rarely oper-
(1) Engines fueled with natural gas ate longer than the alternate useful
shall comply with NMHC+NOX stand- life.
ards that are numerically equivalent to (iii) The manufacturer displays the
the THC+NOX described in paragraph useful life on the engine label.
(a) of this section; and (b) Certification is the process by
(2) Engines fueled with alcohol fuel which manufacturers apply for and ob-
shall comply with THCE+NOX stand- tain certificates of conformity from
ards that are numerically equivalent to EPA, which allows the manufacturer to
the THC+NOX described in paragraph introduce into commerce new marine
(a) of this section. engines for sale or use in the U.S.
[64 FR 73331, Dec. 29, 1999, as amended at 67 (1) Compliance with the applicable
FR 68342, Nov. 8, 2002; 68 FR 9782, Feb. 28, emission standards by an engine family
2003; 68 FR 54960, Sept. 19, 2003] shall be demonstrated by the certifying
manufacturer before a certificate of
§ 94.9 Compliance with emission stand-
ards. conformity may be issued under
§ 94.208. Manufacturers shall dem-
(a) The general standards and re- onstrate compliance using emission
quirements in § 94.7 and the emission data, measured using the procedures
standards in § 94.8 apply to each new specified in Subpart B of this part,
engine throughout its useful life pe- from a low hour engine. A development
riod. The useful life is specified both in engine that is equivalent in design to
years and in hours of operation, and the marine engines being certified may
ends when either of the values (hours be used for Category 2 or Category 3
of operation or years) is exceeded. certification.
(1) The minimum useful life is: (2) The emission values to compare
(i) 10 years or 1,000 hours of operation with the standards shall be the emis-
for recreational Category 1 engines. sion values of a low hour engine, or a
(ii) 10 years or 10,000 hours of oper- development engine, adjusted by the
ation for commercial Category 1 en- deterioration factors developed in ac-
gines. cordance with the provisions of § 94.219.
(iii) 10 years or 20,000 hours of oper- Before comparing any emission value
ation for Category 2 engines. with the standard, round it to the same
(iv) 3 years or 10,000 hours of oper- number of significant figures contained
ation for Category 3 engines. in the applicable standard.
(2) The manufacturer shall specify a
(c) Upon request by the manufac-
longer useful life if the engine is de-
turer, the Administrator may limit the
signed to remain in service longer than
applicability of exhaust emission re-
the applicable minimum useful life
quirements of § 94.8(e) as necessary for
without being rebuilt. A manufactur-
safety or to otherwise protect the en-
er’s recommended time to remanufac-
gine.
ture/rebuild longer than the minimum
useful life is one indicator of a longer [64 FR 73331, Dec. 29, 1999, as amended at 67
design life. FR 68342, Nov. 8, 2002; 68 FR 9783, Feb. 28,
(3) Upon request by the manufac- 2003; 68 FR 54960, Sept. 19, 2003]
turer, the Administrator may allow
useful life values shorter than the min- § 94.10 Warranty period.
imum values specified in paragraph (a)(1) Warranties imposed by § 94.1107
(a)(1) of this section, provided: for Category 1 or Category 2 engines
(i) The useful life value may not be shall apply for a period of operating
shorter than any of the following: hours equal to at least 50 percent of the
601
§ 94.11 40 CFR Ch. I (7–1–05 Edition)
useful life in operating hours or a pe- (i) In accordance with the original
riod of years equal to at least 50 per- engine manufacturer’s instructions; or
cent of the useful life in years, which- (ii) Where data or other reasonable
ever comes first. technical basis exists that such param-
(2) Warranties imposed by § 94.1107 for eter adjustment or design element
Category 3 engines shall apply for a pe- change, when performed on the engine
riod of operating hours equal to at or similar engines, is not expected to
least the full useful life in operating adversely affect in-use emissions.
hours or a period of years equal to at (c) When an engine is being rebuilt
least the full useful life in years, and remains installed or is reinstalled
whichever comes first. in the same vessel, it must be rebuilt
(b) Warranties imposed by § 94.1107 to a configuration of the same or later
shall apply for a period not less than model year as the original engine.
any mechanical warranties provided by When an engine is being replaced, the
the manufacturer to the owner. replacement engine must be an engine
of (or rebuilt to) a certified configura-
FR 9784, Feb. 28, 2003] tion that is equivalent, from an emis-
sions standpoint, to the engine being
§ 94.11 Requirements for rebuilding replaced.
certified engines. (d) At time of rebuild, emission-re-
(a) The provisions of this section lated codes or signals from on-board
apply with respect to engines subject monitoring systems may not be erased
to the standards prescribed in § 94.8 and or reset without diagnosing and re-
are applicable to the process of engine sponding appropriately to the diag-
rebuilding. Engine rebuilding means to nostic codes, regardless of whether the
overhaul an engine or to otherwise per- systems are installed to satisfy re-
form extensive service on the engine quirements in § 94.211 or for other rea-
(or on a portion of the engine or engine sons and regardless of form or inter-
system). For the purpose of this defini- face. Diagnostic systems must be free
tion, perform extensive service means of all such codes when the rebuilt en-
to disassemble the engine (or portion of gine is returned to service. Such sig-
the engine or engine system), inspect nals may not be rendered inoperative
and/or replace many of the parts, and during the rebuilding process.
reassemble the engine (or portion of (e)(1) When conducting a rebuild, all
the engine or engine system) in such a critical emission-related components
manner that significantly increases the listed in Appendix I of this part not
service life of the resultant engine. otherwise addressed by paragraphs (b)
(b) When rebuilding an engine, por- through (d) of this section must be
tions of an engine, or an engine sys- checked and cleaned, adjusted, re-
tem, there must be a reasonable tech- paired, or replaced as necessary, fol-
nical basis for knowing that the result- lowing manufacturer recommended
ant engine is equivalent, from an emis- practices.
sions standpoint, to a certified configu- (2) During the installation of a re-
ration (i.e., tolerances, calibrations, built engine, all critical emission-re-
specifications), and the model year(s) lated components listed in Appendix I
of the resulting engine configuration of this part not otherwise addressed by
must be identified. A reasonable basis paragraphs (b) through (d) of this sec-
would exist if: tion must be checked as necessary, fol-
(1) Parts installed, whether the parts lowing manufacturer recommended
are new, used, or rebuilt, are such that practices.
a person familiar with the design and (f) Records shall be kept by parties
function of motor vehicle engines conducting activities included in para-
would reasonably believe that the parts graphs (b) through (e) of this section.
perform the same function with respect At minimum the records shall include
to emission control as the original the hours of operation at the time of
parts; and rebuild, a listing of work performed on
(2) Any parameter adjustment or de- the engine and emission-related con-
sign element change is made only: trol components (including a listing of
602
parts and components used, engine pa- Tier 2 standards for recreational en-
rameter adjustments, emission-related gines as specified in § 94.8 by five years
codes or signals responded to and for each engine family.
reset), and work performed under para- (b) Early banking of emission credits.
graph (e) of this section. (1) A manufacturer may optionally cer-
(1) Parties may keep records in what- tify engines manufactured before the
ever format or system they choose as date the Tier 2 standards take effect to
long as the records are understandable earn emission credits under the aver-
to an EPA enforcement officer or can aging, banking, and trading program.
be otherwise provided to an EPA en- Such optionally certified engines are
forcement officer in an understandable subject to all provisions relating to
format when requested. mandatory certification and enforce-
(2) Parties are not required to keep ment described in this part. Manufac-
records of information that is not rea- turers may begin earning credits for
sonably available through normal busi- recreational engines on December 9,
ness practices including information on 2002.
activities not conducted by themselves (2) Consistent with the provisions of
or information that they cannot rea- Subpart D of this part, NOX and PM
sonably access. emission credits may be generated
(3) Parties may keep records of their from engines prior to the applicable ef-
rebuilding practices for an engine fam- fective compliance date of the applica-
ily rather than on each individual en- ble standard (i.e., the effective compli-
gine rebuilt in cases where those re- ance date in § 94.8(a), as applicable),
build practices are followed routinely. relative to baseline emission rates.
(4) Records must be kept for a min- (3)(i) THC+NOX credits generated
imum of two years after the engine is under this paragraph (b) shall be cal-
rebuilt. culated as specified in § 92.305, except
(g) For Category 3 engines, the owner that the baseline emission rate may be
and operator shall also comply with either the applicable standard or a
the recordkeeping requirements in the measured THC+NOX baseline level for
Annex VI Technical Code (incorporated the configuration with the lowest NOX
by reference at § 94.5) regarding the En- emission rate in the applicable engine
gine Book of Record Parameters. family. The additional credits result-
[64 FR 73331, Dec. 29, 1999, as amended at 68 ing from using a measured baseline (in-
FR 9784, Feb. 28, 2003] stead of the applicable standard) shall
be discounted by 10 percent. This dis-
§ 94.12 Interim provisions. count does not apply to the portion of
This section contains provisions that the credits resulting from the engine’s
apply for a limited number of calendar emissions being below the applicable
years or model years. These provisions standard. Baseline emission rates may
supercede the other provisions of this not exceed the IMO NOX limits.
part. The provisions of this section do (ii) PM credits generated under this
not apply for Category 3 engines. paragraph (b) shall be calculated as
(a) Compliance date of standards. Cer- specified in § 94.305, except that the ap-
tain companies may delay compliance plicable standard may be replaced by a
with emission standards. Companies measured PM baseline emission rate
wishing to take advantage of this pro- for the configuration with the lowest
vision must inform the Designated Of- NOX emission rate in the applicable en-
ficer of their intent to do so in writing gine family that is approved in advance
before the date that compliance with by the Administrator. The additional
the standards would otherwise be man- credits resulting from using a meas-
datory. ured baseline (instead of the applicable
(1) Post-manufacture marinizers may standard) shall be discounted by 10 per-
elect to delay the model year of the cent. This discount does not apply to
Tier 2 standards for commercial en- the portion of the credits resulting
gines as specified in § 94.8 by one year from the engine’s emissions being
for each engine family. below the applicable standard.
(2) Small-volume manufacturers may (4)(i) For post-manufacture
elect to delay the model year of the marinizers, measured baseline emission
603
§ 94.12 40 CFR Ch. I (7–1–05 Edition)
levels may be based on emissions from start with 2012 model year engines for
a single engine for each engine family. post-manufacture marinizers and 2009
(ii) For all other manufacturers, model year engines for all other engine
measured baseline emission levels manufacturers.
must be based on the average of emis- (f) Manufacturers may submit test
sions from at least three engines for data collected using the Annex VI test
each engine family. procedures to show compliance with
(iii) The Administrator must approve Tier 1 standards for model years before
any measured baselines in advance. 2007. Note: Starting in 2007, EPA may
(5) For an engine to be eligible to approve a manufacturer’s request to
generate early credits under this para- continue using alternate procedures
graph (b), its certified emission levels under § 94.102(c), as long as the manu-
for all pollutants must be below the facturer satisfies EPA that the dif-
Tier 2 standards listed in § 94.8, with ferences in testing will not affect NOX
the following exception: PMMs may in- emission rates.
clude in this early credit program Cat- (g) Flexibility for engines over 560kW.
egory 1 marine engines with certified Notwithstanding the other provisions
emissions above the Tier 2 standards of this part, manufacturers may choose
listed in § 94.8. Early credits generated to delay certification of marine en-
by Category 1 marine engines with cer- gines with less than 2.5 liters per cyl-
tified emissions above the Tier 2 stand- inder and rated power above 560 kW,
ards listed in § 94.8 may not be used for that are derived from a land-based
model year 2008 or later engines. nonroad engine with a rated power
(c) Testing of Category 1 engines sub- greater than 560 kW, if they do all of
ject to the requirements of this part the following:
that is conducted by the Administrator (1) Certify all of their applicable ma-
shall be performed using test fuels that rine engines with less than 2.5 liters
meet the specifications in § 94.108 and per cylinder and rated power above 560
have a sulfur content no higher than kW to a NOX standard of 6.4 g/kW-hr for
0.20 weight percent, unless the PM model years 2008 through 2012.
emission rates are corrected for the ef- (2) Notify EPA in writing before 2004
fect of a higher fuel sulfur content. of their intent to use this provision.
(d) Post-manufacture marinizers may This notification must include a signed
import an uncertified engine for statement certifying that the manufac-
marinization, in cases where the engine turer will comply with all the provi-
in the final marinized configuration is sions of this paragraph (g).
not subject to the standards of this (3) Add a permanent, legible label,
part because: written in block letters in English, to a
(1) The model year of the marinized readily visible part of each engine ex-
engine is prior to the first model year empted under this paragraph (f). This
for which engines of that size are sub- label must include at least the fol-
ject to the standards; lowing items:
(2) The post-manufacture marinizer (i) The label heading ‘‘EMISSION
is marinizing the engine under para- CONTROL INFORMATION’’.
graph (a) of this section; or (ii) Your corporate name and trade-
(3) The post-manufacture marinizer mark.
is granted hardship relief from the Tier (iii) Engine displacement (in liters),
2 standards under § 94.209(c). rated power, and model year of the en-
(e) Compliance date of NTE require- gine or whom to contact for further in-
ments (1) Notwithstanding the other formation.
provisions of this part, the require- (iv) The statement ‘‘THIS ENGINE
ments of § 94.8(e) for commercial ma- IS EXEMPT UNDER 40 CFR 94.12(g)
rine engines start with 2010 model year FROM EMISSION STANDARDS AND
engines for postmanufacture RELATED REQUIREMENTS.’’.
marinizers and 2007 model year engines (h) Flexibility for small-volume boat
for all other engine manufacturers. builders. Notwithstanding the other
(2) Notwithstanding the other provi- provisions of this part, manufacturers
sions of this part, the requirements of may sell uncertified recreational en-
§ 94.8(e) for recreational marine engines gines to small-volume boat builders
604
during the first five years for which the Subpart B—Test Procedures
emission standards in § 94.8 apply, sub-
ject to the following provisions: § 94.101 Applicability.
(1) The U.S.-directed production vol- Provisions of this subpart apply for
ume of boats from any small-volume testing performed by the Adminis-
boat builder using uncertified engines trator or a manufacturer.
during the total five-year period may
not exceed 80 percent of the manufac- § 94.102 General provisions.
turer’s average annual production for (a) The test procedures specified in
the three years prior to the general ap- this part are intended to produce emis-
plicability of the recreational engine sion measurements that are equivalent
standards in § 94.8, except as allowed in to emission measurements that would
paragraph (f)(2) of this section. result from emission tests performed
(2) Small-volume boat builders may during in-use operation using the same
exceed the production limits in para- engine configuration installed in a ves-
graph (f)(1) of this section, provided sel.
they do not exceed 20 boats during the (b) Test procedures otherwise allowed
five-year period or 10 boats in any sin- by the provisions of this subpart shall
gle calendar year. This does not apply not be used where such procedures are
to boats powered by engines with dis- not consistent with good engineering
placement greater than 2.5 liters per practice and the regulatory goal speci-
cylinder. fied in paragraph (a) of this section.
(3) Small-volume boat builders must (c) Alternate test procedures may be
used if shown to yield equivalent re-
keep records of all the boats and en-
sults, and if approved in advance by the
gines produced under this paragraph
Administrator.
(f), including boat and engine model
numbers, serial numbers, and dates of § 94.103 Test procedures for Category
manufacture. Records must also in- 1 marine engines.
clude information verifying compliance (a) Gaseous and particulate emissions
with the limits in paragraph (f)(1) or shall be measured using the test proce-
(f)(2) of this section. Keep these records dures specified in 40 CFR part 89, ex-
until at least two full years after you cept as otherwise specified in this sub-
no longer use the provisions in this part.
paragraph (f). (b) The Administrator may specify
(4) Manufacturers must add a perma- changes to the provisions of paragraph
nent, legible label, written in block let- (a) of this section that are necessary to
ters in English, to a readily visible part comply with the general provisions of
of each engine exempted under this § 94.102.
paragraph (f). This label must include
at least the following items: § 94.104 Test procedures for Category
(i) The label heading ‘‘EMISSION 2 marine engines.
CONTROL INFORMATION’’. (a) Gaseous and particulate emissions
(ii) Your corporate name and trade- shall be measured using the test proce-
mark. dures specified in 40 CFR part 92, ex-
(iii) Engine displacement (in liters), cept as otherwise specified in this sub-
rated power, and model year of the en- part.
gine or whom to contact for further in- (b)(1) The requirements of 40 CFR
formation. part 92 related to charge air tempera-
tures, engine speed and load, and en-
(iv) The statement ‘‘THIS ENGINE
gine air inlet restriction pressures do
IS EXEMPT UNDER 40 CFR 94.12(f) not apply for marine engines.
FROM EMISSION STANDARDS AND (2) For marine engine testing, charge
RELATED REQUIREMENTS.’’. air temperatures, engine speed and
[64 FR 73331, Dec. 29, 1999, as amended at 67 load, and engine air inlet restriction
FR 68343, Nov. 8, 2002; 68 FR 9784, Feb. 28, pressures shall be representative of
2003; 68 FR 54960, Sept. 19, 2003; 69 FR 9215, typical in-use marine engine condi-
Feb. 27, 2004] tions.
605
§ 94.105 40 CFR Ch. I (7–1–05 Edition)
(c) Conduct testing at ambient tem- sion standards of § 94.8, except for those
peratures from 13 °C to 30 °C. in § 94.8(e), engines shall be tested using
(d) The Administrator may specify the appropriate duty cycles described
changes to the provisions of paragraph in this section.
(a) of this section that are necessary to (b) General cycle. Propulsion engines
comply with the general provisions of that are used with (or intended to be
§ 94.102. used with) fixed-pitch propellers, and
[64 FR 73331, Dec. 29, 1999, as amended at 67 any other engines for which the other
FR 68343, Nov. 8, 2002] duty cycles of this section do not
apply, shall be tested using the duty
§ 94.105 Duty cycles.
cycle described in the following Table
(a) Overview. For the purpose of de- B–1:
termining compliance with the emis-
TABLE B–1—GENERAL MARINE DUTY CYCLE
Engine Minimum
speed 1 Percent of time in Weighting
Mode No. (percent of maximum mode factors
maximum test power 2 (minutes)
test speed)
1 ............................................................................................................ 100 100 5.0 0.20

2 ............................................................................................................ 91 75 5.0 0.50
3 ............................................................................................................ 80 50 5.0 0.15
4 ............................................................................................................ 63 25 5.0 0.15
1 Engine speed: ±2 percent of point.
2 Power: ±2 percent of engine maximum value.
(c) Variable-pitch and electrically cou- pitch propellers or with electrically

pled propellers. (1) Constant-speed pro- coupled propellers shall be tested using
pulsion engines that are used with (or the duty cycle described in the fol-
intended to be used with) variable- lowing Table B–2:
TABLE B–2—DUTY CYCLE FOR CONSTANT-SPEED PROPULSION ENGINES
Engine Minimum
speed 1 Percent of time in Weighting
Mode No. (percent of maximum mode factors
maximum test power 2 (minutes)
test speed)
1 ............................................................................................................ 100 100 5.0 0.20

2 ............................................................................................................ 100 75 5.0 0.50
3 ............................................................................................................ 100 50 5.0 0.15
4 ............................................................................................................ 100 25 5.0 0.15
(2) For the purpose of determining lers or with electrically coupled propel-
compliance with the emission stand- lers shall be tested using the duty
ards of § 94.8, variable-speed propulsion cycle described in Table B–3, which fol-
engines that are used with (or intended lows:
to be used with) variable-pitch propel-
TABLE B–3—DUTY CYCLE FOR VARIABLE SPEED PROPULSION ENGINES USED ON NON-PROPELLER
LAW VESSELS AND FOR VARIABLE SPEED AUXILIARY ENGINES
Minimum
Percent of time in Weighting
Test segment Mode No. Engine speed 1 maximum mode factors
test torque 2 (minutes)
1 ...................... 1 Maximum Test Speed .............................................. 100 5.0 0.15

606
TABLE B–3—DUTY CYCLE FOR VARIABLE SPEED PROPULSION ENGINES USED ON NON-PROPELLER
LAW VESSELS AND FOR VARIABLE SPEED AUXILIARY ENGINES—Continued
Minimum
Test segment Mode No. Engine speed 1 maximum mode factors

2 ...................... 5 Intermediate ............................................................. 100 5.0 0.10
2 ...................... 6 Intermediate ............................................................. 75 5.0 0.10
2 ...................... 7 Intermediate ............................................................. 50 5.0 0.10
2 ...................... 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 manufacturer.
2 Torque (non-idle): ±2 percent of engine maximum value. Torque (idle): minimum fueling rate Load less than 5 percent of
peak torque.
(d) Auxiliary. For the purpose of de- (1) Constant speed auxiliary engines
termining compliance with the emis- shall be tested using the duty cycle de-
sion standards of § 94.8: scribed in Table B–4, which follows:
TABLE B–4—DUTY CYCLE FOR CONSTANT-SPEED AUXILIARY ENGINES
Minimum
Mode No. Engine speed 1 maximum mode factors
1 ...................... Maximum Test Speed ...................................................................... 100 5.0 0.05

2 Torque: ±2 percent of engine maximum value.
(2) Variable speed auxiliary engines sion standards of § 94.8, recreational en-
shall be tested using the duty cycle de- gines shall be tested using the duty
scribed in Table B–3 in paragraph (c)(2) cycle described in Table B–5, which fol-
of this section. lows:
(e) Recreational. For the purpose of
determining compliance with the emis-
TABLE B–5—RECREATIONAL MARINE DUTY CYCLE
Engine
speed(1) (per- Percent of Minimum time Weighting fac-
Mode No. cent of max- maximum test in mode (min- tors
imum test power(2) utes)
speed)
1 ............................................................................................ 100 100 5.0 0.08

2 ............................................................................................ 91 75 5.0 0.13
3 ............................................................................................ 80 50 5.0 0.17
4 ............................................................................................ 63 25 5.0 0.32
5 ............................................................................................ idle 0 5.0 0.30
[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68343, Nov. 8, 2002]
§ 94.106 Supplemental test procedures ducted to determine compliance with

for Category 1 and Category 2 ma- the exhaust emission requirements of
rine engines. § 94.8(e)(1). In general, the supplemental
This section describes the test proce- test procedures are the same as those
dures for supplemental testing con-
607
§ 94.106 40 CFR Ch. I (7–1–05 Edition)
otherwise specified by this subpart, ex- grams of moisture per kilogram of dry
cept that they cover any speeds, loads, air; and
ambient conditions, and operating pa- (3) With a continuous sampling pe-
rameters that may be experienced in riod not less than 30 seconds in dura-
use. The test procedures specified by tion.
other sections in this subpart also (b) The specified Not to Exceed Zones
apply to these tests, except as specified for marine engines are defined as fol-
in this section. lows. These Not to Exceed Zones apply,
(a) Notwithstanding other provisions unless a modified zone is established
of this subpart, testing conducted to under paragraph (c) of this section.
determine compliance with the exhaust (1) For commercial Category 1 en-
emission requirements of § 94.8(e) may gines certified using the duty cycle
be conducted: specified in § 94.105(b), the Not to Ex-
ceed zones are defined as follows:
(1) At any speed and load (or any
(i) The Not to Exceed zone is the re-
combination of speeds and loads that is
gion between the curves power = 1.15 ×
nominally steady-state) within the ap-
SPD2 and power = 0.85 × SPD4, exclud-
plicable Not To Exceed Zone specified
ing all operation below 25% of max-
in paragraph (b) of this section; imum power at rated speed and exclud-
(2)(i) Without correction, at any in- ing all operation below 63% of max-
take air temperature between 13°C and imum test speed.
35°C (or between 13°C and 30°C for en- (ii) This zone is divided into two
gines not drawing intake air directly subzones, one above and one below 45%
from a space that could be heated by of maximum power at rated speed.
the engine); (iii) SPD in paragraph (b)(1)(i) of this
(ii) Without correction at any ambi- section refers to percent of maximum
ent water temperature (or equivalent) test speed.
between 5°C and 27°C; (iv) See Figure B–1 for an illustration
(iii) Without correction at any ambi- of this Not to Exceed zone which fol-
ent humidity between 7.1 and 10.7 lows:
608
(2) For Category 2 engines certified ing all operation below 25% of max-
using the duty cycle specified in imum power at rated speed and exclud-
§ 94.105(b), the Not to Exceed zones are ing all operation below 63% of max-
defined as follows: imum test speed.
(i) The Not to Exceed zone is the re- (ii) This zone is divided into two
gion between the curves power = 1.04 × subzones, one above and one below 45%
SPD2 and power = 0.76 × SPD4, exclud- of maximum power at rated speed.
609
ER29DE99.002</GPH>
§ 94.106 40 CFR Ch. I (7–1–05 Edition)
(iii) SPD in paragraph (b)(2)(i) of this (3) For engines certified using the
section refers to percent of maximum duty cycle specified in § 94.105(c)(2), the
test speed. Not to Exceed zones are defined as fol-
(iv) See Figure B–2 in paragraph lows:
(b)(3) of this section for an illustration
of this Not to Exceed zone.
610
ER29DE99.003</GPH>
(i) The Not to Exceed zone is the re- (ii) This zone is divided into two
gion above the curve power = 0.85 × subzones, one above and one below 45%
SPD2, excluding all operation below of maximum power at rated speed.
25% of maximum power at rated speed (iii) SPD in paragraph (b)(3)(i) of this
and excluding all operation below 63% section refers to percent of maximum
of maximum test speed. test speed.
(iv) See Figure B–3 for an illustration
of this Not to Exceed zone:
611
§ 94.106 40 CFR Ch. I (7–1–05 Edition)
(4) For engines certified using the any speed at which the engine operates
duty cycle specified in § 94.105(c)(1), the in use.
Not to Exceed zone is defined as any (5) For recreational marine engines
load greater than or equal to 25 percent certified using the duty cycle specified
of maximum power at rated speed, and in § 94.105(e), the Not to Exceed zones
are defined as follows:
612
ER29DE99.004</GPH>
(i) The Not to Exceed zone is the repower at maximum test speed; one
gion between the curves power = 1.15 × above 95% of maximum test speed; and
SPD2 and power = 0.85 × SPD4, exclud- a third area including all of the re-
ing all operation below 25% of max- maining area of the NTE zone.
imum power at rated speed and exclud- (iii) SPD in paragraph (b)(5)(i) of this
ing all operation below 63% of max- section refers to percent of maximum
imum test speed. test speed.
(ii) This zone is divided into three (iv) See Figure B–4 for an illustration
subzones, one below 45% of maximum of this Not to Exceed zone as follows:
613
ER08NO02.003</GPH>
§ 94.107 40 CFR Ch. I (7–1–05 Edition)
(c)(1) Upon request by the manufac- curve. It is not necessary to generate

turer, the Administrator may specify a the entire lug curve. For the portion of
narrower Not to Exceed Zone for an en- the curve where power increases with
gine family at the time of certifi- increasing speed, it is not necessary to
cation, provided that the narrower Not generate points with power less than 90
to Exceed Zone includes all speeds percent of the maximum power value.
greater than 63 percent of maximum For the portion of the curve where
test speed and loads greater than 25 power decreases with increasing speed,
percent of maximum power at rated it is not necessary to generate points
speed at which the engines are ex- with power less than 75 percent of the
pected to normally operate in use. maximum power value.
(2) At the time of certification, the (c) Normalization of lug curve. (1) Iden-
Administrator may specify, or require tify the point (power and speed) on the
the manufacturer to specify, a broader lug curve at which maximum power oc-
Not to Exceed Zone for an engine fam- curs.
ily, provided that the broader Not to (2) Normalize the power values of the
Exceed Zone includes only speeds lug curve by dividing them by the max-
greater than 63 percent of maximum imum power value identified in para-
test speed and loads greater than 25 graph (b)(1) of this section, and multi-
percent of maximum power at rated plying the resulting values by 100.
speed at which the engines are ex- (3) Normalize the engine speed values
pected to normally operate in use. of the lug curve by dividing them by
(d) Testing conducted to determine the speed at which maximum power oc-
compliance with the exhaust emission curs, which is identified in paragraph
requirements of § 94.8(e) may be con- (b)(1) of this section, and multiplying
ducted at any ambient air temperature the resulting values by 100.
or humidity outside the ranges speci- (4) Maximum engine power is located
fied in paragraph (a)(2) of this section, on the normalized lug curve at 100 per-
provided that emission measurements cent power and 100 percent speed.
are corrected to be equivalent to meas- (d) Determination of maximum test
urements within the ranges specified in speed. Calculate the maximum test
paragraph (a)(2) of this section. Correc- speed from the speedfactor analysis de-
tion of emission measurements made scribed in this paragraph (d).
in accordance with this paragraph (d) (1) For a given combination of engine
shall be made in accordance with good power and speed (i.e., a given power/
engineering practice. The measure- speed point), the speedfactor is the dis-
ments shall be corrected to be within tance to the normalized power/speed
the range using the minimum possible point from the zero power, zero speed
correction. point. The value of the speedfactor is
(e) Testing conducted under this sec- defined as:
tion may not include engine starting.
[64 FR 73331, Dec. 29, 1999, as amended at 67 Speedfactor = ( power ) 2 + (speed ) 2
FR 68344, Nov. 8, 2002; 68 FR 9784, Feb. 28,
2003] (2) Calculate speedfactors for the
power/speed data points on the lug
§ 94.107 Determination of maximum curve, and determine the maximum
test speed. value.
(a) Overview. This section specifies (3) Maximum test speed is the speed
how to determine maximum test speed at which the maximum value for the
from a lug curve. This maximum test speedfactor occurs.
speed is used in §§ 94.105, 94.106, and (e) For constant-speed engines, rated
§ 94.109 (including the tolerances for en- speed is the maximum test speed.
gine speed specified in § 94.105). (f) For Category 3 engines, manufac-
(b) Generation of lug curve. Prior to turers may choose to set the maximum
beginning emission testing, generate test speed at the maximum in-use en-
maximum measured brakepower versus gine speed instead of the speed speci-
engine speed data points using the ap- fied in § 94.107(d).
plicable method specified in 40 CFR [64 FR 73331, Dec. 29, 1999, as amended at 68
86.1332. These data points form the lug FR 9784, Feb. 28, 2003]
614
ER29DE99.005</GPH>
§ 94.108 Test fuels. metal deactivator, antioxidant,

