# Control of Air Pollution; Emission Standards for New Nonroad Spark-ignition Engines at or Below 19 Kilowatts

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URL: https://www.frixlaw.com/law-library/documents/fr%3A94-10975

## Record

- **Collection:** Federal Register
- **Document type:** Uncategorized Document
- **Published:** May 16, 1994

## Text

ENVIRONMENTAL PROTECTION AGENCY
40 CFR Part 90

[FRL-4881-5]
RIN 2060 AE29

Control of Air Pollution; Emission Standards for New Nonroad
Spark-ignition Engines at or Below 19 Kilowatts

AGENCY: Environmental Protection Agency (EPA).

ACTION: Notice of proposed rulemaking.

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SUMMARY: Today's action proposes emission standards for new nonroad
spark-ignition engines at or below 19 kilowatts (25 horsepower). This
action is authorized by section 213(a)(3) of the Clean Air Act as
amended. The proposed standards are expected to result in a 32 percent
reduction in hydrocarbon emissions and a 14 percent reduction in carbon
monoxide emissions from these engines by the year 2020 when complete
fleet turnover is projected.
DATES: Comments must be received on or before July 15, 1994. A public
hearing will be held on June 21, at 10 a.m.; requests to present oral
testimony must be received on or before June 15, 1994.

ADDRESSES: Interested parties may submit written comments (in
triplicate, if possible) for EPA consideration by addressing them as
follows: EPA Air and Radiation Docket, Attention: Docket Number A-93-
25, 401 M Street SW., Washington, DC 20460. Materials relevant to this
rulemaking are contained in this docket and may be viewed at this
location from 8 a.m. until 4 p.m. Monday through Friday. As provided in
40 CFR part 2, a reasonable fee may be charged by EPA for photocopying.
The public hearing will be held at Dominos Farm, Ulrich room, lobby E,
24 Frank Lloyd, Ann Arbor, MI 48104.
FOR FURTHER INFORMATION CONTACT: Lucie Audette, Office of Mobile
Sources, Certification Division, (313) 741-7878.

SUPPLEMENTARY INFORMATION:

I. Obtaining Copies of the Regulatory Language

EPA has not included in this document the proposed regulatory
language or the draft Regulatory Support Document (RSD). Electronic
copies (on 3.5'' diskettes) of both the proposed regulatory language
and the draft RSD may be obtained free of charge by visiting, calling,
or writing the Environmental Protection Agency, Certification Division,
2565 Plymouth Road, Ann Arbor, MI 48105, (313) 741-7878. Refer to
Docket A-93-25. A copy is available for inspection in the docket (see
ADDRESSES).
The proposed regulatory language and the draft RSD are also
available electronically on the Technology Transfer Network (TTN). TTN
is an electronic bulletin board system (BBS) operated by EPA's Office
of Air Quality Planning and Standards. Users are able to access and
download TTN files on their first call. After logging onto TTN BBS, to
navigate through the BBS to the files of interest, the user must enter
the appropriate command at each of a series of menus. The steps
required to access information on this rulemaking are listed below. The
service is free, except for the cost of the phone call.

TTN BBS: 919-541-5742 (1,200-14,400 bps, no parity, eight data bits,
one stop bit) Voice help: 919-541-5384 Internet address: TELNET
ttnbbs.rtpnc.epa.gov Off-line: Mondays from 8:00 - 12:00 Noon ET
1. Technology Transfer Network Top Menu: GATEWAY TO TTN
TECHNICAL AREAS (Bulletin Boards) Command: T
2. TTN TECHNICAL INFORMATION AREAS OMS - Mobile Sources
Information Command: M
3. OMS BBS ==== MAIN MENU FILE TRANSFERS Rulemaking & Reporting
Command: K
4. RULEMAKING PACKAGES Non-Road Command: 6
5. Non-Road Rulemaking Area: File area #2 * * * Non-Road Engines
Command: 2
6. Non-Road Engines

At this stage, the system will list all available nonroad engine
files. To download a file, select a transfer protocol which will match
the terminal software on your own computer, then set your own software
to receive the file using that same protocol.
If unfamiliar with handling compressed (i.e., ZIP'ed) files, go to
the TTN topmenu, System Utilities (Command: 1) for information and the
necessary program to download in order to unZIP the files of interest
after downloading to your computer. After getting the files you want
onto your computer, you can quit TTN BBS with the oodbye command.

II. Contents

III. Statutory Authority and Background
A. Statutory Authority
B. Background
IV. Requirements of the Proposed Rule
A. Overview
B. General Enforcement Provisions
C. Program Description and Rationale
V. Discussion of Issues
A. Use of Metric Units
B. Use of Power Rating as Cutoff for Applicability
C. Exclusion of Compression-ignition Engines
D. Exclusion of Recreational Propulsion Engines
E. Exclusion of Marine Propulsion Engines
F. Nonroad Engine and Vehicle Definitions
G. Definition of Handheld Equipment
H. Requirements Applicable to Vehicle and Equipment
Manufacturers
I. Effective Date
J. Selection of Worst Case Emitter
K. Adequacy of Test Cycle
L. Alternative, Oxygenated, and Reformulated Fuels
M. HC + NOX Standard for Class I and II Engines
N. CO Standard for Handheld Engines Over 50 cc
O. Cap on Noise
P. Applicability of In-Use Standards
Q. In-Use Testing Requirement
R. Absence of Averaging, Banking, and Trading Programs
S. Engine Manufacturer Requirement--Disclosure of Maximum
Exhaust Pressure and Minimum Inlet Pressure
T. Direct Health Effects of Air Toxics and CO
U. Catalyst Durability
V. Test Procedure Requirements
W. Duration of Certificates of Conformity, Definition of Model
Year, Annual Production Period
VI. Environmental Benefit Assessment
A. Estimated Emissions Impact of Proposed Regulation
B. Health and Welfare Effects of HC Emissions
C. Health and Welfare Effects of CO Emissions
D. Roles of HC and NOX in Ozone Formation
E. Health and Welfare Effects of Tropospheric Ozone
VII. Technology Assessment
A. Achievability of Proposed Emission Standards
B. Proposed Emission Standards are Lowest Feasible
C. Impact on Equipment
D. Energy, Noise, and Safety
E. Per Engine Cost Estimates Due to Proposed Standards
VIII. Economic Effects
A. Consumer Cost
B. Incremental Economic Impacts
IX. Cost-Effectiveness
X. Administrative Requirements
A. Administrative Designation and Regulatory Analysis
B. Paperwork Reduction Act
C. Impact on Small Entities

III. Statutory Authority and Background

A. Statutory Authority

Authority for the actions proposed in this notice is granted to EPA
by sections 203, 204, 205, 206, 207, 208, 209, 213, 215, 216, and
301(a) of the Clean Air Act (CAA or Act) as amended (42 U.S.C. 7522,
7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).
CAA section 213(a) directs EPA to: (1) Conduct a study of emissions
from nonroad engines and vehicles; (2) determine whether emissions of
carbon monoxide (CO), oxides of nitrogen (NOX), and volatile
organic compounds (VOCs) from nonroad engines and vehicles are
significant contributors to ozone or CO concentrations in more than one
area that has failed to attain the National Ambient Air Quality
Standards (NAAQS) for ozone and CO; and (3) regulate those categories
or classes of new nonroad engines and vehicles that, in EPA's judgment
cause or contribute to such air pollution. Under CAA section 213(a)(4),
EPA may also regulate emissions other than CO, NOX, and VOCs from
new nonroad engines and vehicles if EPA determines that such other
emissions significantly contribute to air pollution that may reasonably
be anticipated to endanger public health or welfare. The Nonroad Engine
and Vehicle Emission Study (hereafter, ``Nonroad Study'') required by
section 213(a)(1) was completed in November 1991. The Nonroad Study is
available in docket A-91-24. The determination of the significance of
emissions from nonroad engines and vehicles in more than one NAAQS
nonattainment area, required by section 213(a)(2), was proposed on May
17, 1993 (58 FR 28809) and is incorporated by reference into this
proposal. At the same time, the first set of regulations for a class or
category of nonroad engines that contribute to air pollution, required
by section 213(a)(3), was proposed (58 FR 28809) for new nonroad
compression-ignition (CI) engines at or above 37 kilowatts (kW).
Today's action continues to implement section 213(a)(3); it proposes
emission standards for nonroad spark-ignition (SI) engines at ornd
below 19 kW (25 horsepower) (hereafter, ``small SI engines''), another
class or category of nonroad engines that contributes to air pollution.

