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

SUMMARY: This action establishes the first phase of regulations to

control emissions from new nonroad spark-ignition engines at or below

19 kilowatts (25 horsepower). Regulatory requirements will for the

first time control emissions from these engines, which cause or

contribute to nonattainment of National Ambient Air Quality Standards

for carbon monoxide (CO) and ozone. These engines are used principally

in lawn and garden equipment. The new standards are expected to result

in a 32 percent reduction in hydrocarbon (HC) emissions and a 7 percent

reduction in CO emissions from these engines in the year 2020, when

complete fleet turnover is projected. A second phase of regulations

addressing emissions from these engines is currently under development.

EFFECTIVE DATE: This rule becomes effective on August 2, 1995. The

incorporation by reference of certain publications listed in the

regulations is approved by the Director of the Federal Register as of

August 2, 1995.

ADDRESSES: Materials relevant to this rulemaking are contained in EPA

Air Docket LE-131: Docket No. A-93-25 at the U.S. Environmental

Protection Agency, room M-1500, 401 M Street SW., Washington, DC 20460.

The docket may be inspected at this location from 8:30 a.m. until 5:30

p.m. weekdays. The docket office also may be reached by telephone:

(202) 260-7548 (or fax (202) 260-4400). As provided in 40 CFR part 2, a

reasonable fee may be charged by EPA for photocopying.

FOR FURTHER INFORMATION CONTACT: Lisa Snapp, Office of Mobile Sources,

Certification Division, (313) 741-7900.

An informational workshop will be held at 10 a.m. on Thursday,

August 10, 1995, at the Sheraton Inn, 3200 Boardwalk, Ann Arbor,

Michigan; for more information, contact Linda Zirkelbach, Office of

Mobile Sources, Certification Division, (313) 668-4567.

SUPPLEMENTARY INFORMATION:

Table of Contents

I. Obtaining Copies of Documents

II. Legal Authority and Background

III. Description of the Action

A. Overview

B. General Enforcement Provisions

C. Program Description

IV. Public Participation

A. Model Year Definition and Effective Date

B. Definition of Handheld Equipment, Snowthrowers, and Two-

stroke Lawnmowers

C. Requirements Applicable to Vehicle and Equipment

Manufacturers

D. CO Standard

E. Labeling

V. Environmental Benefit Assessment

VI. Economic Effects

A. Industry Cost Impacts

B. Consumer Cost Impacts

C. Cost-Effectiveness

VII. Administrative Requirements

A. Administrative Designation and Regulatory Analysis

B. Paperwork Reduction Act

C. Unfunded Mandates Act

D. Regulatory Flexibility Act

I. Obtaining Copies of Documents

The proposed regulatory language (which was not published with the

notice of proposed rulemaking for this rule), the final rulemaking

(both preamble and regulatory language), the Regulatory Support

Document (RSD), and the Response to Comments (RTC) are available

electronically on the Technology Transfer Network (TTN). TTN is an

electronic bulletin board system (BBS) operated by EPA's Office of Air

Quality Planning and Standards. Users are able to access and download

TTN files on their first call. After logging onto TTN BBS, to navigate

through the BBS to the files of interest, the user must enter the

appropriate command at each of a series of menus. The steps required to

access information on this rulemaking are listed below. The service is

free, except for the cost of the phone call.

TTN BBS: 919-541-5742 (1,200-14,400 bps, no parity, eight data bits,

one stop bit)

Voice help: 919-541-5384;

Internet address: TELNET ttnbbs.rtpnc.epa.gov;

Off-line: Mondays from 8:00-12:00 Noon ET;

1. Technology Transfer Network Top Menu;

GATEWAY TO TTN TECHNICAL AREAS (Bulletin Boards);

Command: T;

2. TTN TECHNICAL INFORMATION AREAS;

OMS--Mobile Sources Information;

Command: M;

3. OMS BBS ==== MAIN MENU;

FILE TRANSFERS;

Rulemaking & Reporting;

Command: K;

4. RULEMAKING PACKAGES;

Non-Road;

Command: 6;

5. Non-Road Rulemaking Area;

File area # 2 . . . Non-Road Engines;

Command: 2;

6. Non-Road Engines.

At this stage, the system will list all available nonroad engine

files. To download a file, select a transfer protocol which will match

the terminal software on your own computer, then set your own software

to receive the file using that same protocol.

If unfamiliar with handling compressed (that is, ZIP'ed) files, go

to the TTN top menu, System Utilities (Command: 1) for information and

the necessary program to download in order to unZIP the files of

interest after downloading to your computer. After getting the files

you want onto your computer, you can quit TTN BBS with the oodbye

command.

II. Legal Authority and Background

Authority for the actions set forth in this rule is granted to EPA

by sections 202, 203, 204, 205, 206, 207, 208, 209, 213, 215, 216, and

301(a) of the Clean Air Act as amended (``CAA'' or ``Act'') (42 U.S.C.

7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and

7601(a)).

On May 16, 1994, the Agency published a Notice of Proposed

Rulemaking (NPRM) for this rule.1 That proposed rule contains

substantial information relevant to the matters discussed throughout

this final rule. The reader is referred to that document for additional

background information and discussion of various issues.

\1\ 59 FR 25399 (May 16, 1994).

The Nonroad Engine and Vehicle Emission Study 2 (``Nonroad

Study'') required by section 213(a)(1) of the Act was completed in

November 1991. The Agency was required by section 213(a)(2) of the Act

to determine whether emissions of CO, oxides of nitrogen (NOX),

and volatile organic compounds (VOCs) from new and existing nonroad

engines, equipment, and vehicles are significant contributors to ozone

and CO concentrations in more than one area that has failed to attain

the national ambient air quality standards for ozone and CO. This

significance determination was finalized

[[Page 34583]]

on June 17, 1994 (59 FR 31306) and is incorporated by reference into

this final rulemaking. In that same Federal Register notice, the first

set of regulations for a class or category of nonroad engines that

cause or contribute to such air pollution, required by section

213(a)(3), was promulgated for new nonroad compression-ignition (CI)

engines at or above 37 kilowatts (kW). Today's action continues to

implement section 213(a)(3) by establishing emission standards and

other requirements for another class or category of nonroad engines

that causes or contributes to such air pollution: nonroad spark-

ignition (SI) engines at or below 19 kW, hereafter referred to as

``small SI engines.''

\2\ The Nonroad Study is available in EPA Air Docket #A-91-24.

It is also available through the National Technical Information

Service, referenced as document PB 92-126960.

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

These standards reflect the greatest degree of emission reduction

achievable through the application of technology that EPA has

determined will be available for small SI engines, considering the cost

of applying such technology within available lead time and noise,

energy, and safety factors associated with such technology.

According to the Nonroad Study, nonroad engines, equipment, and

vehicles contribute an average of 10 percent of summer VOCs in the

nineteen ozone nonattainment areas included in the study. Small SI

engines are the source of half of those nonroad summer VOC emissions.

In the sixteen CO nonattainment areas included in the study, nonroad

engines, equipment, and vehicles account on average for 9 percent of

winter CO emissions. Small SI engines are the source of 56 percent of

the nonroad winter CO contribution, according to the study.

The Agency initiated a convening process to determine the best way

to work with industry and other interested parties in developing

regulations for small SI engines. The conveners interviewed individuals

in leadership roles in key organizations to determine what parties were

interested in these regulations, what issues were important to

interested parties, and whether a consultative rulemaking process would

be feasible and appropriate. The convening report recommended an

exploratory meeting of interested parties to discuss a consultative

process.3 After two such meetings, it was suggested that EPA

consider a two-phased approach to regulation of small SI engines. In

the first phase, EPA would propose regulations for new small SI engines

through the normal regulatory process rather than a consultative

process. The Phase 1 regulations would be similar to the Regulation for

1995 and Later Utility and Lawn and Garden Equipment Engines issued by

the California Air Resource Board (CARB), modified as necessary to meet

CAA requirements (for example, EPA's proposal could modify CARB's

program by including engines preempted from regulation in California).

The Phase 1 proposal would be completed as soon as possible, but no

later than spring of 1995. The second phase of regulation could be

developed through the consultative process of regulatory negotiation,

and could include issues such as useful life, in-use emissions,

evaporative emissions, refueling emissions, test procedure, and market-

based incentive programs. The Phase 2 negotiations were anticipated to

begin in Fall 1993 and continue for approximately 18 months. The Agency

decided to proceed with this phased approach.

\3\ A copy of the convening report, dated August 24, 1992, is

available in the docket for this rulemaking.

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

The settlement of Sierra Club v. Browner, Civ. No. 93-0197 NHJ

(D.D.C. 1993) required EPA to propose emission standards for small SI

engines by April 1994 and to promulgate such standards by May 30, 1995.

In accordance with the terms of the settlement, the EPA Administrator

signed the Phase 1 NPRM on April 29, 1994; the NPRM was published on

May 16, 1994 (59 FR 25399).

A public hearing was held on June 21, 1994. The close of the

comment period on the NPRM was extended from July 15, 1994, to August

5, 1994.

III. Description of the Action

The general provisions of this rule are briefly described in this

section.

A. Overview

This rule initiates federal regulation of emissions of HC,

NOX, and CO from certain new nonroad SI engines that have a gross

power output at and below 19 kW.4 A spark-ignition engine is an

internal combustion engine in which the air/fuel mixture is ignited in

the combustion chamber by an electric spark.

\4\ To convert kilowatts to horsepower multiply kW by 1.34 and

round to the same number of significant digits. For example, 3.5 kW

* 1.34 = 4.7 hP.

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

This rule has the following regulatory scheme:

Designation of product lines into groups of engines with

similar emission characteristics (such groups are called engine

families),

Manufacturer emission testing of selected engines with a

specified test procedure to demonstrate compliance with new engine

emission standards,

Labeling of engines, and alternatively, equipment labeling

if the engine label becomes obscured when placed in the equipment,

Submission of an application for certification for each

engine family,

Inclusion of various certification requirements such as

the prohibition of defeat devices,

Issuance of an emission certificate of conformity for each

engine family,

Prohibition against offering for sale in the United States

engines not certified by EPA,

Requirement that equipment manufacturers use the

appropriate handheld or nonhandheld certified engine in their

equipment,

Recordkeeping and reporting requirements,

EPA Administrator testing provisions,

Design warranty provisions and prohibition on tampering,

Inclusion of all new farm and construction engines at or

below 19 kW, state regulation of which is preempted under the CAA,

Development of a voluntary engine manufacturer's program

to evaluate in-use emission deterioration,

Requirement that if catalysts are used in an engine

family, catalyst durability must be confirmed by means of the

evaluation procedure that is specified in this notice,

Defect reporting and voluntary recall,

Importation provisions,

General prohibitions and enforcement provisions, and

Production line Selective Enforcement Auditing (SEA).

Certain elements of EPA's on-highway program are not being promulgated

in this Phase 1 rule, including:

No certification requirement for engine durability

demonstration,

No performance warranty,

No averaging, banking, and trading program, and

No useful life determination, in-use standards,5 nor

mandatory recall.

\5\ However, 40 CFR 90.105 specifies that a useful life period

will be promulgated by 1997. In-use standards and enforcement are

expected to be included in Phase 2.

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

B. General Enforcement Provisions

As authorized in the CAA, EPA will enforce nonroad standards in a

manner similar to on-highway standards. Section 213(d) of the Act

provides that the standards promulgated under section 213 ``shall be

subject to sections [206, 207, 208, and 209], with such modifications

of the applicable regulations implementing such sections

[[Page 34584]]

as the Administrator deems appropriate, and shall be enforced in the

same manner as standards prescribed under section [202].'' 6

Section 206 specifies requirements for motor vehicles and motor vehicle

engine compliance testing and certification. Section 207 requires

manufacturers to warrant compliance by motor vehicles and motor vehicle

engines in actual use. Section 208 requires recordkeeping by

manufacturers of new motor vehicles or new motor vehicle engines and

authorizes EPA to collect information and require reports. Finally,

section 209 preempts states or any political subdivisions from

enforcing standards relating to control of emissions, certification,

inspection, or any other approval relating to the control of emissions

of new motor vehicles or new motor vehicle engines, unless specifically

authorized to do so by EPA. Section 209 also preempts states or any

political subdivision from enforcing any standard or other requirement

relating to the control of emissions from new nonroad engines or new

nonroad vehicles.

\6\ 42 U.S.C. 7547(d).

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

Pursuant to this authority, EPA is in today's action promulgating

regulations that require manufacturers of new small SI engines to

obtain certification and that subject them to Selective Enforcement

Auditing. Any manufacturer of a new small SI engine is responsible for

obtaining from the Administrator a certificate of conformity covering

any engine introduced into commerce in the United States.