(a) Distillate diesel test fuel. (1) The dehazer, antirust, pour depressant, dye,
diesel fuels for testing Category 1 and dispersant, and biocide. The diesel fuel
Category 2 marine engines designed to shall also meet the specifications (as
operate on distillate diesel fuel shall be determined using methods incor-
clean and bright, with pour and cloud porated by reference at § 94.5) in Table
points adequate for operability. The B–5 of this section, or substantially
diesel fuel may contain nonmetallic equivalent specifications approved by
additives as follows: cetane improver, the Administrator, as follows:
TABLE B–5—FEDERAL TEST FUEL SPECIFICATIONS
Item Procedure 1 Value
Cetane ....................................................................... ASTM D 613–01 ....................................................... 40–48

Distillation Range:
Initial boiling point, °C ................................. ASTM D 86–01 ......................................................... 171–204
10% point, °C .............................................. ASTM D 86–01 ......................................................... 204–238
50% point, °C .............................................. ASTM D 86–01 ......................................................... 243–282
90% point, °C .............................................. ASTM D 86–01 ......................................................... 293–332
End point, °C ............................................... ASTM D 86–01 ......................................................... 321–366
Flashpoint, °C ............................................................ ASTM D 93–02 ......................................................... 54 minimum
Gravity, API ............................................................... ASTM D 287–92 ....................................................... 32–37
Hydrocarbon composition:
Aromatics, volume percent .......................... ASTM D 1319–02a or D 5186–99 ............................ 10 minimum
Olefins and Saturates (paraffins and ASTM D 1319–02a ................................................... Remainder
napththenes).
Total Sulfur, weight percent ...................................... ASTM D 129–00 or D 2622–98 ................................ 0.03—0.80
Viscosity at 38 °C, centistokes .................................. ASTM D 445–01 ....................................................... 2.0–3.2
1 All ASTM standards are incorporated by reference in § 94.5.
(2) Other diesel fuels may be used for shall propose for the Administrator’s
testing provided: approval a set of test fuel specifica-
(i) They are commercially available; tions that take into account the engine
and design and the properties of commer-
(ii) Information, acceptable to the cially available fuels. The Adminis-
Administrator, is provided to show trator may require testing on each fuel
that only the designated fuel would be if it is designed to operate on more
used in service; and than one fuel. These test fuel specifica-
(iii) Use of a fuel listed under para- tions shall be reported in the applica-
graph (a)(1) of this section would have tion for certification.
a detrimental effect on emissions or (2) [Reserved]
durability; and (c) Service accumulation fuel. Fuel
(iv) Written approval from the Ad- used for service accumulation shall be
ministrator of the fuel specifications is representative of the typical fuel ex-
provided prior to the start of testing. pected to be used by the engines in
(3) The specification of the fuel to be service.
used under paragraphs (a)(1), and (a)(2) (d) Correction for sulfur. (1) Particu-
of this section shall be reported in the late emission measurements from Cat-
application for certification. egory 1 or Category 2 engines without
(b) Other fuel types. For Category 1 exhaust aftertreatment obtained using
and Category 2 engines that are de- a diesel fuel containing more than 0.40
signed to be capable of using a type of weight percent sulfur may be adjusted
fuel (or mixed fuel) instead of or in ad- to a sulfur content of 0.40 weight per-
dition to distillate diesel fuel (e.g., nat- cent.
ural gas, methanol, or nondistillate (2) Adjustments to the particulate
diesel), and that are expected to use measurement shall be made using the
that type of fuel (or mixed fuel) in following equation:
service:
PMadj=PM¥[BSFC *0.0917
(1) A commercially available fuel of
*(FSF¥0.0040)]
that type shall be used for exhaust
emission testing. The manufacturer Where:
615
§ 94.109 40 CFR Ch. I (7–1–05 Edition)
PMadj=adjusted measured PM level [g/kW- tions using the corrections specified in
hr] section 5.12.3 of the Annex VI Tech-
PM=measured weighted PM level [g/KW-hr] nical Code.
BSFC=measured brake specific fuel con-
(7) Test cycles shall be denormalized
sumption [g/KW-hr]
FSF=fuel sulfur weight fraction based on the maximum test speed de-
scribed in § 94.107.
(e) Test fuel for Category 3 engines. For (b) Analyzers meeting the specifica-
testing Tier 1 engines, use test fuels tions of either 40 CFR part 86, subpart
meeting the specifications listed in the N, or ISO 8178–1 (incorporated by ref-
Annex VI Technical Code (incorporated erence in § 94.5) shall be used to meas-
by reference in § 94.5). ure THC and CO.
[64 FR 73331, Dec. 29, 1999, as amended at 67 (c) The Administrator may specify
FR 68345, Nov. 8, 2002; 68 FR 9784, Feb. 28, changes to the provisions of paragraph
2003] (a) of this section that are necessary to
comply with the general provisions of
§ 94.109 Test procedures for Category § 94.102.
3 marine engines.
[68 FR 9785, Feb. 28, 2003]
(a) Gaseous emissions shall be meas-
ured using the test cycles and proce-
dures specified by Section 5 of the Subpart C—Certification Provisions
Annex VI Technical Code (incorporated § 94.201 Applicability.
by reference in § 94.5), except as other-
wise specified in this paragraph (a). The requirements of this subpart are
(1) The inlet air and exhaust restric- applicable to manufacturers of engines
tions shall be set at the average in-use subject to the standards of subpart A of
levels. this part.
(2) Measurements are valid only for
§ 94.202 Definitions.
sampling periods in which the tempera-
ture of the charge air entering the en- The definitions of subpart A of this
gine is within 3 °C of the temperature part apply to this subpart.
that would occur in-use under ambient
conditions (temperature, pressure, and § 94.203 Application for certification.
humidity) identical to the test condi- (a) For each engine family that com-
tions. You may measure emissions plies with all applicable standards and
within larger discrepancies, but you requirements, the manufacturer shall
may not use those measurements to submit to the Administrator a com-
demonstrate compliance. pleted application for a certificate of
(3) Engine coolant and engine oil conformity.
temperatures shall be equivalent to the (b) The application shall be approved
temperatures that would occur in-use and signed by the authorized represent-
under ambient conditions identical to ative of the manufacturer.
the test conditions. (c) The application shall be updated
(4) Exhaust flow rates shall be cal- and corrected by amendment, where
culated using measured fuel flow rates. necessary, as provided for in § 94.210 to
(5) Standards used for calibration accurately reflect the manufacturer’s
shall be traceable to NIST standards. production.
(Other national standards may be used (d) Each application shall include all
if they have been shown to be equiva- the following information:
lent to NIST standards.) (1)(i) A description of the basic en-
(6) Certification tests may be per- gine design, including but not limited
formed at any representative pressure to, the engine family specifications,
and humidity levels. Certification tests the provisions of which are contained
may be performed at any ambient air in § 94.204.
temperature from 13 °C to 30 °C and any (ii) A list of distinguishable configu-
charge air cooling water temperature rations to be included in the engine
from 17 °C to 27 °C. These limits apply family.
instead of the limits specified in sec- (2) An explanation of how the emis-
tion 5.2.1 of the Annex VI Technical sion control system operates, including
Code. Correct emissions for test condi- detailed descriptions of:
616
(i) All emission control system com- (11) The intended useful life period
ponents; for the engine family, in accordance
(ii) The injection timing map or with § 94.9(a).
maps (i.e., degrees before or after top- (12) The intended deterioration fac-
dead-center), and any functional de- tors for the engine family, in accord-
pendence of such timing on other oper- ance with § 94.218.
ational parameters (e.g., engine cool- (13) All information required for EPA
ant temperature or engine speed); to interpret all messages and param-
(iii) Each auxiliary emission control eters broadcast on an engine’s con-
device (AECD); and troller area network, including but not
(iv) All fuel system components to be limited to message or parameter iden-
installed on any production or test en- tification, scaling, limit, offset, and
gine(s). transfer function. (The manufacturer
(3) A description of the test engine. may reference publicly released con-
(4) Special or alternate test proce- troller area network standards where
dures, if applicable. applicable. The format of this informa-
(5) A description of the operating tion shall be provided in a format simi-
cycle and the period of operation nec- lar to publicly released documents per-
essary to accumulate service hours on taining to controller area network
the test engine and stabilize emission standards.)
levels. (14) (i) For Category 1 and Category 2
engines, a statement that the all the
(6) A description of all adjustable op-
engines included in the engine family
erating parameters (e.g., injection tim-
comply with the Not To Exceed stand-
ing and fuel rate), including all the fol-
ards specified in § 94.8(e) when operated
lowing:
under all conditions which may reason-
(i) The nominal or recommended set-
ably be expected to be encountered in
ting and the associated production tol-
normal operation and use; the manu-
erances.
facturer also must provide a detailed
(ii) The physically adjustable range description of all testing, engineering
(Note: if this is different than the in- analyses, and other information which
tended adjustable range, describe why provides the basis for this statement.
these are different). (ii) [Reserved]
(iii) The limits or stops used to limit (15) An unconditional statement cer-
adjustable ranges. tifying that all engines included in the
(iv) Production tolerances of the lim- engine family comply with all require-
its or stops used to establish each ments of this part and the Clean Air
physically adjustable range. Act.
(v) Information relating to the rea- (16) A statement indicating duty-
son that the physical limits or stops cycle and application of the engine
used to establish the physically adjust- (e.g., used to propel planing vessels, use
able range of each parameter, or any to propel vessels with variable-pitch
other means used to inhibit adjust- propellers, constant-speed auxiliary,
ment, are the most effective means recreational, etc.).
possible of preventing adjustment of (e) At the Administrator’s request,
parameters to settings outside the the manufacturer shall supply such ad-
manufacturer’s specified adjustable ditional information as may be re-
ranges on in-use engines. quired to evaluate the application.
(7) For families participating in the (f)(1) If the manufacturer submits
averaging, banking, and trading pro- some or all of the information specified
gram, the information specified in sub- in paragraph (d) of this section in ad-
part D of this part. vance of its full application for certifi-
(8) Projected U.S.-directed produc- cation, the Administrator shall review
tion volume information for each con- the information and make the deter-
figuration. minations required in § 94.208 (d) within
(9) A description of the test equip- 90 days of the manufacturer’s sub-
ment and fuel used. mittal.
(10) All test data obtained by the (2) The 90-day decision period is ex-
manufacturer on each test engine. clusive of any elapsed time during
617
§ 94.204 40 CFR Ch. I (7–1–05 Edition)
which EPA is waiting for additional in- (7) Stroke;

formation requested from a manufac- (8) Number of cylinders, (engines
turer regarding an adjustable param- with aftertreatment devices only);
eter (the 90-day period resumes upon (9) Cylinder arrangement (engines
receipt of the manufacturer’s re- with aftertreatment devices only);
sponse). For example, if EPA requests (10) Fuel system configuration; and
additional information 30 days after (11) Class (commercial or rec-
the manufacturer submits information reational).
under paragraph (f)(1) of this section, (c) For Category 2 marine engines,
then the Administrator would make a the following characteristics distin-
determination within 60 days of the re- guish engine families:
ceipt of the requested information (1) The combustion cycle (e.g., diesel
from the manufacturer. cycle);
(g)(1) The Administrator may modify (2) The type of engine cooling em-
the information submission require- ployed (air-cooled or water-cooled), and
ments of paragraph (d) of this section, procedure(s) employed to maintain en-
provided that all of the information gine temperature within desired limits
specified therein is maintained by the (thermostat, on-off radiator fan(s), ra-
manufacturer as required by § 94.215, diator shutters, etc.);
and amended, updated, or corrected as (3) The bore and stroke dimensions;
necessary. (4) The approximate intake and ex-
(2) For the purposes of this paragraph haust event timing and duration (valve
(g), § 94.215 includes all information or port);
specified in paragraph (d) of this sec- (5) The location of the intake and ex-
tion, whether or not such information haust valves (or ports);
is actually submitted to the Adminis- (6) The size of the intake and exhaust
trator for any particular model year. valves (or ports);
(3) The Administrator may review a (7) The overall injection, or as appro-
manufacturer’s records at any time. At priate ignition, timing characteristics
the Administrator’s discretion, this re- (i.e., the deviation of the timing curves
view may take place either at the man- from the optimal fuel economy timing
ufacturer’s facility or at another facil- curve must be similar in degree);
ity designated by the Administrator. (8) The combustion chamber configu-
[64 FR 73331, Dec. 29, 1999, as amended at 67 ration and the surface-to-volume ratio
FR 68346, Nov. 8, 2002; 68 FR 9785, Feb. 28, of the combustion chamber when the
2003] piston is at top dead center position,
using nominal combustion chamber di-
§ 94.204 Designation of engine families. mensions;
This section specifies the procedure (9) The location of the piston rings on
and requirements for grouping of en- the piston;
gines into engine families. (10) The method of air aspiration
(a) Manufacturers shall divide their (turbocharged, supercharged, naturally
engines into groupings of engines aspirated, Roots blown);
which are expected to have similar (11) The turbocharger or super-
emission characteristics throughout charger general performance charac-
their useful life. Each group shall be teristics (e.g., approximate boost pres-
defined as a separate engine family. sure, approximate response time, ap-
(b) For Category 1 marine engines, proximate size relative to engine dis-
the following characteristics distin- placement);
guish engine families: (12) The type of air inlet cooler (air-
(1) Fuel; to-air, air-to-liquid, approximate de-
(2) Cooling method (including cooling gree to which inlet air is cooled);
medium); (13) The intake manifold induction
(3) Method of air aspiration; port size and configuration;
(4) Method of exhaust aftertreatment (14) The type of fuel and fuel system
(for example, catalytic converter or configuration;
particulate trap); (15) The configuration of the fuel
(5) Combustion chamber design; injectors and approximate injection
(6) Bore; pressure;
618
(16) The type of fuel injection system (b)(1) Category 1 marine engines
controls (i.e., mechanical or elec- equipped with adjustable parameters
tronic); must comply with all requirements of
(17) The type of smoke control sys- this subpart for any adjustment in the
tem; physically adjustable range.
(18) The exhaust manifold port size (2) Category 2 and Category 3 marine
and configuration; and engines equipped with adjustable pa-
(19) The type of exhaust rameters must comply with all require-
aftertreatment system (oxidation cata- ments of this subpart for any adjust-
lyst, particulate trap), and characteris- ment in the approved adjustable range.
tics of the aftertreatment system (cat-
(c) The Administrator may require
alyst loading, converter size vs engine
that adjustable parameters be set to
size).
(d) Upon request by the manufac- any specification within its adjustable
turer, engines that are eligible to be in- range for certification, selective en-
cluded in the same engine family based forcement audit, or in-use testing to
on the criteria in paragraph (b) or (c) of determine compliance with the re-
this section may be divided into dif- quirements of this subpart.
ferent engine families. This request (d) In specifying the adjustable range
must be accompanied by information of each adjustable parameter on a new
the manufacturer believes supports the engine, the manufacturer, shall:
use of these different engine families. (1) Ensure that safe engine operating
(e) Upon request by the manufac- characteristics are available within
turer, the Administrator may allow en- that range, as required by section
gines that would be required to be 202(a)(4) of the Clean Air Act, taking
grouped into separate engine families into consideration the production tol-
based on the criteria in paragraph (b) erances; and
or (c) of this section to be grouped into (2) To the maximum extent prac-
a single engine family if the manufac- ticable, limit the physical range of
turer demonstrates that the engines adjustability to that which is nec-
will have similar emission characteris- essary for proper operation of the en-
tics; however, recreational and com- gine.
mercial engines may not be grouped in
(e) Tier 1 Category 3 marine engines
the same engine family. This request
shall be adjusted according to the man-
must be accompanied by emission in-
ufacturer’s specifications for testing.
formation supporting the appropriate-
ness of such combined engine families. (f) For Category 3 marine engines,
(f) Category 3 engines shall be manufacturers must specify in the
grouped into engine families based on maintenance instructions how to ad-
the criteria specified in Section 4.3 of just the engines to achieve emission
the Annex VI Technical Code (incor- performance equivalent to the perform-
porated by reference in § 94.5), except as ance demonstrated under the certifi-
allowed in paragraphs (d) and (e) of this cation test conditions. This must ad-
section. dress all necessary adjustments, in-
cluding those required to address dif-
ferences in fuel quality or ambient
FR 68346, Nov. 8, 2002; 68 FR 9785, Feb. 28,
2003] temperatures. For example, equivalent
emissions performance can be meas-
§ 94.205 Prohibited controls, adjust- ured relative to optimal engine per-
able parameters. formance that could be achieved in the
(a) Any system installed on, or incor- absence of emission standards (i.e., the
porated in, a new engine to enable the calibration that result in the lowest
engine to conform to the standards fuel consumption and/or maximum fir-
contained in this part: ing pressure). In this example, adjust-
(1) Shall not cause a violation of the ments that achieved the same percent
general standards of § 94.7. reduction in NOX emissions from the
(2) Shall function during all in-use optimal calibration would be consid-
operation, except as otherwise allowed ered to be equivalent. Alternatively, if
by this part. the engine uses injection timing retard
619
§ 94.206 40 CFR Ch. I (7–1–05 Edition)
and EGR to reduce emissions, then re- scribed in the manufacturer’s applica-
tarding timing the same number of de- tion for certification; that it has been
grees (relative to optimal engine per- tested in accordance with the applica-
formance) and using the same rate of ble test procedures utilizing the fuels
EGR at the different conditions would and equipment described in the appli-
be considered to be equivalent. cation for certification; and that on
the basis of such tests, the engine fam-
FR 9785, Feb. 28, 2003] ily conforms to the requirements of
this part. If, on the basis of the data
§ 94.206 Required information. supplied and any additional data as re-
(a) The manufacturer shall perform quired by the Administrator, the Ad-
the tests required by the applicable ministrator determines that the test
test procedures, and submit to the Ad- engine was not as described in the ap-
ministrator the information required plication for certification or was not
by this section: Provided, that if retested in accordance with the applica-
quested by the manufacturer, the Ad- ble test procedures utilizing the fuels
ministrator may waive any require- and equipment as described in the ap-
ment of this section for testing of en- plication for certification, the Admin-
gines for which the required emission istrator may make the determination
data are otherwise available. that the engine does not meet the ap-
(b) The manufacturer shall submit plicable standards. If the Adminis-
exhaust emission deterioration factors, trator makes such a determination, he/
with supporting data. The determina- she may withhold, suspend, or revoke
tion of the deterioration factors shall the certificate of conformity under
be conducted in accordance with § 94.218 § 94.208 (c)(3)(i).
to ensure that the engines covered by a
§ 94.207 Special test procedures.
certificate issued under § 94.208 will
meet all of the emission standards in (a) Establishment of special test proce-
§ 94.8 in use for the useful life of the en- dures by EPA. The Administrator may,
gine. on the basis of written application by a
(c) The manufacturer shall submit manufacturer, establish special test
emission data on such engines tested in procedures other than those set forth
accordance with the applicable test in this part, for any engine that the
procedures of Subpart B of this part. Administrator determines is not sus-
These data shall include zero hour ceptible to satisfactory testing under
data, if generated. In lieu of providing the specified test procedures set forth
the emission data required by para- in Subpart B of this part.
graph (a) of this section, the Adminis- (b) Use of alternate test procedures by a
trator may, upon request by the manu- manufacturer. (1) A manufacturer may
facturer, allow the manufacturer to elect to use an alternate test proce-
demonstrate (on the basis of previous dure, provided that it is equivalent to
emission tests, development tests, or the specified procedures with respect to
other testing information) that the en- the demonstration of compliance, its
gine will conform with the applicable use is approved in advance by the Ad-
emission standards of § 94.8. ministrator, and the basis for the
(d) The manufacturer shall submit a equivalence with the specified test pro-
statement that the engines for which cedures is fully described in the manu-
certification is requested conform to facturer’s application.
the requirements in § 94.7 and that the (2) The Administrator may reject
descriptions of tests performed to as- data generated under alternate test
certain compliance with the general procedures if the data do not correlate
standards in § 94.7, and the data derived with data generated under the specified
from such tests, are available to the procedures.
Administrator upon request.
(e) The manufacturer shall submit a § 94.208 Certification.
statement that the emission data en- (a) If, after a review of the applica-
gine used to demonstrate compliance tion for certification, test reports and
with the applicable standards of this data acquired from an engine or from a
part is in all material respects as de- development data engine, and any
620
other information required or obtained testing, or which has undergone emis-