Background

On the basis of the Nonroad Study, EPA has proposed its
determination that emissions of CO, NOX, and VOCs from nonroad
engines and vehicles contribute significantly to ozone or CO in more
than one NAAQS nonattainment area (see 58 FR 28809, May 17, 1993).
According to the Nonroad Study, nonroad engines and vehicles contribute
an average of ten percent of summer VOCs in the 19 ozone nonattainment
areas included in the study. Small SI engines are the source of half of
those nonroad summer VOC emissions. In the 16 CO nonattainment areas
included in the study, nonroad engines and vehicles account on average
for nine percent of winter CO emissions. Small SI engines are the
source of 56 percent of the nonroad winter CO contribution, according
to the study.
Since March 1992, EPA has held several public workshops and
meetings to solicit information on technical characteristics,
emissions, potential regulatory strategies, and general regulatory
issues related to small SI engines. Public notice of such meetings may
be found in the docket for this rulemaking.
At the March 1992 public workshop, the Engine Manufacturers
Association and the Outdoor Power Equipment Institute encouraged
federal regulation of nonhandheld small SI engines and expressed
interest in working in a cooperative program with EPA to develop
regulations by November 1993. Likewise, the Portable Power Equipment
Manufacturers Association encouraged federal regulation of portable 2-
stroke power equipment and expressed interest in working cooperatively
with EPA.
Industry's interest in federal regulation of small SI engines may
be traced to California's efforts to develop a statewide regulatory
program. CAA section 209(e)(2) authorizes California to enforce
emission standards for certain nonroad engines if: (1) California
determines that such standards will be, in the aggregate, at least as
protective of public health and welfare as applicable Federal
standards, and such standards are not arbitrary and capricious, (2)
California needs such standards to meet compelling and extraordinary
conditions, and (3) California standards and accompanying enforcement
procedures are consistent with section 209(e)(2). (See 58 FR 45866,
September 6, 1991, for EPA's Notice of Proposed Rulemaking for
implementing section 209(e). This rulemaking is ongoing and the exact
criteria for EPA granting an authorization to California will be
prescribed in the final section 209(e) rule. Definitions of farm and
construction equipment are also provided in this section 209(e) rule.)
CAA section 209(e)(2) also authorizes other states to opt into
California standards. The California Air Resources Board (CARB) has
adopted standards for nonroad lawn and garden and utility SI and CI
engines from 0-25 horsepower (0-19 kilowatts). EPA is currently
reviewing CARB's section 209(e) authorization request for its lawn and
garden and utility rule. A decision will be issued once EPA's section
209(e) procedural rule is finalized. There is potential for other
states to adopt the California standards, which are scheduled to become
effective in 1995, if EPA decides to approve California's waiver
request.
Following the March 1992 workshop, EPA determined that setting
emission standards for the small SI engine category might be suitable
for a consultative approach to rulemaking, such as negotiated
rulemaking. The Negotiated Rulemaking Act (5 U.S.C. 581-590)
establishes a framework for conducting negotiated rulemaking. Under
that Act, in deciding whether to conduct a negotiated rulemaking, the
head of an agency must consider several factors, including whether, at
the preproposal stage of development, the number of identifiable
parties who would come to the negotiating table is relatively limited,
the number of specific issues for which sufficient information and
technology is in hand for resolution is limited, and a time-forcing
factor exists that lends an air of urgency to issuance of the rule in
question. Negotiations are conducted through a committee chartered
under the Federal Advisory Committee Act (5 U.S.C. App. II section
9(c)). The goal of a regulatory negotiation committee is to reach
consensus on the language or issues involved in a rule. If consensus is
reached, it is used as the basis of the Agency's proposal.
EPA initiated a convening process to determine the best way to work
with industry and other interested parties in developing regulations
for small SI engines. The conveners interviewed individuals in
leadership roles in key organizations identified by EPA to determine
what parties were interested in these regulations, what issues were
important to interested parties, and whether a consultative rulemaking
process would be feasible and appropriate. A copy of the convening
report, dated August 24, 1992, is available in the docket for this
rulemaking.
The convening report recommended an exploratory meeting of
interested parties to discuss, but not initiate, a consultative
process. EPA determined that the number of parties who would come to
the negotiating table would be relatively limited, the number of
specific issues for resolution would be limited, sufficient information
and technology would be in hand or could be timely developed for
resolution of issues, and time-forcing factors existed. (See 58 FR
34389, June 25, 1993, for a complete discussion of the application of
the factors in this case.) Time-forcing factors lending an air of
urgency to issuance of the rule include the potential threat to
industry of patchwork regulation if a number of states opt into
California's program in order to attain national air quality goals.
More recently, an air of urgency has been created by the settlement of
Sierra Club v. Browner, Civ. No. 93-0197 NHJ (D.D.C. 1993), which
requires EPA to propose emission standards for small SI engines by
April 1994 and to promulgate such standards by May 1995.
The exploratory meeting recommended in the convening report was
held in Ann Arbor, Michigan on November 16-17, 1992. Participants
decided that state and public interest representatives needed more
technical information to fully understand some of the regulatory issues
participants might face. It was also decided that another meeting was
necessary to discuss the potential design of a consultative process for
a small SI engine rulemaking. The technical briefing for state and
public interest representatives was conducted in Ann Arbor on December
16, 1992. On January 28-29, 1993, a meeting to discuss consultative
process design was held in Ann Arbor.
At the January meeting, it was suggested that EPA consider a two-
phased approach to regulation of small SI engines. In the suggested
first phase, EPA would propose regulations for new small SI engines
through the normal regulatory process rather than a consultative
process. It was suggested that Phase 1 regulations could be similar to
California's Regulation for 1995 and Later Utility and Lawn and Garden
Equipment Engines, modified as necessary to meet CAA requirements. (For
example, EPA's proposal could modify CARB's program by including
engines preempted from regulation in California.) The Phase 1 proposal
would be completed as soon as possible, but no later than the spring of
1994. The final rule would be promulgated no later than spring of 1995.
The suggested second phase of regulation could be developed through the
consultative process of regulatory negotiation. It could include issues
such as useful life, in-use emissions, evaporative emissions, refueling
emissions, test procedure, and market-based incentive programs.
Negotiations could begin in Fall 1993 and continue for approximately 18
months.
EPA has decided to proceed with the phased approach. Today's action
proposes the first phase of regulation for new small SI engines. The
data that supports the proposed emission standards and the technology,
cost, and benefits assessments for this proposal are outlined herein
and in the draft Regulatory Support Document (RSD), a copy of which is
located in the public docket for this rulemaking. EPA does not
currently have sufficient data to establish useful life standards or an
in-use liability program. However, rather than lose the potential early
emission benefits while EPA develops the data necessary to establish
useful life and in-use liability, EPA is choosing to claim those early
benefits in this first phase of new small SI engine regulation and to
continue developing the data necessary for the second phase of small SI
engine regulation. EPA believes that the potential for early benefits
to public health and the environment provided by the first phase of
emission standards is of sufficient magnitude to postpone
determinations of useful life and in-use liability until the second
phase of rulemaking. The phased approach to regulation of small SI
engines is incorporated in the Sierra Club v. Browner settlement, a
copy of which is available in the public docket for this rulemaking.

IV. Requirements of the Proposed Rule

The general provisions of this rule, as well as the rationale for
the key parts of this proposal, are briefly described in the following
section.

A. Overview

EPA proposes to regulate emissions of hydrocarbons (HC), NOX,
and CO from certain new nonroad spark-ignition engines that have a
gross power output at and below 19 kW.\1\ A spark-ignition engine is an
internal combustion engine in which the air/fuel mixture is ignited in
the combustion chamber by an electric spark.
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\1\To convert kilowatts to horsepower multiply kW by 1.34 and
round to the same number of significant digits. For example 3.5
kW x 1.34=4.7 hp.
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The scope of this rule would encompass a broad range of small SI
engine applications, including farm and construction equipment, which
individual states are preempted from regulating under section 209(e)(1)
of the CAA. Exclusions from the rule are detailed below.
Under this proposal, exhaust emissions from new small SI engines
could not exceed levels for a given engine class as listed in Table 1.
Engine classes would be specified both by engine displacement, as
measured in cubic centimeters (cc), and by the type of equipment the
engine powered--either handheld or nonhandheld. Five engine classes are
being proposed today. Each has a unique set of emission standards.
Nonhandheld engine classes would be: Class I--engines less than 225 cc
in displacement; and Class II--engines greater than or equal to 225 cc
in displacement. Engines powering equipment defined as handheld would
be classified as Class III, IV, or V: Class III--engines less than 20
cc in displacement; Class IV--engines equal to or greater than 20 cc
and less than 50 cc in displacement; and Class V--engines equal to or
greater than 50 cc in displacement. Emission standards being proposed
today are considered Phase 1 new small SI engine standards.

Table 1--Exhaust Emission Standards
[Grams per kilowatt hour]
------------------------------------------------------------------------
Hydrocarbon Oxides
Engine class plus oxides Hydrocarbon Carbon of
of nitrogen monoxide nitrogen
------------------------------------------------------------------------
I......................... 16.1 ........... 402 ........
II........................ 113.4 ........... 402 ........
III....................... ........... 295 805 5.36
IV........................ ........... 241 805 5.36
V......................... ........... 161 402 5.36
------------------------------------------------------------------------

The rule would explicitly exclude from regulation the following
small SI engines:
(1) Engines used to propel marine vessels as defined in the General
Provisions of the United States Code, 1 U.S.C. 3 (1992). A ``vessel''
includes every description of watercraft or other artificial
contrivance used, or capable of being used, as a means of
transportation on water. 1 U.S.C. 3 (1992).
(2) Engines used in underground mining or engines used in
underground mining equipment and regulated by the Mining Safety and
Health Administration (MHSA). See 30 CFR parts 7, 31, 32, 36, 56, 57,
70, and 75.
(3) Engines used in motorcycles and regulated in 40 CFR part 86,
subpart E.
(4) Engines used in aircraft as that term is defined in 40 CFR
87.1(a).
(5) Engines used in recreational vehicles, which are defined as
engines which have no installed speed governor and which have a rated
speed of greater than or equal to 5,000 revolutions per minute (RPM).
Engines used in recreational vehicles are not used to propel marine
vessels and do not meet the criteria to be categorized as a Class III,
IV, or V engine under this rule.
This rule proposes the following regulatory scheme:
Designation of product lines into groups of engines with
similar emission characteristics (such groups are called engine
families),
Manufacturer emission testing of selected engines with a
specified test procedure to demonstrate compliance with new engine
emission standards,
Labeling of engines, and alternatively, equipment labeling
if the engine label becomes obscured when placed in the equipment,
Submission of an application for certification for each
engine family,
Inclusion of various certification requirements such as
the prohibition of defeat devices,
Issuance of an emission certificate of conformity for each
engine family,
Prohibition against offering for sale in the United States
engines not certified by EPA,
Requirement that equipment manufacturers use the
appropriate handheld or nonhandheld certified engine in their
equipment,
Recordkeeping and reporting requirements,
EPA Administrator testing provisions,
Design warranty provisions and prohibition on tampering,
Inclusion of all farm and construction engines, state
regulation of which is preempted under the CAA,
Development of an engine manufacturer's program to
evaluate in-use emission deterioration,
Requirement that if catalysts are used in an engine
family, catalyst durability must be confirmed by means of the
evaluation procedure that is specified in this notice,
Defect reporting and voluntary recall,
Importation provisions,
General prohibitions and enforcement provisions, and
Production line Selective Enforcement Auditing (SEA).
Certain elements of EPA's on-highway program are not being proposed for
this Phase I rule including:
No certification requirement for engine durability
demonstration,
No performance warranty,
No averaging, banking, and trading program, and
No useful life determination and no in-use enforcement.

B. General Enforcement Provisions

EPA, as authorized in the CAA, would enforce nonroad standards in a
manner similar to on-highway standards. Section 213(d) of the Act
provides that the standards promulgated under 213 ``shall be subject to
sections (206, 207, 208, and 209), with such modifications of the
applicable regulations implementing such sections as the Administrator
deems appropriate, and shall be enforced in the same manner as
standards prescribed under section (202).'' Section 206 specifies
requirements for motor vehicles and motor vehicle engine compliance
testing and certification; section 207 requires manufacturers to
warrant compliance by motor vehicles and motor vehicle engines in
actual use; section 208 requires recordkeeping by manufacturers of new
motor vehicles or new motor vehicle engines and authorizes EPA to
collect information and require reports; and section 209 preempts
states and political subdivisions from adopting or enforcing standards
relating to emission control, certification, or inspection of new motor
vehicles or new motor vehicle engines, unless specifically authorized
to do so by EPA.
Pursuant to this authority, EPA is proposing in today's action
regulations that require manufacturers of new small SI engines to
obtain certification and that subject them to Selective Enforcement
Auditing. Any manufacturer of a new small SI engine would be
responsible for obtaining from the Administrator a certificate of
conformity covering any engine introduced into commerce in the United
States.
The Agency is also proposing certain prohibited acts and general
enforcement provisions similar to those for on-highway vehicles under
sections 203, 204, 205, and 208 of the CAA.
Section 203 specifies prohibited acts; section 204 provides for
federal court injunctions of violations of section 203(a); section 205
provides for assessment of civil penalties for violations of section
203; and section 208 provides the Agency with information collection
authority. The general enforcement language of section 213(d) provides
the Agency's authority for applying section 203, 204, 205, and 208 of
the CAA to new small SI engines and equipment.
As applied to nonroad engines, vehicles and equipment under section
213(d), Phase 1 prohibited acts would include, but would not be limited
to:
An engine manufacturer's introduction into commerce of new
small SI engines that are not covered by a certificate of conformity
issued by EPA,
The introduction into commerce of new small SI equipment
and vehicles which do not incorporate the appropriate nonhandheld or
handheld certified nonroad engine,
Tampering with emission control devices or elements of
design installed on or in a small SI engine, and
Failure to provide information to the Agency if requested.

EPA is also proposing regulations, under the authority of section 205
of the Act, which set forth the maximum statutory penalties for
violating the prohibitions.
EPA is proposing general information collection provisions similar
to current on-highway provisions under section 208 of the Act which
would include, but would not be limited to, the manufacturer's
responsibility to provide information to EPA, perform testing if
requested by EPA, and maintain records. In addition, EPA is proposing
emission system defect reporting regulations which require
manufacturers to report to EPA emission system-related defects that
affect a given class or category of engines. EPA enforcement personnel
would be authorized to gain entry and access to various facilities
under section 208 and today's action proposes these entry and access
provisions.
This rule's information requirements are similar to those proposed
in the nonroad large compression-ignition (CI) rule,\2\ but reduced
from the on-highway program requirements. EPA requests comment on
whether patterning the small SI engine information requirements after
the nonroad large CI rule is appropriate for the manufacturers of small
nonroad engines. In particular, EPA request comments on whether there
are more efficient or more effective ways than those proposed for
manufacturers to create, maintain, and report this information; whether
electronic data interchange (EDI) is a common practice within this
industrial sector; and whether EPA should consider using EDI or any
other technology in its information collection to reduce the burden and
costs of compliance.
---------------------------------------------------------------------------

\2\See Control of Air Pollution; Emissions of Oxides of Nitrogen
and Smoke From New Nonroad Compression-Ignition Engines at or above
50 Horsepower, 58 FR 28809 and 51595 (May 17, 1993).
---------------------------------------------------------------------------

EPA is authorized under section 217 of the CAA to establish fees to
recover compliance program costs associated with section 206 and 207.
EPA will propose to establish fees for today's nonroad compliance
program at some future time, after this rule has been promulgated and
associated costs are determined.