The Agency is also finalizing general enforcement provisions and

certain prohibited acts similar to those established for on-highway

vehicles under sections 203, 204, 205, and 208 of the CAA. Section 203

specifies prohibited acts; section 204 provides for federal court

injunctions of violations of section 203(a); section 205 provides for

assessment of civil penalties for violations of section 203; and

section 208 provides the Agency with information collection authority.

The general enforcement language of section 213(d) provides the

Agency's authority for applying sections 203, 204, 205, 206, and 208 of

the CAA to new small SI engines and equipment.

As applied to nonroad engines, vehicles, and equipment under

section 213(d), Phase 1 prohibited acts include, but are not limited

to:

An engine manufacturer's introduction into commerce of new

small SI engines that are not covered by a certificate of conformity

issued by EPA,

The introduction into commerce of new small SI equipment

and vehicles that do not incorporate the appropriate nonhandheld or

handheld certified nonroad engine,

Tampering with emission control devices or elements of

design installed on or in a small SI engine, and

Failure to provide information to the Agency if requested.

The Agency is also establishing regulations, under the authority of

section 205 of the Act, which set forth the maximum statutory penalties

for violating the prohibitions.

The Agency is promulgating general information collection

provisions similar to current on-highway provisions under section 208

of the Act which include, but are not limited to, the manufacturer's

responsibility to provide information to EPA, perform testing if

requested by EPA, and maintain records. In addition, emission system

defect reporting regulations require manufacturers to report to EPA

specific emission system-related defects that affect a given class or

category of engines. Agency enforcement personnel are authorized to

gain entry and access to various facilities under section 208 and

today's action includes these entry and access provisions.

This rule's information requirements are similar to those set forth

in the nonroad large CI rule,7 but are reduced from the on-highway

program requirements.

\7\ 59 FR 31306 (June 17, 1994).

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

The Agency is authorized under section 217 of the CAA to establish

fees to recover compliance program costs associated with sections 206

and 207. In the future EPA will propose to establish fees for this

nonroad compliance program, after determining associated costs of the

compliance program.

C. Program Description

This section describes several features of EPA's Phase 1 small SI

engine and vehicle and equipment compliance program. Some specific

issues related to the program which require in-depth discussion are

highlighted in section IV. of this preamble (``Public Participation'');

all issues commented upon are addressed in detail in the Response to

Comments document, located in the docket. In particular, the Response

to Comments document should be consulted for more information dealing

with issues that are not discussed under the Public Participation

section of this document but that have seen a significant change in EPA

position between the NPRM and the final rule (specifically, the

selection of the worst-case emitter, the voluntary in-use testing

program, the absence of a cap on noise, and the catalyst durability

requirements).

1. Applicability

This rule applies to new nonroad SI engines that have a gross power

output rated at or below 19 kW and are manufactured during or after the

1997 model year, for use in the United States. The scope of this rule

encompasses a broad range of small SI engine applications, including

farm and construction equipment, which individual states are preempted

from regulating under section 209(e)(1) of the CAA. New engines that

are covered by this rule are used in a large and varied assortment of

vehicles and equipment including lawnmowers, string trimmers, edgers,

chain saws, commercial turf equipment, small construction equipment,

and lawn and garden tractors.

2. Scope: Exemptions and Exclusions

Pursuant to section 203(b)(1) of the CAA, the Agency is

promulgating exemptions and exclusions from this new small SI engine

regulation similar to those existing for on-highway engines and nonroad

large CI engines. Nonroad engines used solely for competition or combat

are excluded from regulation in accordance with the CAA. Exemptions

have been established for purposes of research, investigations,

studies, demonstrations, training, or for reasons of national security.

Such exemptions may be obtained either categorically, that is without

application to the Administrator, or by submitting a written

application to the Administrator. Export exemptions and manufacturer-

owned engine exemptions will be granted without application. Testing

exemptions, display exemptions, and national security exemptions must

be obtained by application.

The rule also explicitly limits its coverage such that it does not

extend to the small SI engines described below:

(1) Engines used to propel marine vessels, as defined in the

General Provisions of the United States Code, 1 U.S.C. 3 (1992); this

definition of ``vessel'' includes every description of watercraft or

other artificial contrivance used, or capable of being used, as a means

of transportation on water 8;

\8\ The Agency proposed appropriate methods of regulating

emissions from these engines separately; the NPRM was published on

November 9, 1994 at 59 FR 55930.

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

(2) Engines used in underground mining or engines used in

underground mining equipment and regulated by the Mining Safety and

Health

[[Page 34585]]

Administration (MSHA) in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and

75;

(3) Engines used in motorcycles and regulated in 40 CFR part 86,

subpart E;

(4) Engines used in aircraft, as that term is defined in 40 CFR

87.1(a);

(5) Engines used in recreational vehicles. Recreational vehicles

are defined as engines which have no speed governor and which have a

rated speed of greater than or equal to 5,000 revolutions per minute

(rpm). Engines used in recreational vehicles, by definition, are not

used to propel marine vessels, and they cannot be capable of meeting

the criteria to be categorized as a Class III, IV, or V engine under

this rule.

3. Model Year and Effective Date

The model year definition employed for the engines covered by this

rulemaking is the same as that employed for on-highway certification. A

model year includes January 1 of the calendar year for which it is

designated, but does not include a January 1 for any other calendar

year. The maximum duration of a model year is one calendar year plus

364 days.

This rule is effective with model year 1997. A manufacturer may

choose to produce both certified engine families and uncertified engine

families during annual production periods that start before September

1, 1996. Annual production periods commencing prior to September 1,

1996 must not exceed twelve months in duration; this limitation is only

applicable for the start-up of this program. Engines manufactured in a

production period commencing on or after September 1, 1996 must be

certified. The sole exception among regulated engines is for Class V

engines that are preempted from regulation in the State of California;

for these engines, the effective date of the rule is January 1, 1998.

New replacement engines manufactured after the applicable effective

date are subject to this rule. The Agency is not establishing a

separate effective date for nonroad equipment and vehicle

manufacturers. However, as long as they do not stockpile noncertified

engines, equipment and vehicle manufacturers may continue to use

noncertified engines built prior to the effective date until

noncertified engine inventories are used up.

4. Engine Classes

Engine classes are specified both by engine displacement, as

measured in cubic centimeters (cc), and by the type of equipment the

engine powers--either handheld or nonhandheld. There are five engine

classes covered by this rule. Each has a unique set of emission

standards. Nonhandheld engine classes are: Class I--engines less than

225 cc in displacement; and Class II--engines greater than or equal to

225 cc in displacement. Engines powering equipment defined as handheld

are classified as Class III: engines less than 20 cc in displacement,

or Class IV: engines equal to or greater than 20 cc and less than 50 cc

in displacement, or Class V: engines equal to or greater than 50 cc in

displacement. The emission standards promulgated today are considered

Phase 1 new small SI engine standards.

5. Handheld Engine Qualifications

Small SI engines are categorized as either handheld or nonhandheld,

depending on the use of the equipment in which the engine is installed.

A handheld engine must meet at least one of the following four

conditions:

(1) The engine must be used in a piece of equipment that is carried

by the operator throughout the performance of the intended function(s).

(2) The engine must be used in a piece of equipment that must

operate multipositionally, such as upside-down and/or sideways, to meet

its intended function(s).

(3) The engine must be used in a one-person auger for which the

combined engine and equipment dry weight is under 20 kilograms (kg).

(4) The engine must be used in a piece of equipment, other than an

augur, for which the combined engine and equipment dry weight is under

14 kg, no more than two wheels are present, and at least one of the

following attributes is also present:

The operator must alternately provide support or carry the

equipment throughout the performance of its intended function(s).

The operator must provide support or attitudinal control

for the equipment throughout the performance of its intended

function(s).

The engine is used in a hand portable generator or pump.

6. Emission Standards

Under this rule, exhaust emissions from new nonroad small SI

engines must not exceed the standards applicable to their engine

families based on their engine class, as listed in Table 1.

Table 1.--Exhaust Emission Standards

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

Engine characteristics Pollutant (gram per kilowatt-hour)

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

Displacement

Class Application (cubic cm) HC + NOX HC CO NOX

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

I Nonhandheld............... 225 13.4 469

III Handheld.................. 20, 241 805 5.36

50 161 603 5.36

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

The Agency is providing exceptions to nonhandheld standards for

engines used in two types of nonhandheld equipment. Engines used in

two-stroke snowthrowers and engines used in two-stroke lawnmowers are

allowed to comply with the handheld standards. In addition, the number

of two-stroke lawnmower engines allowed to meet handheld standards is

subject to a declining annual production cap; any excess annual

production would have to meet nonhandheld standards. Moreover,

manufacturers of engines used exclusively in snowthrowers and ice-

augers will be required to certify to and comply with only the

applicable nonhandheld or handheld CO standard, and will not have to

meet the HC standards, either nonhandheld or handheld, unless they opt

to certify to those standards. The Agency has decided to finalize the

combined HC + NOX standard for Classes I and II while requiring

that the individual test results for HC and NOX also be submitted,

as proposed.

The Agency has not addressed standards for air toxics in this

action.

[[Page 34586]]

7. Engine Family Categorization

For the purpose of demonstrating emission compliance, EPA is

requiring that manufacturers of small SI engines divide their product

line into groups of engines, called engine families, which are composed

of engines having identical physical characteristics and similar

emission characteristics. Small SI engine families are determined by

using the same criteria currently used to define on-highway motorcycle

engine families.

To be placed in the same engine family, engines are required to be

identical in all the following applicable respects:

(1) Combustion cycle;

(2) Cooling mechanism;

(3) The cylinder configuration (inline, vee, opposed bore spacings,

and so forth);

(4) The number of cylinders;

(5) The engine class;

(6) The number of catalytic converters (location, volume, and

composition), and

(7) The thermal reactor characteristics.

At the manufacturer's option, engines identical in all the above

respects could be further divided into different engine families if the

Administrator determined that such engines were expected to have

different emission characteristics. This determination would be based

on a number of features, such as the intake and exhaust valve or port

size, the fuel system, exhaust system, and method of air aspiration.

8. Certificate of Conformity, Requirements of Certification

Each manufacturer of a new nonroad small SI engine is responsible

for obtaining from the Administrator a certificate of conformity

covering any engine introduced into commerce in the United States,

before such engine is sold, offered for sale, introduced or delivered

for introduction into commerce, or imported into the United States.

Section 203 of the CAA does not prohibit the production of engines,

vehicles, or equipment before a certificate of conformity is issued. An

engine, a vehicle, or equipment may be covered by the certificate

provided:

The engine conformed in all material respects to the

engine described in the application for the certificate of conformity,

and

The engine, vehicle, or equipment was not sold, offered

for sale, introduced into commerce, or delivered for introduction into

commerce prior to the effective date of the certificate of conformity.

The Agency has established a number of requirements that an engine

manufacturer must satisfy prior to granting a certificate of

conformity. Engines equipped with adjustable operating parameters must

comply with all the applicable emission standards over the full range

of operating parameters and adjustments. Use of any device on a nonroad

engine which senses operation outside normal emission test conditions

and reduces the ability of the emission control system to control the

engine's emissions is a prohibited act that is subject to civil

penalties.

Use of defeat devices is a prohibited act subject to civil

penalties. The Agency reserves the right to require testing of a

certification test engine over a modified test procedure if EPA

suspects a defeat device is being used by an engine manufacturer on a

particular engine.

Finally, EPA is requiring that all engine crankcases be closed to

preclude the emissions that occur when a crankcase is vented to the

atmosphere. Since most currently produced engines do have closed

crankcases, EPA believes this requirement will impact relatively few

manufacturers.

9. Certification Procedures--Application Process

Each engine manufacturer must submit an application to EPA

requesting a certificate of conformity for each engine family for every

model year. The Agency will issue certificates to cover production for

a single model year. An application must be submitted every model year

even when the engine family does not change from the previous

certificate, although representative test data may be reused in the

succeeding model year's application.

The test engine(s) representing an engine family must demonstrate

that its emissions are less than or equal to each separate emission

standard. If the emissions from the test engine are below the

applicable standards and all other requirements of the regulation are

met (including the information required in 40 CFR part 90), EPA will

issue a certificate of conformity for that engine family.

The application must provide EPA with sufficient information to

assess the appropriate test results and determine the physical and

emission characteristics of the engine family, as well as compliance

with the applicable emission standards. It is important that the engine

manufacturer succinctly, fully, and accurately submit all pertinent

information to EPA and maintain internal records which can be easily

accessed if such access is determined to be necessary by EPA.

If changes to an engine family configuration occur after the

application is submitted which cause the changed version to be the

engine family's worst case emitter, then emission testing of the

changed version is required. Additionally, the Administrator may

require a manufacturer to conduct testing of a changed version that is

not a worst case emitter to demonstrate compliance.