by EPA, the Administrator determines sions testing for purposes of emissions
that the application is complete and certification; or
that the engine family meets the re- (C) Any production engine which is
quirements of the Act and this part, he/ or will be claimed by the manufacturer
she will issue a certificate of con- to be covered by the certificate; or
formity with respect to such engine (D) Any step in the construction of
family, except as provided by para- the engine; or
graph (c)(3) of this section. The certifi- (E) Any records, documents, reports
cate of conformity is valid for each en- or histories required by this part to be
gine family from the date of issuance kept concerning any of the items listed
by EPA until 31 December of the model in paragraphs (c)(3)(iii)(A) through (D)
year or calendar year for which it is of this section; or
issued and upon such terms and condi- (iv) Any EPA Enforcement Officer is
tions as the Administrator deems nec- denied ‘‘reasonable assistance’’ (as de-
essary or appropriate to ensure that fined in § 94.215).
the production engines covered by the (4) In any case in which a manufac-
certificate will meet the requirements turer knowingly submits false or inac-
of the Act and of this part. curate information or knowingly ren-
(b) [Reserved] ders inaccurate or invalid any test data
(c)(1) The manufacturer shall bear or commits any other fraudulent acts
the burden of establishing to the satis- and such acts contribute substantially
faction of the Administrator that the to the Administrator’s decision to
conditions upon which the certificates issue a certificate of conformity, the
were issued were satisfied or excused. Administrator may deem such certifi-
(2) The Administrator will determine cate void ab initio.
whether the test data included in the (5) In any case in which certification
application represents all engines of of an engine is to be withheld, denied,
the engine family. revoked or suspended under paragraph
(3) Notwithstanding the fact that any (c)(3) of this section, and in which the
engine(s) may comply with other provi- Administrator has presented to the
sions of this subpart, the Adminis- manufacturer involved reasonable evi-
trator may withhold or deny the dence that a violation of § 94.215 in fact
issuance of any certificate of con- occurred, the manufacturer, if it wish-
formity, or suspend or revoke any such es to contend that, even though the
certificate(s) which has (have) been violation occurred, the engine in ques-
issued with respect to any such en- tion was not involved in the violation
gine(s) if: to a degree that would warrant with-
(i) The manufacturer submits false or holding, denial, revocation or suspen-
incomplete information in its applica- sion of certification under paragraph
tion for certification thereof; (c)(3) of this section, shall have the
(ii) The manufacturer renders inac- burden of establishing that contention
curate any test data which it submits to the satisfaction of the Adminis-
pertaining thereto or otherwise cir- trator.
cumvents the intent of the Act, or of (6) Any revocation, suspension, or
this part with respect to such engine; voiding of certification under para-
(iii) Any EPA Enforcement Officer is graph (c)(3) of this section shall:
denied access on the terms specified in (i) Be made only after the manufac-
§ 94.215 to any facility or portion there- turer concerned has been offered an op-
of which contains any of the following: portunity for a hearing conducted in
(A) An engine which is scheduled to accordance with § 94.216; and
undergo emissions testing, or which is (ii) Extend no further than to forbid
undergoing emissions testing, or which the introduction into commerce of en-
has undergone emissions testing; or gines previously covered by the certifi-
(B) Any components used or consid- cation which are still in the hands of
ered for use in the construction, modi- the manufacturer, except in cases of
fication or buildup of any engine which such fraud or other misconduct that
is scheduled to undergo emissions test- makes the certification invalid ab
ing, or which is undergoing emissions initio.
621
§ 94.209 40 CFR Ch. I (7–1–05 Edition)
(7) The manufacturer may request, substantial factual issue, the manufac-
within 30 days of receiving notifica- turer shall be provided with a hearing
tion, that any determination made by in accordance with § 94.216 with respect
the Administrator under paragraph to such issue.
(c)(3) of this section to withhold or
deny certification be reviewed in a § 94.209 Special provisions for post-
hearing conducted in accordance with manufacture marinizers and small-
§ 94.216. The request shall be in writing, volume manufacturers.
signed by an authorized representative The provisions of this section apply
of the manufacturer and shall include a for Category 1 and Category 2 engines,
statement specifying the manufactur- but not for Category 3 engines.
er’s objections to the Administrator’s (a) Broader engine families. Instead of
determinations, and data in support of the requirements of § 94.204, an engine
such objections. If the Administrator family may consist of any engines sub-
finds, after a review of the request and ject to the same emission standards.
supporting data, that the request This does not change any of the re-
raises a substantial factual issue, he/ quirements of this part for showing
she will grant the request with respect that an engine family meets emission
to such issue. standards. To be eligible to use the pro-
(d) In approving an application for visions of this paragraph (a), the manu-
certification, the Administrator may facturer must demonstrate one of the
specify or require the manufacturer to following:
specify: (1) It is a post-manufacture marinizer
(1) A broader range of adjustability and that the base engines used for
than recommended by the manufac-
modification have a valid certificate of
turer for those engine parameters
conformity issued under 40 CFR part 89
which are subject to adjustment, if the
or 40 CFR part 92 or the heavy-duty en-
Administrator determines that it is
gine provisions of 40 CFR part 86.
not reasonable to expect the parameter
(2) It is a small-volume manufac-
to be kept adjusted within the rec-
turer.
ommended range in use;
(2) A longer useful life period, if the (b) Hardship relief. Post-manufacture
Administrator determines that the use- marinizers, small-volume manufactur-
ful life of the engines in the engine ers, and small-volume boat builders
family, as defined in § 94.2, is longer may take any of the otherwise prohib-
than the period specified by the manu- ited actions identified in § 94.1103(a)(1)
facturer; if approved in advance by the Adminis-
(3) Larger deterioration factors, if trator, subject to the following require-
the Administrator determines that the ments:
deterioration factors specified by the (1) Application for relief must be sub-
manufacturer do not meet the require- mitted to the Designated Officer in
ments of § 94.218; and/or writing prior to the earliest date in
(4) A broader Not to Exceed Zone sub- which the applying manufacturer
ject to the provisions of § 94.106(b). would be in violation of § 94.1103. The
(e) Within 30 days following receipt manufacturer must submit evidence
of notification of the Administrator’s showing that the requirements for ap-
determinations made under paragraph proval have been met.
(d) of this section, the manufacturer (2) The conditions causing the im-
may request a hearing on the Adminis- pending violation must not be substan-
trator’s determinations. The request tially the fault of the applying manu-
shall be in writing, signed by an au- facturer.
thorized representative of the manu- (3) The conditions causing the im-
facturer and shall include a statement pending violation must jeopardize the
specifying the manufacturer’s objec- solvency of the applying manufacturer
tions to the Administrator’s deter- if relief is not granted.
minations and data in support of such (4) The applying manufacturer must
objections. If, after review of the re- demonstrate that no other allowances
quest and supporting data, the Admin- under this part will be available to
istrator finds that the request raises a avoid the impending violation.
622
(5) Any relief may not exceed one (1) A full description of the change to
year beyond the date relief is granted. be made in production, or of the en-
(6) The Administrator may impose gines to be added;
other conditions on the granting of re- (2) Engineering evaluations or data
lief including provisions to recover the showing that the engines as modified
lost environmental benefit. or added will comply with all applica-
(7) The manufacturer must add a per- ble emission standards; and
manent, legible label, written in block (3) A determination whether the
letters in English, to a readily visible manufacturer’s original test fleet se-
part of each engine exempted under lection is still appropriate, and if the
this paragraph (b). original test fleet selection is deter-
This label must include at least the mined not to be appropriate, test fleet
following items: selection(s) representing the engines
(i) The label heading ‘‘EMISSION changed or added which would have
CONTROL INFORMATION’’. been required if the engines had been
(ii) Your corporate name and trade- included in the original application for
mark. certification.
(iii) Engine displacement (in liters), (c) The Administrator may require
rated power, and model year of the en- the manufacturer to perform tests on
gine or whom to contact for further in- the engine representing the engine to
formation. be added or changed.
(iv) The statement ‘‘THIS ENGINE (d)(1) Based on the description of the
IS EXEMPT UNDER 40 CFR 94.209(b) amendment and data derived from such
FROM EMISSION STANDARDS AND testing as the Administrator may re-
RELATED REQUIREMENTS.’’. quire or conduct, the Administrator
(c) Extension of deadlines. Small-vol- will determine whether the change or
ume manufacturers may use the provi- addition would still be covered by the
sions of 40 CFR 1068.250 to ask for an certificate of conformity then in effect.
extension of a deadline to meet emis- (2) If the Administrator determines
sion standards. We may require that that the change or new engine(s) meets
you use available base engines that the requirements of this part and the
have been certified to emission stand- Act, the appropriate certificate of con-
ards for land-based engines until you formity shall be amended.
are able to produce engines certified to (3) If the Administrator determines
the requirements of this part. that the changed engine(s) does not
meet the requirements of this part and
[67 FR 68346, Nov. 8, 2002, as amended at 68 the Act, the certificate of conformity
FR 9786, Feb. 28, 2003] will not be amended. The Adminis-
trator shall provide a written expla-
§ 94.210 Amending the application and nation to the manufacturer of the deci-
certificate of conformity.
sion not to amend the certificate. The
(a) The manufacturer shall notify the manufacturer may request a hearing
Administrator when changes to infor- on a denial.
mation required to be described in the (e) A manufacturer may make
application for certification are to be changes in or additions to production
made to a product line covered by a engines concurrently with the notifica-
certificate of conformity. This notifi- tion to the Administrator, as required
cation shall include a request to amend by paragraph (a) of this section, if the
the application or the existing certifi- manufacturer complies with the fol-
cate of conformity. Except as provided lowing requirements:
in paragraph (e) of this section, no (1) In addition to the information re-
manufacturer shall make said changes quired in paragraph (b) of this section,
or produce said engines prior to receiv- the manufacturer shall supply sup-
ing approval from the Administrator. porting documentation, test data, and
(b) A manufacturer’s request to engineering evaluations as appropriate
amend the application or the existing to demonstrate that all affected en-
certificate of conformity shall include gines will still meet applicable emis-
the following information: sion standards.
623
§ 94.211 40 CFR Ch. I (7–1–05 Edition)
(2) If, after a review, the Adminis- engine repair establishment or indi-
trator determines additional testing is vidual.
required, the manufacturer shall pro- (2) The instructions under paragraph
vide the required test data within 30 (b)(1) of this section will not include
days or cease production of the affected any condition on the ultimate pur-
engines. chaser’s or owner’s using, in connec-
(3) If the Administrator determines tion with such engine, any component
that the affected engines do not meet or service (other than a component or
applicable requirements, the Adminis- service provided without charge under
trator will notify the manufacturer to the terms of the purchase agreement)
cease production of the affected en- which is identified by brand, trade, or
gines and to recall and correct at no corporate name. Such instructions also
expense to the owner all affected en- will not directly or indirectly distin-
gines previously produced. guish between service performed by
(4) Election to produce engines under any other service establishments with
this paragraph (e) will be deemed to be which such manufacturer has a com-
a consent to recall all engines that the mercial relationship and service per-
Administrator determines do not meet formed by independent vessel or engine
applicable standards and to cause such repair facilities with which such manu-
nonconformity to be remedied at no ex- facturer has no commercial relation-
pense to the owner. ship.
§ 94.211 Emission-related maintenance (3) The prohibition of paragraph (b)(2)
instructions for purchasers. of this section may be waived by the
Administrator if:
(a) The manufacturer shall furnish or (i) The manufacturer demonstrates
cause to be furnished to the ultimate to the Administrator’s satisfaction
purchaser of each new engine, subject
that the engine will function properly
to the standards prescribed in § 94.8,
only if the component or service so
written instructions for the proper
identified is used in connection with
maintenance and use of the engine as
such engine; and
are reasonable and necessary to assure
the proper functioning of the emissions (ii) The Administrator finds that
control system, consistent with the ap- such a waiver is in the public interest.
plicable provisions of paragraph (b) of (c) The manufacturer shall provide to
this section. the Administrator, no later than the
(1) The maintenance and use instruc- time of the submission required by
tions required by this section shall be § 94.203, a copy of the emission-related
clear and easily understandable. maintenance instructions that the
(2) The maintenance instructions re- manufacturer proposes to supply to the
quired by this section shall contain a ultimate purchaser or owner in accord-
general description of the documenta- ance with this section. The Adminis-
tion that would demonstrate for war- trator will review such instructions to
ranty purposes that the ultimate pur- determine whether they are reasonable
chaser or any subsequent owner had and necessary to ensure the proper
complied with the instructions. functioning of the engine’s emission
(3) For Category 3 engines, the manu- control systems. If the Administrator
facturer must provide in boldface type determines that such instructions are
on the first page of the written mainte- not reasonable and necessary to ensure
nance instructions notice that § 94.1004 the proper functioning of the emission
requires that the emissions-related control systems, he/she may disapprove
maintenance be performed as specified the application for certification or may
in the instructions (or equivalent). require that the manufacturer modify
(b)(1) The manufacturer must provide the instructions.
in boldface type on the first page of the (d) Any revision to the maintenance
written maintenance instructions no- instructions which will affect emis-
tice that maintenance, replacement, or sions shall be supplied to the Adminis-
repair of the emission control devices trator at least 30 days before being sup-
and systems may be performed by any plied to the ultimate purchaser or
624
owner unless the Administrator con- section shall occur at 1,500 hours of use
sents to a lesser period of time, and is and at 1,500-hour intervals thereafter.
subject to the provisions of § 94.210. (i) Exhaust gas recirculation system-
(e) This paragraph (e) specifies emis- related filters and coolers.
sion-related scheduled maintenance for (ii) Positive crankcase ventilation
purposes of obtaining durability data valve.
for marine engines. The maintenance (iii) Fuel injector tips (cleaning
intervals specified in this paragraph only).
are minimum intervals. (4) The adjustment, cleaning and re-
(1) All emission-related scheduled pair of items in paragraphs (e)(4)(i)
maintenance for purposes of obtaining through (e)(4)(vii) of this section shall
durability data must occur at the same occur at 3,000 hours of use and at 3,000-
or longer hours of use intervals as hour intervals thereafter for engines
those specified in the manufacturer’s with per-cylinder displacement less
maintenance instructions furnished to than 1.2 liters, or at 4,500-hour inter-
the ultimate purchaser of the engine vals thereafter for engines with per-
under paragraph (a) of this section. cylinder displacement greater than or
This maintenance schedule may be up- equal to 1.2 liters.
dated as necessary throughout the (i) Fuel injectors.
testing of the engine, provided that no
(ii) Turbocharger.
maintenance operation is deleted from
(iii) Electronic engine control unit
the maintenance schedule after the op-
and its associated sensors and actu-
eration has been performed on the test
ators.
equipment or engine.
(2) Any emission-related mainte- (iv) Particulate trap or trap-oxidizer
nance which is performed on equip- system (including related components).
ment, engines, subsystems, or compo- (v) Exhaust gas recirculation system
nents must be technologically nec- (including all related control valves
essary to ensure in-use compliance and tubing), except as otherwise pro-
with the emission standards. The man- vided in paragraph (e)(3)(i) of this sec-
ufacturer must submit data which tion.
demonstrate to the Administrator that (vi) Catalytic convertor.
all of the emission-related scheduled (vii) Any other add-on emission-re-
maintenance which is to be performed lated component (i.e., a component
is technologically necessary. Scheduled whose sole or primary purpose is to re-
maintenance must be approved by the duce emissions or whose failure will
Administrator prior to being performed significantly degrade emission control
or being included in the emission-re- and whose function is not integral to
lated maintenance instructions pro- the design and performance of the en-
vided to the purchasers under para- gine).
graph (a) of this section. (f) Scheduled maintenance not re-
(i) The Administrator may require lated to emissions which is reasonable
longer maintenance intervals than and technologically necessary (e.g., oil
those listed in paragraphs (e)(3) and change, oil filter change, fuel filter
(e)(4) of this section where the listed change, air filter change, cooling sys-
intervals are not technologically nec- tem maintenance, adjustment of idle
essary. speed, governor, engine bolt torque,
(ii) The Administrator may allow valve lash, injector lash, timing, lubri-
manufacturers to specify shorter main- cation of the exhaust manifold heat
tenance intervals than those listed in control valve, etc.) may be performed
paragraphs (e)(3) and (e)(4) of this sec- on durability engines at the least fre-
tion where technologically necessary quent intervals recommended by the
for Category 2 engines. manufacturer to the ultimate pur-
(iii) The maintenance intervals listed chaser, (e.g., not the intervals rec-
in paragraphs (e)(3) and (e)(4) of this ommended for severe service).
section do not apply for Category 3. (g) Adjustment of engine idle speed
(3) The adjustment, cleaning, repair, on emission data engines may be per-
or replacement of items listed in para- formed once before the low-hour emis-
graphs (e)(3)(i) through (e)(3)(iii) of this sion test point. Any other engine,
625
§ 94.211 40 CFR Ch. I (7–1–05 Edition)
emission control system, or fuel sys- uled maintenance items which satisfy
tem adjustment, repair, removal, dis- one of the conditions defined in para-
assembly, cleaning, or replacement on graphs (j)(2)(i) through (j)(2)(vi) of this
emission data vehicles shall be per- section will be accepted as having a
formed only with advance approval of reasonable likelihood of being per-
the Administrator. formed in use.
(h) For Category 1 and Category 2 en- (i) Data are presented which estab-
gines, equipment, instruments, or tools lish for the Administrator a connection
may not be used to identify malfunc- between emissions and engine perform-
tioning, maladjusted, or defective en- ance such that as emissions increase
gine components unless the same or due to lack of maintenance, vehicle
equivalent equipment, instruments, or performance will simultaneously dete-
tools will be available to dealerships riorate to a point unacceptable for typ-
and other service outlets and are: ical operation.
(1) Used in conjunction with sched- (ii) Survey data are submitted which
uled maintenance on such components; adequately demonstrate to the Admin-
or istrator with an 80 percent confidence
(2) Used subsequent to the identifica- level that 80 percent of such engines al-
tion of an engine malfunction, as pro- ready have this critical maintenance
vided in paragraph (e) of this section item performed in-use at the rec-
for emission data engines; or ommended interval(s).
(3) Specifically authorized by the Ad- (iii) A clearly displayed visible signal
ministrator. system approved by the Administrator
(i) All test data, maintenance re- is installed to alert the equipment op-
ports, and required engineering reports erator that maintenance is due. A sig-
shall be compiled and provided to the nal bearing the message ‘‘maintenance
Administrator in accordance with needed’’ or ‘‘check engine,’’ or a simi-
§ 94.215. lar message approved by the Adminis-
(j)(1) The components listed in para- trator, shall be actuated at the appro-
graphs (j)(1)(i) through (j)(1)(vi) of this priate usage point or by component
section are defined as critical emis- failure. This signal must be continuous
sion-related components. while the engine is in operation and
(i) Catalytic convertor. not be easily eliminated without per-
(ii) Electronic engine control unit formance of the required maintenance.
and its associated sensors and actu- Resetting the signal shall be a required
ators. step in the maintenance operation. The
(iii) Exhaust gas recirculation sys- method for resetting the signal system
tem (including all related filters, cool- shall be approved by the Adminis-
ers, control valves, and tubing). trator. The system must not be de-
(iv) Positive crankcase ventilation signed to deactivate upon the end of
valve. the useful life of the engine or there-
(v) Particulate trap or trap-oxidizer after.
system. (iv) A manufacturer may desire to
(vi) Any other add-on emission-re- demonstrate through a survey that a
lated component (i.e., a component critical maintenance item is likely to
whose sole or primary purpose is to re- be performed without a visible signal
duce emissions or whose failure will on a maintenance item for which there
significantly degrade emission control is no prior in-use experience without
and whose function is not integral to the signal. To that end, the manufac-
the design and performance of the en- turer may in a given model year mar-
gine). ket up to 200 randomly selected engines
(2) All critical emission-related per critical emission-related mainte-
scheduled maintenance must have a nance item without such visible sig-
reasonable likelihood of being per- nals, and monitor the performance of
formed in use. For Category 1 and Cat- the critical maintenance item by the
egory 2 engines, the manufacturer owners to show compliance with para-
must show the reasonable likelihood of graph (j)(2)(ii) of this section. This op-
such maintenance being performed in- tion is restricted to two consecutive
use. Critical emission-related sched- model years and may not be repeated
626
until any previous survey has been the manner described in paragraph (b)
completed. If the critical maintenance of this section.
involves more than one engine family, (b) Engine labels. Engine labels meet-
the sample will be sales weighted to en- ing the specifications of this section
sure that it is representative of all the shall be applied to every engine by the
families in question. manufacturer at the point of original
(v) The manufacturer provides the manufacture. Engine labels shall be
maintenance free of charge, and clearly permanent and legible and shall be af-
informs the customer that the mainte- fixed to the engine in a position in
nance is free in the instructions pro- which it will be readily visible after in-
vided under paragraph (a) of this sec- stallation of the engine in the vessel.
tion. The label shall be attached to an en-
(vi) The manufacturer uses any other gine part necessary for normal oper-
method which the Administrator ap- ation and not normally requiring re-
proves as establishing a reasonable placement during the useful life of the
likelihood that the critical mainte- engine. The label shall be affixed by
nance will be performed in-use. the manufacturer in such manner that
(3) Visible signal systems used under it cannot be removed without destroy-
paragraph (j)(2)(iii) of this section are ing or defacing the label. The label
considered an element of design of the shall not be affixed to any equipment
emission control system. Therefore, which is easily detached from such en-
disabling, resetting, or otherwise ren- gine. The label may be not be made up
dering such signals inoperative without of more than one piece without the ad-
also performing the indicated mainte- vance approval of the Administrator.
nance procedure is a prohibited act. The label shall contain the following
(k) For engines with rated power information lettered in the English
greater than 130 kW, the manufacturer language in block letters and numer-
must provide the ultimate purchaser als, which shall be of a color that con-
with a Technical File meeting the trasts with the background of the
specifications of section 2.4 of the label:
AnnexVI Technical Code (incorporated (1) The label heading: Marine Engine
by reference in § 94.5). The maintenance Emission Control Information.
instructions required by this part to be (2) Full corporate name and trade-
provided by manufacturer may be in- mark of the manufacturer.
cluded in this Technical File. The man- (3) The model year.
ufacturer must provide a copy of this (4) The per-cylinder displacement of
Technical File to EPA upon request. the engine.
(l) Owners and operators of Category (5) Engine family and configuration
3 engines shall transfer the mainte- identification.
nance instructions to subsequent own- (6) A prominent unconditional state-
ers and operators of the engine upon ment of compliance with U.S. Environ-
sale or transfer of the engine or vessel. mental Protection Agency regulations
which apply to marine engines des-
[64 FR 73331, Dec. 29, 1999, as amended at 68 ignated by the parameters of para-
FR 9786, Feb. 28, 2003] graphs 5(b)(2)(v)(A) through (E) of this
section.
§ 94.212 Labeling. (7) The useful life of the engine.
(a) General requirements. (1) Each new (8) The standards and/or FELs to
engine covered by a certificate of con- which the engine was certified.
formity under § 94.208 shall be labeled (9) Engine tune-up specifications and
by the manufacturer in the manner de- adjustments, as recommended by the
scribed in this paragraph (b) of this manufacturer in accordance with the
section at the time of manufacture. applicable emission standards, includ-
(2) Each new marine engine modified ing but not limited to idle speeds(s), in-
from a base engine by post-manufac- jection timing, valve lash (as applica-
ture marinizers in accordance with the ble), as well as other parameters
provisions of § 94.209 (b) and covered by deemed necessary by the manufacturer.
a certificate of conformity under (10) The application for which the en-
§ 94.208 shall be labeled by the PMM in gine family is certified. (For example:
627
§ 94.213 40 CFR Ch. I (7–1–05 Edition)
constant-speed auxiliary, variable- control systems, and fuel systems of-