C. Program Description and Rationale

This section describes several features of EPA's proposed Phase 1
small SI engine, vehicle and equipment compliance program and EPA's
rationale for including these features in the program. Specific issues
related to the proposed program which require in- depth discussion are
presented in ``V. Discussion of Issues.''
1. Applicability
This rule would apply to new nonroad spark-ignition engines that
have a gross power output at or below 19 kW and are manufactured after
August 1, 1996 for use in the United States. New engines that would be
covered by this rule are used in a large and varied assortment of
vehicles and equipment including lawnmowers, string trimmers, edgers,
chain saws, commercial turf equipment, small construction equipment,
and lawn and garden tractors.
EPA estimates that in the first year of regulation approximately
16,525,000 new engines, or approximately 19.4 percent of the in-use
fleet, would be subject to this regulation. See Chapter 4 of the draft
Regulatory Support Document (hereafter, draft RSD) for this
rulemaking.\3\
---------------------------------------------------------------------------

\3\A copy of the draft RSD may be found in the docket for this
rulemaking.
---------------------------------------------------------------------------

EPA is proposing to require certification of new small SI engines,
not the vehicle or equipment which houses such engines. First, small SI
engines are used in a variety of applications. EPA believes it is
inappropriate to mandate that a specific SI engine be manufactured for
any given application. Second, the number of manufacturers and the
diversity of vehicles and equipment in which small SI engines are used
would present clear administrative problems. Regulating primarily by
vehicle or equipment type would dramatically increase administrative
cost associated with this rule with no comparable reduction in
emissions. EPA is, however, proposing to require that vehicle and
equipment manufacturers and importers use the appropriate certified
nonroad engines in their vehicles and equipment. This requirement is
discussed in ``V.H. Requirements Applicable to Vehicle and Equipment
Manufacturers.''
EPA also considered, but rejected, the idea of including SI engines
above 19 kW in this Phase 1 rule. Engines above the proposed 19 kW
cutoff tend to exhibit different operating cycle characteristics than
small SI engines. This difference necessitates the development of
additional test procedures. EPA does not have sufficient data to
undertake such a development within the timeframe of this Phase 1 rule.
As part of the Sierra Club v. Browner settlement, EPA will determine by
November 1996 whether to undertake a rulemaking which targets emissions
from SI engines over 19 kW.
Certain small SI engines which otherwise would be subject to this
rule would be explicitly excluded from regulation:
(1) Engines used to propel marine ``vessels'' as such term is
defined in 1 U.S.C. 3 (1992). EPA is not including these engines
because they are currently subject to safety regulations by the U.S.
Coast Guard (See 46 U.S.C. 331 and 46 U.S.C. 4302.), and EPA is
developing a separate rulemaking which will propose appropriate methods
of regulating emissions from these engines.
(2) Engines regulated by the Mining Safety and Health
Administration (MSHA) for underground use. EPA is not including in this
proposal engines that are used in underground mining or engines used in
underground mining equipment as regulated by MSHA under the authority
of 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75. MSHA is responsible
for protecting miners from unhealthy levels of air pollution in
underground mines and has issued air quality standards for mines and
standards for NOX and CO emissions from some types of mining
equipment. Although EPA considered applying EPA regulations to these
engines, EPA chose not to include them at this time in order to avoid
dual regulation of these engines.
(3) Engines used in motorcycles and regulated in 40 CFR part 86,
subpart E. EPA has regulated emissions from motorcycles since 1978. A
motorcycle means any motor vehicle with a headlight, taillight, and
stoplight and having two wheels or three wheels and a curb mass less
than or equal to 680 kilograms.
(4) Engines used in aircraft as that term is defined in 40 CFR
87.1(a).
(5) Engines used in recreational vehicles which are defined as
follows: (1) The engine has no installed speed governor; (2) the
engine's rated speed is greater than or equal to 5,000 RPM; (3) the
engine is not used for the propulsion of a marine vessel; and (4) the
engine does not meet the criteria to be categorized as a Class III, IV,
or V engine under this regulation. Recreational vehicles include: All-
terrain vehicles, off-road motorcycles, snowmobiles, and go-karts.
These engines are being excluded for several reasons: First, the duty
cycle is completely different from most small SI engine applications.
These engines experience highly transient operation and likely will
require completely different test procedures for purposes of emission
control testing. Second, they are designed to emphasize power output;
thus, they are typically designed to run at much higher RPMs than other
small SI engines. EPA invites comments on other criteria which may be
utilized in defining the class of nonroad engines which propel
recreational vehicles.
2. Exclusions and Exemptions to Today's Proposal
Pursuant to section 203(b)(1) of the CAA, the Agency is proposing
additional categories of exemptions from new small SI engine regulation
similar to the exclusions and exemptions that exist for on-highway
engines and that have been proposed in the nonroad large CI engine
rule. These include exemptions for purposes of research,
investigations, studies, demonstrations, training, or for reasons of
national security. Exemptions would be obtained either categorically,
that is without application to the Administrator, or by submitting a
written application to the Administrator. Export exemptions and
manufacturer-owned engine exemptions would be granted without
application. Testing exemptions, display exemptions, and national
security exemptions would be obtained by application.
Exclusions from this regulation include nonroad engines that are
used solely for competition or for combat.
Exemptions and exclusions are justified in these cases because the
sources are limited in number or scope, so minimal environmental harm
results; the particular use of the source is determined to further air
quality research; and/or the exemption is vital to the security of the
nation. (See 39 FR 10601, March 21, 1974.)
3. Effective Date for Certification
EPA is proposing that certification of new small SI engines begin
in 1996. Manufacturers of engines produced on or after August 1, 1996,
would be required to obtain from the Administrator a certificate of
conformity covering the engine family. The certificate would be
obtained prior to selling, offering for sale, introducing into
commerce, or importing into the United States the new engine.
While the small SI engines affected by this proposal include a
broad range of engine types, EPA believes that the effective date for
the proposed standards is reasonable and technologically feasible and
that engine manufacturers will be able to implement these regulations
within the short lead time provided under this rule. This issue is
discussed, in detail, in ``V.I. Effective Date.'' Further, an August 1,
1996 effective date is consistent with the Congressional mandate found
in section 213(c) of the Clean Air Act which requires that, ``Standards
* * * shall take effect at the earliest possible date considering lead
time necessary to permit the development and application of the
requisite technology * * *''
4. Emission Standards
Section 213(a)(3) of the CAA states that nonroad emissions
standards:

* * * shall achieve the greatest degree of emission reduction
achievable through the application of technology which the
Administrator determines will be available for the engines or
vehicles to which such standards apply, giving appropriate
consideration to the cost of applying such technology within the
period of time available to manufacturers and to noise, energy, and
safety factors associated with the application of such technology.
In determining what degree of reduction will be available, the
Administrator shall first consider standards equivalent in
stringency to standards for comparable motor vehicles or engines (if
any) regulated under section 7521 of this title, taking into account
the technological feasibility, costs, safety, noise, and energy
factors associated with achieving, as appropriate, standards of such
stringency and lead time * * *.