10. Certification Procedures--Testing Overview and Preliminaries

The emission level used to certify an engine family must be equal

to the highest emission test level reported for any engine

configuration in that family. The engine manufacturer is responsible

for selecting and testing one engine from each engine family which is

most likely to be that engine family's worst case emitter. The Agency

expects that the worst case engine would normally be that engine

configuration which has the highest weighted brake-specific fuel

consumption over the certification test cycle, but will allow the

manufacturer to submit data from another engine if it can support its

contention that the alternative engine represents the worst case

emitter. The Agency may verify the test results by requiring

Administrator testing of this engine, or it may opt to test any

available test engine representing other configurations in the engine

family if it believes the manufacturer did not make a good faith effort

to select the worst case emitter.

Before the manufacturer carries out emission testing, it must

perform a number of hours of service accumulation on each test engine

over the dynamometer cycle of its choice, based on good engineering

practices (for example, an operational cycle representative of typical

``break-in'' of a new production engine in actual use). For each engine

family, the manufacturer must determine the number of hours required to

stabilize the emissions of the test engine, but this stabilization

period cannot exceed twelve hours. The manufacturer must maintain and

provide in its application to the Administrator a record of the

rationale used both in making the dynamometer cycle selection and in

making the service accumulation hours determination.

The manufacturer must conduct emission tests of the selected

engine(s) using the test procedure established in 40 CFR part 90.

However, this rulemaking does provide for EPA review and approval of

special test procedures if the small SI engine is not capable of

[[Page 34587]]

being satisfactorily tested under the established test procedures.

The Agency does not require engine manufacturers to maintain any

certification test engine after a certificate has been granted;

however, the manufacturer may find it useful to do so for future

showings to EPA. For example, a manufacturer may use such engines for

back-to-back testing when running changes occur and the manufacturer

wishes to show that no significant emissions impact has resulted.

11. Certification Procedures--Fuels

For the purposes of Phase 1 nonroad small SI compliance testing,

EPA has decided to allow the optional use of Indolene fuel in addition

to the Clean Air Act Baseline (CAAB) fuel that was specified in the

proposal. (Indolene is the trade name for the fuel specified at 40 CFR

86.113 for most light-duty compliance test procedures, referred to as

``Otto-cycle test fuel'' in the regulations.) Since the CARB regulation

allows the use of either Indolene or Phase 2 fuel, a test performed

using Indolene could be used to satisfy both federal and CARB

requirements for small SI engines. The Agency reserves the right to

perform confirmatory testing as well as selective enforcement audits on

either CAAB or Indolene, regardless of which fuel the manufacturer

chooses for its data submittal.

This rule sets forth no special standards nor test procedures for

engines that utilize fuels other than gasoline. These regulations apply

regardless of the fuel utilized by a small SI engine, so long as the

engine otherwise meets the criteria for coverage under this rule. The

Agency will consider whether additional guidance or regulation is

appropriate regarding any relevant issues brought to its attention

concerning engines that use fuels other than gasoline. The Agency

requests that such concerns be relayed to EPA as they arise.

The Agency may revisit the fuel specifications issue in a future

small nonroad engine rulemaking, depending upon the standards and

technology anticipated to be necessary for compliance.

12. Certification Procedures--Emission Test Procedure for HC, CO, and

NOX

The rule establishes a single test procedure that includes a test

cycle for measuring HC, CO, and NOX. There are three different

cycles available: one cycle applies to all Class III, IV, and V engines

(Cycle C), while two cycles are permissible for use with Class I and II

engines (Cycles A and B).

Cycle B can be used for those Class I and II engine families in

which 100 percent of the engines are sold with a governor that

maintains engine speed within 2 percent of rated speed

(the manufacturer-specified maximum power of an engine) under all

operating conditions. Cycle B is a six-mode steady state cycle

consisting of five power modes at rated speed and one no-load mode at

idle speed. For all other Class I and II engines, Cycle A is required.

Cycle A is identical to Cycle B, except the five power modes are run at

intermediate engine speed (85 percent of rated speed).

The engine manufacturer must use Cycle C for engines falling into

Classes III, IV, and V. Cycle C is a two-mode steady state cycle

consisting of one power mode (at rated speed) and one no-load mode at

idle speed. The test modes for each cycle must be run in a prescribed

order.

The methods used to measure the gaseous emissions of HC, CO, and

NOX for all small engines are independent of engine type and test

cycle. Manufacturers may sample emissions using either the Raw Gas

Method or the Constant Volume Sampling Method. Using either method,

each test engine must be stabilized at each mode before emission

measurement began. After stabilizing the power output during each mode,

the concentration of each pollutant, exhaust volume, and fuel flow is

determined. The measured values are weighted and then used to calculate

the grams of exhaust pollutant emitted per kilowatt-hour.

13. Confirmatory Testing Options

The Agency's confirmatory testing provisions set forth in this rule

allow EPA flexibility in determining when and where engine testing may

occur. The Agency may require confirmatory engine testing at any given

location, including at a manufacturer's facility, and may also require

the manufacturer to make available specified instrumentation and

equipment. Any testing conducted at a manufacturer's facility must be

scheduled by the manufacturer as promptly as possible. Authorized EPA

personnel must be given access to the facilities to observe such

testing.

14. Retention of Information; Amendments to the Application

The manufacturer is responsible for retaining certain information

applicable to each test engine, along with copies of the submitted

applications for individual certificates of conformity. The

manufacturer must also submit an amendment to the application or

certificate of conformity whenever additional small SI engines are

added to an engine family or changes are made to a product line covered

by a certificate of conformity. Notification normally would occur prior

to either producing such engines or making such changes to a product

line.

15. Selective Enforcement Auditing Program

The small SI engine SEA program, authorized by CAA section 213, is

an emission compliance program for new production nonroad engines that

allows EPA to issue an SEA test order for any engine family for which

EPA has issued a certificate of conformity. Failure of an SEA may

result in suspension or revocation of the certificate of conformity for

that engine family. To have the certificate reinstated subsequent to a

suspension, or reissued subsequent to a revocation, the manufacturer

must demonstrate by showing passing data that improvements,

modifications, or replacements have brought the family into compliance.

The manufacturer may challenge EPA's suspension or revocation decision

based on application of the sampling plans or the manner in which tests

were conducted.

16. No Useful Life Period, In-use Enforcement, or Mandatory In-use

Testing Program

The final rule does not determine a small SI engine useful life

period or establish an in-use enforcement program. However, as further

explained in the Response to Comments document, the Agency is allowing

a voluntary in-use testing program modeled on the testing program it

proposed in the NPRM. The Agency will not require approval of in-house

test programs voluntarily created by manufacturers nor creation of such

programs. Instead, the Agency will provide guidance according to the

testing program proposed in the NPRM to those manufacturers who choose

to conduct a program by which they could test a sample of engines while

in-use.

Although EPA has promulgated no in-use emission standards for Phase

1 engines, it anticipates that manufacturers would take appropriate

actions to prevent recurrence of in-use noncompliance should it be

discovered. Voluntary in-use testing will not be a requirement that

needs to be fulfilled under a conditional certificate program.

Therefore, the conditional certificate program that was proposed for

Phase 1 is not being adopted.

One commenter suggested that a voluntary testing program be

developed

[[Page 34588]]

in place of a mandatory program to develop meaningful data. EPA agrees

that this type of a program is more appropriate for Phase 1 and will

allow manufacturers to become familiar with an in-use testing program.

Because the Agency has chosen not to promulgate an in-use standard or

useful life period within this rule, it has decided that a mandatory

in-use testing program conducted by manufacturers is unnecessary at

this time.

17. Labeling

The engine manufacturer is responsible for proper labeling of

engines from each engine family. Manufacturers must label every engine

covered by this rulemaking, but they are not required to supply unique

numbers for each engine. The label indicates that the engine can meet

the standards appropriate to its class.

The Agency has decided that an engine label that meets the labeling

requirements for engines sold in the state of California will be

accepted as meeting federal labeling requirements, provided the label

states that it meets federal standards.

This action also requires that equipment and vehicle manufacturers

apply a supplemental label to the equipment or vehicle if the engine

label is obscured.

18. Importation Restrictions

Nonconforming small SI engines, vehicles, and equipment will

generally not be permitted to be imported for purposes of resale,

except as specifically permitted by this action. This rule provides

certain exemptions for various reasons, including repairs and

alterations, testing, pre-certification, display, national security,

and hardship. In addition, nonconforming small SI engines that are

exempted from importation restrictions include engines greater than 20

original production years old, engines used solely in competition, and

certain engines proven to be identical, in all material respects, to

their corresponding United States certified versions.

Today's action will permit individuals to import on a single

occasion up to three nonconforming small SI engines, vehicles, or

equipment items for personal use (and not for purposes of resale).

After an individual's limit of three, or after the first importation,

additional small SI engines, vehicles, or equipment will not be

permitted to be imported under this rule unless otherwise provided

under another exemption or exclusion.

The Agency has also decided not to establish an independent

commercial importers (ICI) program for small SI engines.

19. Defect Reporting and Voluntary Recall

The Agency is adopting the proposed emission defect reporting

regulations which require a manufacturer to report emission-related

defects that affect a given class or category of small SI engines

whenever it identifies the existence of a specific emission-related

defect in twenty-five or more engines in a single engine family

manufactured in the same model year. However, no report need be filed

with EPA if the defect is corrected prior to the sale of the affected

engines to the ultimate purchaser.

The Agency requires that individual manufacturers establish

voluntary recall programs, when appropriate. It has established limited

guidelines for engine manufacturers to follow when undertaking such a

program.

20. Emission Defect Warranty Requirements

The emission defect warranty will be provided by engine

manufacturers for the first two years of engine use, which is

harmonious with the two-year warranty period set forth in California's

lawn and garden regulations. The warranty requirements are consistent

with emission defect warranty policies developed for on-highway

vehicles, located in section 207(a) of the Act. Manufacturers of new

nonroad engines must warrant to the ultimate purchaser and each

subsequent purchaser that such engine was (1) designed, built, and

equipped so as to conform at the time of sale with applicable

regulations under section 213 of the Act, and (2) free from defects in

materials and workmanship which cause such engine to fail to conform

with applicable regulations for its warranty period.

21. Prohibited Acts; Tampering

The Agency is adopting provisions that will prohibit introducing

engines into commerce in the United States which are not covered by a

certificate of conformity issued by EPA. Additionally it will be a

prohibited act to use a regulated but uncertified nonroad engine in

nonroad vehicles or equipment. It is also a prohibited act for any

person to tamper with any emission-related component or system

installed on or in a small SI engine. The Agency has applied the

existing policies developed for on-highway tampering to engines

included in this rule. (See Office of Enforcement and General Counsel;

Mobile Source Enforcement Memorandum No. 1A, June 25, 1974.9)

\9\ EPA Air Docket #A-93-25, item II-B-01.

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

Adjustments outside of manufacturer's suggested parameters,

installation of replacement parts, or installation of add-on parts

might not necessarily be considered to be tampering so long as

regulated emissions do not increase and engine durability is not

adversely impacted as a result of such adjustments, replacement parts,

or add-on parts. For example, a manufacturer may install conversion

kits so that engines are capable of utilizing alternative fuels if

testing has been conducted according to the procedures specified in

subpart E of part 90 to ensure that regulated emissions will not

increase as a result of the conversion and use of alternative fuels. A

manufacturer is not required to send documentation that emissions do

not increase to EPA, but should be able to provide such documentation

upon request. EPA's tampering enforcement policy memorandum cited above

addresses these issues and should be used as a reference to determine

whether they constitute tampering or are allowable under the provisions

of this rule.

22. Catalyst Durability

Although EPA has not established full emission control system

durability demonstration requirements in the rulemaking, it expects

manufacturers to design such systems to be durable; that is, to be

effective in realizing emission reduction benefits under normal in-use

operating conditions not only when the engines are new, but also during

operation in-use, over time. While full emission control system

durability demonstration requirements are expected to be included in

the Phase 2 regulations for small SI engines, EPA has concerns that

certain emission control components, namely catalysts, warrant separate

consideration.

Therefore, EPA is adopting durability demonstration requirements

for catalysts in this rule. If catalysts are used in an engine family

to meet the emission standards of this regulation, the engine

manufacturer must affirm that the durability of the catalysts has been

confirmed on the basis of the evaluation procedure that is specified in

this rulemaking. The requirements adopted by EPA differ in some ways

from the proposal (regarding thermal stress testing requirements,

exhaust gas composition for testing of three-way catalysts, and

deterioration limits) that are discussed in more detail in the Response

to Comments.

[[Page 34589]]

23. No Cap on Noise

While EPA proposed that noise produced by new small SI engines

would not be allowed to increase over current levels as a result of the

proposed emission standards, it has decided not to promulgate such a

requirement. Although EPA continues to believe noise control is

important, without standards and test procedures, such a requirement is

not enforceable. The Agency expects that the types of modifications to

current engine design that will be performed to assure compliance with

emission standards will not impact noise levels. However, EPA may

regulate engine noise if it becomes aware that noise levels do actually

increase subsequent to promulgation of this rulemaking.