speed propulsion engines used with fered and typical of production engines
fixed-pitch propellers, recreational, available for sale or use under the cer-
etc.) tificate. These engines shall be sup-
(c) The provisions of this section plied for testing at such time and place
shall not prevent a manufacturer from and for such reasonable periods as the
also providing on the label any other Administrator may require. This re-
information that such manufacturer quirement does not apply for Category
deems necessary for, or useful to, the 3 engines. Manufacturers of Category 3
proper operation and satisfactory engines, however, must allow EPA ac-
maintenance of the vessel or engine. cess to test engines and development
(d) Engines certified under the vol- engines to the extent necessary to de-
untary standards described in § 94.8(f) termine that the engine family is in
to be designated as Blue Sky Series en- full compliance with the applicable re-
gines must contain the statement on quirements of this part.
the label: ‘‘Blue Sky Series’’.
[68 FR 9786, Feb. 28, 2003]
(e) If an engine can be modified to op-
erate on residual fuel, but has not been § 94.215 Maintenance of records; sub-
certified to meet the standards on such mittal of information; right of
a fuel, it must contain the statement entry.
on the label: ‘‘THIS ENGINE IS CER- (a) Any manufacturer subject to any
TIFIED FOR OPERATION ONLY WITH of the standards or procedures pre-
DISTILLATE DIESEL FUEL. MODI- scribed in this subpart shall establish,
FYING THE ENGINE TO OPERATE maintain and retain the following ade-
ON RESIDUAL FUEL MAY BE A VIO-
quately organized and indexed records:
LATION OF FEDERAL LAW SUBJECT (1) General records. The records re-
TO CIVIL PENALTIES.’’ The Adminis- quired to be maintained by this para-
trator may approve alternate language. graph (a) shall consist of:
[64 FR 73331, Dec. 29, 1999, as amended at 67 (i) Identification and description of
FR 68346, Nov. 8, 2002] all certification engines for which test-
ing is required under this subpart.
§ 94.213 Submission of engine identi- (ii) A description of all emission con-
fication numbers.
trol systems which are installed on or
(a) Upon request of the Adminis- incorporated in each certification en-
trator, the manufacturer of any engine gine.
covered by a certificate of conformity (iii) A description of all procedures
shall, within 30 days of receipt of such used to test each such certification en-
request, identify by engine identifica- gine.
tion number, the engines covered by (iv) A copy of all applications for cer-
the certificate of conformity. tification, filed with the Adminis-
(b) The manufacturer of any engines trator.
covered by a certificate of conformity (2) Individual records. (i) A brief his-
shall provide to the Administrator, tory of each engine used for certifi-
within 60 days of the issuance of a cer- cation under this subpart including:
tificate of conformity, an explanation (A) In the case where a current pro-
of the elements in any engine identi- duction engine is modified for use as a
fication coding system in sufficient de- certification engine, a description of
tail to enable the Administrator to the process by which the engine was se-
identify those engines which are cov- lected and of the modifications made.
ered by a certificate of conformity. In the case where the certification en-
gine is not derived from a current pro-
§ 94.214 Production engines. duction engine, a general description of
Any manufacturer obtaining certifi- the buildup of the engine (e.g., whether
cation under this part shall supply to experimental heads were cast and ma-
the Administrator, upon his/her re- chined according to supplied drawings).
quest, a reasonable number of produc- In the cases in the previous two sen-
tion engines, as specified by the Ad- tences, a description of the origin and
ministrator. The engines shall be rep- selection process for fuel system com-
resentative of the engines, emission ponents, ignition system components
628
(as applicable), intake air pressuriza- riod of 8 years after issuance of all cer-
tion and cooling system components, tificates of conformity to which they
cylinders, pistons and piston rings, ex- relate. Routine emission test records
haust smoke control system compo- shall be retained by the manufacturer
nents, and exhaust aftertreatment de- for a period of one (1) year after
vices as applicable, shall be included. issuance of all certificates of con-
The required descriptions shall specify formity to which they relate. Records
the steps taken to assure that the cer- may be retained as hard copy or re-
tification engine, with respect to its duced to computer disks, etc., depend-
engine, drivetrain, fuel system, emis- ing on the record retention procedures
sion control system components, ex- of the manufacturer: Provided, that in
haust aftertreatment devices, or any every case all the information con-
other devices or components as appli- tained in the hard copy shall be re-
cable, that can reasonably be expected tained.
to influence exhaust emissions will be
(4) Nothing in this section limits the
representative of production engines
Administrator’s discretion in requiring
and that either: all components and/or
engine, construction processes, compo- the manufacturer to retain additional
nent inspection and selection tech- records or submit information not spe-
niques, and assembly techniques em- cifically required by this section.
ployed in constructing such engines are (5) Pursuant to a request made by the
reasonably likely to be implemented Administrator, the manufacturer shall
for production engines; or that they submit to him/her the information that
are as close as practicable to planned is required to be retained.
construction and assembly process. (6) EPA may void a certificate of con-
(B) A complete record of all emission formity ab initio for an engine family
tests performed (except tests per- for which the manufacturer fails to re-
formed by EPA directly), including test tain the records required in this sec-
results, the date and purpose of each tion or to provide such information to
test, and the number of hours accumu- the Administrator upon request.
lated on the engine. (b) The manufacturer of engines sub-
(C) A record and description of all ject to any of the standards prescribed
maintenance and other servicing per- in this part shall submit to the Admin-
formed, giving the date of the mainte- istrator, at the time of issuance by the
nance or service and the reason for it. manufacturer, copies of all instruc-
(D) A record and description of each tions or explanations regarding the
test performed to diagnose engine or use, repair, adjustment, maintenance,
emission control system performance, or testing of such engine, relevant to
giving the date and time of the test
the control of crankcase, or exhaust
and the reason for it.
emissions issued by the manufacturer,
(E) A brief description of any signifi-
for use by other manufacturers, assem-
cant events affecting the engine during
bly plants, distributors, dealers, own-
the period covered by the history and
ers and operators. Any material not
not described by an entry under one of
the previous headings, including such translated into the English language
extraordinary events as accidents in- need not be submitted unless specifi-
volving the engine or dynamometer cally requested by the Administrator.
runaway. (c) Any manufacturer participating
(ii) Each such history shall be started in averaging, banking and trading pro-
on the date that the first of any of the gram of subpart D of this part must
selection or buildup activities in para- comply with the maintenance of
graph (a)(2)(i)(A) of this section oc- records requirements of § 94.308.
curred with respect to the certification (d)(1) Any manufacturer who has ap-
engine and shall be kept in a des- plied for certification of a new engine
ignated location. subject to certification testing under
(3) All records, other than routine this subpart shall admit or cause to be
emission test records, required to be admitted any EPA Enforcement Officer
maintained under this subpart shall be during operating hours on presentation
retained by the manufacturer for a pe- of credentials to any of the following:
629
§ 94.215 40 CFR Ch. I (7–1–05 Edition)
(i) Any facility where any such tests (ii) Any facility where any engines to
or any procedures or activities con- be introduced into commerce are man-
nected with such test are or were per- ufactured; and
formed; (iii) Any facility where records speci-
(ii) Any facility where any engine fied this section are located.
which is being tested (or was tested, or (4) On admission to any such facility
is to be tested) is present; referred to in paragraph (d)(3) of this
(iii) Any facility where any construc- section, any EPA Enforcement Officer
tion process or assembly process used shall be allowed:
in the modification or buildup of such (i) To inspect and monitor any as-
an engine into a certification engine is pects of such manufacture and other
taking place or has taken place; or procedures;
(iv) Any facility where any record or (ii) To inspect and make copies of
other document relating to any of the any such records, documents or de-
activities listed in this paragraph signs;
(d)(1). (iii) To inspect and photograph any
part or aspect of any such engine(s)
(2) Upon admission to any facility re-
and any component used in the assem-
ferred to in paragraph (d)(1) of this sec-
bly thereof that are reasonably related
tion, any EPA Enforcement Officer
to the purpose of his/her entry; and
shall be allowed:
(iv) To inspect and make copies of
(i) To inspect and monitor any part any records and documents specified in
or aspect of such procedures, activities this section.
and testing facilities including, but not (5) Any EPA Enforcement Officer
limited to, monitoring engine pre- shall be furnished by those in charge of
conditioning, emissions tests, service a facility being inspected with such
accumulation, maintenance, and en- reasonable assistance as he/she may re-
gine storage procedures, and to verify quest to help him/her discharge any
correlation or calibration of test equip- function listed in this part. Each appli-
ment; cant for or recipient of certification is
(ii) To inspect and make copies of required to cause those in charge of a
any such records, designs, or other doc- facility operated for its benefit to fur-
uments, including those records speci- nish such reasonable assistance with-
fied in Subpart D of this part; and out charge to EPA whether or not the
(iii) To inspect and/or photograph applicant controls the facility.
any part or aspect of any such certifi- (6) The duty to admit or cause to be
cation engine and any components to admitted any EPA Enforcement Officer
be used in the construction thereof. applies to any facility involved in the
(3) In order to allow the Adminis- manufacturing or assembling of en-
trator to determine whether or not gines, whether or not the manufacturer
production engines, conform to the owns or controls the facility in ques-
conditions upon which a certificate of tion and applies both to domestic and
conformity has been issued, or conform to foreign manufacturers and facilities.
in all material respects to the design EPA will not attempt to make any in-
specifications applicable to those en- spections which it has been informed
gines, as described in the application that local law forbids. However, if local
for certification for which a certificate law makes it impossible to do what is
of conformity has been issued, any necessary to insure the accuracy of
manufacturer shall admit any EPA En- data generated at a facility, no in-
forcement Officer on presentation of formed judgment that an engine is cer-
credentials to: tifiable or is covered by a certificate
(i) Any facility where any document, can properly be based on those data. It
design or procedure relating to the is the responsibility of the manufac-
translation of the design and construc- turer to locate its testing and manu-
tion of engines and emission related facturing facilities in jurisdictions
components described in the applica- where this situation will not arise.
tion for certification or used for cer- (7) For purposes of this section:
tification testing into production en- (i) ‘‘Presentation of credentials’’
gines is located or carried on; shall mean display of the document
630
designating a person as an EPA En- (8) EPA may void a certificate of con-
forcement Officer. formity ab initio for engines introduced
(ii) Where component or engine stor- into commerce if the manufacturer (or
age areas or facilities are concerned, contractor for the manufacturer, if ap-
‘‘operating hours’’ shall mean all times plicable) fails to comply with any pro-
during which personnel other than cus- vision of this section.
todial personnel are at work in the vi-
cinity of the area or facility and have § 94.216 Hearing procedures.
access to it. (a)(1) After granting a request for a
(iii) Where facilities or areas other hearing under § 94.210 or § 94.208, the Ad-
than those covered by paragraph ministrator shall designate a Presiding
(d)(7)(ii) of this section are concerned, Officer for the hearing.
‘‘operating hours’’ shall mean all times (2) The hearing shall be held as soon
during which an assembly line is in op- as practicable at a time and place fixed
eration or all times during which test- by the Administrator or by the Pre-
ing, maintenance, service accumula- siding Officer.
tion, production or compilation of (3) In the case of any hearing re-
records, or any other procedure or ac- quested pursuant to § 94.208, the Admin-
tivity related to certification testing, istrator may in his/her discretion di-
to translation of designs from the test rect that all argument and presen-
stage to the production stage, or to en- tation of evidence be concluded within
gine manufacture, or assembly is being such fixed period not less than 30 days
carried out in a facility. as he/she may establish from the date
that the first written offer of a hearing
(iv) ‘‘Reasonable assistance’’ in-
is made to the manufacturer. To expe-
cludes, but is not limited to, clerical,
dite proceedings, the Administrator
copying, interpretation and translation
may direct that the decision of the
services, the making available on re-
Presiding Officer (who may, but need
quest of personnel of the facility being
not be the Administrator) shall be the
inspected during their working hours
final EPA decision.
to inform the EPA Enforcement Officer
(b)(1) Upon his/her appointment pur-
of how the facility operates and to an- suant to paragraph (a) of this section,
swer his questions, and the perform- the Presiding Officer will establish a
ance on request of emissions tests on hearing file. The file shall consist of
any engine which is being, has been, or the notice issued by the Administrator
will be used for certification testing. under § 94.210 or § 94.208 together with
Such tests shall be nondestructive, but any accompanying material, the re-
may require appropriate service accu- quest for a hearing and the supporting
mulation. A manufacturer may be com- data submitted therewith, and all doc-
pelled to cause the personal appearance uments relating to the request for cer-
of any employee at such a facility be- tification and all documents submitted
fore an EPA Enforcement Officer by therewith, and correspondence and
written request for his appearance, other data material to the hearing.
signed by the Assistant Administrator (2) The hearing file will be available
for Air and Radiation or the Assistant for inspection by the applicant at the
Administrator for Enforcement and office of the Presiding Officer.
Compliance Assurance, served on the (c) An applicant may appear in per-
manufacturer. Any such employee who son, or may be represented by counsel
has been instructed by the manufac- or by any other duly authorized rep-
turer to appear will be entitled to be resentative.
accompanied, represented and advised (d)(1) The Presiding Officer, upon the
by counsel. request of any party, or in his/her dis-
(v) Any entry without 24 hour prior cretion, may arrange for a prehearing
written or oral notification to the af- conference at a time and place speci-
fected manufacturer shall be author- fied by him/her to consider the fol-
ized in writing by the Assistant Admin- lowing:
istrator for Air and Radiation or the (i) Simplification of the issues;
Assistant Administrator for Enforce- (ii) Stipulations, admissions of fact,
ment and Compliance Assurance. and the introduction of documents;
631
§ 94.217 40 CFR Ch. I (7–1–05 Edition)
(iii) Limitation of the number of ex- ties and made a part of the record. The
pert witnesses; initial decision shall become the deci-
(iv) Possibility of agreement dis- sion of the Administrator without fur-
posing of all or any of the issues in dis- ther proceedings unless there is an ap-
pute; peal to the Administrator or motion
(v) Such other matters as may aid in for review by the Administrator within
the disposition of the hearing, includ- 30 days of the date the initial decision
ing such additional tests as may be was filed.
agreed upon by the parties. (2) On appeal from or review of the
(2) The results of the conference shall initial decision, the Administrator
be reduced to writing by the Presiding shall have all the powers which he/she
Officer and made part of the record. would have in making the initial deci-
(e)(1) Hearings shall be conducted by sion including the discretion to require
the Presiding Officer in an informal or allow briefs, oral argument, the tak-
but orderly and expeditious manner. ing of additional evidence or the re-
The parties may offer oral or written manding to the Presiding Officer for
evidence, subject to the exclusion by additional proceedings. The decision by
the Presiding Officer of irrelevant, im- the Administrator shall include writ-
material and repetitious evidence. ten findings and conclusions and the
(2) Witnesses will not be required to reasons or basis therefor on all the ma-
testify under oath. However, the Pre- terial issues of fact, law, or discretion
siding Officer shall call to the atten- presented on the appeal or considered
tion of witnesses that their statements in the review.
may be subject to the provisions of 18
U.S.C. 1001 which imposes penalties for § 94.217 Emission data engine selec-
knowingly making false statements or tion.
representations, or using false docu- (a) The manufacturer must select for
ments in any matter within the juris- testing, from each engine family, the
diction of any department or agency of engine configuration which is expected
the United States. to be worst-case for exhaust emission
(3) Any witness may be examined or compliance on in-use engines, consid-
cross-examined by the Presiding Offi- ering all exhaust emission constituents
cer, the parties, or their representa- and the range of installation options
tives. available to vessel builders. The en-
(4) Hearings shall be reported ver- gines selected for testing are collec-
batim. Copies of transcripts of pro- tively described as the test fleet.
ceedings may be purchased by the ap- (b) Each engine in the test fleet must
plicant from the reporter. be constructed to be representative of
(5) All written statements, charts, production engines.
tabulations, and similar data offered in (c) After review of the manufactur-
evidence at the hearings shall, upon a er’s test fleet, the Administrator may
showing satisfactory to the Presiding select from the available fleet one ad-
Officer of their authenticity, rel- ditional test engine from each engine
evancy, and materiality, be received in family.
evidence and shall constitute a part of (d) Each engine selected shall be test-
the record. ed according to the provisions of Sub-
(6) Oral argument may be permitted part B of this part.
in the discretion of the Presiding Offi- (e) In lieu of testing an emission data
cer and shall be reported as part of the engine selected under paragraph (a) of
record unless otherwise ordered by this section and submitting the result-
him/her. ing data, a manufacturer may, with
(f)(1) The Presiding Officer shall Administrator approval, use emission
make an initial decision which shall data on a similar engine for which cer-
include written findings and conclu- tification has previously been obtained
sions and the reasons or basis therefor or for which all applicable data re-
on all the material issues of fact, law, quired under this subpart have pre-
or discretion presented on the record. viously been submitted. These data
The findings, conclusions, and written must be submitted in the application
decision shall be provided to the par- for certification.
632
(f) A single cylinder test engine may tion factor, round the factor to three
be used for certification of Tier 1 Cat- places to the right of the decimal
egory 3 engine families. If you use test point.
data from a single cylinder test engine (2) In the case of an additive exhaust
for certification, explain in your appli- emission deterioration factor, round
cation how you have determined that the factor shall to at least two places
such data show that the multiple cyl- to the right of the decimal point.
inder production engines will comply (d)(1) Except as allowed by paragraph
with the applicable emission standards. (d)(2) of this section, the manufacturer
[64 FR 73331, Dec. 29, 1999, as amended at 68 shall determine the deterioration fac-
FR 9786, Feb. 28, 2003] tors for Category 1 and Category 2 en-
gines based on service accumulation
§ 94.218 Deterioration factor deter- and related testing, according to the
mination. manufacturer’s procedures, and the
Manufacturers shall determine ex- provisions of §§ 94.219 and 94.220. The
haust emission deterioration factors manufacturer shall determine the form
using good engineering judgement ac- and extent of this service accumula-
cording to the provisions of this section, consistent with good engineering
tion. Every deterioration factor must practice, and shall describe this process
be, in the Administrator’s judgment, in the application for certification.
consistent with emissions increases ob- (2) Alternatives to service accumulation
served in-use based on emission testing and testing for the determination of a de-
of similar engines. Deterioration fac- terioration factor. A written explanation
tors that predict emission increases of the appropriateness of using an al-
over the useful life of an engine that ternative must be included in the ap-
are significantly less than the emission plication for certification.
increases over the useful life observed (i) Carryover and carryacross of dura-
from in-use testing of similar engines bility emission data. In lieu of testing an
shall not be used. emission data or durability data engine
(a) A separate exhaust emission dete- selected under § 94.217 or § 94.219, and
rioration factor shall be established for submitting the resulting data, a manu-
each engine family and for each emis- facturer may, with Administrator ap-
sion constituent applicable to that proval, use exhaust emission deteriora-
family. tion data on a similar engine for which
(b) Calculation procedures. (1) For en- certification to the same standard has
gines not utilizing aftertreatment tech- previously been obtained or for which
nology (e.g., catalyst). For each applica- all applicable data required under this
ble emission constituent, an additive subpart have previously been sub-
deterioration factor shall be used; that mitted. These data must be submitted
is, a deterioration factor that when in the application for certification.
added to the low mileage emission rate (ii) Use of non-marine deterioration
equals the emission rate at the end of data. In the case where a manufacturer
useful life. However, if the deteriora- produces a certified motor vehicle en-
tion factor supplied by the manufac- gine, locomotive engine, or other
turer is less than zero, it shall be zero nonroad engine that is similar to the
for the purposes of this section. marine engine to be certified, deterio-
(2) For engines utilizing aftertreatment ration data from the non-marine en-
technology (e.g., catalyst). For each ap- gine may be applied to the marine en-
plicable emission constituent, a mul- gine. This application of deterioration
tiplicative deterioration factor shall be data from such an engine to a marine
used; that is deterioration factors that engine is subject to Administrator ap-
when multiplied by the low mileage proval, and the determination of
emission rate equal the emission rate whether the engines are similar shall
at the end of useful life. However, if the be based on good engineering judg-
deterioration factor supplied by the ment.
manufacturer is less than one, it shall (iii) Engineering analysis for estab-
be one for the purposes of this section. lished technologies. In the case where an
(c) Rounding. (1) In the case of a mul- engine family uses technology which is
tiplicative exhaust emission deteriora- well established, an analysis based on
633
§ 94.219 40 CFR Ch. I (7–1–05 Edition)
good engineering practices may be used (1) Components may be removed from
in lieu of testing to determine a dete- the engine and aged separately.
rioration factor for that engine family. (2) End of useful life emission levels
Engines using exhaust gas recircula- and deterioration factors may be pro-
tion or aftertreatment are excluded jected from durability data engines
from this provision. The manufacturer which have completed less than full
shall provide a written statement to useful life service accumulation, pro-
the Administrator that all data, anal- vided that the amount of service accu-
yses, test procedures, evaluations, and mulation completed and projection
other documents, on which the deterio- procedures are determined using good
ration factor is based, are available to engineering judgement.
the Administrator upon request. (c) No maintenance, other than rec-
(iv) Assigned deterioration factors. ommended lubrication and filter
Small-volume manufacturers may use changes or maintenance otherwise al-
deterioration factors established by lowed by this part, may be performed
EPA. during service accumulation without
the Administrator’s approval.
FR 68346, Nov. 8, 2002; 68 FR 9786, Feb. 28,
(d) The manufacturer must maintain,
2003] and provide to the Administrator if re-
quested, records stating the rationale
§ 94.219 Durability data engine selec- for selecting the service accumulation
tion. period and records describing the meth-
(a) For Category 1 and Category 2 en- od used to accumulate service hours on
gines, the manufacturer shall select for the test engine(s).
durability testing, from each engine § 94.221 Application of good engineer-
family, the engine configuration which ing judgment.
is expected to generate the highest
level of exhaust emission deterioration (a) The manufacturer shall exercise
on engines in use, considering all ex- good engineering judgment in making
haust emission constituents and the all decisions called for under this part,
range of installation options available including but not limited to selections,
to vessel builders. The manufacturer categorizations, determinations, and
shall use good engineering judgment in applications of the requirements of the
making this selection. part.
(b) Carryover data satisfying the pro- (b) Upon written request by the Ad-
visions of § 94.220 may also be used in ministrator, the manufacturer shall
lieu of testing the configuration se- provide within 15 working days (or
lected in paragraph (a) of this section. such longer period as may be allowed
(c) Durability data engines shall be by the Administrator) a written de-
built from subsystems and components scription of the engineering judgment
that are representative of actual pro- in question.
duction engines. (c) The Administrator may reject any
such decision by a manufacturer if it is
[64 FR 73331, Dec. 29, 1999, as amended at 68 not based on good engineering judg-
FR 9786, Feb. 28, 2003] ment or is otherwise inconsistent with
the requirements of this part.
§ 94.220 Service accumulation. (d) If the Administrator rejects a de-
(a) Each test emission data engine in cision by a manufacturer with respect
the test fleet may be operated with all to the exercise of good engineering
emission control systems operating judgment, the following provisions
properly for a period, up to 125 hours of shall apply:
operation, that is sufficient to stabilize (1) If the Administrator determines
emissions. that incorrect information was delib-
(b) Durability data engines shall ac- erately used in the decision process,
cumulate service in a manner which that important information was delib-
will represent the emission levels from erately overlooked, that the decision
in-use engines over their full useful was not made in good faith, or that the
life, consistent with good engineering decision was not made with a rational
judgement. basis, the Administrator may suspend
634
or void ab initio a certificate of con- § 94.222 Certification of engines on im-

formity. ported vessels.
(2) If the Administrator determines For marine engines subject to the re-
that the manufacturer’s decision is not quirements of this part that are in-
covered by the provisions of paragraph stalled on imported vessels, the Admin-
(d) (1) of this section, but that a dif- istrator may specify alternate certifi-
ferent decision would reflect a better cation provisions as necessary.
exercise of good engineering judgment,
then the Administrator will notify the Subpart D—Certification Aver-
manufacturer of this concern and the aging, Banking, and Trading
basis of the concern. Provisions
(i) The manufacturer shall have at
least 30 days to respond to this notice. § 94.301 Applicability.
The Administrator may extend this re- Marine engine families subject to the
sponse period upon request from the standards of Subpart A of this part are
manufacturer if it is necessary to gen- eligible to participate in the certifi-
erate additional data for the manufac- cation averaging, banking, and trading
turer’s response. program described in this subpart.
(ii) The Administrator shall make The provisions of this subpart apply
the final ruling after considering the to manufacturers of new engines that
information provided by the manufac- are subject to the emission standards
turer during the response period. If the of § 94.8.
Administrator determines that the
manufacturer’s decision was not made
using good engineering judgment, he/ The definitions of Subpart A of this
she may reject that decision and apply part apply to this subpart. The fol-
the new ruling to future corresponding lowing definitions also apply:
decisions as soon as practicable. Applicable standard means a standard
that would have otherwise been appli-
(e) The Administrator shall notify
cable had the engine not been certified
the manufacturer in writing regarding under this subpart to an FEL different
any decision reached under paragraph than that standard.
(d)(1) or (2) of this section. The Admin- Broker means any entity that facili-
istrator shall include in this notifica- tates a trade between a buyer and sell-
tion the basis for reaching the deter- er.
mination. Buyer means the entity that receives
(f) Within 30 working days following credits as a result of trade.
receipt of notification of the Adminis- Reserved credits means credits that
trator’s determinations made under have been generated but have not yet
paragraph (d) of this section, the man- been reviewed by EPA or used to dem-
ufacturer may request a hearing on onstrate compliance under the aver-
those determinations. The request aging provisions of this subpart.
shall be in writing, signed by an au- Seller means the entity that provides
thorized representative of the manu- credits during a trade.
facturer, and shall include a statement
§ 94.303 General provisions.
specifying the manufacturer’s objec-
tions to the Administrator’s deter- (a) Participation in the averaging,
minations, and data or other analysis banking, and trading program is vol-
in support of such objections. If, after untary. A manufacturer may choose to
review of the request and supporting involve some or all of its engine fami-
data or analysis, the Administrator lies in any or all aspects of the pro-
finds that the request raises a substan- gram.
(b) An engine family is eligible to
tial factual issue, he/she shall provide
participate in the certification aver-
the manufacturer a hearing in accord-
aging, banking, and trading program
ance with § 94.216 with respect to such for THC+NOX and PM emissions only if
issue. it is subject to regulation under this
part with certain exceptions specified
635
§ 94.304 40 CFR Ch. I (7–1–05 Edition)
in paragraph (c) of this section. No ject to the upper limits described in

averaging, banking, and trading pro- paragraph (m) of this section. An en-
gram is available for meeting the CO gine family certified to an FEL is sub-
standards of this part. ject to all provisions specified in this
(c) Engines may not participate in part, except that the applicable FEL
the certification averaging, banking, replaces the applicable THC+NOX and
and trading program if they are ex- PM emission standard for the family
ported. Only engines certified under participating in the averaging, bank-
this part are eligible for generation or ing, and trading program.
use of credits in this certification aver- (b) A manufacturer may certify one
aging, banking, and trading program. or more engine families at FELs above
Engines certified to the Blue Sky pro- or below the applicable emission stand-
visions of § 94.8(f) are not eligible for ard, provided the summation of the
inclusion in this certification aver- manufacturer’s projected balance of all
aging, banking, and trading program. credit transactions in a given calendar
(d) Averaging involves the generation year is greater than or equal to zero, as
of credits by a manufacturer for use by calculated for each family under § 94.305
that same manufacturer in the same and reported under § 94.309.
calendar year. A manufacturer may use (c) Manufacturers certifying engine
averaging during certification to offset families with FELs exceeding the ap-
an emission exceedance of an engine plicable emission standard shall obtain
family caused by an FEL above the ap- emission credits in amounts sufficient
plicable emission standard, subject to to address the shortfall. Credits may be
the provisions of this subpart.
obtained from averaging, banking, or
(e) Banking involves the generation
trading, subject to the restrictions de-
of credits by a manufacturer in a given
scribed in this subpart.
calendar year for use in a subsequent
model year. A manufacturer may bank (d) Manufacturers certifying engine
actual credits only after the end of the families with FELs below the applica-
calendar year and after EPA has re- ble emission standard may generate
viewed the manufacturer’s end-of-year emission credits to average, bank, or
reports. During the calendar year and trade, or a combination thereof.
before submittal of the end-of-year re- (e) An engine family may not gen-
port, credits originally designated in erate credits for one pollutant while
the certification process for banking also using credits for another pollutant
will be considered reserved and may be in the same model year.
redesignated for trading or averaging (f) Credits may only be used for cer-
in the end-of-year report. Credits de- tification; they may not be used to
clared for banking from the previous remedy a violation of the FEL deter-
calendar year that have not been re- mined by production line or in-use
viewed by EPA may be used in aver- testing. Credits may be used to allow
aging or trading transactions. How- subsequent production of engines for
ever, such credits may be revoked at a an engine family failing production
later time following EPA review of the line testing if the manufacturer elects
end-of-year report or any subsequent to recertify to a higher FEL.
audit actions. (g) [Reserved].
(f) Trading involves the sale of (h) If an FEL is changed after initial
banked credits for use in certification certification in any given model year,
of new engines under this part. Only the manufacturer must conduct pro-
banked credits may be traded; reserved duction line testing to verify that the
credits may not be traded. emission levels are achieved, with one
exception: when an FEL is changed im-
§ 94.304 Compliance requirements. mediately after (and because of) a pro-
(a) Manufacturers wishing to partici- duction line testing failure, additional
pate in certification averaging, bank- verification testing is not required.
ing and trading programs shall select a (i) Manufacturers participating in
FEL for each engine family they wish the averaging, banking and trading
to include. The level of the FEL shall program must demonstrate compliance
be selected by the manufacturer, sub- with the applicable emission standards
636
at the end of the model year. Manufac- (k) The following provisions limit
turers that have certified engine fami- credit exchanges between different
lies to FELs above the applicable emis- types of engines:
sion standards and do not have suffi- (1) Credits generated by Category 1
cient emission credits to offset the dif- engine families may be used for com-
ference between the emission standard pliance by Category 1 or Category 2 en-
and the FEL for such engine families gine families. Credits generated from
will be in violation of the conditions of Category 1 engine families for use by
the certificate of conformity for such
Category 2 engine families must be dis-
engine families. The certificates of
conformity may be voided ab initio for counted by 25 percent.
those engine families. (2) Credits generated by Category 2
(j) In the event of a negative credit engine families may be used for com-
balance resulting from a credit trade, pliance only by Category 2 engine fam-
both the buyer(s) and the seller(s) are ilies.
liable, except in cases involving fraud. (3) Credits may not be exchanged be-
Certificates of all engine families par- tween recreational and commercial en-
ticipating in a negative trade may be gines.
voided ab initio. (l) Credit life shall be unlimited.
(1) Where a buyer of credits is not re- (m) Upper limits. The FELs for
sponsible for causing the negative cred- THC+NOX and PM for new engines cer-
it balance, the buyer is only liable to tified for participation in this aver-
supply additional credits equivalent to aging, banking and trading program
any amount of invalid credits that the
may not exceed the following values:
buyer used for its engine family(ies).
(2) Credit holders responsible for the (1) For Category 1 engines, the FEL
credit shortfall may be subject to the may not exceed the levels contained in
requirements of § 94.309(g)(3). Table D–1, which follows:
TABLE D–1—CATEGORY 1 UPPER LIMITS FOR TIER 2 FAMILY EMISSION LIMITS

THC+NOX PM FEL
Subcategory liters/cylinder Model year 1 FEL g/kW- g/kW-hr
hr
Power ≥ 37 kW disp. < 0.9 ........................................................................................... 2005 11.5 1.2