The emission standards being proposed for this Phase 1 small engine
regulation are listed in Table 1 in the Overview Section. The proposed
emission standards result in significant emission reductions in the
near term while work is going on to develop more stringent Phase 2
standards and while manufacturers work to design engines and equipment
capable of meeting lower standards at a later date.
EPA believes these proposed emission standards represent the
greatest emission reductions achievable given the short lead time prior
to this rule's effective date and the technology available during this
period. Requiring more stringent Phase 1 emission standards than those
proposed today would necessarily delay implementation of new small SI
engine standards by at least two years. This additional lead time would
be needed to allow manufacturers time to redesign engines and equipment
to accommodate requirements of more sophisticated technologies. Air
quality benefits which will accrue under the proposed emission
standards are large and meet the statutory criteria for nonroad
standards required by the CAA. These benefits are discussed in Section
VI of this preamble.
In determining the appropriate level of emission standards to
propose, EPA initially considered, as required in the CAA, comparable
motor vehicle standards. Due to technological constraints present in
small engines, EPA believes that promulgating emission standards
comparable with motor vehicle standards in a Phase 1 rule is not
technologically achievable. See chapter 1 of the draft RSD for further
discussion of small SI engine technological constraints.
In proposing these emission standards, EPA has also considered
potential safety and noise issues. Of concern is 36 CFR 261.52 which
directs the Forest Service to prohibit the operation or use of any
handheld internal or external combustion engine without a spark-
arresting device properly installed, maintained, and in effective
working order. The Forest Service also requires that multipositional
small engines used on federal park lands have exposed exhaust system
surface temperatures not exceeding 550 deg.C. Exhaust gas temperatures
may not exceed 475 deg.C.
The type of engine changes EPA expects as a result of the proposed
emission standards will not present a safety concern. Only catalytic
converters designed to produce high conversion efficiencies can
generate sufficient exotherms to raise exhaust system skin temperatures
to a level that might present a safety problem. Manufacturers have
indicated that they will not use catalytic converters to meet the
proposed emission standards for most product lines. EPA estimates that
up to 30 percent of engines in Class I may need low efficiency
catalysts to meet the standards. However, one manufacturer stated that
the exotherm generated by these low efficiency catalysts will not
affect exhaust system skin temperatures sufficiently to warrant more
advanced heat dissipation and heat shield technologies.
Noise levels of small SI engines will not be allowed to increase as
a result of the proposed emission standards. The type of engine changes
EPA expects to see among current engine designs to meet the proposed
emission standards are not expected to impact noise levels. The primary
source of noise from nonroad small engines originates from combustion
and the moving parts in the engine, such as the piston, valve train,
and so forth. Noise from combustion is controlled primarily through the
engine muffler. EPA believes the principal method to be used by all
engine manufacturers to meet the proposed emission regulation will be
leaner air/fuel ratios. Noise levels in future engines which meet the
proposed regulations must, therefore, not exceed that of current
production engines.
EPA requests comment on the possible impact of this proposed
regulation on both engine noise and safety.
In EPA's judgment, section 213(a)(3)'s requirement that EPA
regulate emissions from those classes or categories of new nonroad
engines which cause, or contribute to concentrations of ozone in
nonattainment areas allows EPA to set emission standards for HC, rather
than VOCs in general, as EPA believes that HC emissions from small
gasoline engines are those that cause or contribute to ozone
nonattainment concentrations. In addition, regulating HC rather that
VOCs would be consistent with on-highway practice. EPA requests comment
on this proposed approach.
In the Nonroad Study, EPA described VOCs as any compounds
containing carbon and hydrogen or containing carbon and hydrogen in
combination with any other element which has a vapor pressure of 1.5
pounds per square inch absolute or greater under actual storage
conditions.
HCs contain both hydrogen atoms and carbon atoms but no other atoms
and are a subset of VOCs. For small SI engines, based on engines tested
by Southwest Research Institute under contract with EPA, HCs make up
more than 99 percent of the VOCs emitted from these engines. Less than
one percent of the measured VOC emissions are from constituents other
than HC emissions (aldehydes and ketones were the measured non-
hydrocarbon constituents in this case).
In general, the types of emission controls employed to reduce HC
emissions also reduce emissions of non-hydrocarbon VOCs. Therefore, in
the case of small SI engines, setting emission limits for HC emission
accomplishes essentially the same overall reduction in VOC emission as
would setting emission limits for VOCs. Of course reductions in the
individual non- hydrocarbon VOC species varies, as does the individual
hydrocarbon species.
5. Engine Classes
The category of small SI engines is very complex and comprises a
wide range of engines used in a broad spectrum of equipment. EPA
proposes to adopt a ``class'' structure for this Phase 1 regulation. In
determining which class of emission standards a particular engine must
meet, an engine's end use or application must be determined. This rule
proposes two broad use categories--nonhandheld and handheld.
Nonhandheld engines would be required to meet either Class I or Class
II standards while handheld engines would have to meet either Class
III, IV, or V emission standards. Once the applicable use category is
determined, the engine class would be selected on the basis of engine
displacement as measured in cubic centimeters (cc).
Each engine class would have unique emission standards. EPA is
proposing five engine classes: Class I--small nonhandheld engines less
than 225 cc in displacement; Class II--small nonhandheld engines
greater than or equal to 225 cc in displacement; Class III--small
handheld engines less than 20 cc in displacement; Class IV--small
handheld engines equal to or greater than 20 cc to less than 50 cc in
displacement; Class V-- small handheld engines equal to or greater than
50 cc in displacement.
Class I engines are overwhelmingly found in lawnmowers. Class II
engines primarily include engines used in generator sets, garden
tractors, and commercial lawn and garden equipment.
Only engines used in equipment defined as handheld would be allowed
to meet Class III, IV, or V emission standards. Class III includes
engines used in consumer handheld products, such as small string
trimmers, edgers, and brush cutters. Class IV encompasses engines used
in both residential and commercial settings and includes large
trimmers, edgers, blowers, and chain saws. Class V includes a majority
of engines utilized in commercial chain saws.
EPA is proposing five separate engine classes based on a number of
factors. First, some types of equipment are currently powered
exclusively by 2-stroke engines. EPA estimates that as much as 90
percent of 2-stroke engines are utilized in handheld equipment. These
current handheld 2-stroke engines incorporate a technology which is
inherently more polluting than current 4-stroke engine technology and
which results in 2-stroke engines experiencing a higher concentration
of hydrocarbons in their exhaust. EPA's view is that it is not
technologically feasible to apply the nonhandheld Class I and II engine
standards to handheld engines in this Phase 1 rule; therefore the need
arises for Class III, IV, and V handheld engine standards. Differences
in stringency between classes III, IV, and V are due to the fact that
energy-specific emissions generally increase as engine size decreases.
This principle is also true in the case of engines used in nonhandheld
applications and meeting emission standards of either classes I or II.
See discussion in the draft RSD. Finally, the engine classification
approach for Phase 1 harmonizes federal small engine regulations with
California's lawn and garden regulations.
In summary, it is EPA's view that the emission standards proposed
today for handheld and nonhandheld engines and reflected in the five
engine class categories represent the greatest emission reduction
achievable for this Phase 1 rule.
6. Handheld Engine Qualifications
To qualify as a handheld engine under this proposal, the small SI
engine would be required to meet at least one of the following three
requirements:
(1) The engine must be used in a piece of equipment that is carried
by the operator throughout the performance of its intended function(s).
This is meant to encompass such equipment as lightweight leafblowers,
trimmers (both string and hedge), and cutters.
(2) The engine must be used in a piece of equipment that must
operate multipositionally, such as upside down and sideways, to
complete its intended function(s). EPA intends this category to include
all types of chain saws as well as items already listed in the first
requirement.
(3) The engine must be used in a piece of equipment for which the
combined engine and equipment dry weight is under 14 kilograms, no more
than two wheels are present, and at least one of the following
attributes is also present:
(a) The operator must alternately provide support or carry the
equipment throughout the performance of its intended function(s). This
allows lightweight snowblowers that are carried up stairs, or edgers
which are picked up and supported during operation to qualify for
handheld status.
(b) The operator must provide support or attitudinal control for
the equipment throughout the performance of its intended function(s).
This attribute will allow equipment such as lightweight tillers,
augers, cutoff/concrete saws, and edgers to qualify for handheld
status.
(c) The engine is used exclusively in a hand-portable generator or
pump.
For purposes of this section ``support'' would mean that the
operator holds the equipment in position so as to prevent it from
falling, slipping, or sinking. It would not be necessary for the entire
weight of the equipment to be borne by the operator. ``Attitudinal
control'' would mean that the operator regulates either the horizontal
or vertical position of the equipment, or both. ``Carry'' would mean
that the operator completely bears the weight of the equipment,
including the engine.
Section ``V.G. Definition of Handheld Engines'' provides additional
discussion on this issue. EPA believes that this proposed handheld
definition adequately covers those categories of engines which should
be allowed to meet the less stringent handheld engine standards.
EPA requests information regarding specific engine applications
which are not clearly identifiable as handheld or nonhandheld under the
proposed definition. EPA also requests alternative language which could
be incorporated in this definition to clarify the distinction between
handheld and nonhandheld. EPA is particularly concerned that
manufacturers of 2-stroke lawnmowers may attempt to qualify for
handheld status utilizing the second requirement--multiposition
operation. It is not EPA's intent that pushing a lawnmower up and down
hills would qualify as multiposition operation.
7. Standards for Classes I and II
EPA is proposing to adopt one of two options under consideration
for setting standards applicable to Class I and II engines. EPA
requests comments on each of these options.
Option 1: Phase 1 would adopt a combined HC + NOX standard for
engine classes I and II. While engines in classes I and II have high HC
emission rates, most currently produce extremely low levels of
NOX. Due to technological constraints of all small SI engines, HC
reductions would generally come at the expense of increased NOX.
See ``VII. Technology Assessment'' for a discussion of this phenomenon.
However, the resultant overall increase in NOX emission
inventories would be slight relative to the NOX produced by
sources such as nonroad large CI engines. The sensitivity of NOX
emissions to HC control varies greatly between engine designs. EPA
believes that a Phase 1 approach which allows incremental tradeoffs
between HC and NOX controls through a combined standard would be
consistent with EPA's statutory mandate that nonroad engine emission
standards reflect the greatest emission reductions achievable. See
``VII. Technology Assessment'' for further discussion.
To meet the combined standard, a manufacturer would add its HC
emission test result to the NOX test result. This combined number
would then be submitted to EPA. Individual levels of these pollutants
would not be established. The manufacturer would also be required to
meet this combined level during Administrator testing and the SEA
enforcement program. EPA believes that this approach would be workable
for a Phase 1 rule. Setting separate standards for HC and NOX
would be addressed in EPA's Phase 2 regulatory negotiations. For
further discussion of this issue, see ``V. M. HC + NOX Standard
for Class I, II Engines.''
EPA is reluctant to set such a combined standard because it is
extremely concerned that no precedent be set for promulgating combined
emission standards in future rulemakings. EPA's past practice has been
to set separate pollutant standards. EPA is considering the combined
standard approach only for this Phase 1 small SI engine rule because of
limited data availability, the aggressive timeframe of this rule, and
to harmonize with the California lawn and garden regulation.
Option 2: Under this option EPA would set separate Class I and II
emission levels for HC and NOx. Based on information currently
available to EPA, the NOx standard would be approximately 136 percent
higher than current new engine levels, while the HC standard would be
approximately equal to the difference between those levels and the HC +
NOx standards proposed in option 1. EPA requests comment on this
specific option, including industry data which addresses the
appropriate level of both HC and NOx if separate standards were to be
promulgated.
8. Engine Family Categorization
For the purpose of demonstrating emission compliance, EPA is
proposing that manufacturers of small SI engines divide their product
line into groups of engines, called engine families, which are composed
of engines having similar emission characteristics. Small SI engine
families would be determined by using the same criteria (type of fuel,
method of air aspiration, number of cylinders, and so forth) currently
used to define on-highway motorcycle engine families.
To be placed in the same engine family, engines would be required
to be identical in all the following applicable respects:
(1) Combustion cycle,
(2) Cooling mechanism,
(3) The cylinder configuration (inline, vee, opposed bore spacings,
and so forth),
(4) The number of cylinders,
(5) The engine class,
(6) The number of catalytic converters (location, volume, and
composition), and
(7) The thermal reactor characteristics.
At the manufacturer's option, engines identical in all the above
respects could be further divided into different engine families if the
Administrator determined that such engines were expected to have
different emission characteristics. This determination would be based
on a number of features, such as the intake and exhaust valve or port
size, the fuel system, exhaust system, and method of air aspiration.
EPA requests comment on the appropriateness of adding governed
engine RPM range as a criterion for the determination of an engine
family. EPA is concerned that a wide-governed RPM spread in the same
engine family, that is one engine configuration has a no-load governed
speed at 3,200 RPM and another engine configuration has a rated no-load
governed speed of 2,200 RPM, may be a sufficient reason to break up one
engine family into more than one engine family.
9. Compliance With Emission Standards
The test engine(s) representing an engine family would be required