24. No Averaging, Banking, and Trading Program

This rule does not extend averaging, banking, and trading, nor any

of the elements of such a program, to the certification program for the

engines subject to this regulation. Averaging, banking, and trading are

being discussed as options for Phase 2.

IV. Public Participation and Comment

The Agency received submissions during the comment period for the

NPRM from thirty-three commenters. Copies of all of the written

comments submitted to EPA, as well as records of all oral comments

received during the comment period, can be obtained from the docket for

this rule (see ADDRESSES).

This section responds to certain comments received from the public

on major issues. The docket also contains a ``Response to Comments''

document that provides a more detailed summary of the comments,

including many issues not covered in this preamble because they were

minor or less contentious issues, and EPA's rationale for its

responses.

A. Model Year Definition and Effective Date

This rule will become effective beginning with the 1997 model year.

The Agency proposed an effective date of August 1, 1996 for

implementation of this rulemaking. Regarding the definition of model

year, EPA requested comment on three options: (1) a model year

beginning August 1 and ending July 31 of the succeeding year, (2) a

model year like that in the on-highway program, beginning January 2 of

one year and ending December 31 of the succeeding year, and (3) a model

year like that in the on-highway program, but beginning August 1 and

ending July 31 of the second succeeding year.

Several states, associations of state and local air officials, and

an environmental association supported an effective date of January 1,

1996. They noted that delayed implementation of this rule decreases the

value of a phased approach to small engine regulation by eroding the

near-term benefits of a program intended largely to provide near-term

benefits. A state, an environmental association, and associations of

state and local air officials that are participants in the regulatory

negotiation for the second phase of small engine regulation stated that

their agreement to participate in the negotiated rulemaking was based

partly on a January 1, 1996 effective date for the Phase 1 rulemaking.

Several states and a manufacturer supported the proposed effective

date of August 1, 1996. One state argued that manufacturers have had

ample notice of the fact that they would be regulated, and that to

delay would reward parties that have not devoted resources in good

faith to develop cleaner engines. Another state commented that it would

have to adopt California's regulation for SI engines under 25

horsepower to get the SIP credits it needs if the federal rule's

effective date is delayed.

Several manufacturers and industry associations supported an August

1, 1997 effective date, citing lead time considerations. An association

pointed out that the interval between promulgation of the final rule in

May 1995 and the effective date of August 1, 1996 would provide only

one year of lead time prior to implementation, which it considered to

be insufficient for engine manufacturers to retool to achieve emission

compliance for implementation of nationwide standards.

Another industry association and a manufacturer commented that an

August effective date does not coincide with the production cycle for

all engines covered by this rule; many operate on a calendar year

basis. That association supported setting an effective date two years

after California's regulations become effective (e.g., January 1, 1997)

for products that are not preempted in California and an effective date

two years after this Phase 1 rule takes effect (e.g., January 1, 1999)

for products that are preempted in California. The association cited

lead time concerns, particularly in regard to products that are

preempted from regulation in California. One manufacturer supported a

January 1998 effective date for engines used in products that are

preempted from regulation in California, arguing that the additional

lead time is critical to prevent disruptions in supply since most

attention has been focused on engine development for non-preempted

products.

Comments on the definition of model year were received from

manufacturers and industry, state and local air officials, and an

environmental association. All comments supported the on-highway model

year definition.

The Agency has decided upon a model year 1997 effective date and

has adopted the on-highway model year definition. The 1997 model year

will run from January 2, 1996 to December 31, 1997.

The Agency acknowledges industry's need for sufficient lead time.

It also acknowledges the need of states to realize reductions of air

pollutant emissions, and to adhere to schedules mandated in the CAA for

reasonable further progress toward VOC reductions from 1990 levels and

for attainment of the National Ambient Air Quality Standard for ozone.

The model year 1997 effective date provides additional lead time for

those manufacturers that take advantage of the flexibility allowed by

the model year definition; it also allows early introduction of

complying products by manufacturers that are in a position to produce

complying products earlier in the model year rather than later.

The Agency is allowing additional lead time for Class V engines

covered by this rule that are used in farm and construction equipment

or vehicles which CAA section 209(e)(1)(A) preempts from state

regulation. The effective date for such Class V engines is January 1,

1998.

Under the final rule, the model year includes January 1 of the

calendar year for which it is designated and does not include a January

1 of any other calendar year. The maximum duration of a model year is

one calendar year plus 364 days. A certificate of conformity is issued

for each engine family introduced into commerce for a single model

year. The annual production period within a model year for any specific

model within an engine family begins either: (1) when such engine is

first produced, or (2) on January 2 of the calendar year preceding the

year for which the model year is designated, whichever date is later.

The annual production period ends either: (1) when the last such engine

is produced, or (2) on December 31 of the calendar year for which the

model year is named, whichever date is sooner.

Introducing a specific model year engine into commerce prior to or

after the model year for which the certificate is issued and in effect

is a prohibited act. However, in recognition of the fact

[[Page 34590]]

that some manufacturers will be in a position to ship certified engines

prior to January 2, 1996, EPA is making an exception for engine

families that are certified by EPA prior to January 2, 1996; such

engine families may enter commerce prior to January 2, 1996, once a

certificate of conformity has been issued. Engines produced after

December 31 of the calendar year for which the model year is named are

not covered by the certificate of conformity for that model year. A new

certificate of conformity demonstrating compliance with applicable

standards must be obtained for such engines, even if they are identical

to engines built before December 31.

To provide maximum flexibility in the start-up of this program, the

Agency is interpreting the Phase 1 model year definition somewhat

differently than in the on-highway program. For the 1997 model year

only, manufacturers may choose to produce both certified and

uncertified engine families during annual production periods that begin

prior to September 1, 1996. All engines manufactured during annual

production periods that begin on or after September 1, 1996 must be

certified. In addition, annual production periods that begin prior to

September 1, 1996 may not exceed twelve months in length, to ensure

that all engines are certified no later than calendar year 1997. The

Agency has determined that flexibility in the interpretation of the

model year definition for program start-up is necessary in fairness to

manufacturers both to provide additional lead time and to account for

the variability in production periods of the small SI engine industry.

For example, a manufacturer of lawnmower engines with an annual

production period from July 1996 to June 1997 might choose to certify

two-thirds of its engine families by July 1996, with the remainder of

its production being uncertified. Normally, the manufacturer must

certify all its engines in every annual production period; the enhanced

flexibility provided by this special interpretation, which allows the

manufacturer to choose when to begin certifying in production periods

beginning before September 1, 1996, is for the start-up of this program

only.

The lawnmower manufacturer in the example above may call the engine

families certified in calendar year 1996 either model year 1996 or

model year 1997 engines; the advantage to calling them model year 1997

engines is that they can then be built past December 31, 1996.

Similarly, the lawnmower engine families certified in calendar year

1997 may be called model year 1997 or model year 1998 engines, but only

model year 1998 engines may be built beyond December 31, 1997.

Another example is a string trimmer engine manufacturer that

operates on a January to December production period. The manufacturer

may choose to certify any portion of its engine families in January

1996, and must certify all its engine families in January 1997.

The Agency expects that manufacturers will federally certify a

substantial number of engine families in calendar year 1996 to take

maximum advantage of ``green'' marketing strategies. Most of the engine

families covered by this regulation will already have been certified to

California standards prior to model year 1997. No data are available

for EPA to accurately predict the percentage of small engine families

that will be certified in calendar year 1996. For purposes of state

implementation plan submittals, EPA is estimating that half will be

certified in calendar year 1996.

Under no circumstances should the model year definition be

interpreted to allow existing models to ``skip'' annual certification

by pulling ahead the production of every other model year. While this

situation, to the Agency's knowledge, has not occurred in the past, a

practice of producing vehicles or equipment for a two-year period would

violate the Congressional intent of annual certification based upon an

annual production period. The Agency is not currently setting forth

rules for how to determine when abuse has occurred, since this has not

been a problem to date. However, the Agency is requiring that engine

manufacturers certify annually based on an annual production period.

B. Definition of Handheld Equipment, Snowthrowers, and Two-stroke

Lawnmowers

1. Definition and General Provisions

The Agency proposed that small SI engines be categorized as either

handheld or nonhandheld, depending on the usage of the equipment in

which the engine is installed. To qualify as handheld, it was proposed

that the engine be required to meet at least one of three criteria. In

summary, the criteria are that the engine must be used in a piece of

equipment that is carried by the operator; or that it is operate

multipositionally; or that it is used in a two-wheeled piece of

equipment having a combined engine and equipment dry weight under 14 kg

and also has certain other specific attributes (for the criteria in

detail, see section III.C.5. of this preamble, ``Handheld Engine

Qualifications'').

Comments on this issue submitted by state and environmental

organizations suggested that EPA tighten the definition to further

limit the extent of the handheld category and prevent abuse of the

classifications, while manufacturers and their organizations suggested

loosening the definition to allow the equipment of concern to their

group to fall into the handheld category.

The Agency is retaining its handheld equipment definition largely

as proposed, with the only changes being the addition of a fourth

category for one-person augers under 20 kg and the elimination of the

term ``exclusively'' from the category for pumps and generators. Based

on an extensive review of product literature, the Agency believes that

this revised definition adequately describes those types of equipment

that are legitimately handheld while excluding nonhandheld

applications.

As described more fully in the preamble to the proposed rule, the

necessity for a distinction between handheld and nonhandheld equipment

is based in part on the substantial difference between emissions from

current four-stroke and two-stroke engines, which is an inherent result

of their design differences. Although two-stroke engines have

significantly higher emissions, their use is necessary in some

applications because they are generally lighter for the same rated

power and can be used in any orientation, unlike their four-stroke

counterparts. Of course, the Agency is not requiring the use of either

two-stroke or four-stroke engines in any particular type of equipment.

If technological advances are such that two-stroke engines can meet the

nonhandheld standards, manufacturers are free to utilize that

technology or any other technology that can meet the standards. The

distinction between handheld and nonhandheld equipment is not to

specifically limit the use of any type of engine but, rather, to limit

emissions as much as is achievable while recognizing the unique needs

of handheld applications.

The Agency is sympathetic to comments that it should coordinate its

handheld definition with CARB. Nevertheless, it believes that its

definition clarifies and expands on the CARB definition in ways

important to the federal program. Given the different mandates of the

two organizations and the specific air quality problems of the State of

California, EPA believes it is not inappropriate for the definitions to

be slightly different.

[[Page 34591]]

Also, an investigation into the types of equipment each definition

would cover reveals that there is a very high degree of overlap.

Equipment types considered by the EPA to be handheld include, but are

not limited to, string trimmers, hedge clippers, brush cutters, hover

mowers, leaf blowers, chain saws, clearing saws, and concrete, masonry,

and cutoff saws.10 These equipment types meet EPA's general

definition of handheld equipment, while pumps, generators,

snowthrowers,11 edgers, cultivators, tillers, continuous diggers,

and trenchers must be under 14 kg and have no more than two wheels to

be considered handheld, and augers must be under 20 kg and be intended

for one-person use to be considered handheld.

\10\ The Agency is aware that concrete/masonry/cutoff saws are

sometimes attached to carts for extended or heavy-duty cuts. This

occasional use does not negate their overall status as handheld

equipment. The Agency agrees with the comment that such saws are

often used multipositionally, and thus fall into the general

handheld category. Thus, the 14 kg weight limit does not apply. The

same is true for hover mowers.

\11\ Certain snowthrowers that do not meet the handheld

definition are nevertheless allowed to meet the handheld, rather

than nonhandheld, CO standards. Engines used exclusively in

snowthrowers will not be required to meet the HC standards, either

handheld or nonhandheld, unless manufacturers of these engines opt

to certify to those standards. See below for further discussion.

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

Some commenters suggested that equipment weighing 14 kg is too

heavy to be handheld, but did not suggest an acceptable alternative

weight. Others felt it was too light for an upper limit. The Agency

agrees that 14 kg is indeed heavy for some uses and some consumers, but

also believes that certain pieces of equipment at that weight would be

used in a handheld manner (such as lightweight edgers and tillers). It

is likely that market forces would limit the manufacture and sale of

``handheld'' equipment that is too heavy for the typical consumer of

such products. Indeed, a review of product literature indicates that 14

kg appears to be the break point that the market has chosen between

equipment types powered with two-stroke engines and those powered by

four-stroke.12 13

\12\ For augers, this break point is 20 kg.

\13\ See note to docket summarizing product weights, dated 2/17/

95, by Lisa Snapp, U. S. Environmental Protection Agency. (EPA Air

Docket #A-93-25.)

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

Additionally, for products not falling into the general handheld

definition (that is, products not carried throughout use and not used

multipositionally), a product weight of less than 14 kg is not

sufficient to qualify as handheld. Such products are also limited to no

more than two wheels and must need some degree of operator carrying,

support or attitudinal control in order to qualify as handheld; that

is, they must not be completely ground-supported. The Agency believes

that these additional constraints will prevent true nonhandheld

equipment from inadvertently falling into the handheld category.