0.9 ≤ disp. < 1.2 ............................................................................................................ 2004 11.5 1.2
1.2 ≤ disp. < 2.5 ............................................................................................................ 2004 10.5 0.54
2.5 ≤ disp. < 5.0 ............................................................................................................ 2007 10.5 0.54
1 The model years listed indicate the model years for which the specified standards start.
(2) For Category 2 engines, the FEL FEL)×(UL)×(Production)×(AvgPR)×(LF)

may not exceed the applicable standard ×(10¥6)
by more than 25 percent. Where:
(i) Std = the applicable cycle-weight-
[64 FR 73331, Dec. 29, 1999, as amended at 67 ed marine engine THC+NOX or PM
FR 68346, Nov. 8, 2002]
emission standard in grams per kilo-
§ 94.305 Credit generation and use cal- watt-hour.
culation. (ii) FEL = the family emission limit
for the engine family in grams per kil-
(a) For each participating engine owatt-hour. (The FEL may not exceed
family, calculate THC+NOX and PM the limit established in § 94.304(m) for
emission credits (positive or negative) each pollutant.)
according to the equation in paragraph (iii) UL = the useful life in hours of
(b) of this section and round emissions operation.
to the nearest one-hundredth of a (iv) Production = the number of en-
megagram (Mg). Use consistent units gines participating in the averaging,
throughout the calculation. banking, and trading program within
(b) Credits (Mg) for each engine fam- the given engine family during the cal-
ily are calculated as: Emission credits endar year (or the number of engines in
= (Std— the subset of the engine family for
637
§ 94.306 40 CFR Ch. I (7–1–05 Edition)
which credits are being calculated). manufacturer’s belief, cause the manu-
Quarterly production projections are facturer to have a negative credit bal-
used for initial certification. Actual ance when all credits are calculated for
applicable production/sales volumes all the manufacturer’s engine families
are used for end-of-year compliance de- participating in the averaging, bank-
termination. ing, and trading program.
(v) AvgPR = average power rating of (b) Based on this information, each
all of the configurations within an en- manufacturer’s certification applica-
gine family, calculated on a sales- tion must demonstrate:
weighted basis, in kilowatts. (1) That at the end of model year pro-
(vi) LF = the load factor, dependent duction, each engine family has a net
on whether the engine is intended for emissions credit balance equal to or
propulsion or auxiliary applications, as greater than zero for any pollutant and
follows: program for which participation in cer-
(A) 0.69 for propulsion engines, tification under averaging, banking,
(B) 0.51 for auxiliary engines. and/or trading is being sought. The
[64 FR 73331, Dec. 29, 1999, as amended at 68 equation in section § 94.305 shall be
FR 9786, Feb. 28, 2003] used in this calculation for each engine
family.
§ 94.306 Certification. (2) That the manufacturer will obtain
(a) In the application for certifi- sufficient credits to be used to comply
cation a manufacturer must: with the emission standard for any en-
(1) Declare its intent to include spe- gine family with an FEL that exceeds
cific engine families in the averaging, the applicable emission standard, or
banking, and/or trading programs. Sep- where credits will be applied if the FEL
arate declarations are required for each is less than the emission standard. In
pollutant (THC+NOX and PM). cases where credits are being obtained,
(2) Declare FELs for each engine fam- for each engine family involved the
ily participating in certification aver- manufacturer must identify specifi-
aging, banking, and/or trading. cally the source of the credits being
(i) The FELs must be to the same used (manufacturer/engine family). All
number of significant digits as the such reports shall include all credits
emission standard. involved in certification averaging,
(ii) In no case may the FEL exceed banking, or trading.
the upper limit prescribed in (3) That in cases where credits are
§ 94.304(m). being generated/supplied, the use of
(3) Conduct and submit detailed cal- such credits is specifically designated
culations of projected emission credits (manufacturer/engine family or re-
(positive or negative) based on quar- served). All such reports shall include
terly production projections for each all credits involved in certification
participating family and for each pol- averaging, banking, or trading.
lutant, using the applicable equation in (c) Manufacturers must monitor pro-
§ 94.305 and the applicable values of the jected versus actual production
terms in the equation for the specific throughout the model year to ensure
family. that compliance with emission stand-
(i) If the engine family is projected to ards is achieved at the end of the model
have negative emission credits, state year.
specifically the source (manufacturer/ (d) At the end of the model year, the
engine family) of the credits necessary manufacturer must provide the end-of-
to offset the credit deficit according to year reports required under § 94.309.
quarterly projected production. (1) Projected credits based on the in-
(ii) If the engine family is projected formation supplied in the certification
to generate credits, state specifically application may be used to obtain a
where the quarterly projected credits certificate of conformity. However, any
will be applied (manufacturer/engine such projected credits must be vali-
family or reserved). dated based on review of the end of
(4) Submit a statement that the en- model year reports and may be revoked
gines for which certification is re- at a later time based on follow-up au-
quested will not, to the best of the dits or any other verification measure
638
deemed appropriate by the Adminis- the following adequately organized and

trator. indexed records for each such family:
(2) Compliance for engine families (1) Model year and EPA engine fam-
using averaging, banking, or trading ily;
will be determined at the end of the (2) Family Emission Limit(s) (FEL);
model year. Manufacturers that have (3) Rated power for each configura-
certified engine families with credit tion;
balances for THC+NOX and/or PM that
(4) Projected applicable production/
do not equal or exceed zero shall be in
sales volume for the calendar year;
violation of the conditions of the cer-
tificate of conformity for such engine (5) Actual applicable production/sales
families. The certificate of conformity volume for the calendar year; and
may be voided ab initio for those engine (6) Useful life.
families. (c) Any manufacturer producing an
(e) Other conditions of certification. engine family participating in trading
(1) All certificates issued are condi- of credits must maintain the following
tional upon compliance by the manu- records on a quarterly basis for each
facturer with the provisions of this engine family in the trading program:
subpart both during and after the cal- (1) The model year and engine family;
endar year of production. (2) The actual quarterly and cumu-
(2) Failure to comply with all provi- lative applicable production/sales vol-
sions of this subpart will be considered ume;
to be a failure to satisfy the conditions
(3) The values required to calculate
upon which the certificate was issued,
credits as given in § 94.305;
and the certificate may be deemed void
ab initio. (4) The resulting type and number of
(3) The manufacturer bears the bur- credits generated/required;
den of establishing to the satisfaction (5) How and where credit surpluses
of the Administrator that the condi- are dispersed; and
tions upon which the certificate was (6) How and through what means
issued were satisfied or waived. credit deficits are met.
(d) The manufacturer must retain all
§ 94.307 Labeling. records required to be maintained
For all engines included in the cer- under this section for a period of 8
tification averaging, banking, and years from the due date for the end-of-
trading program, the FEL to which the calendar year report. Records may be
engine is certified must be included on retained as hard copy or reduced to
the label required in § 94.212. microfilm, ADP diskettes, and so forth,
depending on the manufacturer’s
§ 94.308 Maintenance of records.
record retention procedure; provided,
(a) The manufacturer of any engine that in every case all information con-
that is certified under the averaging, tained in the hard copy is retained.
banking, and trading program must es- (e) Nothing in this section limits the
tablish, maintain, and retain the fol- Administrator’s discretion in requiring
lowing adequately organized and in- the manufacturer to retain additional
dexed records for each such engine pro- records or submit information not spe-
duced:
cifically required by this section.
(1) EPA engine family and configura-
(f) Pursuant to a request made by the
tion;
(2) Engine identification number; Administrator, the manufacturer must
(3) Engine calendar year and build submit to the Administrator the infor-
date; mation that the manufacturer is re-
(4) Rated power; quired to retain.
(5) Purchaser and destination; and (g) EPA may void ab initio a certifi-
(6) Assembly plant. cate of conformity for an engine family
(b) The manufacturer of any engine for which the manufacturer fails to re-
family that is certified under the aver- tain the records required in this sec-
aging, banking, and trading program tion or to provide such information to
must establish, maintain, and retain the Administrator upon request.
639
§ 94.309 40 CFR Ch. I (7–1–05 Edition)
§ 94.309 Reports. trading program to submit any quar-

(a) Manufacturers must submit the terly or end-of-year reports in the spec-
certification information as required ified time for all engines is a violation
under § 94.306, and end-of-year reports of sections 203(a)(1) and 213 of the Clean
each year as part of their participation Air Act for each engine.
in certification averaging, banking, (4) A manufacturer generating cred-
and trading programs. its for banking only who fails to sub-
(b) Quarterly reports. All entities in- mit end-of-year reports in the applica-
volved in credit trades must submit ble specified time period (120 days after
quarterly reports. The reports shall in- the end of the calendar year) may not
clude the source or recipient of the use or trade the credits until such re-
credits, the amount of credits involved ports are received and reviewed by
plus remaining balances, details re- EPA. Use of projected credits pending
garding the pollutant, and model year EPA review is not permitted in these
as well as the information prescribed in circumstances.
§ 94.308(c). Copies of contracts related (g) Reporting errors. (1) Errors dis-
to credit trading must be included or covered by EPA or the manufacturer in
supplied by the buyer, seller, and the end-of-year report, including errors
broker, as applicable. in credit calculation, may be corrected
(c) End-of-year reports must include 180-days subsequent to submission of
the information prescribed in the end-of-year report. Errors discov-
§ 94.308(b). The report shall include a ered by EPA after 180-days shall be cor-
calculation of credit balances for each rectable if, as a result of the correc-
family to show that the summation of tion, the manufacturer’s credits are re-
the manufacturer’s use of credits reduced. Errors in the manufacturer’s
sults in a credit balance equal to or favor are not corrected if discovered
greater than zero. The report shall be after the 180-day correction period al-
consistent in detail with the informa- lowed.
tion submitted under § 94.306 and show (2) If EPA or the manufacturer deter-
how credit surpluses were dispersed mines that a reporting error occurred
and how credit shortfalls were met on on an end-of-year report previously
a family specific basis. The end-of-year submitted to EPA under this section,
report shall incorporate any informa- the manufacturer’s credits and credit
tion reflected in previous quarterly re- calculations will be recalculated. Erro-
ports. neous positive credits will be void. Er-
(d) The applicable production/sales roneous negative credit balances may
volume for quarterly and end-of-year be corrected by EPA.
reports must be based on the location (3) If EPA review of a manufacturer’s
of either the point of first retail sale by end-of-year report indicates a credit
the manufacturer or the point at which shortfall, the manufacturer will be per-
the engine is placed into service, mitted to purchase the necessary cred-
whichever occurs first. This is called its to bring the credit balance to zero.
the final product purchase location. These credits must be supplied at the
(e) Each quarterly and end-of-year re- ratio of 1.1 credits for each 1.0 credit
port submitted shall include a state- needed. If sufficient credits are not
ment certifying to the accuracy and available to bring the credit balance to
authenticity of the material reported zero for the family(ies) involved, EPA
therein. may void the certificate(s) for that
(f) Requirements for submission. (1) family(ies) ab initio. In addition, all en-
Quarterly reports must be submitted gines within an engine family for
within 90 days of the end of the cal- which there are insufficient credits
endar quarter to the Designated Offi- will be considered to have violated the
cer. conditions of the certificate of con-
(2) End-of-year reports must be sub- formity and therefore are not covered
mitted within 120 days of the end of the by that certificate.
calendar year to the Designated Offi- (4) If within 180 days of receipt of the
cer. manufacturer’s end-of-year report,
(3) Failure by a manufacturer partici- EPA review determines a reporting
pating in the averaging, banking, or error in the manufacturer’s favor (that
640
is, resulting in an increased credit bal- (b) Defect information reports re-
ance) or if the manufacturer discovers quired under paragraph (a) of this sec-
such an error within 180 days of EPA tion must be submitted not more than
receipt of the end-of-year report, the 15 working days after the same emis-
credits are restored for use by the man- sion-related defect is found to effect 25
ufacturer. or more Category 1 marine engines, or
10 or more Category 2 marine engines.
§ 94.310 Notice of opportunity for Information required by paragraph (c)
hearing. of this section that is either not avail-
Any voiding of the certificate under able within 15 working days or is sig-
this subpart will be made only after nificantly revised must be submitted as
the manufacturer concerned has been it becomes available.
offered an opportunity for a hearing (c) Except as provided in paragraph
conducted in accordance with § 94.216 (b) of this section, each defect report
and, if a manufacturer requests such a must contain the following informa-
hearing, will be made only after an ini- tion in substantially the format out-
tial decision by the Presiding Officer. lined:
(1) The manufacturer’s corporate
Subpart E—Emission-related De- name.
fect Reporting Requirements, (2) A description of the defect.
Voluntary Emission Recall Pro- (3) A description of each class or cat-
gram egory of engines potentially affected
by the defect including make, model,
§ 94.401 Applicability. calendar year produced, purchaser and
any other information as may be re-
The requirements of this subpart are quired to identify the engines affected.
applicable to manufacturers of engines
(4) For each class or category of en-
subject to the provisions of Subpart A
gines described in response to para-
of this part. The requirement to report
graph (c)(3) of this section, the fol-
emission-related defects affecting a
lowing shall also be provided:
given class or category of engines ap-
(i) The number of engines known or
plies for eight years from the end of
estimated to have the defect and an ex-
the year in which such engines were
planation of the means by which this
manufactured.
number was determined.
§ 94.402 Definitions. (ii) The address of the plant(s) at
which the potentially defective engines
The definitions of Subpart A of this were produced.
part apply to this subpart.
(5) An evaluation of the emissions
§ 94.403 Emission defect information impact of the defect and a description
report. of any operational or performance
problems which a defective engine
(a) A manufacturer must file a defect might exhibit.
information report whenever it deter-
(6) Available emissions data which
mines, in accordance with procedures
relate to the defect.
it established to identify either safety-
(7) An indication of any anticipated
related or performance defects (or
follow-up by the manufacturer.
based on other information), that a
specific emission-related defect exists [64 FR 73331, Dec. 29, 1999, as amended at 68
in 25 or more Category 1 marine en- FR 9786, Feb. 28, 2003]
gines, or 10 or more Category 2 marine
engines, or 2 or more Category 3 en- § 94.404 Voluntary emissions recall re-
gines or cylinders. No report must be porting.
filed under this paragraph for any (a) When any manufacturer initiates
emission-related defect corrected prior a voluntary emissions recall campaign
to the sale of the affected engines to an involving an engine, the manufacturer
ultimate purchaser. (Note: These limits shall submit to EPA a report describ-
apply to the occurrence of the same de- ing the manufacturer’s voluntary emis-
fect, and are not constrained by engine sions recall plan as prescribed by this
family or model year.) section within 15 working days of the
641
§ 94.404 40 CFR Ch. I (7–1–05 Edition)
date owner notification was begun. The adequate and responsive to owner de-
report shall contain the following: mand.
(1) A description of each class or cat- (9) Three copies of all necessary in-
egory of engines recalled including the structions to be sent to those persons
number of engines to be recalled, the who are to perform the repair under
calendar year if applicable, the make, the remedial plan.
the model, and such other information (10) A description of the impact of
as may be required to identify the en- the changes on fuel consumption, oper-
gines recalled. ation or performance, and safety of
(2) A description of the specific modi- each class or category of engines to be
fications, alterations, repairs, correc- recalled.
tions, adjustments, or other changes to (11) A sample of any label to be ap-
be made to correct the engines affected plied to engines which participate in
by the emission-related defect. the voluntary recall campaign.
(3) A description of the method by (b) Unless otherwise specified by the
which the manufacturer will notify en- Administrator, the manufacturer shall
gine owners. report on the progress of the recall
(4) A description of the proper main- campaign by submitting subsequent re-
tenance or use, if any, upon which the ports for six consecutive quarters, or
manufacturer conditions eligibility for until proven that remedial action has
repair under the remedial plan, an ex- been adequately taken on all affected
planation of the manufacturer’s rea- engines, whichever occurs first, com-
sons for imposing any such condition, mencing with the quarter after the vol-
and a description of the proof to be re- untary emissions recall campaign actu-
quired of an engine owner to dem- ally begins. Such reports shall be sub-
onstrate compliance with any such mitted no later than 25 working days
condition. after the close of each calendar quar-
(5) A description of the procedure to ter. For each class or group of engine
be followed by engine owners to obtain subject to the voluntary emissions re-
correction of the nonconformity. This call campaign, the quarterly report
shall include designation of the date on shall contain the:
or after which the owner can have the (1) Emission recall campaign number,
nonconformity remedied, the time rea- if any, designated by the manufacturer.
sonably necessary to perform the labor (2) Date owner notification was
to remedy the defect, and the designa- begun, and date completed.
tion of facilities at which the defect (3) Number of engines involved in the
can be remedied. voluntary emissions recall campaign.
(6) If some or all the nonconforming (4) Number of engines known or esti-
engines are to be remedied by persons mated to be affected by the emission-
other than authorized warranty agents related defect and an explanation of
of the manufacturer, a description of the means by which this number was
the class of persons other than author- determined.
ized warranty agents of the manufac- (5) Number of engines inspected pur-
turer who will remedy the defect. suant to voluntary emission recall
(7) A copy of any written notification plan.
sent to engine owners. (6) Number of inspected engines
(8) A description of the system by found to be affected by the emissions-
which the manufacturer will assure related defect.
that an adequate supply of parts will (7) Number of engines actually re-
be available to perform the repair ceiving repair under the remedial plan.
under the remedial plan including the (8) Number of engines determined to
date by which an adequate supply of be unavailable for inspection or repair
parts will be available to initiate the under the remedial plan due to expor-
repair campaign, the percentage of the tation, scrappage, or for other reasons
total parts requirement of each person (specify).
who is to perform the repair under the (9) Number of engines determined to
remedial plan to be shipped to initiate be ineligible for remedial action due to
the campaign, and the method to be a failure to properly maintain or use
used to assure the supply remains both such engines.
642
(10) Three copies of any service bul- required by §§ 94.403 and 94.404 shall be
letins which relate to the defect to be retained for not less than 8 years from
corrected and which have not pre- the date of the manufacture of the en-
viously been reported. gines and shall be made available to
(11) Three copies of all communica- duly authorized officials of the EPA
tions transmitted to engine owners upon request.
which relate to the defect to be cor-
rected and which have not previously § 94.407 Responsibility under other
been submitted. legal provisions preserved.
(c) If the manufacturer determines The filing of any report under the
that any of the information requested provisions of this subpart shall not af-
in paragraph (b) of this section has fect a manufacturer’s responsibility to
changed or was incorrect, revised infor- file reports or applications, obtain ap-
mation and an explanatory note shall proval, or give notice under any provi-
be submitted. Answers to paragraphs sion of law.
(b)(5), (6), (7), (8), and (9) of this section
shall be cumulative totals. § 94.408 Disclaimer of production war-
(d) The manufacturer shall maintain ranty applicability.
in a form suitable for inspection, such (a) The act of filing an Emission De-
as computer information storage defect Information Report pursuant to
vices or card files, the names and ad- § 94.403 is inconclusive as to the exist-
dresses of engine owners: ence of a defect subject to the war-
(1) To whom notification was given; ranty provided by section 207(a) of the
(2) Who received remedial repair or Act.
inspection under the remedial plan; (b) A manufacturer may include on
and each page of its Emission Defect Infor-
(3) Who were determined not to qual- mation Report a disclaimer stating
ify for such remedial action when eligi- that the filing of a Defect Information
bility is conditioned on proper mainte- Report pursuant to this subpart is not
nance or use. conclusive as to the applicability of
(e) The records described in para- the Production Warranty provided by
graph (d) of this section shall be made section 207(a) of the Act.
available to the Administrator upon re-
quest. Subpart F—Manufacturer
§ 94.405 Alternative report formats. Production Line Testing Programs
(a) Any manufacturer may submit a § 94.501 Applicability.
plan for making either of the reports (a) The requirements of this subpart
required by §§ 94.403 and 94.404 on com- are applicable to manufacturers of en-
puter diskettes, magnetic tape or other gines subject to the provisions of Sub-
machine readable format. The plan part A of this part, excluding small-
shall be accompanied by sufficient volume manufacturers.
technical detail to allow a determina- (b) The provisions of Subpart F of 40
tion that data requirements of these CFR Part 89 (Selective Enforcement
sections will be met and that the data Audit) apply to engines subject to the
in such format will be usable by EPA. provisions of Subpart A of this part.
(b) Upon approval by the Adminis-
trator of the reporting system, the [64 FR 73331, Dec. 29, 1999, as amended at 67
manufacturer may use such system FR 68346, Nov. 8, 2002]
until otherwise notified by the Admin-
istrator.
The definitions in Subpart A of this
§ 94.406 Reports filing: record reten- part apply to this subpart.
tion.
(a) The reports required by §§ 94.403 § 94.503 General requirements.
and 94.404 shall be sent to the Des- (a) For Tier 2 and later Category 1
ignated Officer. and Category 2 engines, manufacturers
(b) The information gathered by the shall test production line engines in ac-
manufacturer to compile the reports cordance with sampling procedures
643
§ 94.504 40 CFR Ch. I (7–1–05 Edition)
specified in § 94.505 and the test proce- procedure or activity connected with
dures specified in § 94.506. The produc- such test is or was performed;
tion-line testing requirements of this (3) Any facility where any test engine
part do not apply for other engines. is present; and
(b) Upon request, the Administrator (4) Any facility where any record re-
may also allow manufacturers to con- quired under § 94.509 or other document
duct alternate production line testing relating to this subpart is located.
programs for Category 1 and Category 2 (b) Upon admission to any facility re-
engines, provided the Administrator ferred to in paragraph (a) of this sec-
determines that the alternate production, EPA enforcement officers are au-
tion line testing program provides thorized to perform the following in-
equivalent assurance that the engines spection-related activities:
that are being produced conform to the (1) To inspect and monitor any aspect
provisions of this part. As part of this of engine manufacture, assembly, stor-
allowance or for other reasons, the Ad- age, testing and other procedures, and
ministrator may waive some or all of to inspect and monitor the facilities in
the requirements of this subpart. which these procedures are conducted;
(c) The requirements of this subpart (2) To inspect and monitor any aspect
apply with respect to all applicable of engine test procedures or activities,
standards and FELs of Subpart A of including test engine selection, prepa-
this part, including the supplemental ration and service accumulation, emis-
standards of § 94.8(e). sion duty cycles, and maintenance and
(d) If you certify an engine family verification of test equipment calibra-
with carryover emission data, as de- tion;
scribed in § 94.206(c), and these equiva- (3) To inspect and make copies of any
lent engine families consistently pass records or documents related to the as-
the production-line testing require- sembly, storage, selection, and testing
ments over the preceding two-year pe- of a engine; and
riod, you may ask for a reduced testing (4) To inspect and photograph any
rate for further production-line testing part or aspect of any engine and any
for that family. The minimum testing component used in the assembly there-
rate is one engine per engine family. If of that is reasonably related to the
we reduce your testing rate, we may purpose of the entry.
limit our approval to any number of (c) EPA enforcement officers are au-
model years. In determining whether thorized to obtain reasonable assist-
to approve your request, we may con- ance without cost from those in charge
sider the number of engines that have of a facility to help the officers per-
failed the emission tests. form any function listed in this sub-
part and they are authorized to request
[64 FR 73331, Dec. 29, 1999, as amended at 67 the manufacturer to make arrange-
FR 68341, Nov. 8, 2002; 68 FR 9787, Feb. 28, ments with those in charge of a facility
2003]
operated for the manufacturer benefit
§ 94.504 Right of entry and access. to furnish reasonable assistance with-
out cost to EPA.
(a) To allow the Administrator to de- (1) Reasonable assistance includes,
termine whether a manufacturer is but is not limited to, clerical, copying,
complying with the provisions of this interpretation and translation services;
part, one or more EPA enforcement of- the making available on an EPA en-
ficers may enter during operating forcement officer’s request of personnel
hours and upon presentation of creden- of the facility being inspected during
tials any of the following places: their working hours to inform the EPA
(1) Any facility, including ports of enforcement officer of how the facility
entry, where any engine is to be intro- operates and to answer the officer’s
duced into commerce or any emission- questions; and the performance on re-
related component is manufactured, quest of emission tests on any engine
assembled, or stored; which is being, has been, or will be
(2) Any facility where any test con- used for production line testing.
ducted pursuant to a manufacturer’s (2) By written request, signed by the
production line testing program or any Assistant Administrator for Air and
644
Radiation or the Assistant Adminis- production for all Category 1 engine

trator for Enforcement and Compliance families is less than 100.
Assurance, and served on the manufac- (ii) The required sample size for a
turer, a manufacturer may be com- Category 2 engine family is one percent
pelled to cause the personal appearance of projected annual U.S.-directed pro-
of any employee at such a facility be- duction for that engine family, with a
fore an EPA enforcement officer. Any minimum sample size of one test per
such employee who has been instructed model year provided that no engine
by the manufacturer to appear will be tested fails to meet applicable emission
entitled to be accompanied, rep- standards.
resented, and advised by counsel. (2) Manufacturers may elect to test
(d) EPA enforcement officers are au- additional engines. All additional en-
thorized to seek a warrant or court gines must be tested in accordance
order authorizing the EPA enforcement with the applicable test procedures of
officers to conduct the activities au- this part.
thorized in this section, as appropriate, (3) The Administrator may reject any
engines selected by the manufacturer if
to execute the functions specified in
he/she determines that such engines
this section. EPA enforcement officers
are not representative of actual pro-
may proceed ex parte to obtain a war-
duction.
rant or court order whether or not the
(b) The manufacturer must assemble
EPA enforcement officers first at- the test engines using the same mass
tempted to seek permission from the production process that will be used for
manufacturer or the party in charge of engines to be introduced into com-
the facility(ies) in question to conduct merce.
the activities authorized in this sec- (c) No quality control, testing, or as-
tion. sembly procedures will be used on any
(e) A manufacturer is responsible for test engine or any portion thereof, in-
locating its foreign testing and manu- cluding parts and subassemblies, that
facturing facilities in jurisdictions have not been or will not be used dur-
where local law does not prohibit an ing the production and assembly of all
EPA enforcement officer(s) from con- other engines of that family, except
ducting the activities specified in this with the approval of the Adminis-
section. EPA will not attempt to make trator.
any inspections which it has been in-
formed local foreign law prohibits.
FR 9787, Feb. 28, 2003]
§ 94.505 Sample selection for testing. § 94.506 Test procedures.
(a) At the start of each model year, (a)(1) For engines subject to the pro-
the manufacturer will begin to select visions of this subpart, the prescribed
engines from each Category 1 and Cat- test procedures are those procedures
egory 2 engine family for production described in Subpart B of this part, ex-
line testing. Each engine will be se- cept as provided in this section.
lected from the end of the production (2) The Administrator may, on the
line. Testing shall be performed basis of a written application by a
throughout the entire model year to manufacturer, prescribe test proce-
the extent possible. Engines selected dures other than those specified in
shall cover the broadest range of pro- paragraph (a)(1) of this section for any
duction possible. engine he/she determines is not suscep-
(1)(i) The required sample size for tible to satisfactory testing using pro-
Category 1 engine manufacturers is one cedures specified in paragraph (a)(1) of
percent of projected annual U.S.-di- this section.
rected production for all Category 1 en- (3) If test procedures other than
gine families, provided that no engine those in Subpart B of this part were
tested fails to meet applicable emission used in certification of the engine fam-
standards. Test engines shall include a ily being tested under this subpart
proportional sample from each engine (other than alternate test procedures
family. The required sample size is zero necessary for testing of a development
if a manufacturer’s projected annual engine instead of a low hour engine
645
§ 94.507 40 CFR Ch. I (7–1–05 Edition)
under § 94.9), the manufacturer shall test, because of a malfunction, the