to demonstrate that emissions are less than or equal to each separate
emission standard. If a test engine exceeded any one emission standard
in the applicable class, the engine family would be deemed not in
compliance with emission standards of that class.
EPA is proposing that if catalysts are used in an engine family to
meet the emission standards of this regulation, the engine manufacturer
must affirm that the durability of the catalysts has been confirmed on
the basis of the evaluation procedure that is specified in this notice.
10. Useful Life Period, In-use Enforcement, and Development of an In-
use Testing Program
EPA is not proposing a small SI engine useful life period or an in-
use enforcement program in today's proposal. However, EPA believes that
a critical element in the success of its nonroad program is assuring
that manufacturers build engines that continue to meet emission
standards throughout the engine's useful life. While section 213(d) of
the CAA authorizes EPA to enforce emission standards in-use, EPA is
proposing to postpone setting a useful life period and an in-use
enforcement program for small SI engines until the Phase 2 regulations
become effective and, instead, to require in this Phase 1 regulation
that manufacturers test in-use engines. The Phase 2 rulemaking for
small SI engines is under a court-ordered deadline and must be
promulgated by April 30, 1997.
EPA is not proposing a Phase 1 useful life period for several
reasons. Only limited testing data is currently available on in-use
performance of small SI engines. Additional data would be provided by
the in-use testing program described below. Second, EPA does not
believe that emission controls proposed for Phase 1 will experience
significant deterioration beyond normal engine deterioration, although
this area needs more research. For further discussion of these issues
see ``V.P. Applicability of In-Use Standards'' and ``V.Q. In-Use
Testing Requirements.''
The proposed in-use testing requirement is intended to parallel in-
use testing previously or currently conducted by industry. While
manufacturers and their associations have proposed that EPA adopt a
cooperative testing program, EPA believes cooperative programs would
not adequately or as effectively achieve the goals of this in-use
program. See ``V.Q. In-Use Testing Requirements.''
EPA is proposing that engine manufacturers test a sample of in-use
engines. In the absence of in-use emission standards, EPA believes this
testing requirement would be invaluable for manufacturers and EPA to
learn about in-use emissions and emission deterioration. Although EPA
would not enforce in-use emission standards for Phase 1 engines, EPA
expects that manufacturers would take appropriate actions to prevent
recurrence of in-use noncompliance and to also remedy in-use
noncompliance when it was discovered.
At the time of certification the engine manufacturer would propose
which engine families are to be included in the in-use test program.
The certificate of conformity issued by EPA for engine families
included in the in-use testing program would be conditional based on
completion of the test program for that family. EPA would approve a
manufacturer's test program if the selected engine families represented
an adequate consideration of the elements discussed below.
Number of engines to be tested: The number of small SI engines to
be tested by a manufacturer would be determined by the following
method:
For an engine manufacturer with total projected annual production
of more than 75,000 small SI engines, the minimum number of engines to
be tested will be the lowest of the numbers determined in (1), (2), or
(3) below:
(1) Divide the manufacturer's total projected annual production of
small SI engines by 50,000, and round to the nearest whole number,
(2) Test five engines each from 25 percent of all small SI engine
families certified in that model year,
(3) Test three engines each from 50 percent of all small SI engine
families certified in that model year.
An engine manufacturer with total projected annual production of
75,000 small SI engines or less must test a minimum of two engines.
Criteria for selecting test engines: An engine manufacturer would
be required to select test engines from engine families utilizing the
following criteria and in the order specified:
(1) Engine families using emission technology which may be used on
phase 2 engines,
(2) Engine families using aftertreatment,
(3) Engine families certified to different emission standards,
(4) Different engine designs (such as side valve versus overhead
valve engines),
(5) Engine families using emission control technology specifically
installed to achieve compliance with Phase 1 standards,
(6) The engine family with the highest projected annual sales, and
(7) Engine families which meet the above criteria, but have not
been included in prior model year in-use testing programs as required
by these provisions.
Collection and testing of in-use engines: An engine manufacturer
would be required to procure in-use engines which have been operated
for between half and three-quarters of the engine's advertised (or
projected) useful life. All testing would be completed within three
years after the certificate is issued or is effective, whichever is
later, for an engine family which requires in-use testing.
A test engine would be procured from sources not associated with
the engine manufacturer or equipment manufacturer, except that, with
prior approval of the Administrator, an engine manufacturer with annual
sales of less than 50,000 engines might obtain in-use engines
associated with itself or its equipment manufacturer.
A test engine would be required to have a maintenance history
representative of actual in-use conditions. To comply with this
requirement a manufacturer would question the end user regarding the
accumulated usage, maintenance, operating conditions, and storage of
the test engine.
The manufacturer would perform minimal set-to-spec maintenance on a
test engine. Maintenance would include only what is listed in the
owner's instructions for engines with the amount of service and age of
the acquired test engine. One valid emission test would be required for
each in-use engine. Finally, if a selected in-use engine failed to
comply with any applicable certification emission standards, the
manufacturer would be responsible for determining the reason for
noncompliance.
In-use test program reporting requirements: The manufacturer would
be required to submit to the Administrator by January 30 of each
calendar year all emission testing results generated from the in-use
testing program. At the Administrator's request, a manufacturer would
be required to provide documents used in the procurement process,
including criteria used in the procurement screening process and
information from the end user(s) related to use, maintenance, and
storage of the selected engines.
EPA is aware that engine manufacturers may have near-term concerns
regarding testing capacity and the burden this type of program may
impose on a newly regulated industry. EPA requests comments on the lack
of in-use standards, the lack of in-use enforcement, all elements of
this proposed testing requirement, and on possible alternative designs
of in-use testing programs (such as a joint program between
manufacturers and EPA) or enforcement that may be more effective,
giving consideration to the limited lead time and duration of the Phase
1 program.
11. Certificate of Conformity, Requirements of Certification
Any manufacturer of a small SI engine would be responsible for
obtaining from the Administrator a certificate of conformity covering
any engine introduced into commerce in the United States, before such
an engine is sold, offered for sale, introduced or delivered for
introduction into commerce, or imported into the United States.
Section 203 of the CAA does not prohibit the production of vehicles
or engines before a certificate of conformity is issued. Vehicles or
engines produced prior to the effective date of a certificate of
conformity might also be covered by the certificate if the following
conditions were met:
The engine conformed in all respects to the engines
described in the application for the certificate of conformity.
The vehicles or engines were not sold, offered for sale,
introduced into commerce, or delivered for introduction into commerce
prior to the effective date of the certificate of conformity.
The Agency was notified prior to the beginning of
production when such production would start, and the Agency was
provided full opportunity to inspect and/or test the engines during and
after their production. For example, the Agency would have the
opportunity to conduct SEA production line testing as if the engines
had been produced after the effective date of the certificate.
EPA is proposing that a number of requirements be met by the engine
manufacturer prior to granting a certificate of conformity. As is the
case for on-highway vehicles and engines, the proposed regulations
would make it illegal for any person to use a device on a nonroad
engine which senses operation outside normal emission test conditions
and reduces the ability of the emission control system to control the
engine's emissions. To guard against use of these devices, EPA would
reserve the right to require testing of a certification test engine
over a modified test procedure if EPA suspected a defeat device was
being used by an engine manufacturer on a particular engine. In
addition, use of defeat devices would be considered a prohibited act
subject to civil penalties.
Engines equipped with adjustable operating parameters would have to
comply with all the regulations with the parameters adjusted to any
setting in the full range of adjustment. For example, this could
include adjustment of the high-speed needle for alteration of the air/
fuel ratio or adjustment of the speed set screw. This would ensure that
changes to the adjustable operating parameters that might readily occur
in use would not cause the engine to fail to comply with these
regulations.
EPA is proposing to require that manufacturers label each engine
and that the label meet the same requirements with respect to
durability and visibility as required in the current on-highway
program. The engine manufacturer would be responsible for proper
labeling of engines from each engine family. In addition, EPA is
proposing labeling requirements for vehicle and equipment manufacturers
if the engine label is obscured.
EPA is also proposing that each engine must have a unique engine
identification number which may be part of the engine label or engraved
on the engine. Such identification is necessary for tracking individual
engines. Use of engine identification numbers would facilitate setting
up a tracking system and allow manufacturers to sample in-use engines
for their programs. This identification would be essential for
development of a long-term in-use durability program. EPA requests
comment on the labeling proposal as well as on current engine
identification practices within the industry.
Finally, EPA also proposes to require that all engine crankcases
must be closed to preclude the emissions that occur when a crankcase is
vented to the atmosphere. Since most currently produced engines do have
closed crankcases, EPA believes this requirement would impact
relatively few manufacturers. Finally, small SI engine noise levels
would not be allowed to increase as a result of this rule.
EPA requests comment on these proposed certification requirements.
While EPA is today proposing vehicle and equipment manufacturer
labeling responsibilities, EPA is considering whether to instead make
engine manufacturers responsible for ensuring that the emission control
label is visible once the certified engine is incorporated into a given
piece of nonroad equipment. EPA requests comment on this specific issue
as well.
12. Vehicle/Equipment Manufacturer Requirements
Commencing on this rule's effective date, manufacturers of small SI
vehicles and equipment and importers would be prohibited from
introducing into U.S. commerce any vehicle or equipment powered by a
small SI engine which does not incorporate the appropriate certified
handheld or nonhandheld engine. Failure to do so would make the
equipment manufacturer liable for the assessment of civil penalties.
EPA is proposing this requirement because it is concerned that engines
certified to meet handheld engine standards may in fact be used in
nonhandheld equipment. This would significantly and negatively impact
air quality benefits which are to accrue as a result of this rule. Due
to the potential for engines in different categories to be substituted
for one another, this prohibition would ensure that the regulated
engines are used in appropriate applications.
As noted above, EPA is proposing to require that the original
emission control engine label is visible once the certified engine is
placed in the vehicle or equipment. If the engine label is obscured as
a result of the vehicle or equipment manufacturer's placement of the
engine in the nonroad vehicle or equipment, the vehicle or equipment
manufacturer would be required to attach an identical but supplemental
label, in a readily visible location on a part necessary for normal
vehicle or equipment operation before it is introduced into United
States commerce.
Section 213 gives EPA the authority to require nonroad equipment
manufacturers to use certified nonroad engines. For further discussion,
see ``V.F. Nonroad Engine and Vehicle Definitions.''
13. Certification Procedures--Application Process
The engine manufacturer would be required to submit an application
to EPA requesting a certificate of conformity for each engine family
for every model or calendar year. Certificates would be issued to cover
production for a single model year. See ``V. W. Duration of
Certificates of Conformity, Definition of Model Year, Annual Production
Period'' for further discussion of these issues. An application for a
certificate would be submitted every model year even when the engine
family does not change from the previous certificate, although
representative test data could be reused in the succeeding model year's
application. If the emissions from the test engine were below the
applicable standards and EPA believed that all other requirements of
the regulation were met, EPA would issue a certificate of conformity
for that engine family.
The application would need to provide EPA with sufficient
information to determine the appropriate test results and emission
characteristics of the engine family. It would also allow EPA to
determine test engine compliance with the applicable emission standards
in a timely manner. It would be important that the engine manufacturer
succinctly, fully, and accurately submit all pertinent information to
EPA and maintain internal records which could be easily accessed if
such access is determined to be necessary by EPA.
If changes to an engine family configuration occur after the
application is submitted which cause the changed version to be the
engine family's worst case emitter, then emission testing of the
changed version is required. Additionally, the Administrator may
require a manufacturer to conduct testing to demonstrate compliance.
The application would be submitted to the United States
Environmental Protection Agency, Certification Division, Office of
Mobile Sources, 2565 Plymouth Road, Ann Arbor, MI 48105. A second copy
of the application would be forwarded to Manufacturers Operation
Division, Office of Mobile Sources, 401 M St., SW (Mail Code 6405J),
Washington, DC 20460. The application would include the following
information:
A description of the basic engine design including engine
family specifications,
A complete description and explanation of how the emission
control system operates, including a detailed description of all
emission control components, and a listing of the engine and emission
control calibrations,
Part numbers for all emission control components which
might reasonably be expected to affect emissions,
Proposed test engine selection and the rationale for such
a selection,
A description of the test engine starting instructions,
fuel, and lubricants to be used,
A description of the operating cycle and the service
accumulation period necessary to break in the test engine,
A description of all adjustable operating parameters,
Information relating why the physical limits or stops used
to establish the physically adjustable range of each parameter were