On the other hand, the mere fact of some degree of ground support

should not disqualify a piece of equipment from the handheld category.

Some lightweight products requiring some level of ground support,

including products with one or two wheels, would typically be

considered handheld by the general public. Equipment such as

lightweight snowthrowers, tillers and edgers with up to two wheels

would require some carrying, support or attitudinal control; lawnmowers

and three- and four-wheeled edgers, conversely, would be completely

ground-supported and thus not handheld.14

\14\ Additionally, the use of lawnmowers and, similarly, three-

and four-wheeled edgers on hillsides is not considered to be

multipositional use and, hence, they do not qualify as handheld

equipment. Nevertheless, certain lawnmowers are allowed to meet the

handheld, rather than nonhandheld, standards. See below for further

discussion.

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

Some commenters stated that pumps and generators under 14 kg should

not qualify as handheld. The categorization was intended primarily for

small pumps and generators that would be transported into remote areas,

and is hereby retained. The State of California has a special provision

allowing such equipment with non-certified engines to be purchased by

emergency response organizations. The Agency is taking a somewhat

different route toward a similar end, while making these pieces of

equipment more widely available but subject to the handheld standards.

The Agency wishes to clarify that all pumps and generators under 14

kg with no more than two wheels will be categorized as handheld

equipment. The phrase ``the engine is used exclusively in a generator

or pump'' was not meant to preclude handheld status for pumps and

generators with engine models that are also used in other pieces of

handheld equipment. The Agency agrees that the term ``exclusively'' in

the handheld definition is superfluous and it has been removed.

For this rule, only earth and ice augers that are under 20 kg

(including a bit of typical size for that model) and are sold for use

primarily by one person will be considered handheld.15 Two person

augers, and any auger of 20 kg or more (including the bit) must meet

the nonhandheld standards. The Agency believes that this slight

broadening of the definition reasonably responds to the needs of auger

manufacturers to provide both a lightweight and a high-strength, high-

power product during the time frame of the Phase 1 regulations. Light

weight is important for one person to be able to counter the torque

generated by the drilling operation, hold the auger vertically, lift it

from the hole, and carry it to and from the drilling location. Also, in

contrast to truly nonhandheld equipment, augers have no frame or wheels

and, thus, require continuous operator support during use. In contrast

to other equipment that is clearly handheld, however, augers are of a

heavier construction to withstand greater forces during use, and are

used for very short bursts of time, so that the 14 kg weight limitation

is not applicable. A review of product literature and manufacturer

comments indicate that an upper limit of 20 kg would include most or

all one-person augers currently on the market.

\15\ All ice augers, whether or not they qualify as handheld,

will not be required to meet the HC standards, unless manufacturers

of engines used in those products certify to the HC standards. Under

today's rule, ice augers will only be subject to the applicable

handheld or nonhandheld CO standard. See below for further

discussion.

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

Auger manufacturers are predominantly small companies and,

therefore, are somewhat constrained in their ability to quickly re-

engineer their product, acquire a new engine source, and absorb the

costs of a four-stroke engine. It is for this reason, coupled with the

technological reasons cited above, that the Agency is allowing one-

person augers under 20 kg to meet the handheld definition for this

Phase 1 regulation of small SI engines. However, this definition will

not necessarily be carried into future regulation of small SI engines,

such as in the Phase 2 negotiated rulemaking activities currently

underway.

2. Snowthrowers

The Agency proposed that snowthrowers meeting the handheld

definition be considered handheld equipment; all other snowthrowers

would be considered nonhandheld. In general, industry either opposed

regulating snowthrowers for HC emissions or favored relaxed emission

standards for two-stroke snowthrowers, while environmental and state

and local air officials' associations favored more stringent standards.

One industry commenter argued that EPA should at a minimum exempt

snowthrowers from the hydrocarbon standards, since emissions from

snowthrowers do not demonstrably contribute to summertime ozone

[[Page 34592]]

nonattainment concentrations. According to the commenter, Phase I

accomplishes no demonstrable purpose by regulating snowthrower

hydrocarbon emissions, as snowthrowers are used exclusively during the

winter and reductions achieved by regulating snowthrowers would have no

benefit for areas seeking reductions in order to attain the ozone NAAQS

during the high ozone season.

Industry commented that there are no snowthrowers with SI engines

that weigh under 14 kg. As a result, all snowthrowers covered by the

proposal would be subject to nonhandheld standards. According to

industry, if snowthrowers with two-stroke engines must comply with

nonhandheld standards, EPA would effectively be banning such equipment

and placing an unreasonable hardship on that segment of industry. The

Nonroad Study indicates that 26 percent of snowthrowers have two-stroke

engines.

Industry offered three main lines of reasoning for the position

that all two-stroke snowthrowers should be considered handheld. First,

snowthrower manufacturers assumed that Phase 1 standards would mirror

CARB's standards, including its special exceptions. Second,

snowthrowers do not contribute to summer ozone nonattainment. Third,

two-stroke snowthrowers have design, performance, and operational

characteristics that fill a unique market niche, and have many of the

attributes of handheld equipment.

The unique design, performance, and operational characteristics

cited by industry include size, weight, maneuverability, and ease of

storage and transport. Two-stroke snowthrowers have only two wheels

(neither of which touch the ground during operation), and operators

must provide continual support and attitudinal control by raising and

tilting the equipment in order for it to perform.

Industry commenters noted that two-stroke snowthrowers use a 5.4 kg

(12 pound) engine and a single belt-drive system, eliminating the

weight of additional belts and pulleys. Moreover, almost all two-stroke

snowthrowers are ``single-stage,'' according to industry comments,

meaning that they use an auger to gather snow and expel it from a

single chamber. By contrast, almost all four-stroke snowthrowers are

two-stage units that use an auger to gather snow into one chamber and a

separate impeller to discharge it from a second chamber, according to

comments. The engines in four-stroke snowthrowers weigh between 11 kg

(25 pounds) and 27 kg (60 pounds). According to information submitted

by industry, the overall weights of two-stroke snowthrowers range from

16.3 kg (36 pounds) to 39.9 kg (88 pounds); the average weight of the

two-stroke models listed was 29.5 kg (65 pounds). In EPA's opinion, a

product line ranging in weight from 16.3 to 39.9 kg cannot fairly be

considered light in weight, or specifically designed to be lifted or

carried, and EPA is not inclined to raise the weight limit in the

handheld definition to 30 kg to accommodate such equipment.

Environmental and state and local air officials' associations

opposed handheld status for two-stroke snowthrowers. They expressed

concern about the high levels of unburned air toxics emitted by two-

stroke engines, given operator proximity. The associations pointed out

that for larger snowthrowers, four-stroke models are available, and for

the small two-wheeled version, electric models are available.

Since EPA agreed to undertake a phased approach to small engine

regulation in March 1993 (see 59 FR 25399 at 25400-25401 for a detailed

explanation), EPA has maintained that its Phase 1 program would be

compatible with CARB's and incorporate compatible emission standards,

where it is appropriate to do so in a nationally, rather than

regionally, applicable regulation.

After considering the comments, the Agency has concluded that the

HC standard will be optional for snowthrowers. This is because, as is

discussed in the preamble to the proposed rule (see 59 FR at 25416) and

by industry comments, snowthrowers are operated only in the winter,

which means that they do not measurably impact ozone nonattainment

concentrations and thus need not be subject to stringent control

requirements aimed at controlling ozone nonattainment. On a national

level, ozone nonattainment is primarily a seasonal problem that occurs

during warm sunny weather. Regulating HC and emissions from products

used exclusively in the winter, such as snowthrowers, will not advance

the Agency's mission to correct this seasonal problem. EPA recognizes

that California will be regulating HC emissions from snowthrowers, and

today's decision should in no way prejudice California's efforts. The

Agency notes that California faces a uniquely difficult problem in that

its ozone nonattainment season is year round, and that Congress has

recognized California's potential need to adopt measures that are more

stringent than those that apply in the nation as a whole. EPA, instead,

must promulgate regulations that apply nationally in scope and that

address the air quality problems that face the nation generally.

Under today's rule, while manufacturers of snowthrowers will still

be required to certify to and comply with applicable CO standards, they

will be required to certify to the HC standard only where they opt to

become subject to those standards. The Agency expects that many

snowthrowers will in fact be certified to meet the HC standards, since

the technology necessary to meet those standards will be readily

available to snowthrower manufacturers and since manufacturers may wish

to be able to take advantage of ``green marketing'' opportunities.

However, the Agency does not believe it is appropriate at this time to

absolutely require all snowthrowers to be certified to meet a standard

that is meant to address ambient air quality problems that do not exist

when when these products are in use. This decision in no way affects

snowthrower manufacturer responsibilities with respect to the CO

standards. Moreover, if an engine manufacturer produces an engine that

is used in snowthrowers and in other products that are not used

exclusively in the winter, that engine must be certified to the

applicable HC standard. Finally, today's decision applies only with

respect to regulating snowthrowers under this Phase I rule, and does

not prejudge how the Agency will approach this issue in Phase 2.

The Agency is persuaded by comments describing the design,

performance, and operational characteristics of two-stroke snowthrowers

that two-stroke snowthrowers form a distinct product class from four-

stroke snowthrowers. As two-stroke snowthrowers are a distinct product

class that depends on a relatively lighter-weight product, EPA does not

consider four-stroke technology to be generally available technology

for the more light-weight two-stroke snowthrowers.

The Agency shares the concerns raised by commenters about operator

proximity to high levels of unburned air toxics emitted by two-stroke

engines in a regulatory manner. However, EPA lacks sufficient data to

address those concerns at this time.

The Agency agrees with comments that two-stroke snowthrowers would

meet the third prong of the handheld definition but for the weight

criterion. Rather than amend the weight criterion in the handheld

definition to include two-stroke snowthrowers, however, EPA is

providing an exception to nonhandheld standards that will require

[[Page 34593]]

two-stroke snowthrowers to comply with handheld standards. The

exception is based on the distinction between two- and four-stroke

snowthrowers as product classes. This result is consistent with CARB.

3. Lawnmowers

Under EPA's proposal, all lawnmowers would be classified as

nonhandheld equipment. The Agency requested comment on four options for

providing relief for two-stroke lawnmower engine manufacturers.

Two industry manufacturer associations, a dealer association, and

one manufacturer recommended that EPA allow two-stroke lawnmower engine

manufacturers to meet handheld standards. They commented that two-

stroke lawnmower engines would effectively be eliminated from the

market under the proposal.

The manufacturer that commented would be particularly impacted by

the requirement that lawnmower engines meet nonhandheld standards

because it is the largest producer of two-stroke lawnmower engines. It

argued that the definition of handheld and nonhandheld should not be

used to discriminate against engines according to their application, to

bypass the requirement of technological feasibility, to distort the

competitive balance of the industry by banning major products, nor to

place disproportionate burdens on one company as the price of

maintaining an important product line.

A state commented that it sees no reason to grant special

concessions to some manufacturers because their current product line

uses a more polluting technology than their competitors; such a policy

would penalize those manufacturers that have pursued cleaner

technologies, according to this comment. Complying four-stroke engines

are available and a sufficient number of manufacturers participate in

the market to ensure competition, this comment stated.

Environmental and state and local air officials' associations

expressed strong opposition to the options for relief for two-stroke

lawnmowers; given that approximately 90 percent of lawnmowers sold in

the United States already rely on four-stroke technology,16 it can

not be argued that four-stroke engines are not available technology for

all lawnmowers, according to these groups.

\16\ See Table 2-03, ``Inventory A & B National Population

Estimates'' from the Nonroad Engine and Vehicle Emission Study

(Report USEPA Office of Air and Radiation document #21A-2001,

November 1991). The Nonroad Study is available in EPA Air Docket #A-

91-24. It is also available through the National Technical

Information Service, referenced as document PB 92-126960.

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

Environmental and state and local air officials' associations

commented that manufacturers have had ample opportunity to react to

requirements that might reasonably have been expected. These

manufacturers participated in the process that led to the December 1990

adoption of CARB's standards and have already enjoyed a four year

period in which to take appropriate action. Those associations also

commented that such regulatory relief would compromise the

effectiveness of Phase 1, and thereby undermine their acceptance of the

phased approach to regulation of small engines.

The Agency is promulgating its proposal that lawnmowers be

classified as nonhandheld equipment. However, in response to the

industry comments, EPA is providing an exception to the nonhandheld

standard to allow two-stroke lawnmower engine manufacturers to produce

a declining percentage of two-stroke lawnmower engines that meet

handheld standards until model year 2003. This relief for two-stroke

lawnmower engine manufacturers is justified by the economic hardship to

current manufacturers of two-stroke lawnmowers that would result if

two-stroke lawnmowers were required to meet nonhandheld standards upon

the effective date of Phase 1, and by the need for additional lead time

for current manufacturers of two-stroke lawnmowers to develop mowers

that meet nonhandheld standards; EPA has concluded that handheld

standards are the most stringent standards achievable for lawnmowers

currently using two-stroke engines in the near term given these

economic hardship and lead time considerations.