use the test procedures used in certifi- manufacturer may request that the Ad-
cation for production line testing. ministrator authorize either the repair
(b)(1) The manufacturer may not ad- of that engine or its deletion from the
just, repair, prepare, modify, or per- test sequence.
form any emission test on any test en- (g) Retesting. If an engine manufac-
gine unless this adjustment, repair, turer determines that any production
preparation, modification and/or test is line emission test of an engine is in-
documented in the manufacturer’s en- valid, the engine must be retested in
gine assembly and inspection proce- accordance with the requirements of
dures and is actually performed by the this subpart. Emission results from all
manufacturer or unless this adjust- tests must be reported to EPA, includ-
ment, repair, preparation, modification ing test results the manufacturer de-
and/or test is required or permitted termines are invalid. The engine manu-
under this subpart or is approved in ad- facturer must also include a detailed
vance by the Administrator. explanation of the reasons for invali-
(2) Any adjustable engine parameter dating any test in the quarterly report
must be set to values or positions that required in § 94.508(e). In the event a
are within the range specified in the retest is performed, a request may be
approved application for certification. made to the Administrator, within ten
(3) The Administrator may adjust or days of the end of the production quar-
require to be adjusted any engine pa- ter, for permission to substitute the
rameter which the Administrator has after-repair test results for the original
determined to be subject to adjustment test results. The Administrator will ei-
for certification and production line ther affirm or deny the request by the
testing, to any setting within the spec- engine manufacturer within ten work-
ified adjustable range of that param- ing days from receipt of the request.
eter, as determined by the Adminis-
trator, prior to the performance of any § 94.507 Sequence of testing.
test. (a) If one or more Category 1 or Cat-
(c) Service Accumulation/Green En- egory 2 engines fail a production line
gine Factor. The manufacturer shall test, then the manufacturer must test
accumulate up to 300 hours of service two additional engines for each engine
on the engines to be tested. In lieu of that fails.
conducting such service accumulation, (b) The two additional engines tested
the manufacturer may establish a under paragraph (a) of this section
Green Engine Factor for each regulated shall be selected from either the next
pollutant for each engine family to be fifteen produced in that engine family,
used in calculating emissions test re- or from those engines produced in that
sults. The manufacturer shall obtain engine family within 48 hours of the
the approval of the Administrator prior completion of the failed test.
to using a Green Engine Factor.
(d) The manufacturer may not per- [64 FR 73331, Dec. 29, 1999, as amended at 68
form any maintenance on test engines FR 9787, Feb. 28, 2003]
after selection for testing.
(e) If an engine is shipped to a facil- § 94.508 Calculation and reporting of
test results.
ity other than the production facility
for production line testing, and an ad- (a) Manufacturers shall calculate ini-
justment or repair is necessary because tial test results using the applicable
of such shipment, the engine manufac- test procedure specified in § 94.506(a).
turer must perform the necessary ad- These results must also include the
justment or repair only after the ini- Green Engine Factor, if applicable.
tial test of the engine, except where Round these results to the number of
the Administrator has determined that decimal places contained in the appli-
the test would be impossible to perform cable emission standard expressed to
or would permanently damage the en- one additional significant figure.
gine. (b) To calculate test results, sum the
(f) If an engine cannot complete the initial test results derived in paragraph
service accumulation or an emission (a) of this section for each test engine,
646
divide by the number of tests con- (D) Number of hours of service accu-
ducted on the engine, and round to the mulated on engine prior to testing; and
same number of decimal places con- (E) Description of Green Engine Fac-
tained in the applicable standard ex- tor; how it is determined and how it is
pressed to one additional decimal applied;
place. (For example, if the applicable (ii) Location(s) where service accu-
standard is 7.8, then round the test re- mulation was conducted and descrip-
sults to two places to the right of the tion of accumulation procedure and
decimal.) schedule, if applicable;
(c) To calculate the final test results (iii) Test number, date, test proce-
for each test engine, apply the appro- dure used, initial test results before
priate deterioration factors, derived in and after rounding, and final test re-
the certification process for the engine sults for all production line emission
family, to the test results described in tests conducted, whether valid or in-
paragraph (b) of this section; round to valid, and the reason for invalidation
the same number of decimal places of any test results, if applicable;
contained in the applicable standard (iv) A complete description of any ad-
expressed to one additional decimal justment, modification, repair, prepa-
place. (For example, if the applicable ration, maintenance, and testing which
standard is 7.8, then round the test re- was performed on the test engine, has
sults to two places to the right of the not been reported pursuant to any
decimal.) other paragraph of this subpart, and
(d) (1) If, subsequent to an initial fail- will not be performed on other produc-
ure of a Category 1 or Category 2 pro- tion engines;
duction line test, the average of the
(v) Any other information the Ad-
test results for the failed engine and
ministrator may request relevant to
the two additional engines tested, is
the determination whether the new en-
greater than any applicable emission
gines being manufactured by the manu-
standard or FEL, the engine family is
facturer do in fact conform with the
deemed to be in non-compliance with
regulations with respect to which the
applicable emission standards, and the
certificate of conformity was issued;
manufacturer must notify the Admin-
istrator within 2 working days of such (6) For each failed engine as defined
noncompliance. in § 94.510(a), a description of the rem-
(2) [Reserved] edy and test results for all retests as
(e) Within 30 calendar days of the end required by § 94.512(g);
of each quarter in which production (7) The date of the end of the engine
line testing occurs, each manufacturer manufacturer’s model year production
must submit to the Administrator a re- for each engine family tested; and
port which includes the following infor- (8) The following signed statement
mation: and endorsement by an authorized rep-
(1) The location and description of resentative of the manufacturer:
the manufacturer’s emission test fa- This report is submitted pursuant to Sec-
cilities which were utilized to conduct tions 213 and 208 of the Clean Air Act. This
testing reported pursuant to this sec- production line testing program was con-
tion; ducted in complete conformance with all ap-
(2) Total production and sample size plicable regulations under 40 CFR part 94. No
for each engine family; emission-related changes to production proc-
esses or quality control procedures for the
(3) The applicable standards and/or
engine family tested have been made during
FELs against which each engine family this production line testing program that af-
was tested; fect engines from the production line. All
(4) A description of the test engines; data and information reported herein is, to
(5) For each test conducted: the best of (Company Name) knowledge, true
(i) A description of the test engine, and accurate. I am aware of the penalties as-
including: sociated with violations of the Clean Air Act
(A) Configuration and engine family and the regulations thereunder.
identification; (Authorized Company Representative.)
(B) Year, make, and build date; [64 FR 73331, Dec. 29, 1999, as amended at 68
(C) Engine identification number; FR 9787, Feb. 28, 2003]
647
§ 94.509 40 CFR Ch. I (7–1–05 Edition)
§ 94.509 Maintenance of records; sub- tion, for each test cell that can be used
mittal of information. to perform emission testing under this
(a) The manufacturer for any new en- subpart.
gine subject to any of the provisions of (b) The manufacturer must retain all
this subpart must establish, maintain, records required to be maintained
and retain the following adequately or- under this subpart for a period of eight
ganized and indexed records: (8) years after completion of all test-
(1) General records. A description of ing. Records may be retained as hard
all equipment used to test engines in copy (i.e., on paper) or reduced to
accordance with § 94.503. The equipment microfilm, floppy disk, or some other
requirements in Subpart B of this part method of data storage, depending
apply to tests performed under this upon the manufacturer’s record reten-
subpart. tion procedure; provided, that in every
(2) Individual records. These records case, all the information contained in
pertain to each production line test the hard copy is retained.
conducted pursuant to this subpart and (c) The manufacturer must, upon re-
include: quest by the Administrator, submit the
(i) The date, time, and location of following information with regard to
each test; engine production:
(ii) The method by which the Green
(1) Projected production for each con-
Engine Factor was calculated or the
figuration within each engine family
number of hours of service accumu-
for which certification has been re-
lated on the test engine when the test
quested and/or approved.
began and ended;
(iii) The names of all supervisory per- (2) Number of engines, by configura-
sonnel involved in the conduct of the tion and assembly plant, scheduled for
production line test; production.
(iv) A record and description of any (d) Nothing in this section limits the
adjustment, repair, preparation or Administrator’s discretion to require a
modification performed on test en- manufacturer to establish, maintain,
gines, giving the date, associated time, retain or submit to EPA information
justification, name(s) of the author- not specified by this section.
izing personnel, and names of all super- (e) All reports, submissions, notifica-
visory personnel responsible for the tions, and requests for approval made
conduct of the action; under this subpart must be addressed
(v) If applicable, the date the engine to the Designated Officer.
was shipped from the assembly plant, (f) The manufacturer must electroni-
associated storage facility or port fa- cally submit the results of its produc-
cility, and the date the engine was re- tion line testing using an EPA infor-
ceived at the testing facility; mation format.
(vi) A complete record of all emission
tests performed pursuant to this sub- § 94.510 Compliance with criteria for
part (except tests performed directly production line testing.
by EPA), including all individual work- (a) A failed engine is one whose final
sheets and/or other documentation retest results pursuant to § 94.508(c), for
lating to each test, or exact copies one or more of the applicable pollut-
thereof, in accordance with the record ants, exceed an applicable emission
requirements specified in Subpart B of standard or FEL.
this part;
(b) A Category 1 or Category 2 engine
(vii) A brief description of any sig-
family is deemed to be in noncompli-
nificant events during testing not oth-
ance, for purposes of this subpart, if at
erwise described under this paragraph
any time throughout the model year,
(a)(2) of this section, commencing with
the average of an initial failed engine
the test engine selection process and
and the two additional engines tested,
including such extraordinary events as
is greater than any applicable emission
engine damage during shipment.
(3) The manufacturer must establish, standard or FEL.
maintain and retain general records, [64 FR 73331, Dec. 29, 1999, as amended at 68
pursuant to paragraph (a)(1) of this sec- FR 9787, Feb. 28, 2003]
648
§ 94.511 [Reserved] (f) The Administrator may revoke a

certificate of conformity for an engine
§ 94.512 Suspension and revocation of family when the certificate has been
certificates of conformity. suspended pursuant to paragraph (b) or
(a) The certificate of conformity is (c) of this section if the remedy is one
suspended with respect to any engine requiring a design change or changes to
that fails a production line test pursu- the engine and/or emission control sys-
ant to § 94.510(a), effective from the tem as described in the application for
time the testing of that engine is com- certification of the affected engine
pleted. family.
(b) The Administrator may suspend (g) Once a certificate has been sus-
the certificate of conformity for an en- pended for a failed engine, as provided
gine family which is in noncompliance for in paragraph (a) of this section, the
pursuant to § 94.510(b), thirty days after manufacturer must take the following
the engine family is deemed to be in actions before the certificate is rein-
noncompliance. stated for that failed engine:
(c) If the results of testing pursuant (1) Remedy the nonconformity;
to this subpart indicate that engines of (2) Demonstrate that the engine con-
a particular family produced at one forms to applicable standards or family
plant of a manufacturer do not con- emission limits by retesting if applica-
form to the regulations with respect to ble, the engine in accordance with this
which the certificate of conformity was part; and
issued, the Administrator may suspend (3) Submit a written report to the
the certificate of conformity with re- Administrator, after successful com-
spect to that family for engines manu- pletion of testing on the failed engine,
factured by the manufacturer at all which contains a description of the
other plants. remedy and test results for each engine
(d) The Administrator may suspend a in addition to other information that
certificate of conformity for any en- may be required by this part.
gine family in whole or in part if: (h) Once a certificate for a failed en-
(1) The manufacturer fails to comply gine family has been suspended pursu-
with any of the requirements of this ant to paragraph (b) or (c) of this sec-
subpart. tion, the manufacturer must take the
(2) The manufacturer submits false or following actions before the Adminis-
incomplete information in any report trator will consider reinstating the cer-
or information provided to the Admin- tificate:
istrator under this subpart. (1) Submit a written report to the
(3) The manufacturer renders inac- Administrator which identifies the rea-
curate any test data submitted under son for the noncompliance of the en-
this subpart. gines, describes the remedy, including
(4) An EPA enforcement officer is de- a description of any quality control
nied the opportunity to conduct activi- and/or quality assurance measures to
ties authorized in this subpart. be taken by the manufacturer to pre-
(5) An EPA enforcement officer is un- vent future occurrences of the problem,
able to conduct activities authorized in and states the date on which the rem-
§ 94.504 for any reason. edies will be implemented.
(e) The Administrator shall notify (2) Demonstrate that the engine fam-
the manufacturer in writing of any sus- ily for which the certificate of con-
pension or revocation of a certificate of formity has been suspended does in fact
conformity in whole or in part; a sus- comply with the regulations of this
pension or revocation is effective upon part by testing engines selected from
receipt of such notification or thirty normal production runs of that engine
days from the time an engine family is family. Such testing must comply with
deemed to be in noncompliance under the provisions of this subpart. If the
§§ 94.508(d), 94.510(a), or 94.510(b), which- manufacturer elects to continue test-
ever is earlier, except that the certifi- ing individual engines after suspension
cate is immediately suspended with re- of a certificate, the certificate is rein-
spect to any failed engines as provided stated for any engine actually deter-
for in paragraph (a) of this section. mined to be in conformance with the
649
§ 94.513 40 CFR Ch. I (7–1–05 Edition)
applicable standards or family emis- (1) Shall be made only after the man-
sion limits through testing in accord- ufacturer concerned has been offered
ance with the applicable test proce- an opportunity for a hearing conducted
dures, provided that the Administrator in accordance with §§ 94.513, 94.514, and
has not revoked the certificate pursu- 94.515; and
ant to paragraph (f) of this section. (2) Need not apply to engines no
(i) Once the certificate has been re- longer in the possession of the manu-
voked for an engine family, if the man- facturer.
ufacturer desires to continue introduc- (l) After the Administrator suspends
tion into commerce of a modified or revokes a certificate of conformity
version of that family, the following pursuant to this section or voids a cer-
actions must be taken before the Ad- tificate of conformity under paragraph
ministrator may issue a certificate for § 94.215, and prior to the commence-
that modified family: ment of a hearing under § 94.513, if the
(1) If the Administrator determines manufacturer demonstrates to the Ad-
that the change(s) in engine design ministrator’s satisfaction that the de-
may have an effect on emission per- cision to suspend, revoke, or void the
formance deterioration, the Adminis- certificate was based on erroneous in-
trator shall notify the manufacturer, formation, the Administrator shall re-
within five working days after receipt instate the certificate.
of the report in paragraph (h)(1) of this (m) To permit a manufacturer to
section, whether subsequent testing avoid storing non-test engines while
under this subpart will be sufficient to conducting subsequent testing of the
evaluate the change or changes or noncomplying family, a manufacturer
whether additional testing will be re- may request that the Administrator
quired; and conditionally reinstate the certificate
(2) After implementing the change or for that family. The Administrator
changes intended to remedy the non- may reinstate the certificate subject to
conformity, the manufacturer must the following condition: the manufac-
demonstrate that the modified engine turer must commit to recall all engines
family does in fact conform with the of that family produced from the time
regulations of this part by testing en- the certificate is conditionally rein-
gines selected from normal production stated if the family fails subsequent
runs of that engine family. When both testing and must commit to remedy
of these requirements are met, the Ad- any nonconformity at no expense to
ministrator shall reissue the certifi- the owner.
cate or issue a new certificate, as the
case may be, to include that family. If § 94.513 Request for public hearing.
this subsequent testing reveals failing (a) If the manufacturer disagrees
data the revocation remains in effect. with the Administrator’s decision to
(j) At any time subsequent to an ini- suspend or revoke a certificate or dis-
tial suspension of a certificate of con- putes the basis for an automatic sus-
formity for a test engine pursuant to pension pursuant to § 94.512(a), the
paragraph (a) of this section, but not manufacturer may request a public
later than 30 days (or such other period hearing.
as may be allowed by the Adminis- (b) The manufacturer’s request shall
trator) after notification of the Admin- be filed with the Administrator not
istrator’s decision to suspend or revoke later than 30 days after the Adminis-
a certificate of conformity in whole or trator’s notification of his or her deci-
in part pursuant to paragraph (b), (c), sion to suspend or revoke, unless other-
or (f) of this section, a manufacturer wise specified by the Administrator.
may request a hearing as to whether The manufacturer shall simultaneously
the tests have been properly conducted serve two copies of this request upon
or any sampling methods have been the Designated Officer and file two cop-
properly applied. ies with the Hearing Clerk of the Agen-
(k) Any suspension of a certificate of cy. Failure of the manufacturer to re-
conformity under paragraphs (a),(b),(c) quest a hearing within the time pro-
and (d) of this section: vided constitutes a waiver of the right
650
to a hearing. Subsequent to the expira- cial Officer shall not be employed by

tion of the period for requesting a hear- the Office of Enforcement or have any
ing as of right, the Administrator may, connection with the preparation or
in his or her discretion and for good presentation of evidence for a hearing
cause shown, grant the manufacturer a held pursuant to this subpart. The Ju-
hearing to contest the suspension or dicial Officer shall be a graduate of an
revocation. accredited law school and a member in
(c) A manufacturer shall include in good standing of a recognized Bar Asso-
the request for a public hearing: ciation of any state or the District of
(1) A statement as to which configu- Columbia.
ration(s) within a family is to be the (2) Functions. The Administrator may
subject of the hearing; consult with the Judicial Officer or
(2) A concise statement of the issues delegate all or part of the Administra-
to be raised by the manufacturer at the tor’s authority to act in a given case
hearing, except that in the case of the under this section to a Judicial Officer,
hearing requested under § 94.512(j), the provided that this delegation does not
hearing is restricted to the following preclude the Judicial Officer from re-
issues: ferring any motion or case to the Ad-
(i) Whether tests have been properly ministrator when the Judicial Officer
conducted (specifically, whether the determines such referral to be appro-
tests were conducted in accordance priate.
with applicable regulations under this (c) For the purposes of this section,
part and whether test equipment was one or more Judicial Officers may be
properly calibrated and functioning); designated by the Administrator. As
(ii) Whether there exists a basis for work requires, a Judicial Officer may
distinguishing engines produced at be designated to act for the purposes of
plants other than the one from which a particular case.
engines were selected for testing which
(d)(1) In the case of a hearing re-
would invalidate the Administrator’s
quested under § 94.512(j), when it clearly
decision under § 94.512(c));
appears from the data and other infor-
(3) A statement specifying reasons
why the manufacturer believes it will mation contained in the request for a
prevail on the merits of each of the hearing that no genuine and substan-
issues raised; and tial question of fact or law exists with
(4) A summary of the evidence which respect to the issues specified in
supports the manufacturer’s position § 94.513(c)(2), the Administrator may
on each of the issues raised. enter an order denying the request for
(d) A copy of all requests for public a hearing and reaffirming the original
hearings will be kept on file in the Of- decision to suspend or revoke a certifi-
fice of the Hearing Clerk and will be cate of conformity.
made available to the public during (2) In the case of a hearing requested
Agency business hours. under § 94.513 to challenge a suspension
of a certificate of conformity for the
§ 94.514 Administrative procedures for reason(s) specified in § 94.512(d), when it
public hearing. clearly appears from the data and
(a) The Presiding Officer shall be an other information contained in the re-
Administrative Law Judge appointed quest for the hearing that no genuine
pursuant to 5 U.S.C. 3105 (see also 5 and substantial question of fact or law
CFR part 930). exists with respect to the issue of
(b) The Judicial Officer shall be an whether the refusal to comply with
officer or employee of the Agency ap- this subpart was caused by conditions
pointed as a Judicial Officer by the Ad- and circumstances outside the control
ministrator, pursuant to this section, of the manufacturer, the Adminis-
who shall meet the qualifications and trator may enter an order denying the
perform functions as follows: request for a hearing and suspending
(1) Qualifications. A Judicial Officer the certificate of conformity.
may be a permanent or temporary em- (3) Any order issued under paragraph
ployee of the Agency who performs (d)(1) or (d)(2) of this section has the
other duties for the Agency. The Judi- force and effect of a final decision of
651
§ 94.515 40 CFR Ch. I (7–1–05 Edition)
the Administrator, as issued pursuant (2) A prescribed period of time within

to § 94.516. which a party is required or permitted
(4) If the Administrator determines to do an act is computed from the time
that a genuine and substantial ques- of service, except that when service is
tion of fact or law does exist with re- accomplished by mail, three days will
spect to any of the issues referred to in be added to the prescribed period.
paragraphs (d)(1) and (d)(2) of this sec- (g) Consolidation. The Administrator
tion, the Administrator shall grant the or the Presiding Officer in his or her
request for a hearing and publish a no- discretion may consolidate two or
tice of public hearing in the FEDERAL more proceedings to be held under this
REGISTER or by such other means as section for the purpose of resolving one
the Administrator finds appropriate to or more issues whenever it appears
provide notice to the public. that consolidation will expedite or sim-
(e) Filing and service. (1) An original plify consideration of these issues. Con-
and two copies of all documents or pa- solidation does not affect the right of
pers required or permitted to be filed any party to raise issues that could
pursuant to this section and § 94.513(c) have been raised if consolidation had
must be filed with the Hearing Clerk of not occurred.
the Agency. Filing is considered timely
(h) Hearing date. To the extent pos-
if mailed, as determined by the post-
sible hearings under § 94.513 will be
mark, to the Hearing Clerk within the
scheduled to commence within 14 days
time allowed by this section and
§ 94.513(b). If filing is to be accom- of receipt of the request for a hearing.
plished by mailing, the documents § 94.515 Hearing procedures.
must be sent to the address set forth in
the notice of public hearing referred to The procedures provided in 40 CFR
in paragraph (d)(4) of this section. 86.1014–84(i) through (s) apply for hear-
(2) To the maximum extent possible, ings requested pursuant to § 94.513 re-
testimony will be presented in written garding suspension, revocation, or
form. Copies of written testimony will voiding of a certificate of conformity.
be served upon all parties as soon as
practicable prior to the start of the § 94.516 Appeal of hearing decision.
hearing. A certificate of service will be The procedures provided in 40 CFR
provided on or accompany each docu- 86.1014–84 (t) through (aa) apply for ap-
ment or paper filed with the Hearing peals filed with respect to hearings
Clerk. Documents to be served upon held pursuant to § 94.515.
the Director of the Engine Programs
and Compliance Division must be sent § 94.517 Treatment of confidential in-
by registered mail to: Director, Engine formation.
Programs and Compliance Division Except for information required by
6403–J, U.S. Environmental Protection
§ 94.508(e)(2) and quarterly emission
Agency, 401 M St. SW., Washington, DC
test results described in § 94.508(e), in-
20460. Service by registered mail is
formation submitted pursuant to this
complete upon mailing.
subpart shall be made available to the
(f) Computation of time. (1) In com-
public by EPA, notwithstanding any
puting any period of time prescribed or
claim of confidentiality made by the
allowed by this section, except as oth-
erwise provided, the day of the act or submitter. The provisions for treat-
event from which the designated period ment of confidential information de-
of time begins to run is not included. scribed in § 94.4 apply to the informa-
Saturdays, Sundays, and federal legal tion required by § 94.508(e)(2) and quar-
holidays are included in computing the terly emission test results described in
period allowed for the filing of any doc- § 94.508(e).
ument or paper, except that when the
period expires on a Saturday, Sunday, Subpart G [Reserved]
or federal legal holiday, the period is
extended to include the next following
business day.
652
Subpart H—Recall Regulations plicable provisions of the Clean Air

Act.
§ 94.701 Applicability. (b) Regulations prescribing further
The requirements of this subpart are procedures for the importation of en-
applicable to all engines subject to the gines into the Customs territory of the
provisions of this part. United States are set forth in U.S. Cus-
toms Service regulations (19 CFR chap-
§ 94.702 Definitions. ter I).
The definitions in Subpart A of this [64 FR 73331, Dec. 29, 1999, as amended at 68
part apply to this subpart. FR 9787, Feb. 28, 2003]
§ 94.703 Applicability of 40 CFR part § 94.802 Definitions.