effective,
A description of the rated speed(s) and power(s) within
the engine family,
Fuel flow rates for each configuration within the engine
family,
The proposed maintenance instructions, the emission
warranty, and emission control label,
All test data obtained by the manufacturer on the test
engine,
A description of the test facilities, test equipment, and
test procedures,
A section which incorporated any revisions or amendments
to the application, including any production changes,
A list of official manufacturer contacts, organizational
chart, and individual designated to receive the certificate of
conformity,
The projected annual sales for the engine family,
A statement indicating which information in the
application was confidential, and
An unconditional statement certifying that all engines in
the engine family complied with all the requirements of the Clean Air
Act and this regulation.
14. Certification Procedures--Testing Overview and Preliminaries
EPA is proposing that the emission level used to certify an engine
family be equal to the highest emission test level reported for any
engine configuration in that family. The engine manufacturer would be
responsible for selecting and testing one engine from each engine
family which is most likely to be that engine family's worst case
emitter. The criterion for selecting the worst case engine would be
that engine configuration which has the highest weighted brake-specific
fuel consumption over the appropriate engine test cycle. EPA could
verify the test results by requiring Administrator testing of this
engine. EPA would also have the option to test any available test
engine representing other configurations in the engine family.
Before emission testing was carried out, the manufacturer would
perform service accumulation on each test engine over the dynamometer
hour accumulation cycle of its choice based on good engineering
practices (for example, a cycle representative of typical ``break-in''
operation of a new production engine in actual use). For each engine
family, the manufacturer would determine the number of hours required
to stabilize the emissions of the test engine. However, the number of
hours which the manufacturer chose could not exceed 12 hours. EPA does
not believe a break-in time greater that 12 hours is necessary to
stabilize new engine emissions. In addition, this cutoff is necessary
to ensure that EPA gets an equitable view of stabilized emissions over
all engine families which may vary with respect to HC and CO emission
degradation and NOX emission improvement with time. The
manufacturer would maintain, and provide in its application to the
Administrator, a record of the rationale used both in making the
dynamometer cycle selection and in making the service accumulation
hours determination.
The manufacturer would be required to conduct emission tests of
selected engine(s) using the proposed test procedure discussed herein.
Finally, the proposed rule does provide for Administrator approval of
special test procedures if the small SI engine is not capable of being
satisfactorily tested under the proposed test procedures.
15. Certification Procedures--Emission Test Procedure for HC, CO, and
NOX
EPA is proposing a single test procedure with three different test
cycles for measuring HC, CO, and NOx. One cycle would be for all
Class III, IV, and V engines (Cycle C), while two cycles would be
possible for Class I and II engines (Cycles A and B).
Cycle B would only be used for those Class I and II engine families
in which 100 percent of the engines were sold with a governor which
maintained engine speed within two percent of rated speed
(rated speed means the speed at which the manufacturer specifies the
maximum rated power of an engine) under all operating conditions. Cycle
B would be a 6-mode steady state cycle consisting of five power modes
at rated speed and one no-load mode at idle speed. For all other Class
I and II engines, the test cycle to be used would be Cycle A. Cycle A
would be identical to Cycle B, except the five power modes would be run
at intermediate engine speed (intermediate speed is defined as 85
percent of rated speed).
For Class III, IV, and V engines, the engine manufacturer would be
required to use Cycle C. Cycle C is a 2-mode steady state cycle
consisting of one power mode (at rated speed) and one no-load mode at
idle speed. The test modes for each cycle would be run in a prescribed
order.
The three test cycles (modes and power settings) documented in the
proposed regulations are based on work performed by the Society of
Automotive Engineer's (SAE) Small Engine Committee. The SAE Small
Engine Committee has published a recommended practice for measuring
gaseous exhaust emissions from small utility engines typically less
than 20 kW. This recommended procedure is known as SAE J1088. Test
Cycles A, B, and C are all taken from J1088. The mode weighting factors
are taken from work performed by CARB.
In addition, the International Standards Organization (ISO) has
published recommended test cycles for measuring exhaust emissions from
reciprocating internal combustion engines. Recommended exhaust gas
measurement procedures and test cycles for reciprocating internal
combustion engines are contained in ISO 8178, Part 4. ISO has three
test cycles for spark-ignition engines less than 20 kW termed G1, G2,
and G3 which are identical to SAE Cycles A, B, and C, respectively.
EPA believes the proposed test procedures are adequate for the
proposed emission standards. The purpose of a certification test
procedure is to adequately represent the emission levels produced by
the test engine when it is used in actual operation. The test procedure
in this proposed rule does this. The 6-mode test cycles (Cycle A and
Cycle B) used for Class I and II engines and the 2-mode cycle (Cycle C)
used for Class III, IV, and V engines were developed by the Society of
Automotive Engineer's Small Engine Committee to cover the broad range
of engine operating conditions seen by small engines. The weighting
factors were developed by CARB using data supplied by the small engine
industry. The weighting factors are intended to be representative of
the modes (speed and power conditions) used by the broad range of small
gasoline engines. The Agency believes these weighting factors are
sufficient for this proposed rule.
The methods used to measure the gaseous emissions of HC, CO, and
NOX for all small engines would be independent of the type of
engine and test cycle. EPA proposes to allow manufacturers to sample
emissions using either the Raw Gas Method (raw) or the Constant Volume
Sampling Method (CVS). Using either method, each test engine would be
stabilized at each mode before emission measurement began. After
stabilizing the power output during each mode, the concentration of
each pollutant, exhaust volume, and fuel flow would be determined. The
measured values would be weighted and then used to calculate the grams
of exhaust pollutant emitted per kilowatt-hour.
SAE J1088 contains a recommended procedure for the measurement of
gaseous emissions using the Raw Gas Method. A recommended testing
procedure, such as SAE J1088 or ISO 8178, by definition allows
sufficient flexibility for individual manufacturers to develop unique
features in their test procedures while still being within the
allowable guidance. This flexibility is not a desirable feature in a
regulatory program where both manufacturers and EPA want to ensure
uniformity between test labs, since conformity and compliance testing
decisions are binding on the parties involved. For this reason, the
test procedures proposed by EPA are not identical to SAE J1088 or ISO
8178, but are compatible with those procedures.
EPA understands the importance of compatibility between the EPA
proposed test procedures and those used to demonstrate emission
compliance for other regulatory agencies within the U.S. and throughout
the world. Compatibility allows a manufacturer to exercise the cost
efficiencies of using one engine configuration to demonstrate emission
compliance in more than one market. EPA has tried to establish a test
procedure that is compatible with both CARB's utility engine test
procedure and with ISO 8178. As a result, EPA expects that a
manufacturer using the resultant EPA procedure would also meet the CARB
and ISO requirements. However, since the SAE and ISO procedures are
recommended practices and do not have stringent test parameter
tolerances, a manufacturer using the SAE or ISO procedure may or may
not meet EPA requirements.
16. Administrator Testing
EPA is proposing Administrator testing provisions that allow EPA
flexibility in determining when and where engine testing may occur.
This is necessary given EPA's limited testing facilities.
Specifically, this provision would allow EPA to require test engine
testing at any given location, including at a manufacturer's facility.
The Administrator would be empowered to require the manufacturer to
make available such instrumentation and equipment that was specified by
the Administrator. Any testing conducted at a manufacturer's facility
would be scheduled by the manufacturer as promptly as possible.
Authorized EPA personnel would be given access to the facilities to
observe such testing.
17. Catalyst Durability
EPA expects the emission controls used to meet the exhaust emission
standards specified in this rulemaking to be durable so that emission
reduction benefits are realized not only when the engines are new, but
also during operation in-use, over time. Although EPA is not proposing
full emission control system durability demonstration requirements in
this notice, manufacturers are fully expected to design such systems to
be effective under normal in-use operating conditions over time. Full
emission control system durability demonstration requirements are
expected to be included in the Phase 2 regulations for small SI
engines. However, EPA has concerns that certain emission control
components, namely catalysts, warrant separate consideration.
Therefore, EPA is proposing durability demonstration requirements for
catalysts in this notice as discussed in greater detail in ``V. U.
Catalyst Durability.''
18. Information Requirements, Application for Certificate of
Conformity, Amendments
This rule's information retention requirements are similar to those
proposed in the nonroad large CI rule. EPA believes that the proposed
information requirements are sufficient to adequately determine
compliance with this regulation and the appropriateness of awarding a
certificate of conformity.
A manufacturer would be responsible for retaining certain
information applicable to each test engine along with copies of the
submitted applications for individual certificates of conformity. A
manufacturer would also be required to submit an amendment(s) to the
application or certificate of conformity whenever additional small SI
engines were added to an engine family or changes were made to a
product line covered by a certificate of conformity. Notification
normally would occur prior to either producing such engines or making
such changes to a product line.
19. Selective Enforcement Auditing Program
EPA is proposing to conduct a Selective Enforcement Auditing (SEA)
program of small SI engines as authorized by section 213 of the CAA.
The small engine SEA program would be an emission compliance program
for new production small SI engines in which manufacturers would be
required to test engines as they leave the assembly line, with EPA
oversight. Through SEA testing, EPA could determine with reasonable
statistical certainty whether or not tested engine families were in
compliance with the Act.
EPA believes that an SEA program is necessary to verify that
production engines comply with applicable regulations. Since
certification would be based on preproduction prototype engines which
often contain specially built and installed components, production
engines could still fail to meet emission standards if quality control
was inadequate. SEAs would provide a means to test actual production
engines as they came off the assembly line. Since no in-use enforcement
program is being proposed for small SI engines, SEA provides the only
opportunity for EPA to determine the compliance of production engines.
EPA would assign a limit to the number of SEAs each manufacturer
could receive during a model year. As in the on-highway SEA program,
this annual limit would be used to provide assurance to manufacturers
that EPA would not significantly overburden a manufacturer with an
unreasonable number of audits during the model year.
Each SEA would be an audit of one engine family, and each passing
audit would count toward the manufacturer's annual limit. EPA is
proposing an annual limit of two for each manufacturer with projected
annual production of less than 100,000 engines. For manufacturers with
annual production of 100,000 or more engines the annual limit would be
the greater of either two or the number determined by dividing the
number of engine families certified in that model year by five, and
rounding to the nearest whole number. For example, a manufacturer with
a projected annual United States production of 600,000 engines with 13
certified engine families would have an annual limit of three, and a
manufacturer with a projected annual production of 300,000 small SI
engines and 22 engine families would have an annual limit of four.
EPA believes this method of determining annual limits is most
appropriate for the small SI engine industry. EPA is proposing the
minimum annual limit of two because manufacturers may change production
during the model year. If a manufacturer passed an SEA early in a model
year, the manufacturer might subsequently implement changes in its
production process which could increase engine emissions. With an
annual limit of two, EPA would have the flexibility to audit a
manufacturer early in the model year, and then return later in the
model year if that manufacturer implemented a change in production
which could increase engine emissions.
As described above, EPA is also proposing that manufacturers with
projected annual production of 100,000 small SI engines or more may
have an annual limit of more than two. EPA believes it might be
necessary to conduct more than two SEAs on larger engine manufacturers
when they have a large variety of engine families. When manufacturers
have a variety of engine families, an SEA might only check a small
portion of the manufacturers' production. Therefore, by dividing the
number of engine families certified by larger manufacturers by five,
EPA could establish a higher annual limit for those manufacturers with
a variety of engine families with different emission characteristics.
Manufacturers with lower production should be assured that EPA would
not overburden its limited test facilities with SEAs.
Annual limits would act as a cap and would not necessarily be the
actual number of audits a manufacturer received. EPA would not exceed a
manufacturer's annual limit unless the Agency had reason to believe
noncompliance was occurring. EPA requests comment on the proposed
method for determining annual limits. The SEA program strives to
encourage manufacturers to perform self-auditing and promptly remedy
the emission noncompliance it discovers. Therefore, EPA would consider
reducing the number of audits conducted by the Agency, minimizing
audits of engine families which are unusually burdensome to audit, or
both options, if the manufacturer provided substantial data to
demonstrate conformity of actual production engines with the applicable
emission standards. EPA suggests that manufacturers unfamiliar with
self-auditing review existing on-highway programs, such as CARB's
Quality Audit Program or the manufacturers' Assembly Line Test Data,
for guidance in implementing an in-house auditing program. Examples of
audit programs are available in the docket for this rulemaking.
EPA would review self-audit data and procedures used in acquiring
the data to assess the validity and representativeness of each
manufacturer's self-audit program. The primary criteria EPA would use
in evaluating the in-house programs are sample size, randomness within
the family of the audited engine(s), frequency of testing, and the
applicable required test procedures. EPA would discount the value of
any self-audit data if the Agency received indications of noncompliance
or concluded that the data were invalid, incomplete, unrepresentative,