Economic hardship that would result if two-stroke lawnmowers were

required to meet nonhandheld standards is documented in two sets of

comments from an engine and equipment manufacturer. It stated that it

would be forced to close a manufacturing plant that employs 230 people

unless some form of relief from the requirement that all lawnmowers

comply with nonhandheld standards is granted. The plant is devoted to

two-stroke engine operations, according to the comments. The

manufacturer commented that the declining production option would avoid

closure of the plant and maintain a minimally necessary market presence

for its two-stroke lawnmowers during Phase 1. The manufacturer stated

that its principal goal and long-term strategy is to develop technology

that will enable two-stroke lawnmower engines to meet Phase 2

nonhandheld standards. Reducing sales below 50 percent would destroy

the market for the product before Phase 2 technology could be

implemented, and reduce plant utilization to unacceptable levels,

according to the manufacturer.

The need for additional lead time was a common theme among industry

commenters, although only one two-stroke mower engine manufacturer

addressed the difficulty, if not impossibility, of two-stroke mowers

meeting nonhandheld standards by the effective date of Phase 1.

According to this manufacturer, it is not technologically feasible for

two-stroke engines to meet nonhandheld standards at this time. The

manufacturer argued in its comments that more engineering effort is

required for two-stroke lawnmower engines to meet handheld standards

than for four-stroke engines to meet nonhandheld standards. It said

that this is partly due to the difference in duty cycles for handheld

and nonhandheld engines, with handheld engines having the advantage of

a higher horsepower divisor than is obtained under the variable

nonhandheld load specifications. The manufacturer stated that it is an

engineering uncertainty whether and how valve-control techniques

developed in the past, to enhance power output for smaller two-stroke

engines used in products such as chain saws, might be used to reduce

emissions in lawnmowers. Finally, the manufacturer claimed that while

it is conceivable that its technology development could permit the

introduction of engines meeting the Phase 1 nonhandheld standards

during Phase 1, the prospect of this occurring before the year 2001 is

remote.

CAA section 213(a)(3) specifies that nonroad emission standards

must achieve the greatest degree of emission reduction achievable

through the application of technology that the Administrator determines

will be available, giving appropriate consideration to cost, lead time,

noise, energy and safety. Taking into account the economic hardship and

lead time considerations discussed above, EPA has determined that

handheld standards subject to a declining production cap are the most

stringent emission standards achievable for lawnmowers that currently

use two-stroke engines.

Under the declining production cap, two-stroke lawnmower engine

manufacturers that wish to continue producing two-stroke lawnmower

engines must establish a production baseline. The production baseline

is the highest number of two-stroke

[[Page 34594]]

lawnmower engines produced in a single annual production period from

1992 through 1994. Documentation verifying the production baseline must

be submitted to EPA with the application for certification. In model

year 1997, two-stroke lawnmower engine manufacturers may produce 100

percent of their production baseline, which must be certified to

handheld standards. In model year 1998, two-stroke lawnmower engine

manufacturers may produce 75 percent of their production baseline. From

model year 1999 until model year 2003, two-stroke lawnmower engine

manufacturers may produce 50 percent of their production baseline in

each annual production period. In model year 2003, two-stroke lawnmower

engine manufacturers must meet either Phase 1 nonhandheld standards or

Phase 2 nonhandheld standards, whichever are applicable.

Although EPA's approach is not consistent with CARB regulations,

which require all lawnmowers to meet nonhandheld standards with no

exceptions, EPA believes there are two valid reasons for the

distinction. First, Congress has recognized the need for California to

maintain its own mobile source emission control program (see section

209 of the CAA) because it faces difficult and distinct air pollution

problems and, as a result, may need to adopt measures more stringent

than those that apply in the nation as a whole. Second, EPA's nonroad

emission standards are not allowed to be more stringent than is

achievable after consideration of cost and lead time according to

section 213(a)(3) of the CAA. Although California is constrained by

similar criteria per the authorization criteria of section 209(e),

consideration of such criteria is limited to the State of California.

The Agency must consider cost and lead time when nonroad emission

regulations affect the nation as a whole. The Agency has concluded that

in order for it to meet the section 213(a)(3) requirements to consider

cost and lead time in setting its nationally applicable standard, EPA

must provide for this limited relief for manufacturers of lawnmowers

that use two-stroke engines. This conclusion in no way prejudges

whether California should grant similar relief.

In contrast to the its treatment of two-stroke versus four-stroke

snowthrowers, EPA is not distinguishing two-stroke and four-stroke

lawnmowers as separate products, but rather is recognizing the

technological infeasibility of two-stroke engines used in lawnmowers

meeting the nonhandheld standard by the effective date. The Agency

agrees with commenters that four-stroke technology is generally

available for lawnmowers, and that two-stroke engines are more

polluting than four-stroke engines.

Still, although four-stroke technology is theoretically available

for all lawnmowers, it is not immediately available for manufacturers

of two-stroke lawnmower engines. Due to the cost and lead time concerns

outlined above, EPA is providing a reasonable opportunity for two-

stroke lawnmower engine manufacturers to come into compliance with

nonhandheld standards.

4. Ice Augers

Under EPA's proposal, all earth and ice augers would have been

subject to the applicable handheld or nonhandheld CO and HC standards.

In the preamble to the proposed rule, in discussing snowthrowers, EPA

noted that the exclusively wintertime use of snowthrowers argues

against regulating emissions of HC from those products. In today's

rule, EPA is in fact exempting snowthrowers from the requirement to

certify to and comply with the HC standard, due to the fact that they

do not demonstrably contribute to ozone nonattainment concentrations.

For the same reasons, today's rule exempts ice augers from the

requirement to certify to and comply with HC standards, while still

requiring them to meet the applicable CO standard. Like snowthrowers,

ice augers are clearly used only during the winter, and the Agency does

not believe it would be reasonable to subject them to stringent control

requirements aimed at addressing summertime ozone nonattainment

problems. At their option, ice auger manufacturers will be able to

certify to HC standards, if they find that complying technology is

available and wish to take advantage of ``green marketing''

opportunities. This relief, however, is provided only for ice augers.

Earth augers, since they are in fact used during the ozone

nonattainment season, will be required to certify to applicable HC

standards. Moreover, if a manufacturer produces an engine that is used

in ice augers and other products that are not used exclusively in the

winter, that engine must be certified to meet the applicable HC

standard. Finally, today's decision applies only with respect to

regulating ice augers under this Phase I rule, and does not prejudge

how the Agency will approach this issue in Phase 2.

C. Requirements Applicable to Vehicle and Equipment Manufacturers

1. Requirement To Use Certified Engines

The Agency proposed that vehicle and equipment manufacturers using

small nonroad engines must use appropriate handheld or nonhandheld

certified engines, and prohibited the introduction into commerce of

nonroad vehicles and equipment lacking appropriate certified engines

after the effective date. The Agency received comments both supporting

and questioning its authority to require the use of certified engines.

One industry association commented that EPA has no authority to require

the use of certified engines. A manufacturer and an industry

association commented that EPA's authority under CAA section 213 does

not extend to equipment. A state, an association of state and local air

officials, and an environmental association supported the requirement

that equipment manufacturers use complying engines.

Several industry associations commented that the prohibition on

introducing into commerce vehicles and equipment lacking appropriate

certified engines after the effective date could impose a substantial

hardship on industry and is unnecessary to prevent stockpiling.

According to their comments, equipment manufacturers now minimize the

period they store engines to avoid the substantial costs associated

with financing and warehousing inventoried engines. Two associations

asked EPA to clarify that neither equipment manufacturers nor dealers

have any special obligation to convert their inventories to use

certified engines.

The Agency is finalizing the requirement that nonroad vehicle and

equipment manufacturers use appropriate handheld or nonhandheld

certified engines, effective with the 1997 model year. In EPA's view,

the most effective way to ensure that certified engines are used in

nonroad vehicles and equipment is to require such engines to be used.

CAA sections 213, 216, and 301 provide authority for this requirement,

since EPA is required to establish standards that apply to nonroad

engines and the vehicles and equipment in which they are used.

2. Separate Effective Date

The Agency requested comment on a separate effective date for

vehicle and equipment manufacturers, due to concern about inventories

of noncertified engines that could not be incorporated into vehicles or

equipment by the effective date. Most comments did not support a

separate effective date.

The Agency is not establishing a separate effective date for

nonroad vehicle or equipment manufacturers. The Agency recognizes that

certified engines are not likely to be available in the numbers needed

by nonroad vehicle and equipment manufacturers on the effective date,

and that these manufacturers will continue to use noncertified engines

built prior to the effective date until noncertified engine inventories

are used up and certified engines are available. As long as vehicle and

equipment manufacturers do not inventory engines outside of normal

business practices (that is, as long as they do not stockpile

noncertified engines), they will be considered to be in compliance. The

Agency is adding language to 40 CFR 90.1003(b)(4) to this effect.

Neither vehicle and equipment manufacturers nor dealers have any

obligation under this regulation to convert their inventories to

products with certified engines.

D. CO Standard

An association of engine manufacturers requested an increase in the

CO emission standard for Class I and II engines from the proposed level

of 402 g/kW-hr to 469 g/kW-hr. In summary, it requested that the

standard be raised so that industry can provide consumers, original

equipment manufacturers, and commercial and industrial users with a

more complete selection of engines (specifically mass market engines--

the largest market for small engines) that can meet the Phase 1 HC +

NOX limits and perform acceptably under nearly all operating

conditions.17

[[Page 34595]]

\17\ The association states that engine manufacturers have been

working for several years to develop products that will meet the

Phase 1 standards. Improvements in engine design have been made

sufficient to comply with the HC+NOX standard, but not meet the

402 g/kW-hr CO standard.

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

The Agency had to decide whether or not to grant this request based

on its assessment of the technological feasibility of providing an

adequate supply of Class I and II engines that could comply with the

proposed 402 g/kW-hr CO level for the entire nation. Based on the

information submitted, which is available in the docket for this

rulemaking, the Agency has decided that 469 g/kW-hr is the lowest

achievable CO standard for Classes I and II, given cost and lead time

constraints, and has set the standard accordingly.

An association of equipment manufacturers argued that 402 g/kW-hr

is too stringent for Class V engines and suggested that 603 g/kW-hr

would be a more appropriate standard. The Agency requested and received

further data and information to establish the appropriate limit for

these engines. Additionally, an EPA-performed benefits analysis showed

that the CO emission contribution in 2020 from Class V engines

complying with a 603 g/kW-hr standard would decrease the benefits of

this rule by only 0.7 percent when compared with the proposed standard

of 402 g/kW-hr. The environmental impact of this change is low due to

the small number of engines in this category.

Based on the technological feasibility information submitted and

the small benefits impact, EPA has concluded that the proposed 402 g/

kW-hr standard is not achievable for Phase 1 Class V engines. The

Agency has therefore decided to raise the CO standard for Class V

engines from the proposed 402 g/kW-hr to 603 g/kW-hr, which EPA

believes is the most stringent standard achievable for Phase 1 Class V

engines. Most, if not all, Class V engines are preempted from state

regulation as farm and construction equipment. Therefore, compatibility

with CARB is not of such importance for this engine class. However,

this position on Class V CO standards is applicable only to Phase 1 and

remains to be determined in upcoming Phase 2 regulations.

E. Labeling

The Agency received several comments on its proposed labeling

requirements. After considering the comments, EPA has decided to

provide equipment manufacturers with some additional flexibility

requested by commenters regarding compatibility with CARB's labeling

requirements. To reduce manufacturer burden and increase consistency

with CARB's requirements, EPA will accept a label that has been

approved by CARB and that contains language indicating federal

standards have also been met. The Agency will accept any of the

following: (1) A label for 50-state engine families having language

compatible with both CARB and EPA requirements, (2) a CARB label with

additional language to meet federal requirements for the 49-state

label, and (3) the EPA label.

The Agency will retain the provision described in the NPRM that

requires equipment and vehicle manufacturers to apply a supplemental

label if the original engine label is obscured. This provision is

consistent with CARB's approach, and ensures that owners, dealers, and

repair personnel will have access to necessary engine information

without disassembling the original vehicle or equipment.

In addition, EPA has dropped the unique engine identification

number requirement. Based on information supplied by engine

manufacturers and their associations, EPA has determined that the

information to be gained by requiring the unique number did not justify

the additional capital and administrative costs to the manufacturers.

Because no useful life time period or in-use standard is being

established, the Agency has decided to allow in-use testing and recall

on a voluntary basis for Phase 1 and, as a result, there is no need for

EPA to require the unique engine identification number.