85, subpart S. The definitions of Subpart A of this
(a) Engines subject to provisions of part apply to this subpart.
this part are subject to recall regula-
§ 94.803 Admission.
tions specified in 40 CFR part 85, sub-
part S, except for the items set forth in (a) A nonconforming engine offered
this section. for importation may be admitted into
(b) In 40 CFR 85.1801, section 216 of the United States pursuant to the pro-
the Clean Air Act applies, rather than visions of this subpart. Subpart C of
section 214 of the Act. this part, including § 94.222, describes
(c) In 40 CFR 85.1802(a), section 213 of how to certify engines installed on ves-
the Act applies, rather than section 202 sels before they are imported.
of the Act. (b) To obtain admission, the importer
(d) In 40 CFR 85.1803(a) and must submit to the Administrator a
85.1805(a)(1) the reference to ‘‘family written request for approval containing
emission limits’’ as defined in this part the following:
94 promulgated under section 213 of the (1) Identification of the importer of
Act applies, rather than the reference the engine and the importer’s address,
to ‘‘family particulate emission limits telephone number, and taxpayer identi-
as defined in 40 CFR part 86 promul- fication number;
gated under section 202 of the Act’’. (2) Identification of the engine’s
(e) Throughout the subpart ref- owner, the owner’s address, telephone
erences to ‘‘engines’’ apply rather than number, and taxpayer identification
number;
references to ‘‘vehicles or engines’’.
(3) Identification of the engine in-
cluding make, model, identification
Subpart I—Importation of number, and original production year;
Nonconforming Engines (4) Information indicating the provi-
sion in this subpart under which the
§ 94.801 Applicability. engine is to be imported, including a
(a) Except where otherwise indicated, demonstration of how it qualifies for
this subpart is applicable to importers the requested exemption;
of engines (and vessels containing en- (5) Identification of the place(s)
gines) for which the Administrator has where the engine is to be stored until
promulgated regulations under this EPA approval of the importer’s appli-
part prescribing emission standards, cation to the Administrator for final
that are offered for importation or im- admission;
ported into the United States, but (6) Authorization for EPA enforce-
which engines, at the time of importa- ment officers to conduct inspections or
tion or being offered for importation, testing otherwise permitted by the Act
are not covered by certificates of con- or regulations thereunder; and
formity issued under section 213 and (7) Such other information as is
section 206(a) of the Clean Air Act deemed necessary by the Adminis-
(that is, which are nonconforming en- trator.
gines as defined in § 94.2), and this part.
Compliance with regulations under this § 94.804 Exemptions.
subpart does not relieve any person or (a) General provisions. (1) Unless oth-
entity from compliance with other ap- erwise specified, any person may apply
653
§ 94.804 40 CFR Ch. I (7–1–05 Edition)
for the exemptions allowed by this sec- the engine in accordance with § 94.905
tion. for a subsequent one-year period.
(2) Paragraph (b) of this section de- (3) Display exemptions. A person may
scribes the provisions that apply to conditionally import under bond a non-
temporary exemptions. Paragraph (c) conforming engine solely for display
of this section describes provisions purposes, subject to both of the fol-
that apply to permanent exemptions. lowing requirements:
(3) Applications for exemption under (i) A display engine may be imported
this section shall be mailed to the Des- by any person for purposes related to a
ignated Officer. business or the public interest. Such
(b) Notwithstanding other require- purposes do not include collections
ments of this subpart, a nonconforming normally inaccessible or unavailable to
engine that qualifies for a temporary the public on a daily basis, display of
exemption under this paragraph (b) an engine at a dealership, private use,
may be conditionally admitted into the or other purpose that the Adminis-
United States if prior written approval trator determines is not appropriate
for the conditional admission is ob- for display exemptions. A display en-
tained from the Administrator. Condi- gine may not be sold or leased in the
tional admission is to be under bond. United States and may not be operated
The Administrator may request that in the United States except for the op-
eration incident and necessary to the
the U.S. Customs Service require a spe-
display purpose.
cific bond amount to ensure compli-
(ii) A display exemption is granted
ance with the requirements of the Act
for 12 months or for the duration of the
and this subpart. A written request for
display purpose, whichever is shorter.
a temporary exemption from the Ad-
Extensions of up to 12 months each are
ministrator shall contain the informa-
available upon approval by the Admin-
tion required in § 94.803. Noncompliance
istrator. In no circumstances, however,
with the provisions of this paragraph
may the total period of exemption ex-
(b) will be considered unlawful impor-
ceed 36 months.
tation and may result in the forfeiture
(c) A nonconforming engine that
of the total amount of the bond, expor- qualifies for a permanent exemption
tation of the engine, and/or imposition under this paragraph (c) may be admit-
of civil penalties. ted into the United States if prior writ-
(1) Exemption for repairs or alterations. ten approval is obtained from the Ad-
A person may conditionally import ministrator. A written request for a
under bond a nonconforming engine permanent exemption from the Admin-
solely for purpose of repair(s) or alter- istrator shall contain the information
ation(s). The engine may not be oper- required in § 94.803. Noncompliance
ated in the United States other than with the provisions of this paragraph
for the sole purpose of repair or alter- (c) will be considered unlawful impor-
ation or shipment to the point of repair tation and may result in the expor-
or alteration and to the port of export. tation of the engine and/or imposition
It may not be sold or leased in the of civil penalties.
United States and is to be exported (1) National security exemption. Not-
upon completion of the repair(s) or al- withstanding any other requirement of
teration(s). this subpart, an engine may be perma-
(2) Testing exemption. A person may nently imported into the United States
conditionally import under bond a non- under the national security exemption
conforming engine for testing, subject found in § 94.908.
to the requirements of § 94.905. A test (2) Competition exemption. Notwith-
engine may be operated in the United standing any other requirement of this
States provided that the operation is subpart, an engine may be permanently
an integral part of the test. This ex- imported into the United States under
emption is limited to a period not ex- the competition exemption found in
ceeding one year from the date of im- § 94.906(c).
portation unless a request is made by (3) Incomplete marine engine exemption.
the appropriate importer, and subse- An engine that is intended to be modi-
quently granted by EPA, concerning fied prior to being placed into service
654
as a marine engine may be imported in and regulations by the end of the pe-
a nonconforming configuration, subject riod of conditional admission. An en-
to the following provisions: gine not so delivered is subject to sei-
(i) The modified engine must be cov- zure by the U.S. Customs Service.
ered by a valid marine engine certifi- (d) An importer who violates section
cate issued under this part prior to im- 213(d) and section 203 of the Act is sub-
portation and held by a post-manufac- ject to a civil penalty under section 205
ture marinizer. (Note: Prior to certifi- of the Act and § 94.1106. In addition to
cation, manufacturers and post-manu- the penalty provided in the Act and
facture marinizers may import § 94.1106, where applicable, a person or
uncertified engines for testing, as spec- entity who imports an engine under
ified in paragraph (b)(2) of this sec- the exemption provisions of § 94.804
tion.) and, who fails to deliver the engine to
(ii) The engine may not be placed the U.S. Customs Service by the end of
into non-marine service prior to being the period of conditional admission is
installed in a vessel. liable for liquidated damages in the
(iii) The importer must obtain writ- amount of the bond required by appli-
ten approval from the Administrator cable Customs laws and regulations.
prior to admission.
(iv) The engine and engine container Subpart J—Exclusion and
must be labeled as specified by the Ad- Exemption Provisions
ministrator.
(v) A manufacturer importing an en- § 94.901 Purpose and applicability.
gine under this exemption must modify The provisions of this subpart iden-
the engine to comply with the require- tify excluded engines (i.e., engines not
ments of this part. covered by the Act) and allow for the
exemption of engines from certain pro-
§ 94.805 Prohibited acts; penalties. visions of this part. The applicability
(a) The importation of an engine (in- of the exclusions is described in § 94.903,
cluding an engine incorporated in an and the applicability of the exemption
imported marine vessel) which is not allowances is described in §§ 94.904
covered by a certificate of conformity through 94.909.
other than in accordance with this sub-
part and the entry regulations of the § 94.902 Definitions.
U.S. Customs Service is prohibited. The definitions of Subpart A of this
Failure to comply with this section is part apply to this subpart.
a violation of section 213(d) and section
203 of the Act. § 94.903 Exclusions.
(b) Unless otherwise permitted by (a) Upon written request with sup-
this subpart, during a period of condi- porting documentation, EPA will make
tional admission, the importer of an written determinations as to whether
engine may not: certain engines are excluded from ap-
(1) Operate the engine in the United plicability of this part. Any engines
States; or that are determined to be excluded are
(2) Sell or lease or offer the engine not subject to the regulations under
for sale or lease. this part. Requests to determine
(c) An engine conditionally admitted whether certain engines are excluded
pursuant to § 94.804 and not otherwise should be sent to the Designated Offi-
permanently exempted or excluded by cer.
the end of the period of conditional ad- (b) EPA will maintain a list of mod-
mission, or within such additional time els of engines that have been deter-
as the Administrator and the U.S. Cus- mined to be excluded from coverage
toms Service may allow, is deemed to under this part. This list will be avail-
be unlawfully imported into the United able to the public and may be obtained
States in violation of section 213(d) and by writing to the address in paragraph
section 203 of the Act, unless the en- (a) of this section.
gine has been delivered to the U.S. Cus- (c) In addition to the engines ex-
toms Service for export or other dis- cluded in paragraph (a) of this section,
position under applicable Customs laws certain engines are not subject to the
655
§ 94.904 40 CFR Ch. I (7–1–05 Edition)
requirements and prohibitions of this (iv) That the proposed test program
part because they are excluded from exhibits a degree of oversight and con-
the definitions of ‘‘marine engine’’ in trol consonant with the purpose of the
§ 94.2. test program and EPA’s monitoring re-
quirements.
§ 94.904 Exemptions. (2) Paragraphs (b), (c), (d), and (e) of
(a) Except as specified otherwise in this section describe what constitutes
this subpart, the provisions of §§ 94.904 a sufficient demonstration for each of
through 94.911 exempt certain new en- the four elements identified in para-
gines from the standards, other re- graphs (a)(1)(i) through (iv) of this sec-
quirements, and prohibitions of this tion.
part, except for the requirements of (b) With respect to the purpose of the
this subpart and the requirements of proposed test program, an appropriate
§ 94.1104. Additional requirements may purpose would be research, investiga-
apply for imported engines; these are tions, studies, demonstrations, tech-
described in subpart I of this part. nology development, or training, but
(b)(1) Any person may request a test- not national security. A concise state-
ing exemption subject to the provisions ment of purpose is a required item of
of § 94.905. information.
(2) Any engine manufacturer may re- (c) With respect to the necessity that
quest a national security exemption an exemption be granted, necessity
subject to the provisions of § 94.908. arises from an inability to achieve the
(3) Engines manufactured for export stated purpose in a practicable manner
purposes are exempt without applica-
without performing or causing to be
tion, subject to the provisions of
performed one or more of the prohib-
§ 94.909, except as otherwise specified by
ited acts under § 94.1103. In appropriate
§ 94.909.
circumstances, time constraints may
(4) Manufacturer-owned engines are
be a sufficient basis for necessity, but
exempt without application, subject to
the cost of certification alone, in the
the provisions of § 94.906(a).
absence of extraordinary cir-
(5) Display engines are exempt with-
cumstances, is not a basis for neces-
out application, subject to the provi-
sity.
sions of § 94.906(b). This does not apply
to imported engines (see § 94.804). (d) With respect to reasonableness, a
(6) Engines used solely for competi- test program must exhibit a duration
tion are exempt, subject to the provi- of reasonable length and affect a rea-
sions of § 94.906(c). sonable number of engines. In this re-
gard, required items of information in-
[64 FR 73331, Dec. 29, 1999, as amended at 68 clude:
FR 9787, Feb. 28, 2003]
(1) An estimate of the program’s du-
§ 94.905 Testing exemption. ration; and
(2) The maximum number of engines
(a)(1) The Administrator may exempt
involved.
from the standards and/or other re-
(e) With respect to control, the test
quirements and prohibitions of this
program must incorporate procedures
part new engines that are being used
consistent with the purpose of the test
solely for the purpose of conducting a
and be capable of affording EPA moni-
test program. Any person requesting
toring capability. As a minimum, re-
an exemption for the purpose of con-
quired items of information include:
ducting a test program must dem-
onstrate the following: (1) The technical nature of the test-
(i) That the proposed test program ing;
has a purpose which constitutes an ap- (2) The location(s) of the testing;
propriate basis for an exemption in ac- (3) The time or work duration of the
cordance this section; testing;
(ii) That the proposed test program (4) The ownership arrangement with
necessitates the granting of an exemp- regard to the engines involved in the
tion; testing;
(iii) That the proposed test program (5) The intended final disposition of
exhibits reasonableness in scope; and the engines;
656
(6) The manner in which the engine approved by the Director, Engine Pro-
identification numbers will be identi- grams and Compliance Division. This
fied, recorded, and made available; and label should:
(7) The means or procedure whereby (i) Be affixed in a readily visible por-
test results will be recorded. tion of the engine;
(f) A manufacturer of new engines (ii) Be attached in such a manner
may request a testing exemption to that cannot be removed without de-
cover engines intended for use in test struction or defacement;
programs planned or anticipated over (iii) State in the English language
the course of a subsequent two-year pe- and in block letters and numerals of a
riod. Unless otherwise required by the color that contrasts with the back-
Director, Engine Programs and Compli- ground of the label, the following infor-
ance Division, a manufacturer request- mation:
ing such an exemption need only fur- (A) The label heading ‘‘Emission Con-
nish the information required by para- trol Information’’;
graphs (a)(1) and (d)(2) of this section (B) Full corporate name and trade-
along with a description of the record- mark of manufacturer;
keeping and control procedures that (C) Engine displacement, engine fam-
will be employed to assure that the en- ily identification, and model year of
gines are used for purposes consistent engine; or person of office to be con-
with paragraph (a) of this section. tacted for further information about
(g) For engines being used for the the engine;
purpose of developing a fundamentally (D) The statement ‘‘This engine is ex-
new emission control technology re- empt from the prohibitions of 40 CFR
lated either to an alternative fuel or an 94.1103.’’
aftertreatment device, the Adminis- (4) No provision of paragraph (a)(3) of
trator may exempt the engine from this section prevents a manufacturer
some or all of the applicable standards from including any other information
of this part for the full useful life of it desires on the label.
the engine, subject to the provisions of (5) The engine is not used in revenue-
paragraphs (a) through (f) of this sec- generating service, or sold.
tion. (b) Display exemption. An uncertified
engine that is to be used solely for dis-
§ 94.906 Manufacturer-owned exemp- play purposes, and that will only be op-
tion, display exemption, and com- erated incident and necessary to the
petition exemption. display purpose, and will not be sold
(a) Manufacturer-owned exemption. unless an applicable certificate of con-
Any manufacturer-owned engine, as de- formity has been obtained for the en-
fined by § 94.2, is exempt from § 94.1103, gine, is exempt without request from
without application, if the manufac- the standards of this part. This does
turer complies with the following not apply to imported engines (see
terms and conditions: § 94.804).
(1) The manufacturer must establish, (c) Competition exemption. The Admin-
maintain, and retain the following ade- istrator may exempt, upon request, en-
quately organized and indexed informa- gines that are intended by the manu-
tion on each exempted engine: facturer to be used solely for competi-
(i) engine identification number; tion. Engines that are modified after
(ii) Use of the engine on exempt sta- they have been placed into service and
tus; and are used solely for competition are ex-
(iii) Final disposition of any engine empt without request.
removed from exempt status. [64 FR 73331, Dec. 29, 1999, as amended at 68
(2) The manufacturer must provide FR 9787, Feb. 28, 2003]
right of entry and access to these
records to EPA Enforcement Officers § 94.907 Engine dressing exemption.
as outlined in § 94.208. (a) This section applies to you if you
(3) The manufacturer must perma- are an engine manufacturer (this in-
nently affix a label to each engine on cludes post-manufacture marinizers).
exempt status, unless the requirement (b) The only requirements or prohibi-
is waived or an alternate procedure is tions from this part that apply to an
657
§ 94.907 40 CFR Ch. I (7–1–05 Edition)
engine that is exempt under this sec- (ii) Include your full corporate name
tion are in this section. and trademark.
(c) The requirements and prohibi- (iii) State: ‘‘This engine was
tions of this part apply to all engines marinized without affecting its emis-
in the scope of § 94.1 that do not qualify sion controls.’’
for the engine dressing exemption. (iv) State the date you finished
(d) New Category 1 and Category 2 marinizing the engine (month and
marine engines that meet all the fol- year).
lowing criteria are exempt under this
(3) Send a signed letter to the Des-
section:
ignated Officer by the end of each cal-
(1) You must produce it by
marinizing an engine covered by a endar year (or less often if we tell you)
valid certificate of conformity from with all the following information:
one of the following programs: (i) Identify your full corporate name,
(i) Heavy-duty highway engines (40 address, and telephone number.
CFR part 86). (ii) List the engine models you expect
(ii) Land-based nonroad diesel en- to produce under this exemption in the
gines (40 CFR part 89). coming year.
(iii) Locomotive engines (40 CFR part (iii) State: ‘‘We produce each listed
92). engine model for marine application
(2) The engine must have the label re- without making any changes that
quired under 40 CFR part 86, 89, or 92. could increase its certified emission
(3) You must not make any changes levels, as described in 40 CFR 94.907.’’
to the certified engine that could rea- (f) In general you may use up your
sonably be expected to increase its inventory of engines that are not cer-
emissions. For example, if you make tified to new marine emission stand-
any of the following changes to one of ards if they were originally manufac-
these engines, you do not qualify for
tured before the date of the new stand-
the engine dressing exemption:
ards. However, stockpiling these en-
(i) Changing any fuel system param-
eters from the certified configuration. gines is a violation of
(ii) Replacing an original turbo- § 94.1103(a)(1)(i)(A).
charger, except that small-volume (g) If your engines do not meet the
manufacturers of recreational engines criteria listed in paragraphs (d)(2)
may replace an original turbocharger through (d)(4) of this section, they will
with one that matches the performance be subject to the standards and prohi-
of the original turbocharger. bitions of this part. Marinization with-
(iii) Modify or design the marine en- out a valid exemption or certificate of
gine cooling or aftercooling system so conformity would be a violation of
that temperatures or heat rejection § 94.1103(a)(1) and/or the tampering pro-
rates are outside the original engine hibitions of the applicable land-based
manufacturer’s specified ranges. regulations (40 CFR part 86, 89, or 92).
(4) You must make sure that fewer (h)(1) If you are the original manu-
than 50 percent of the engine model’s facturer and marinizer of an exempted
total sales, from all companies, are engine, you must send us emission test
used in marine applications. data on the appropriate marine duty
(e) If you dress an engine under this cycles. You can include the data in
exemption, you must do all of the fol- your application for certification or in
lowing: the letter described in paragraph (e)(3)
(1) Make sure the original engine
of this section.
label will remain clearly visible after
installation in the vessel. (2) If you are the original manufac-
(2) Add a permanent supplemental turer of an exempted engine that is
label to the engine in a position where marinized by a post-manufacture
it will remain clearly visible after in- marinizer, you may be required to send
stallation in the vessel. In your engine us emission test data on the appro-
label, do the following: priate marine duty cycles. If such data
(i) Include the heading: ‘‘Marine En-
gine Emission Control Information’’.
658
are requested you will be allowed a rea- (3) Engine displacement, engine fam-
sonable amount of time to collect the ily identification (as applicable), and
data. model year of the engine or whom to
contact for further information.
(4) The statement ‘‘THIS ENGINE
FR 68347, Nov. 8, 2002; 68 FR 9787, Feb. 28,
2003] HAS AN EXEMPTION FOR NATIONAL
SECURITY UNDER 40 CFR 94.908.’’.
§ 94.908 National security exemption. [64 FR 73331, Dec. 29, 1999, as amended at 69
(a)(1) Any marine engine, otherwise FR 39213, June 29, 2004]
subject to this part, that is used in a § 94.909 Export exemptions.
vessel that exhibits substantial fea-
tures ordinarily associated with mili- (a) A new engine intended solely for
tary combat such as armor, perma- export, and so labeled or tagged on the
nently affixed weaponry, specialized outside of any container and on the en-
electronic warfare systems, unique gine, is subject to the provisions of
stealth performance requirements, and/ § 94.1103, unless the importing country
or unique combat maneuverability re- has new marine engine emission stand-
quirements and which will be owned ards which differ from EPA standards.
and/or used by an agency of the federal (b) For the purpose of paragraph (a)
government with the responsibility for of this section, a country having no
national defense, will be exempt from standards whatsoever is deemed to be a
the regulations in this subpart for rea- country having emission standards
which differ from EPA standards.
sons of national security. No request
(c) It is a condition of any exemption
for this exemption is necessary.
for the purpose of export under para-
(2) Manufacturers may request a na- graph (a) of this section, that such ex-
tional security exemption for any ma- emption is void ab initio with respect
rine engine, otherwise subject to this to a new engine intended solely for ex-
part, which does not meet the condi- port, where such engine is sold, or of-
tions described in paragraph (a)(1) of fered for sale, to an ultimate purchaser
this section. A manufacturer request- or otherwise distributed or introduced
ing a national security exemption must into commerce in the United States for
state the purpose for which the exemp- purposes other than export.
tion is required and the request must
be endorsed by an agency of the federal § 94.910 Granting of exemptions.
government charged with responsi- (a) If upon completion of the review
bility for national defense. of an exemption request made pursuant
(b) EPA will maintain a list of mod- to § 94.905 or § 94.908, EPA determines it
els of marine engines (and the vessels is appropriate to grant such an exemp-
which use them) that have been grant- tion, a memorandum of exemption is to
ed a national security exemption under be prepared and submitted to the per-
paragraph (a)(2) of this section. This son requesting the exemption. The
list will be available to the public and memorandum is to set forth the basis
may be obtained by writing to the Des- for the exemption, its scope, and such
ignated Officer. terms and conditions as are deemed
(c) Manufacturers must add a legible necessary. Such terms and conditions
label, written in block letters in generally include, but are not limited
English, to each engine exempted to, agreements by the applicant to con-
under this section. The label must be duct the exempt activity in the manner
permanently secured to a readily visi- described to EPA, create and maintain
ble part of the engine needed for nor- adequate records accessible to EPA at
mal operation and not normally requir- reasonable times, employ labels for the
ing replacement, such as the engine exempt engines setting forth the na-
block. This label must include at least ture of the exemption, take appro-
the following items: priate measures to assure that the
(1) The label heading ‘‘EMISSION terms of the exemption are met, and
CONTROL INFORMATION’’. advise EPA of the termination of the
(2) Your corporate name and trade- activity and the ultimate disposition of
mark. the engines.
659
§ 94.911 40 CFR Ch. I (7–1–05 Edition)
(b) Any exemption granted pursuant § 94.1004 Maintenance, repair, adjust-