or insufficient. In addition, manufacturers with a comprehensive self-
audit program would be subject to spot checks with EPA oversight to
provide EPA assurance of compliance. EPA requests comment on this
issue.
Manufacturers would be notified of an SEA by means of a test order.
This test order would specify the engine family to be audited. EPA
might also specify an engine configuration or range of configurations
from a family to be audited. However, EPA would reserve the option to
select all configurations within an engine family for an SEA. To
minimize the burden on manufacturers, EPA would consider requests by
manufacturers to exclude particular engines or engine configurations
from a test sample. Justification for such requests could be to avoid a
delay in shipment of urgent customer-ordered engines or to minimize
test cell set-up time by selecting engines of similar physical
configurations.
Test orders would include information relevant to the SEA. The test
order would indicate any specific procedures, such as the time to begin
selecting engines, during the course of the audit. Additionally, the
test order would authorize EPA enforcement officers, upon presentation
of enforcement credentials, to inspect engine production, test
facilities, storage facilities, and records necessary to establish
compliance with nonroad regulations.
Due to differences between the small SI industry and the on-highway
industry, EPA is proposing that some aspects of the on-highway SEA
program be modified for small SI engines. Historically, on-highway
engine SEAs have been conducted on engine configurations: a specific
engine family, an engine code, a rated speed and an emission control
system. EPA believes that making an entire small engine family subject
to an audit would lead manufacturers to use extra care when grouping
engines in a family. Consequently, EPA is proposing that nonroad SEAs
be conducted by sampling engines from within an engine family. EPA
requests comments on this aspect of the program.
SEA engines would typically be selected from a point of final
engine assembly or from a storage or shipping facility. Most often,
this selection point would be at the end of the engine assembly line,
where no further quality control procedures happen or parts would be
installed on the engines. Selection of imported engines could occur at
a port of entry. SEA engines could not receive any additional
inspections or quality control other than that of normal production
engines and pre-test safety checks. Engines would be tested in the same
order as they were selected. EPA requests comment on the feasibility of
selecting equipment, then removing the engine for audit testing.
EPA proposes to include ports of entry or storage locations in the
United States as locations for EPA selection of foreign- produced small
SI engines for SEA emission testing at laboratories in the United
States. The location of these selections could be designated by the
manufacturer to minimize disruption and shipping costs. The
manufacturer would be responsible for ensuring that a test facility in
the United States was available for SEA testing.
``Port selection'' would assist the Agency in reducing its travel
costs. Recently, in the on-highway program, EPA has had requests from
light-duty vehicle manufacturers to conduct port selection during SEAs.
These audits were performed and ran smoothly. EPA might permit
reasonable maintenance and inspections of port-selected engines to
address problems that could result from long-term storage, ocean
shipping, or repeated handling. EPA requests comments on the port
selection aspect of the SEA program.
Prior to testing SEA engines, manufacturers could operate engines
to break in engine components. This break-in or service accumulation of
an SEA engine family would follow the same procedures and could be up
to 12 hours or the same number of break-in hours accumulated for that
family's emission data engine during certification. Service
accumulation would be performed expeditiously and in a manner using
good engineering judgment.
Audit engines would be tested using the same test cycle, either
Test Cycle A, B, or C, as was used in certification; however,
deviations allowed in certification from the full test procedures as
described in proposed 40 CFR part 90 would not be permitted in SEAs.
EPA is proposing that small SI engines will be selected for SEA
testing at a rate of at least four engines per day, unless production
is less than four engines per day. To minimize delays in shipment of
engines to customers, manufacturers could test the first engines
selected for an audit while additional engines were produced.
The total number of engines tested in an SEA would be dictated by
the number of engines required to reach the statistically acceptable
pass/fail decision within the sampling plan applied. EPA is proposing a
sequential sampling plan for small SI engine SEAs. These sampling plans
have been designed to meet a 40 percent Acceptable Quality Level (AQL)
and to ensure low statistical risks of incorrect pass/fail
determinations. The maximum theoretical percentage of failing engines
for passing an SEA is 40 percent. EPA is proposing a 40 percent AQL for
the small SI engine SEA program. EPA has used this AQL since the 1970s
for the on-highway program, and EPA currently has no reason to propose
a different AQL for a nonroad program. EPA is proposing that the small
SI engine SEA program use the same sampling plans used for the on-
highway heavy-duty engine SEA program.
EPA proposes that engine manufacturers with projected United States
annual sales of 7,500 or greater must complete a minimum of two engine
tests per day during an SEA. Engine manufacturers with projected United
States annual sales of less than 7,500 would be required to complete a
minimum of one engine test per day during an SEA. A valid emission test
or a voided test would each count as one test toward meeting the
requirement. EPA requests comments on this aspect of the proposal.
A test engine's pass or fail determination would be made by
comparing final test results to the applicable federal emission
standard. Within five working days of the conclusion of an audit,
manufacturers would be required to submit a report to EPA summarizing
engine test results, test procedures, and audit events such as the
date, time, and location of each test, repairs to engines, and the
reason for the repair.
Failure of an SEA could result in suspension or revocation of the
certificate of conformity for that family. To have the certificate
reinstated subsequent to a suspension, or reissued subsequent to a
revocation, the manufacturer would be required to demonstrate, by
showing passing data, that improvements, modifications, or replacement
had brought the family into compliance. The proposed regulations
include hearing provisions which allow the manufacturer to challenge
EPA's suspension or revocation decision based on application of the
sampling plans or the manner in which tests were conducted.
20. Importation of Nonconforming Small SI Engines
EPA is proposing certain restrictions on the importation of
nonconforming small SI engines. Such restrictions are based in part on
the existing regulations for the importation of nonconforming motor
vehicles and motor vehicle engines.
While EPA provides for an Independent Commercial Importer (ICI)
program for motor vehicles and motor vehicle engines, EPA is not
certain that an ICI program is necessary or practical for small SI
engines. For the on-highway program, ICIs are responsible for all
aspects of compliance required of manufacturers (e.g., certification,
testing, labeling, warranty, recall, maintaining records). EPA solicits
comment on the need for an ICI program for small SI engines. Due to the
uncertainty about the need for an ICI program, EPA is proposing in the
alternative both to have an ICI program that parallels that of the on-
highway program, and to have no ICI program in the final rule. EPA
currently favors no ICI program for small SI engines; if the Agency
determines not to promulgate an ICI program, the proposed regulatory
language will be deleted from the final rule.
This proposal includes a special provision for individuals to
import a limited number of nonconforming small SI engines for personal
use. EPA expects that individuals may not know of the regulations
applicable to small SI engines and, without this once in a lifetime
exemption, individuals may be stopped at a port of entry with small SI
engines and equipment included with their personal possessions.
Additionally, this exemption would relieve a significant burden on EPA
and the U.S. Customs Service. EPA is proposing that, at least for Phase
1 of these regulations, individuals be permitted to import up to three
nonconforming small SI engines and not have these engines brought into
compliance with the proposed standards. This is a one-time exemption
(for one importation) in which individuals are permitted to import
these engines for personal use and not for purposes of resale. This
exemption would not require prior EPA written approval. Additional
small SI engines, after an individual's limit of three, would not be
permitted to be imported under the proposal unless otherwise provided
under another exemption or exclusion. All small SI engines imported for
purposes of resale would be required to be imported and modified by an
ICI. If EPA does not finalize an ICI program, such engines may not be
imported for resale. EPA requests comment on this proposed exemption.
Today's proposal also provides certain exemptions to the
restrictions on importing nonconforming small SI engines. These include
exemptions for repairs and alterations, testing, precertification,
display, national security, hardship, small SI engines greater than 20
original production years old, and certain small SI engines proven to
be identical, in all material respects, to their corresponding United
States certified versions. These exemptions would also include the
exclusion of nonconforming engines used solely in competition.
EPA is not proposing to include provisions for a catalyst control
program for small SI engines. The catalyst control program for motor
vehicles consists of a special provision for catalyst-equipped vehicles
to be operated in countries where the catalyst may be poisoned by the
use of leaded fuel. In the on-highway catalyst control program, owners
may either have the catalyst removed while the vehicle is operated
outside of the United States or, if the vehicle is driven only in
countries that have a wide availability of unleaded gasoline,
demonstrate by using a plumbtesmo test that the vehicle was not
operated on leaded fuel. EPA is not proposing a catalyst control
program for small SI engines because EPA does not expect that U.S.
certified small SI engines equipped with catalysts will be used in
countries that do not have a wide availability of unleaded fuel and
then imported into the United States. Additionally, EPA has no
knowledge of the extent to which catalysts will be used on Phase 1
small SI engines. EPA requests comments on the absence of a catalyst
control program and the need for such a program for Phase 1 engines.
Finally, EPA is not proposing to include a provision for small SI
engine Designated Canadian Importer (DCI). EPA's motor vehicle import
program has a special provision in which DCIs may import and sell
Canadian vehicles that were manufactured to be identical in all
material respects to U.S. certified counterparts. Because EPA has no
indication that Canada will adopt EPA's Phase 1 small SI engine
standards, engines imported from Canada into the United States will
likely be nonconforming engines and thus would not be eligible to be
imported by a small SI engine DCI. Consequently, EPA expects that
provisions for small SI engine DCI are unnecessary. EPA requests
comment on the absence of a DCI program and the need for such a program
for Phase 1 engines.
Importation regulations are joint regulations between EPA and the
United States Department of the Treasury (Customs Service). The
citation for United States Customs Service, Department of Treasury
regulations governing import requirements is reserved. The citation
will be inserted upon promulgation by the United States Customs Service
of the applicable regulations.
21. Defect Reporting and Voluntary Recall
EPA is proposing that a manufacturer of small SI engines file a
defect information report whenever a manufacturer identifies the
existence of a specific emission-related defect in 25 or more engines
in a single engine family manufactured in the same model year. However,
no report would need to be filed if the defect was corrected prior to
the sale of the affected engines to the ultimate purchaser. These
proposed reporting requirements are similar to the requirements found
in the on-highway program. EPA is currently revising the on-highway
reporting program and new regulations will shortly be proposed. The new
regulations may encompass both on-highway and the nonroad sector.
EPA is also proposing that individual manufacturers establish, when
appropriate, voluntary recall programs. EPA is proposing limited
guidelines which engine manufacturers would follow when undertaking
such a program. EPA invites comments on how such a voluntary program
might be effectively structured.
22. Emission Defect Warranty Requirements
EPA is proposing that engine manufacturers provide an emission
warranty for the first two years of engine use. The two-year warranty
period was adopted from California's lawn and garden regulations to
reduce the burden on manufacturers of administering two different
warranty programs.
EPA is also considering ``hours of engine use'' as an alternative
measure for the warranty period. Under this option, an engine
manufacturer would need to install some form of metering device to
track the hours of use for an engine. EPA solicits comments on this
metering option, the feasibility of outfitting small engines with such
devices, and the feasibility of employing the useful life hours
generated in the Nonroad Study as a measure for an hours-based warranty
period.
EPA believes that a warranty program is necessary to ensure the
quality of emission control components and systems that are used on or
in nonroad engines and also to protect consumers from costly repairs
that result from manufacturing defects. Furthermore, a warranty program
gives the engine owner/operator the incentive to get emission-related
system failures repaired, since failures to the emission control system
do not always affect the ability of an engine to work.
The warranty requirements proposed today are consistent with
emission defect warranty policies developed for on-highway vehicles,
located in section 207(a) of the Act. Manufacturers of new nonroad
engines would warrant to the ultimate purchaser and each subsequent
purchaser that such engine was (1) designed, built, and equipped so as
to conform at the time of sale with applicable regulations under
section 213 of the Act, and (2) free from defects in materials and
workmanship which cause such engine to fail to conform with applicable
regulations for its warranty period. The related parts and components
covered by section 207(a) are detailed in an advisory parts list issued
by EPA on July 15, 1991, and encompass parts and systems which are or
may be used on small SI engines. A copy of the parts list is in the
public docket for this rulemaking. EPA invites comments on this parts
list and its applicability to small SI engines.
EPA is currently developing more detailed regulations that will
further clarify manufacturers' responsibilities under section 207(a)
for both on-highway and nonroad engines. EPA will rely on the existing
207(a) practices until those regulations are finalized.
23. Tampering Enforcement
Today's action would make it illegal for any person to tamper with
any emission-related component or system installed on or in a small SI
engine. EPA believes that an engine would more likely continue to meet
the applicable emissions standards in-use if the engine maintained its
certified configuration. Therefore, EPA believes it is necessary to
impose antitampering provisions for such engines and is proposing that
the existing policies developed for on-highway tampering also apply to
engines included in this rule. See Office of Enforcement and General
Counsel; Mobile Source Enforcement Memorandum No. 1A, June 25, 1974. A
copy of this memorandum is in the public docket for this rulemaking.