V. Environmental Benefit Assessment

The Agency has determined that the standards set in this rule will

reduce emissions of HC and CO and, despite attendant increased

emissions of NOX, will help most areas come into compliance with

the National Ambient Air Quality Standards for ozone and, to a lesser

extent, CO. Table 2 provides a summary of the annual nationwide

emission impacts expected from this rule, beginning with the first full

year of implementation.18 Percentage reductions shown are as

compared to the projected levels from small SI engines if this rule

were not put into place. Note that annual emission reductions increase

greatly in the first few years of the program and level off as fleet

turnover is achieved; complete turnover is projected by the year 2020.

The underlying analysis and complete table of emission reductions are

provided in the Regulatory Support Document (RSD), a copy of which is

in the public docket for this rulemaking.

\18\ These figures are based on the assumption that

manufacturers of engines used in snowthrowers and ice augers will

opt to certify such engines to meet the applicable HC standards. To

the extent that this does not occur, estimated annual HC reductions,

and estimated annual NOX increases, would be reduced.

[[Page 34596]]

Table 2.--Environmental Impact

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

Annual HC reduction Annual CO reduction Annual NOX increase

Year --------------------------------------------------------------------------------

Tons Percent Tons Percent Tons Percent

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

1997........................... 102,800 13.1 244,600 2.7 11,000 67.5

2000........................... 221,600 26.9 538,700 5.5 23,900 137.6

2003........................... 262,700 30.5 651,400 6.3 27,800 150.7

2020........................... 339,000 32.4 865,200 6.7 36,300 154.4

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

VI. Economic Effects

The total national average annual cost of this rule is estimated to

be approximately $70 million. If catalysts become necessary, the

average annual cost is estimated to be approximately $87 million. The

net present value of pollution control capital costs is estimated by

EPA to be approximately $28 million. Energy impacts are expected to be

positive, freeing up approximately $8 million for other uses in the

economy.

The following summary presents aggregate costs broken down by

engines used in nonhandheld and those used in handheld

equipment.19 For greater detail of expected cost impacts, see the

RSD.

\19\ These estimate costs are based on the assumption that

manufacturers of engines used in snowthrowers and ice augers will

opt to certify such engines to meet the applicable HC standards. To

the extent that this does not occur, estimated industry cost impacts

and consumer cost impacts would be reduced, and cost-effectiveness

of the program would not be significantly changed, if at all.

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

A. Industry Cost Impacts

Industry will bear pollution control costs that are moderate:

roughly 6 percent for handheld and 2 percent for nonhandheld equipment

relative to current production costs. The level of pollution control

costs is largely due to the high levels of pollution emitted by these

engines, especially two-stroke engines, and the relatively outdated

state of the technology compared to on-highway engines. However, the

costs are still small in absolute terms, and it is anticipated that

these costs will be passed through to consumers in higher product

prices.

The Agency estimates that there will be no long run negative

impacts on employment as a result of this rule, as costs can be

recovered through increased prices. Any potential decreases in

employment that might occur due to obsolescence of product line should

be offset by increased production of engines meeting emission

standards. Total demand for these products has traditionally been

relatively inelastic and, thus, industry sales volume is not expected

to decrease.

On average, the cost to the engine manufacturer to install the

necessary emission control technology will be approximately $2 per

engine used in nonhandheld equipment and $3.50 per engine used in

handheld equipment. This includes variable hardware and production

costs, assuming that catalytic converters will not be needed to comply

with proposed standards. However, engine manufacturers may voluntarily

decide to use catalysts on a percentage of engines at risk of only

marginally complying. Should this occur, EPA estimates that the

additional variable hardware costs will be about $4 per catalyst-

equipped engine. Since catalysts are not expected to be used much, the

overall sales-weighted average increase due to catalyst usage is

estimated to be about $1 for engines used in nonhandheld equipment and

marginal for engines used in handheld equipment. It should be noted

that the costs between manufacturers will likely vary.

B. Consumer Cost Impacts

Consumers will find small increases in retail prices for most

equipment powered by these engines. The initial purchase price to the

consumer will, however, be partially or, in some cases, completely

offset by savings in fuel and maintenance costs. Thus, over time,

environmentally friendly equipment will become less costly to

consumers.

The retail price of equipment that uses nonhandheld engines ranges

from $90 to $9,000, and the retail price of equipment that uses

handheld engines ranges from $60 to $1,000. The sales-weighted average

increase in retail cost to the consumer due to the rule in 2003 is

estimated to be about $5 for nonhandheld equipment and $7 for handheld

equipment. If catalysts are necessary, the values in 2003 are about $7

for both nonhandheld and handheld equipment. The retail price effects

for a specific engine will likely be more or less these values,

depending on the technology of the engine; these are average, sales-

weighted costs, not indicative of the price increase specific to any

particular manufacturer's engine or equipment.

This rule is expected to decrease fuel consumption significantly.

The average sales-weighted engine is expected to experience a 26

percent decrease in fuel consumption for nonhandheld equipment and a 13

percent decrease in fuel consumption for handheld equipment. These

decreases are translated into small discounted lifetime sales-weighted

fuel savings of approximately $3 for nonhandheld equipment and marginal

for handheld equipment.

The Agency expects that the engines produced to meet the proposed

emission standards will be of higher quality than current engines: the

parts and raw materials will be more durable and less likely to

malfunction, as discussed in the RSD. This will result in equipment

that lasts longer and is operational a higher percentage of the time;

however, EPA is unable to quantify the attendant decrease in consumer

cost or increase in useful life at this time. The Agency requested

comments on the potential decrease in maintenance costs and increase in

useful life, but none were received that shed light on this topic.

Considering that the fuel savings offset the average increase in

retail price per engine, the average sales-weighted lifetime increase

in cost will be about $6.50 per handheld engine, while nonhandheld

engines will realize a lifetime savings of about $2.50 per engine. This

does not include the lifetime savings in maintenance costs, which

should further benefit the consumer.

C. Cost-Effectiveness

Based upon the costs and benefits described above, EPA has prepared

a cost-effectiveness analysis and has performed a Regulatory Impact

Analysis (RIA) for this rule, which is contained in the RSD. Presented

here is a summary of the cost-effectiveness of the small SI engine

Phase 1 program, assuming catalysts are not used.

If all program costs are allocated to HC, this rule has a cost-

effectiveness of $280 per ton of HC reduced.

[[Page 34597]]

Alternatively, if all program costs are allocated to CO, the cost-

effectiveness is $113 per ton of CO reduced. If the costs of the

program are equally split between HC and CO, the cost-effectiveness is

$140 per ton of HC reduced and $57 per ton of CO reduced. These cost-

effectiveness numbers are significantly lower than costs per ton of

other available control strategies. The cost-effectiveness estimates,

underlying quantitative methodology, and comparisons to other available

control strategies are explained further in the RSD.

In summary, the cost-effectiveness of the rule is favorable

relative to the cost-effectiveness of several other control measures

required under the Clean Air Act. To the extent that cost-effective

nationwide controls are applied to small SI engines, the need to apply

more expensive additional controls to other mobile and stationary

sources of air pollution may be reduced in the future.

VII. Administrative Requirements

A. Administrative Designation and Regulatory Analysis

Under Executive Order 12866,20 the Agency must determine

whether the regulatory action is ``significant'' and therefore subject

to OMB review and the requirements of the Executive Order. The order

defines ``significant regulatory action'' as one that is likely to

result in a rule that may:

\20\ 58 FR 51735 (October 4, 1993).

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

(1) Have an annual effect on the economy of $100 million or more or

adversely affect in a material way the economy, a sector of the

economy, productivity, competition, jobs, the environment, public

health or safety, or State, local, or tribal governments or

communities;

(2) Create a serious inconsistency or otherwise interfere with an

action taken or planned by another agency;

(3) Materially alter the budgetary impact of entitlement, grants,

user fees, or loan programs or the rights and obligations of recipients

thereof;

(4) Raise novel legal or policy issues arising out of legal

mandates, the President's priorities, or the principles set forth in

the Executive Order.

Pursuant to the terms of Executive Order 12866, it has been

determined that this rule is a ``significant regulatory action''

because this rulemaking adversely affects in a material way a sector of

the economy, namely manufacturers of small SI engines, particularly the

manufacturers who specialize in the production of small handheld

engines. Further, EPA believes that an RIA is important for this rule

because small SI engines have not previously been regulated. As such,

this action was submitted to OMB for review. Changes made in response

to OMB suggestions or recommendations are documented in the public

record.

B. Paperwork Reduction Act

The information collection requirements in this rule have been

submitted for approval to the Office of Management and Budget (OMB)

under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. Copies of the

ICR document may be obtained from Sandy Farmer, Information Policy

Branch, EPA, 401 M Street, SW (PM-223Y), Washington, DC 20460 or by

calling (202) 260-2740.

Table 3 provides a listing of this rulemaking's information

collection requirements along with the appropriate information

collection request (ICR) numbers. The cost of this burden has been

incorporated into the cost estimate for this rule.

The Agency has estimated that the public reporting burden for the

collection of information required under this rule would average

approximately 5,800 hours annually for a typical engine

manufacturer.21 The hours spent by a manufacturer on information

collection activities in any given year would be highly dependent upon

manufacturer specific variables, such as the number of engine families,

production changes, emission defects, etc.

\21\ This estimate is based on the assumption that manufacturers

of engines used in snowthrowers and ice augers will opt to certify

those engines to meet the applicable HC standards. To the extent

that this does occur, the Agency does not estimate the average

reporting burden will change.

Table 3.--Public Reporting Burden

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

OMB control

EPA ICR No. Type of information no.

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

1695.02...................... Certification............... 2060-0338

0282.06...................... Emission Defect Information. 2060-0048

1673.01...................... Importation of Nonconforming 2060-0294

Engines.

1674.01...................... Selective Enforcement 2060-0295

Auditing.

0012.07...................... Engine Exclusion 2060-0124

Determination.

0095.03...................... Pre-certification and 2060-0007

Testing Exemption.

1675.01...................... In-use Testing (proposed; 2060-0292

not finalized).

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

Send comments regarding the burden estimate or any other aspect of

this collection of information, including suggestions for reducing this

burden to Chief, Information Policy Branch, EPA, 401 M Street, SW. (PM-

223Y), Washington, DC 20460; and to the Office of Information and

Regulatory Affairs, Office of Management and Budget, Washington, DC

20503, marked ``Attention: Desk Officer for EPA.''

C. Unfunded Mandates Act

Section 202 of the Unfunded Mandates Reform Act of 1995 (``Unfunded

Mandates Act'') (signed into law on March 22, 1995) requires that the

Agency prepare a budgetary impact statement before promulgating a rule

that includes a Federal mandate that may result in expenditure by

State, local, and tribal governments, in aggregate, or by the private

sector, of $100 million or more in any one year. Section 203 requires

the Agency to establish a plan for obtaining input from and informing,

educating, and advising any small governments that may be significantly

or uniquely affected by the rule.

Under section 205 of the Unfunded Mandates Act, the Agency must

identify and consider a reasonable number of regulatory alternatives

before promulgating a rule for which a budgetary impact statement must

be prepared. The Agency must select from those alternatives the least

costly, most cost-effective, or least burdensome alternative that

achieves the objectives of the rule, unless the Agency explains why

this alternative is not selected or the selection of this alternative

is inconsistent with law.

Because this final rule is estimated to result in the expenditure

by State, local, and tribal governments or the private sector of less

than $100 million in any one year, the Agency has not prepared a

budgetary impact statement or specifically addressed the selection of

the least costly, most cost-effective or least burdensome alternative.

Because small governments will not be significantly or uniquely

affected by this rule, the Agency is not required to develop a plan

with regard to small governments.

D. Regulatory Flexibility Act

The Regulatory Flexibility Act (5 U.S.C. 601, et seq.) requires EPA

to consider potential impacts of proposed regulations on small business

``entities.'' If a preliminary analysis indicates that a proposed

regulation would have a significant economic impact on 20 percent or

more of small entities, then a regulatory flexibility analysis must be

prepared.

[[Page 34598]]

The Agency has recently adopted a new approach to regulatory

flexibility: for purposes of EPA's implementation of the Act, any

impact is a significant impact, and any number of small entities is a

substantial number.22 Thus, EPA will consider regulatory options

for every regulation subject to the Act that can reasonably be expected

to have an impact on small entities. In light of this new approach, EPA

has determined that this rule will have a significant effect on a

substantial number of small entities. As a result, EPA tailored this

rule to minimize the cost burdens imposed on smaller engine

manufacturers. (See ``Small Entities'' in the Response to Comments for

more discussion and comments.)

\22\ Habicht, F. Henry II, Deputy Administrator, Internal EPA

Memorandum, ``Revised Guidelines for Implementing the Regulatory

Flexibility Act,'' April 9, 1992.