to paragraph (a) of this section is ment, and recordkeeping.
deemed to cover any subject engine (a) Unless otherwise approved by the
only to the extent that the specified Administrator, all owners and opera-
terms and conditions are complied tors of Category 3 engines subject to
with. A breach of any term or condi- the provisions of this part shall ensure
tion causes the exemption to be void ab that all emission-related maintenance
initio with respect to any engine. Con- is performed, as specified in the main-
sequently, the causing or the per- tenance instructions provided by the
forming of an act prohibited under certifying manufacturer in compliance
§ 94.1103(a)(1) or (a)(3), other than in with § 94.211.
strict conformity with all terms and (b) Unless otherwise approved by the
conditions of this exemption, renders Administrator, all maintenance, re-
the person to whom the exemption is pair, adjustment, and alteration of en-
gines subject to the provisions of this
granted, and any other person to whom
part performed by any owner, operator
the provisions of § 94.1103(a) are appli-
or other maintenance provider that is
cable, liable to suit under sections 204 not covered by paragraph (a) of this
and 205 of the Act. section shall be performed, using good
engineering judgment, in such a man-
§ 94.911 Submission of exemption re-
ner that the engine continues (after
quests.
the maintenance, repair, adjustment or
Requests for exemption or further in- alteration) to meet the emission stand-
formation concerning exemptions and/ ards it was certified as meeting prior
or the exemption request review proce- to the need for service. Adjustments
dure should be addressed to the Des- are limited to the range specified by
ignated Officer. the engine manufacturer in the ap-
proved application for certification.
Subpart K—Requirements Appli- (c) An engine may not be adjusted or
altered contrary to the requirements of
cable to Vessel Manufactur- § 94.11 or § 94.1004(b), except as allowed
ers, Owners, and Operators by § 94.1103(b)(2). If such an adjustment
or alteration occurs, the engine must
SOURCE: 68 FR 9787, Feb. 28, 2003, unless be returned to a configuration allowed
otherwise noted. by this part within two hours of oper-
ation. Each two-hour period during
§ 94.1001 Applicability. which there is noncompliance is a sepa-
The requirements of this subpart are rate violation. The following provisions
applicable to manufacturers, owners, apply to adjustments or alterations
and operators of marine vessels that made under § 94.1103(b)(2):
contain Category 3 engines subject to (1) In the case of an engine that is ad-
justed or altered under § 94.1103(b)(2)(i),
the provisions of subpart A of this part,
there is no violation under this para-
except as otherwise specified.
graph (c) for engine operation before
§ 94.1002 Definitions. completion of the repair or replace-
ment procedure. The provisions of
The definitions of subpart A of this paragraph (c) introductory text apply
part apply to this subpart. to all operation following completion
of the repair or replacement procedure.
§ 94.1003 Production testing, in-use (2) In the case of an engine that is ad-
testing, and inspections. justed or altered under § 94.1103(b)(2)(ii),
(a)–(b) [Reserved] there is no violation under this para-
(c) Manufacturers, owners and opera- graph (c) if the engine operates for less
tors must allow emission tests and in- than two hours following the conclu-
spections to be conducted and must sion of the emergency that prompted
provide reasonable assistance to per- the adjustment or alteration before the
form such tests or inspections. emission-control system is restored to
proper functioning. The provisions of
paragraph (c) introductory text apply
660
to all operation that occurs after this vessel owner, the reporting require-
two-hour period. ments of this paragraph (e) apply to
(d) The owner and operator of the en- both the owner and the operator. Com-
gine shall maintain on board the vessel pliance with these review and certifi-
records of all maintenance, repair, and cation requirements by either the ves-
adjustment that could reasonably af- sel owner or the vessel operator with
fect the emission performance of any respect to a compliance statement will
Category 3 engine subject to the provi- be considered compliance with these
sion of this part. Owners and operators requirements by both of these parties
shall also maintain, on board the ves- for that compliance statement. The ex-
sel, records regarding certification, pa- ecutive(s) may authorize a captain or
rameter adjustment, and fuels used. other primary operator to conduct this
For engines that are automatically ad- review and submit the certification,
justed electronically, all adjustments provided that the certification state-
must be logged automatically. Owners ment is accompanied by written au-
and operators shall make these records thorization for that individual to sub-
available to EPA upon request. These mit such statements. The Adminis-
records must include the following: trator may waive the requirements of
(1) [Reserved] this paragraph when equivalent assur-
(2) The Technical File, Record Book ance of compliance is otherwise avail-
of Engine Parameters, and bunker de- able.
livery notes that are required by the
Annex VI Technical Code (incorporated Subpart L—General Enforcement
by reference in § 94.5). Provisions and Prohibited Acts
(3) Specific descriptions of engine
maintenance, repair, adjustment, and § 94.1101 Applicability.
alteration (including rebuilding). The The requirements of this subpart are
descriptions must include at least the applicable to all persons with respect
date, time, and nature of the mainte- to engines subject to the provisions of
nance, repair, adjustment, or alter- Subpart A of this part.
ation and the position of the vessel
when the maintenance, repair, adjust- § 94.1102 Definitions.
ment, or alteration was made. The definitions of subpart A of this
(4) Emission-related maintenance in- part apply to this subpart.
structions provided by the manufac-
turer. § 94.1103 Prohibited acts.
(e) For each marine vessel containing (a) The following acts and the caus-
a Category 3 engine, the owner shall ing thereof are prohibited:
annually review the vessel’s records (1)(i)(A) In the case of a manufac-
and submit to EPA a signed statement turer of new engines, the sale, the of-
certifying compliance during the pre- fering for sale, the introduction into
ceding year with the requirements of commerce, the delivery for introduc-
this part that are applicable to owners tion into commerce, or the distribution
and operators of such vessels. Alter- in commerce of any new engine that is
nately, if review of the vessel’s records subject to the standards of this part,
indicates that there has been one or unless such engine is covered by a cer-
more violations of the requirements of tificate of conformity issued (and in ef-
this part, the owner shall submit to fect) under regulations found in this
EPA a signed statement specifying the part.
noncompliance, including the nature of (B) The manufacture of a engine for
the noncompliance, the time of the the purpose of an act listed in para-
noncompliance, and any efforts made graph (a)(1)(i)(A) of this section unless
to remedy the noncompliance. The such engine is covered by a certificate
statement of compliance (or non- of conformity issued (and in effect)
compliance) required by this paragraph under regulations found in this part
shall be signed by the executive with prior to its introduction into com-
responsibility for marine activities of merce.
the owner. If the vessel is operated by (ii) In the case of any person, except
a different business entity than the as provided in Subpart I of this part,
661
§ 94.1103 40 CFR Ch. I (7–1–05 Edition)
the importation into the United States (i) To sell, offer for sale, or introduce
of any engine manufactured on or after or deliver for introduction into com-
the implementation date of the appli- merce, a new engine unless the manu-
cable emission limits for the relevant facturer has complied with the require-
engine, unless such engine is covered ments of § 94.1107.
by a certificate of conformity issued (ii) To sell, offer for sale, or intro-
(and in effect) under regulations found duce or deliver for introduction into
in this part. commerce, a new engine unless all re-
(2)(i) For a person to fail or refuse to quired labels and tags are affixed to the
permit access to or copying of records engine in accordance with § 94.212.
or to fail to make reports or provide in- (iii) To fail or refuse to comply with
formation required under this part. the requirements of § 94.1108.
(ii) For a person to fail or refuse to (iv) Except as provided in § 94.211, to
permit entry, testing, or inspection au- provide directly or indirectly in any
thorized under this part. communication to the ultimate pur-
(iii) For a person to fail or refuse to chaser or a subsequent purchaser that
perform tests, or to have tests per- the coverage of a warranty under the
formed as required by this part. Act is conditioned upon use of a part,
(iv) For a person to fail to establish component, or system manufactured by
or maintain records as required under the manufacturer or a person acting
this part.
for the manufacturer or under its con-
(v) For an owner or operator of a ves-
trol, or conditioned upon service per-
sel using a Category 3 engine to refuse
formed by such persons.
to allow the in-use testing described in
§ 94.1003 to be performed. (v) To fail or refuse to comply with
(vi) For a manufacturer, owner or op- the terms and conditions of the war-
erator of a Category 3 engine to fail to ranty under § 94.1107.
provide maintenance instructions as (5) For a manufacturer of marine ves-
required by § 94.211. sels to distribute in commerce, sell,
(3)(i) For a person to remove or offer for sale, or deliver for introduc-
render inoperative a device or element tion into commerce a new vessel con-
of design installed on or in a engine in taining an engine not covered by a cer-
compliance with regulations under this tificate of conformity applicable for an
part, or to set any adjustable param- engine model year the same as or later
eter to a setting outside of the range than the calendar year in which the
specified by the manufacturer, as ap- manufacture of the new vessel is initi-
proved in the application for certifi- ated. This prohibition covers improper
cation by the Administrator (except as installation in a manner such that the
allowed by §§ 94.1003 and 94.1004). installed engine would not be covered
(ii) For a person to manufacture, sell by the engine manufacturer’s certifi-
or offer to sell, or install, a part or cate. Improper installation would in-
component intended for use with, or as clude, but is not limited to, failure to
part of, a engine, where a principal ef- follow the engine manufacturer’s in-
fect of the part or component is to by- structions related to engine cooling,
pass, defeat, or render inoperative a de- exhaust aftertreatment, emission sam-
vice or element of design installed on pling ports, or any other emission-re-
or in a engine in compliance with regulated component, parameter, or set-
lations issued under this part, and ting. In general, you may use up your
where the person knows or should normal inventory of engines not cer-
know that the part or component is tified to new emission standards if they
being offered for sale or installed for were built before the date of the new
this use or put to such use. standards. However, we consider stock-
(iii) for a person to deviate from the piling of these engines to be a violation
provisions of § 94.11 when rebuilding an of paragraph (a)(1)(i)(A) of this section.
engine (or rebuilding a portion of an (Note: For the purpose of this para-
engine or engine system). graph (a)(5), the manufacture of a ves-
(4) For a manufacturer of a new en- sel is initiated when the keel is laid, or
gine subject to standards prescribed the vessel is at a similar stage of con-
under this part: struction.)
662
(6) For any person to install a rec- merce a replacement engine without
reational marine engine in a vessel complying with all of the otherwise ap-
that is manufactured on or after the plicable requirements of this part.
implementation date of the applicable Such engine shall not be subject to the
standards and that is not a rec- prohibitions of paragraph (a)(1) of this
reational vessel. section, provided that:
(7)(i) For an owner or operator of a (i) The engine requiring replacement
vessel using a Category 3 engine to fail is not certified or is certified to emis-
or refuse to ensure that an engine is sion standards that are less stringent
properly adjusted as set forth in than those in effect when the replace-
§ 94.1004. ment engine is built; and
(ii) For an owner or operator of a ves- (ii) The engine manufacturer or its
sel using a Category 3 to fail to main- agent takes ownership and possession
tain or repair an engine as set forth in of the engine being replaced in partial
§ 94.1004. exchange for the replacement engine;
(iii) For an owner or operator of a and
vessel using a Category 3 engine to op- (iii) The replacement engine is clear-
erate an engine in violation of the re- ly labeled with the following language,
quirements of § 94.1004(c). or similar alternate language approved
(iv) For an owner or operator of a by the Administrator: ‘‘THIS ENGINE
vessel using a Category 3 engine to fail DOES NOT COMPLY WITH FEDERAL
to comply with any applicable provi- MARINE ENGINE EMISSION RE-
sion in this part for recordkeeping, re- QUIREMENTS. SALE OR INSTALLA-
porting, or submission of information TION OF THIS ENGINE FOR ANY
to EPA, including the annual certifi- PURPOSE OTHER THAN AS A RE-
cation requirements of § 94.1004. PLACEMENT ENGINE FOR AN EN-
(b) For the purposes of enforcement GINE MANUFACTURED PRIOR TO
of this part, the following apply: JANUARY 1 [INSERT APPROPRIATE
(1) Nothing in paragraph (a)(3) of this YEAR] IS A VIOLATION OF FED-
section is to be construed to require ERAL LAW SUBJECT TO CIVIL PEN-
the use of any manufacturer’s parts in ALTY’’; and
maintaining or repairing a engine.
(iv) In cases where an engine is to be
(2)(i) Actions for the purpose of re-
imported for replacement purposes
pair or replacement of a device or ele-
under the provisions of this paragraph
ment of design or any other item are
(b)(3) of this section, the term ‘‘engine
not considered prohibited acts under
manufacturer’’ shall not apply to an
paragraph (a)(3)(i) of this section if the
individual or other entity that does not
action is a necessary and temporary
possess a current Certificate of Con-
procedure, the device or element is re-
formity issued by EPA under this part;
placed upon completion of the proce-
and
dure, and the action results in the
proper functioning of the device or ele- (v) Where the replacement engine is
ment of design. intended to replace an engine that is
(ii) Actions for emergency purposes certified to emission standards that are
are not considered prohibited acts less stringent than those in effect when
under paragraph (a)(3)(i) of this section the replacement engine is built, the re-
if the action is a necessary and tem- placement engine shall be identical in
porary procedure and the device or ele- all material respects to a certified con-
ment is replaced such that the proper figuration of the same or later model
functioning of the device or element of year as the engine being replaced; and
design is restored as soon as possible. (vi) Engines sold pursuant to the pro-
(3) Where the Administrator deter- visions of this paragraph will neither
mines that no engine that is certified generate nor use emission credits and
to the requirements of this part is pro- will not be part of any accounting
duced by any manufacturer with the under the averaging, banking and trad-
appropriate physical or performance ing program.
characteristics to repower a vessel, the [64 FR 73331, Dec. 29, 1999, as amended at 67
Administrator may allow an engine FR 68347, Nov. 8, 2002; 68 FR 9788, Feb. 28,
manufacturer to introduce into com- 2003]
663
§ 94.1104 40 CFR Ch. I (7–1–05 Edition)
§ 94.1104 General enforcement provi- (c) Importation provision. (1) A new en-
sions. gine, offered for importation or im-
(a) Information collection provisions. ported by a person in violation of
(1)(i) Every manufacturer of new en- § 94.1103 is to be refused admission into
gines and other persons subject to the the United States, but the Secretary of
requirements of this part must estab- the Treasury and the Administrator
lish and maintain records, perform may, by joint regulation, provide for
tests, make reports and provide infor- deferring a final determination as to
mation the Administrator may reason- admission and authorizing the delivery
ably require to determine whether the of such a engine offered for import to
manufacturer or other person has acted the owner or consignee thereof upon
or is acting in compliance with this such terms and conditions (including
part or to otherwise carry out the pro- the furnishing of a bond) as may appear
visions of this part, and must, upon re- to them appropriate to insure that the
quest of an officer or employee duly engine will be brought into conformity
designated by the Administrator, per- with the standards, requirements, and
mit the officer or employee at reason- limitations applicable to it under this
able times to have access to and copy part.
such records. The manufacturer shall (2) If a engine is finally refused ad-
comply in all respects with the require- mission under this paragraph (c), the
ments of subpart E of this part. Secretary of the Treasury shall cause
(ii) Every manufacturer or owner of disposition thereof in accordance with
engines exempted from the standards the customs laws unless it is exported,
or requirements of this part must es- under regulations prescribed by the
tablish and maintain records, perform Secretary, within 90 days of the date of
tests, make reports and provide infor- notice of the refusal or additional time
mation the Administrator may reason- as may be permitted pursuant to the
ably require regarding the emissions of Treasury regulations.
such engines. (3) Disposition in accordance with
(2) For purposes of enforcement of the customs laws may not be made in
this part, an officer or employee duly such manner as may result, directly or
designated by the Administrator, upon indirectly, in the sale, to the ultimate
presenting appropriate credentials, is consumer, of a new engine that fails to
authorized: comply with applicable standards of
(i) To enter, at reasonable times, any the Administrator under this part.
establishment of the manufacturer, or (d) Export provision. A new engine in-
of any person whom the manufacturer tended solely for export, and so labeled
engaged to perform any activity re- or tagged on the outside of the con-
quired under paragraph (a)(1) of this tainer if used and on the engine, shall
section, for the purposes of inspecting be subject to the provisions of § 94.1103,
or observing any activity conducted except that if the country that is to re-
pursuant to paragraph (a)(1) of this sec- ceive the engine has emission stand-
tion; and ards that differ from the standards pre-
(ii) To inspect records, files, papers, scribed under subpart A of this part,
processes, controls, and facilities used then the engine must comply with the
in performing an activity required by standards of the country that is to re-
paragraph (a)(1) of this section, by the ceive the engine.
manufacturer or by a person whom the (e) Recordkeeping. Except where speci-
manufacturer engaged to perform the fied otherwise, records required by this
activity. part must be kept for eight (8) years.
(b) Exemption provision. The Adminis-
trator may exempt a new engine from § 94.1105 Injunction proceedings for
§ 94.1103 upon such terms and condi- prohibited acts.
tions as the Administrator may find (a) The district courts of the United
necessary for the purpose of export, re- States have jurisdiction to restrain
search, investigations, studies, dem- violations of § 94.1103(a).
onstrations, or training, or for reasons (b) Actions to restrain violations of
of national security, or for other pur- § 94.1103(a) must be brought by and in
poses allowed by subpart J of this part. the name of the United States. In an
664
action, subpoenas for witnesses who which the defendant resides or has the
are required to attend a district court Administrator’s principal place of busi-
in any district may run into any other ness, and the court has jurisdiction to
district. assess a civil penalty.
(2) In determining the amount of a
§ 94.1106 Penalties. civil penalty to be assessed under this
This section specifies actions that paragraph (b), the court is to take into
are prohibited and the maximum civil account the gravity of the violation,
penalties that we can assess for each the economic benefit or savings (if any)
violation. The maximum penalty val- resulting from the violation, the size of
ues listed in paragraphs (a) and (c) of the violator’s business, the violator’s
this section are shown for calendar history of compliance with Title II of
year 2002. As described in paragraph (d) the Act, action taken to remedy the
of this section, maximum penalty lim- violation, the effect of the penalty on
its for later years are set forth in 40 the violator’s ability to continue in
CFR part 19. business, and such other matters as
(a) Violations. A violation of the re- justice may require.
quirements of this subpart is a viola- (3) In any such action, subpoenas for
tion of the applicable provisions of the witnesses who are required to attend a
Act, including sections 213(d) and 203, district court in any district may run
and is subject to the penalty provisions into any other district.
thereunder. (c) Administrative assessment of certain
(1) A person who violates penalties. (1) Administrative penalty
§ 94.1103(a)(1), (a)(4), (a)(5), (a)(6), or authority. Subject to 42 U.S.C. 7524(c),
(a)(7)(iv) or a manufacturer or dealer in lieu of commencing a civil action
who violates § 94.1103(a)(3) (i) or (iii) or under paragraph (b) of this section, the
§ 94.1103(a)(7) is subject to a civil pen- Administrator may assess any civil
alty of not more than $31,500 for each penalty prescribed in paragraph (a) of
violation. this section, except that the maximum
(2) A person other than a manufac- amount of penalty sought against each
turer or dealer who violates violator in a penalty assessment pro-
§ 94.1103(a)(3) (i) or (iii) or § 94.1103(a)(7) ceeding shall not exceed $250,000, unless
(i), (ii), or (iii) or any person who vio- the Administrator and the Attorney
lates § 94.1103(a)(3)(ii) is subject to a General jointly determine that a mat-
civil penalty of not more than $3,150 for ter involving a larger penalty amount
each violation. is appropriate for administrative pen-
(3) A violation with respect to alty assessment. Any such determina-
§ 94.1103(a)(1), (a)(3)(i), (a)(3)(iii), (a)(4), tion by the Administrator and the At-
or (a)(5), (a)(7) constitutes a separate torney General is not subject to judi-
offense with respect to each engine. cial review. Assessment of a civil pen-
(4) A violation with respect to alty shall be by an order made on the
§ 94.1103(a)(3)(ii) constitutes a separate record after opportunity for a hearing
offense with respect to each part or held in accordance with the procedures
component. Each day of a violation found at part 22 of this chapter. The
with respect to § 94.1103(a)(5) or Administrator may compromise, or
(a)(7)(iv) constitutes a separate offense. remit, with or without conditions, any
(5) Each two hour period of a viola- administrative penalty which may be
tion with respect to § 94.1103(a)(7)(iii) imposed under this section.
constitutes a separate offense. A viola- (2) Determining amount. In deter-
tion of § 94.1103(a)(7)(iii) lasting less mining the amount of any civil penalty
than two hours constitutes a single of- assessed under this paragraph (c), the
fense. Administrator shall take into account
(b) Civil actions. The Administrator the gravity of the violation, the eco-
may commence a civil action to assess nomic benefit or savings (if any) re-
and recover any civil penalty under sulting from the violation, the size of
paragraph (a) of this section. the violator’s business, the violator’s
(1) An action under this paragraph (b) history of compliance with Title II of
may be brought in the district court of the Act, action taken to remedy the
the United States for the district in violation, the effect of the penalty on
665
§ 94.1107 40 CFR Ch. I (7–1–05 Edition)
the violator’s ability to continue in discretion. In any proceedings, the

business, and such other matters as United States may seek to recover civil
justice may require. penalties assessed under this section.
(3) Effect of administrator’s action. (i) (6) Collection. (i) If any person fails to
Action by the Administrator under this pay an assessment of a civil penalty
paragraph (c) does not affect or limit imposed by the Administrator as pro-
the Administrator’s authority to en- vided in this part after the order mak-
force any provisions of the Act; except ing the assessment has become final or
that any violation with respect to after a court in an action brought
which the Administrator has com- under paragraph (c)(5) of this section
menced and is diligently prosecuting has entered a final judgment in favor of
an action under this paragraph (c), or the Administrator, the Administrator
for which the Administrator has issued shall request that the Attorney Gen-
a final order not subject to further ju- eral bring a civil action in an appro-
dicial review and for which the violator priate district court to recover the
has paid a penalty assessment under amount assessed (plus interest at rates
this paragraph shall not be the subject established pursuant to section
of a civil penalty action under para- 6621(a)(2) of the Internal Revenue Code
graph (b) of this section. of 1986 (26 U.S.C. 6621(a)(2)) from the
(ii) No action by the Administrator date of the final order or the date of
under this paragraph (c) shall affect a final judgment, as the case may be). In
person’s obligation to comply with a such an action, the validity, amount,
section of this part. and appropriateness of the penalty is
(4) Finality of order. An order issued not subject to review.
under this paragraph (c) is to become (ii) A person who fails to pay on a
final 30 days after its issuance unless a timely basis the amount of an assess-
petition for judicial review is filed ment of a civil penalty as described in
under paragraph (c)(5) of this section. paragraph (c)(6)(i) of this section shall
(5) Judicial review. A person against be required to pay, in addition to that
whom a civil penalty is assessed in ac- amount and interest, the United
cordance with this paragraph (c) may States’ enforcement expenses, includ-
seek review of the assessment in the ing attorney’s fees and costs for collec-
United States District Court for the tion proceedings, and a quarterly non-
District of Columbia or for the district payment penalty for each quarter dur-
in which the violation is alleged to ing which the failure to pay persists.
have occurred, in which such person re- The nonpayment penalty is an amount
sides, or where the person’s principal equal to ten percent of the aggregate
place of business is located, within the amount of that person’s penalties and
30-day period beginning on the date a nonpayment penalties which are un-
civil penalty order is issued. The per- paid as of the beginning of such quar-
son shall simultaneously send a copy of ter.
the filing by certified mail to the Ad- (d) The maximum penalty values list-
ministrator and the Attorney General. ed in paragraphs (a) and (c) of this sec-
The Administrator shall file in the tion are shown for calendar year 2002.
court within 30 days a certified copy, Maximum penalty limits for later
or certified index, as appropriate, of years may be adjusted based on the
the record on which the order was Consumer Price Index. The specific
issued. The court is not to set aside or regulatory provisions for changing the
remand any order issued in accordance maximum penalties, published in 40
with the requirements of this para- CFR part 19, reference the applicable
graph (c) unless substantial evidence U.S. Code citation on which the prohib-
does not exist in the record, taken as a ited action is based.
whole, to support the finding of a viola- [64 FR 73331, Dec. 29, 1999, as amended at 68
tion or unless the Administrator’s as- FR 9789, Feb. 28, 2003]
sessment of the penalty constitutes an
abuse of discretion, and the court is § 94.1107 Warranty provisions.
not to impose additional civil penalties (a) The manufacturer of each engine
unless the Administrator’s assessment must warrant to the ultimate pur-
of the penalty constitutes an abuse of chaser and each subsequent purchaser
666
or owner that the engine is designed, within 60 days after the completion of
built, and equipped so as to conform at such hearing, order the manufacturer
the time of sale with applicable regula- to provide prompt notification of such
tions under section 213 of the Act, and nonconformity in accordance with
is free from defects in materials and paragraph (a)(2) of this section.
workmanship which cause such engine (2) Any notification required to be
to fail to conform with applicable regu- given by the manufacturer under para-
lations for its warranty period (as de- graph (a)(1) of this section with respect
termined under § 94.10). to any class or category of engines
(b) For the purposes of this section, shall be given to ultimate purchasers,
the owner of any engine warranted subsequent purchasers (if known), and
under this part is responsible for the dealers (as applicable) in such manner
proper maintenance of the engine. and containing such information as re-
Proper maintenance includes replace- quired in Subparts E and H of this part.
ment and/or service, as needed, at the (3)(i) The certifying manufacturer
owner’s expense at a service establish- shall furnish with each new engine
ment or facility of the owner’s choos- written instructions for the proper
ing, of all parts, items, or devices maintenance and use of the engine by
which were in general use with engines the ultimate purchaser as required
prior to 1999. For diesel engines, this under § 94.211.
would generally include replacement or (ii) The instruction under paragraph
cleaning of the fuel delivery and injec- (a)(3)(i) of this section must not in-
tion system. clude any condition on the ultimate
purchaser’s using, in connection with
§ 94.1108 In-use compliance provisions. such engine, any component or service
(a) Effective with respect to engines (other than a component or service
subject to the requirements of this provided without charge under the
part: terms of the purchase agreement)
(1) If the Administrator determines which is identified by brand, trade, or
that a substantial number of any class corporate name. Such instructions also
or category of engines, although prop- must not directly or indirectly distin-
erly maintained and used, do not con- guish between service performed by the
form to the regulations prescribed franchised dealers of such manufac-
under section 213 of the Act when in ac- turer, or any other service establish-
tual use throughout their useful life ments with which such manufacturer
period (as defined under § 94.2), the Ad- has a commercial relationship, and
ministrator shall immediately notify service performed by independent en-
the manufacturer of such noncon- gine repair facilities with which such
formity and require the manufacturer manufacturer has no commercial rela-
to submit a plan for remedying the tionship.
nonconformity of the engines with re- (iii) The prohibition of paragraph
spect to which such notification is (a)(3)(ii) of this section may be waived
given. by the Administrator if:
(i) The manufacturer’s plan shall pro- (A) The manufacturer satisfies the
vide that the nonconformity of any Administrator that the engine will
such engines which are properly used function properly only if the compo-
and maintained will be remedied at the nent or service so identified is used in
expense of the manufacturer. connection with such engine; and
(ii) If the manufacturer disagrees (B) The Administrator finds that
with such determination of noncon- such a waiver is in the public interest.
formity and so advises the Adminis- (iv) In addition, the manufacturer
trator, the Administrator shall afford shall indicate by means of a label or
the manufacturer and other interested tag permanently affixed to the engine
persons an opportunity to present their that the engine is covered by a certifi-
views and evidence in support thereof cate of conformity issued for the pur-
at a public hearing. Unless, as a result pose of assuring achievement of emis-
of such hearing, the Administrator sion standards prescribed under section
withdraws such determination of non- 213 of the Act. This label or tag shall
conformity, the Administrator shall, also contain information relating to
667
Pt. 94, App. I 40 CFR Ch. I (7–1–05 Edition)
control of emissions as prescribed and 3 minutes and 5 minutes after select-

under § 94.212. ing other power level).
(b) The manufacturer bears all cost 3. Temperature control system calibration.
obligation any dealer incurs as a result 4. Maximum allowable inlet air restriction.
III. Fuel System.
of a requirement imposed by paragraph 1. General.
(a) of this section. The transfer of any a. Engine idle speed.
such cost obligation from a manufac- 2. Fuel injection—compression ignition en-
turer to a dealer through franchise or gines.
other agreement is prohibited. a. Control parameters and calibrations.
(c) If a manufacturer includes in an b. Transient enrichment system calibra-
advertisement a statement respecting tion.
the cost or value of emission control c. Air-fuel flow calibration.
devices or systems, the manufacturer d. Altitude compensation system calibra-
shall set forth in the statement the tion.
e. Operating pressure(s).
cost or value attributed to these de- f. Injector timing calibration.
vices or systems by the Secretary of IV. Engine Cooling System.
Labor (through the Bureau of Labor 1. Thermostat calibration.
Statistics). The Secretary of Labor, V. Exhaust System.
and his or her representatives, has the 1. Maximum allowable back pressure.
same access for this purpose to the VI. Exhaust Emission Control System.
books, documents, papers, and records 1. Air injection system.
of a manufacturer as the Comptroller a. Control parameters and calibrations.
b. Pump flow rate.
General has to those of a recipient of 2. EGR system.
assistance for purposes of section 311 of a. Control parameters and calibrations.
the Act. b. EGR valve flow calibration.
3. Catalytic converter system.
APPENDIX I TO PART 94—EMISSION-RE- a. Active surface area.
LATED ENGINE PARAMETERS AND b. Volume of catalyst.
SPECIFICATIONS c. Conversion efficiency.
4. Backpressure.
I. Basic Engine Parameters—Reciprocating VII. Crankcase Emission Control System.
Engines. 1. Control parameters and calibrations.
1. Compression ratio. 2. Valve calibrations.
2. Type of air aspiration (natural, Roots VIII. Auxiliary Emission Control Devices
blown, supercharged, turbocharged). (AECD).
3. Valves (intake and exhaust). 1. Control parameters and calibrations.
a. Head diameter dimension. 2. Component calibration(s).
b. Valve lifter or actuator type and valve
lash dimension.
4. Camshaft timing. PART 95—MANDATORY PATENT
a. Valve opening—intake exhaust (degrees LICENSES
from TDC or BDC).
b. Valve closing—intake exhaust (degrees
Sec.
from TDC or BDC).
95.1 Definitions.
c. Valve overlap (degrees).
95.2 Petition for mandatory license.
5. Ports—two stroke engines (intake and/or
95.3 Findings prior to application to Attor-
exhaust).
ney General.
a. Flow area.
b. Opening timing (degrees from TDC or 95.4 Limitations on mandatory licenses.
BDC). AUTHORITY: 42 U.S.C. 7609; Sec. 104, Pub. L.
c. Closing timing (degrees from TDC or 103–182, 107 Stat. 2057, 2064.
BDC).
II. Intake Air System. SOURCE: 59 FR 67638, Dec. 30, 1994, unless
1. Roots blower/supercharger/turbocharger otherwise noted.
calibration.
2. Charge air cooling. § 95.1 Definitions.
a. Type (air-to-air; air-to-liquid). (a) As used in this part, all terms not
b. Type of liquid cooling (engine coolant, defined in this section shall have the
dedicated cooling system).
meaning given them by the Act.
c. Performance (charge air delivery tem-
perature (°F) at rated power and one (b) Act means the Clean Air Act, as
other power level under ambient condi- amended (42 U.S.C. §§ 7401–7671).
tions of 80°F and 110°F, and 3 minutes and (c) Agency means the Environmental
15 minutes after selecting rated power, Protection Agency.
668

40 CFR 94 PDF

Загружено:

Сведения о документе

Исходное описание:

Оригинальное название

Авторское право

Доступные форматы

Поделиться этим документом

Поделиться или встроить документ

Параметры публикации

Этот документ был вам полезен?

Это неприемлемый материал?

Авторское право:

Доступные форматы

40 CFR 94 PDF

Загружено:

Авторское право:

Доступные форматы

Pt. 94 40 CFR Ch.

an implementation schedule con- PART 94—CONTROL OF EMISSIONS

Subpart A—General Provisions for Agency or his/her authorized represent-

by reference in § 94.5), unless otherwise Tier 1 means relating to an engine

Voluntary emission recall means a re- PMM—post-manufacture marinizer.

§ 94.5 Reference materials. federallregister/

ISO 8178–1, Reciprocating internal combustion engines—Exhaust emission measurement— 94.109

Power ≥ 37 kW, and displ. < 0.9 .................................................................................................. 4.0 0.24

(ii) Category 3 engines may be des- (NOTE: Round speed-dependent stand-

demonstrate the desired level of emis- (A) 1000 hours of operation.

1 ............................................................................................................ 100 100 5.0 0.20

(c) Variable-pitch and electrically cou- pitch propellers or with electrically

1 ............................................................................................................ 100 100 5.0 0.20

1 ...................... 1 Maximum Test Speed .............................................. 100 5.0 0.15

1 ...................... 4 Maximum Test Speed .............................................. 10 5.0 0.10

1 ...................... Maximum Test Speed ...................................................................... 100 5.0 0.05

1 ............................................................................................ 100 100 5.0 0.08

[64 FR 73331, Dec. 29, 1999, as amended at 67 FR 68343, Nov. 8, 2002]

§ 94.106 Supplemental test procedures ducted to determine compliance with

(c)(1) Upon request by the manufac- curve. It is not necessary to generate

§ 94.108 Test fuels. metal deactivator, antioxidant,

Cetane ....................................................................... ASTM D 613–01 ....................................................... 40–48

which EPA is waiting for additional in- (7) Stroke;

other information required or obtained testing, or which has undergone emis-

constant-speed auxiliary, variable- control systems, and fuel systems of-

or void ab initio a certificate of con- § 94.222 Certification of engines on im-

in paragraph (c) of this section. No ject to the upper limits described in

TABLE D–1—CATEGORY 1 UPPER LIMITS FOR TIER 2 FAMILY EMISSION LIMITS

Power ≥ 37 kW disp. < 0.9 ........................................................................................... 2005 11.5 1.2

(2) For Category 2 engines, the FEL FEL)×(UL)×(Production)×(AvgPR)×(LF)

deemed appropriate by the Adminis- the following adequately organized and

§ 94.309 Reports. trading program to submit any quar-

Radiation or the Assistant Adminis- production for all Category 1 engine

under § 94.9), the manufacturer shall test, because of a malfunction, the

§ 94.511 [Reserved] (f) The Administrator may revoke a

to a hearing. Subsequent to the expira- cial Officer shall not be employed by

the Administrator, as issued pursuant (2) A prescribed period of time within

Subpart H—Recall Regulations plicable provisions of the Clean Air

§ 94.703 Applicability of 40 CFR part § 94.802 Definitions.

(b) Any exemption granted pursuant § 94.1004 Maintenance, repair, adjust-

the violator’s ability to continue in discretion. In any proceedings, the

control of emissions as prescribed and 3 minutes and 5 minutes after select-

Вам также может понравиться