V. Discussion of Issues

This section contains further discussion of a number of issues
raised during the development of this proposal.

A. Use of Metric Units

Metric units are used throughout the proposed rule without English
equivalents. This is done in compliance with the Metric Conversion Act
of 1975, as amended, and Executive Order 12770, July 25, 1981, which
directs all federal agencies to use metric as the primary unit in
regulations by September 30, 1992 and to only provide English
equivalents when the affected party(s) uses English as the primary
unit.
EPA acknowledges slight differences between the two systems and the
use of mixed units by CARB. Comments are solicited on the impact of
using only metric units or the need for including the English
equivalent.

B. Use of Power Rating as Cutoff for Applicability

EPA is proposing to limit the applicability of this action to
engines at or below 19 kW (25 horsepower) rated power as compared to
CARB's 25 horsepower limit. EPA considered limiting the regulation's
applicability based instead on a total displacement, but has chosen to
propose a power-based cutoff for consistency with CARB.
EPA is aware that the measurement of rated power is subject to
engine configuration and test conditions, and that a cutoff based on
power might create an incentive for manufacturers with engines just
below the cutoff to change engine and/or test procedure parameters to
result in a higher measured power.
In examining data from Power Systems Research (PSR),\4\ EPA has
identified a relationship between total displacement and rated power
which suggests that a one-liter total displacement cutoff would affect
nearly an identical group of engines as a 19 kW cutoff. However, using
such a cutoff would cause a limited number of engines to be included
that would not be included using a 19 kW cutoff (that is, engines above
19 kW but less than one liter displacement). Examples include larger
two-stroke engines. A limited number of engines would also go
unregulated under this scenario (that is, engines under 19 kW but
greater than one liter). Examples include larger industrial four-stroke
engines.
---------------------------------------------------------------------------

\4\Power Systems Research (PSR), Engindata North America and
Parts Link Aftermarket, 1992, St. Paul-Minneapolis, Minnesota.
---------------------------------------------------------------------------

Because of the differences in applicability between a power- and
displacement-based cutoff, EPA has chosen to propose the former despite
the potential advantages of the latter. EPA requests comment on the
appropriateness of instead limiting this regulation to engines under
one-liter total displacement (or a different displacement limit), or
limiting the applicability to engines that are below displacement or
power cutoffs. Comments should address the relative market and
environmental impact of the alternative approaches, as well as the
relative enforceability.

C. Exclusion of Compression-ignition Engines

EPA is not proposing to regulate small CI engines in this action.
As part of the Sierra Club v. Browner settlement, EPA will determine by
November 1996 whether to undertake a rulemaking which targets emissions
from small CI engines. CI engines have different emission
characteristics from the engines addressed by this proposal, emitting
much lower levels of HC and considerably higher levels of NOx than
small SI engines.
In contrast to the current proposal, which is focused on achieving
reductions in emissions of HC, a regulation addressing CI engines would
likely focus on NOx. EPA lacks sufficient data regarding baseline
emissions and control technologies for nonroad CI engines in this power
range to determine appropriate standards at this time. Therefore EPA
has chosen to exclude these engines from the current proposal, which is
aimed at achieving significant reductions in small engine HC emissions
on an expedited basis.
EPA is raising this as an issue because of the potential that
unregulated CI engines could be substituted for post-control SI
engines. In EPA's view, while this may occur in some cases (for
example, small agricultural tractors), the most price-sensitive
products such as string trimmers and lawnmowers are unlikely to shift
significantly toward CI engines due to technological limitations,
consumer preference, or both.
The Agency solicits comment on the exclusion of compression-
ignition engines, and on the appropriate test procedure and standards
that should be applied to CI engines if they were to instead be covered
by this regulation.

D. Exclusion of Recreational Propulsion Engines

EPA is proposing to exclude engines used in recreational vehicles,
examples of which include snowmobiles, off-road motorcycles, and all-
terrain vehicles. Golf carts do not qualify as recreational vehicles
under this proposal, and they would be subject to the emission
standards of this rule. Engines used in such recreational vehicles are
defined by the following characteristics: Use of a continuously
variable throttle (as opposed to a governor), rated engine speeds in
excess of 5,000 RPM, and wide variations in both engine load and speed.
EPA's primary reason for this exclusion is the extremely transient
operation of the products in which these engines are used, which limits
the ability of the proposed steady state test procedure to adequately
represent exhaust emissions. This exclusion is not based on a
determination that these engines do not contribute to air pollution and
therefore need not be controlled. EPA has chosen to exclude engines
used in recreational vehicles in order that it may proceed quickly with
a program for other small SI engines. As part of the Sierra Club v.
Browner settlement, EPA will determine by November 1996 whether to
undertake a rulemaking which targets emissions from engines used in
recreational vehicles.
EPA solicits comment on the exclusion of engines used in
recreational vehicles, on the criteria used to identify such engines,
and on the appropriate test procedure and emission standards if EPA
were to include such engines in this proposal.

E. Exclusion of Marine Propulsion Engines

EPA proposes to exclude marine propulsion engines, examples of
which, in this power range, include outboard marine engines. EPA is
developing emission standards for marine propulsion engines in a
separate action. However, small SI engines used on marine vessels for
purposes other than propulsion, such as generators and pumps, are not
excluded in this proposal.

F. Nonroad Engine and Vehicle Definitions

EPA is proposing to incorporate in this rule the nonroad engine
definition proposed in the large CI rule. EPA will include in this rule
any changes to that definition included in the final large CI rule. EPA
is also proposing to amend the definition of nonroad vehicle proposed
there by adding the following sentence: ``Nonroad vehicle also includes
equipment that is powered by nonroad engines.''
The statutory definition of nonroad vehicle adopted by Congress in
the 1990 CAA Amendments provides little guidance as to what is a
nonroad vehicle. Rather, statutory language describes only what is not
a nonroad vehicle, namely, motor vehicles and vehicles used solely for
competition. A review of the Conference Report, the Statement of Senate
Managers, and the Statement of House Managers does not provide any
additional guidance. It is necessary to examine both the House and
Senate Committee Reports of the original legislation before this issue
is discussed.
The United States House of Representatives, Committee on Energy and
Commerce, Report on H.R. 3030, offers some insight into the meaning of
both nonroad engine and vehicle. In part the report states, ``(T)he
term `nonroad engine' is defined for purposes of this section to
include certain internal combustion engines not used in a motor vehicle
or a competition vehicle, while a nonroad vehicle is a vehicle powered
by (a) nonroad engine that is not a motor vehicle and not used solely
for competition. Stationary internal combustion engines are to be
regulated under Title I of the Clean Air Act amendments of 1990, and
are not subject to the requirements of this section.''\5\
---------------------------------------------------------------------------

\5\H. Rep., Legislative History of the 1990 Amendments to the
Clean Air Act of 1990, Committee on Energy and Commerce to accompany
H.R. 3030, May 17, 1990, at 310.
---------------------------------------------------------------------------

Equally enlightening is the report of S. 1630 from the United
States Senate, Committee of Environment and Public Works, which
discusses at some length the Committee's understanding of what the
terms nonroad engine and nonroad vehicle mean. A pertinent part of the
report states,

* * * ``non-road engines'' include a wide range of engine uses and
vehicles. The term includes, for example, diesel locomotives, farm
and construction equipment, utility engines such as lawn and garden
equipment, marine vessels, forklifts and airport vehicles. The
definition in the bill for non-road vehicles is an inclusive one
that covers all engines that are not used in motor vehicles, or in a
vehicle used solely for competition in vehicle racing, that are not
regulated by standards promulgated under section 111 of the Act, and
that are not subject to regulation under part B of title I of the
Act, related to aircraft.\6\
---------------------------------------------------------------------------

\6\S. Rep. Legislative History of the 1990 Amendments to the
Clean Air Act, Committee on Environment and Public Works to
accompany S. 1630, December 20, 1989, at 104-105.
---------------------------------------------------------------------------

EPA believes that Congress used the terms ``non-road engine,''
``equipment,'' and ``vehicle'' interchangeably. It is EPA's belief that
Congress intended nonroad vehicles and nonroad engines to be inclusive
terms covering all manner of equipment not defined as motor vehicles,
vehicles for competition, and stationary sources. Furthermore, there is
a practical interrelationship between an engine and the equipment that
houses it or is powered by it. Equipment or vehicle characteristics may
have a significant impact on the emissions associated with the
operation of the engine. The nonroad engine definition proposed in the
large CI rule and incorporated in this rulemaking relies to a great
extent on this interrelationship between an engine and a piece of
equipment to determine whether an engine is a nonroad engine. In future
development of a small SI engine program, it may become necessary and
appropriate to regulate aspects of equipment to control fuel spillage,
evaporative emissions, or refueling emissions. EPA believes that CAA
section 213 provides authority for such regulation.

G. Definition of Handheld Equipment

EPA is proposing that engines intended for use in equipment defined
as handheld be certified to standards much less stringent than those
applicable to engines used in nonhandheld equipment. However, on a
percentage basis, the reductions obtained from handheld and nonhandheld
engines will be of similar magnitude. Because of the unique
characteristics of handheld 2-stroke engines, it is not feasible, given
the timing of this proposal and the unique performance requirements of
handheld equipment, to require that all engines covered in this
proposal meet emission levels that can be achieved by 4-stroke engines
used in nonhandheld equipment.
This distinction is based, in part, on the substantial difference
between emissions from current 4-stroke and 2-stroke engines, which is
an inherent result of the design differences of these engines. Because
of scavenging losses, current 2-stroke engines generally emit
approximately ten times more unburned HC (on an energy-specific basis)
than their 4-stroke counterparts.
However, current 2-stroke engines are generally lighter than
current 4-stroke engines of the same rated power and can be operated in
any orientation. As a result, applications requiring that the operator
pick up and/or carry the device while using it (for example, chain
saws), are nearly exclusively powered by 2- stroke engines. On the
other hand, nonhandheld applications such as lawnmowers, which are
currently sold in both 2-stroke and 4-stroke versions, can clearly be
powered by 4-stroke engines. Approximately 90 percent of the lawnmowers
sold in the United States are powered by 4-stroke engines. Section VII
discusses the present market mix of small engines.
EPA is proposing to distinguish between ``handheld'' and
``nonhandheld'' equipment in a manner that is similar to that adopted
by CARB. However, EPA proposes to clarify and expand on California's
handheld definition.
First, in cases where the operator carries all of the equipment's
weight during engine operation, the equipment would be classified as
handheld. Second, where the equipment is clearly required to operate in
any position the equipment would also be classified as handheld.
California's handheld definition requires that the equipment must both
be carried and used multipositionally in order to qualify for handheld
status. EPA requests comment on whether this approach may preclude
equipment which is in practice ``handheld'' from qualifying for
handheld status. The proposed federal definition does not require that
both stated criteria be present for a given piece of equipment to
qualify as handheld. One criterion is sufficient. It is EPA's intent
that the preceding two criteria allow leafblowers, trimmers (both
string and hedge), cutters, or chain saws to qualify for handheld
status.
In addition, EPA is proposing that engines be allowed to meet Class
III, IV, or V standards if the dry weight of the equipment they are
used in, including engine weight, is under 14 kg, there are no more
than two wheels present on the equipment, and at least one of the
following three attributes is also present: (1) The operator
alternately provides support or carries the equipment throughout its
performance; (2) the operator provides support and attitudinal control
for the equipment throughout its performance; (3) the engine is used
exclusively in a generator or pump.
EPA believes that a weight-based criterion is an appropriate
initial determinant of whether a 2-stroke engine can be handheld.
Industry data show clear weight distinctions between those engines
which are ``lightweight'' and made for handheld operations and those
which are not. For example, review of industry brochures revealed that
2-stroke engines were almost always found in equipment under 14 kg. In
addition, the presence of not more than two wheels in a given piece of
equipment is another important indicator of the need for an operator to
either support, carry, or provide attitudinal control for the
equipment.
The first attribute seeks to classify as ``handheld'' equipment
which is either carried or supported by the operator throughout the
entire engine operation. An operator carries equipment when the full
weight of the equipment is borne by the operator. Support means that
the operator holds the equipment in position so as to prevent it from
falling, slipping, or sinking. The entire weight of the equipment is
not necessarily borne by the operator. Legitimate sources of support
might include the ground, ice, wood, or concrete. EPA intends that
lightweight snowblowers, edgers, and augers qualify for handheld status
under this first attribute.
The second attribute classifies as ``handheld'' equipment which
requires either operator support or attitudinal control during the
entire operation. Attitudinal control means the operator regulates
either the horizontal or vertical position of the equipment. This
definition is meant to allow certain lightweight tillers, augers, or
edgers to qualify for handheld status. Both ice and earth augers must
be carried to each drill site by the operator, and must be supported by
the operator during operation. In addition, the operator must control
the vertical attitude of the equipment during operation including
pulling upward after each hole is drilled. Tillers without wheels or
with no more than two wheels are designed to be supported or picked up
frequently during operation while maneuvering between rows in a garden.
Likewise, the vertical and horizontal position of the tiller is
controlled by the operator.
Finally, the third attribute acknowledges that engines used in
lightweight pumps and generators should be allowed to meet the handheld
emission standards. Like augers, lightweight generators and pumps are
carried to the work site by th

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A94-10975. Public record. Not legal advice.