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

The regulations contain certification requirements for new engines,

Selective Enforcement Auditing provisions for the testing of production

engines, and prohibitions on incorrect engine use for equipment

manufacturers. For example, the SEA program is structured such that

manufacturers with lower annual production volumes have a decreased

testing burden. Even though consideration was given to small entities

in developing the requirements of this rule, it has recently come to

EPA's attention that there may be a few businesses that are so small

that even the reduced requirements could threaten their livelihood. In

light of this, the Agency is currently considering exemptions or

flexible requirements for small entities for all of its nonroad rules.

List of Subjects in 40 CFR Parts 9 and 90

Environmental protection, Administrative practice and procedure,

Air pollution control, Confidential business information, Imports,

Incorporation by reference, Labeling, Nonroad source pollution,

Reporting and recordkeeping requirements.

Dated: May 30, 1995.

Carol M. Browner,

Administrator.

For the reasons set out in the preamble, title 40, chapter I of the

Code of Federal Regulations is amended as follows:

PART 9--[AMENDED]

1. The authority citation for part 9 continues to read as follows:

Authority: 7 U.S.C. 135 et seq., 136-136y; 15 U.S.C. 2001, 2003,

2005, 2006, 2601-2671; 21 U.S.C. 331j, 346a, 348; 31 U.S.C. 9701; 33

U.S.C. 1251 et seq., 1311, 1313d, 1314, 1321, 1326, 1330, 1334,

1345(d) and (e), 1361; E.O. 11735, 38 FR 21243, 3 CFR, 1971-1975

Comp p. 973; 42 U.S.C. 241, 242b, 243, 246, 300f, 300g, 300g-1,

300g-2, 300g-3, 300g-4, 300g-5, 300g-6, 300j-1, 300j-2, 300j-3,

300j-4, 300j-9, 1857 et seq., 6901-6992(k), 7401-7671(q), 7542,

9601-9657, 11023, 11048.

2. Section 9.1 is amended by adding new entries and a new heading

to the table to read as follows:

Sec. 9.1 OMB approvals under the Paperwork Reduction Act.

* * * * *

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

OMB control

40 CFR citation No.

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

* * * * *

Control of Emissions From New and In-use Nonroad Engines

90.107-90.108.............................................. 2060-0338

90.113..................................................... 2060-0338

90.115-90.124.............................................. 2060-0338

90.126..................................................... 2060-0338

90.304-90.329.............................................. 2060-0338

90.404-90.427.............................................. 2060-0338

90.505-90.509.............................................. 2060-0295

90.511-90.512.............................................. 2060-0295

90.604..................................................... 2060-0294

90.611-90.613.............................................. 2060-0294

90.800..................................................... 2060-0048

90.802-90.804.............................................. 2060-0048

90.806..................................................... 2060-0048

90.903..................................................... 2060-0124

90.905-90.906.............................................. 2060-0007

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

3. Part 90 is added to read as follows:

PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES

Subpart A--General

Sec.

90.1 Applicability.

90.2 Effective dates.

90.3 Definitions.

90.4 Treatment of confidential information.

90.5 Acronyms and abbreviations.

90.6 Table and figure numbering; position.

90.7 Reference materials.

Subpart B--Emission Standards and Certification Provisions

90.101 Applicability.

90.102 Definitions.

90.103 Exhaust emission standards.

90.104 Compliance with emission standards.

90.105 Useful life period.

90.106 Certificate of conformity.

90.107 Application for certification.

90.108 Certification.

90.109 Requirement of certification--closed crankcase.

90.110 Requirement of certification--prohibited controls.

90.111 Requirement of certification--prohibition of defeat devices.

90.112 Requirement of certification--adjustable parameters.

90.113 In-use testing programs.

90.114 Requirement of certification--engine information label.

90.115 Requirement of certification--supplying production engines

upon request.

90.116 Certification procedure--determining engine displacement,

engine class, and engine families.

90.117 Certification procedure--test engine selection.

90.118 Certification procedure--service accumulation.

90.119 Certification procedure--testing.

90.120 Certification procedure--use of special test procedures.

90.121 Certification procedure--recordkeeping.

90.122 Amending the application and certificate of conformity.

90.123 Denial, revocation of certificate of conformity.

90.124 Request for hearing.

90.125 Hearing procedures.

90.126 Right of entry and access.

Subpart C--[Reserved]

Subpart D--Emission Test Equipment Provisions

90.301 Applicability.

90.302 Definitions.

90.303 Symbols, acronyms, abbreviations.

90.304 Test equipment overview.

90.305 Dynamometer specifications and calibration accuracy.

90.306 Dynamometer torque cell calibration.

90.307 Engine cooling system.

90.308 Lubricating oil and test fuels.

90.309 Engine intake air temperature measurement.

90.310 Engine intake air humidity measurement.

90.311 Test conditions.

90.312 Analytical gases.

90.313 Analyzers required.

90.314 Analyzer accuracy and specifications.

90.315 Analyzer initial calibration.

90.316 Hydrocarbon analyzer calibration.

90.317 Carbon monoxide analyzer calibration.

90.318 Oxides of nitrogen analyzer calibration.

90.319 NOX converter check.

90.320 Carbon dioxide analyzer calibration.

90.321 NDIR analyzer calibration.

90.322 Calibration of other equipment.

90.323 Analyzer bench checks.

90.324 Analyzer leakage check.

90.325 Analyzer interference checks.

90.326 Pre-and post-test analyzer calibration.

90.327 Sampling system requirements.

90.328 Measurement equipment accuracy/calibration frequency table.

90.329 Catalyst thermal stress test.

Appendix A to Subpart D--Tables

Appendix B to Subpart D--Figures

Subpart E--Gaseous Exhaust Test Procedures

90.401 Applicability.

90.402 Definitions.

90.403 Symbols, acronyms, and abbreviations.

[[Page 34599]]

90.404 Test procedure overview.

90.405 Recorded information.

90.406 Engine parameters to be measured and recorded.

90.407 Engine inlet and exhaust systems.

90.408 Pre-test procedures.

90.409 Engine dynamometer test run.

90.410 Engine test cycle.

90.411 Post-test analyzer procedures.

90.412 Data logging.

90.413 Exhaust sample procedure--gaseous components.

90.414 Raw gaseous exhaust sampling and analytical system

description.

90.415 Raw gaseous sampling procedures.

90.416 Intake air flow measurement specifications.

90.417 Fuel flow measurement specifications.

90.418 Data evaluation for gaseous emissions.

90.419 Raw emission sampling calculations--gasoline fueled engines.

90.420 CVS concept of exhaust gas sampling system.

90.421 Dilute gaseous exhaust sampling and analytical system

description.

90.422 Background sample.

90.423 Exhaust gas analytical system; CVS grab sample.

90.424 Dilute sampling procedures--CVS calibration.

90.425 CVS calibration frequency.

90.426 Dilute emission sampling calculations--gasoline fueled

engines.

90.427 Catalyst thermal stress resistance evaluation.

Appendix A to Subpart E--Tables

Appendix B to Subpart E--Figures

Subpart F--Selective Enforcement Auditing

90.501 Applicability.

90.502 Definitions.

90.503 Test orders.

90.504 Testing by the Administrator.

90.505 Maintenance of records; submittal of information.

90.506 Right of entry and access.

90.507 Sample selection.

90.508 Test procedures.

90.509 Calculation and reporting of test results.

90.510 Compliance with acceptable quality level and passing and

failing criteria for selective enforcement audits.

90.511 Suspension and revocation of certificates of conformity.

90.512 Request for public hearing.

90.513 Administrative procedures for public hearing.

90.514 Hearing procedures.

90.515 Appeal of hearing decision.

90.516 Treatment of confidential information.

Appendix A to Subpart F--Sampling Plans for Selective Enforcement

Auditing of Nonroad Engines

Subpart G--Importation of Nonconforming Engines

90.601 Applicability.

90.602 Definitions.

90.603 (Reserved)

90.604 General requirements.

90.605-90.610 (Reserved)

90.611 Importation for purposes other than resale.

90.612 Exemptions and exclusions.

90.613 Prohibited acts; penalties.

90.614 Treatment of confidential information.

Subpart H--[Reserved]

Subpart I--Emission-related Defect Reporting Requirements, Voluntary

Emission Recall Program

90.801 Applicability.

90.802 Definitions.

90.803 Emission defect information report.

90.804 Voluntary emissions recall.

90.805 Reports, voluntary recall plan filing, record retention.

90.806 Responsibility under other legal provisions preserved.

90.807 Disclaimer of production warranty applicability.

Subpart J--Exclusion and Exemption of Nonroad Engines From Regulations

90.901 Applicability.

90.902 Definitions.

90.903 Exclusions, applications of section 216(10) of the Act.

90.904 Who may request an exemption.

90.905 Testing exemption.

90.906 Manufacturer-owned exemption and precertification exemption.

90.907 Display exemption.

90.908 National security exemption.

90.909 Export exemptions.

90.910 Granting of exemptions.

90.911 Submission of exemption requests.

90.912 Treatment of confidential information.

Subpart K--Prohibited Acts and General Enforcement Provisions

90.1001 Applicability.

90.1002 Definitions.

90.1003 Prohibited acts.

90.1004 General enforcement provisions.

90.1005 Injunction proceedings for prohibited acts.

90.1006 Penalties.

Subpart L--Emission Warranty and Maintenance Instructions

90.1101 Applicability.

90.1102 Definitions.

90.1103 Emission warranty, warranty period.

90.1104 Furnishing of maintenance instructions to ultimate

purchaser.

Authority: Sections 203, 204, 205, 206, 207, 208, 209, 213, 215,

216, and 301(a) of the Clean Air Act, as amended (42 U.S.C. 7522,

7523, 7524, 7525, 7541, 7542, 7543, 7547, 7549, 7550, and 7601(a)).

Subpart A--General

Sec. 90.1 Applicability.

(a) This part applies to nonroad spark-ignition engines and

vehicles that have a gross power output at or below 19 kilowatts (kW)

and that are used for any purpose.

(b) Notwithstanding paragraph (a) of this section, the following

nonroad engines and vehicles are not subject to the provisions of this

part:

(1) Engines used to propel marine vessels as defined in the General

Provisions of the United States Code, 1 U.S.C. 3 (1992);

(2) Engines that are both:

(i) Used in underground mining or in underground mining equipment;

and

(ii) Regulated by the Mining Safety and Health Administration

(MSHA) in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75;

(3) Engines used in motorcycles and regulated in 40 CFR part 86,

subpart E;

(4) Engines used in aircraft as that term is defined in 40 CFR

87.1(a);

(5) Engines used in recreational vehicles and which are defined by

the following criteria:

(i) The engine's rated speed is greater than or equal to 5,000 RPM;

(ii) The engine has no installed speed governor;

(iii) The engine is not used for the propulsion of a marine vessel;

and

(iv) The engine does not meet the criteria to be categorized as a

Class III, IV, or V engine, as indicated in Sec. 90.103.

(c) Engines subject to the provisions of this subpart are also

subject to the provisions of subparts B, D, E, F, G, I, J, K, and L of

this part.

Sec. 90.2 Effective dates.

(a) This subpart applies to nonroad spark-ignition engines at or

below 19 kW effective with the 1997 model year.

(b) Notwithstanding paragraph (a) of this section, this subpart

applies to class V engines, as specified in Sec. 90.116(b)(5), that are

preempted from regulation in California by section 209(e)(1)(A) of the

Act, effective January 1, 1998.

Sec. 90.3 Definitions.

The following definitions apply to part 90. All terms not defined

herein have the meaning given them in the Act.

Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.

Adjustable parameter means any device, system, or element of design

which is physically capable of being adjusted (including those which

are difficult to access) and which, if adjusted, may affect emissions

or engine performance during emission testing or normal in-use

operation.

Administrator means the Administrator of the Environmental

Protection Agency or his or her authorized representative.

Auxiliary emission control device (AECD) means any element of

design that senses temperature, vehicle speed, engine RPM, transmission

gear, or any

[[Page 34600]]

other parameter for the purpose of activating, modulating, delaying, or

deactivating the operation of any part of the emission control system.

Certification means, with respect to new nonroad engines, obtaining

a certificate of conformity for an engine family complying with the

nonroad engine emission standards and requirements specified in this

part.

Emission control system means any device, system, or element of

design which controls or reduces the emission of substances from an

engine.

Engine as used in this part, refers to nonroad engine.

Engine family means a group of engines, as specified in

Sec. 90.116.

Engine manufacturer means any person engaged in the manufacturing

or assembling of new nonroad engines or the importing of such engines

for resale, or who acts for and is under the control of any such person

in connection with the distribution of such engines. Engine

manufacturer does not include any dealer with respect to new nonroad

engines received by such person in commerce.

EPA enforcement officer means any officer, employee, or authorized

representative of the U.S. Environmental Protection Agency so

designated in writing by the Administrator (or by his or her designee).

Exhaust emissions means matter emitted into the atmosphere from any

opening downstream from the exhaust port of a nonroad engine.

Fuel system means all components involved in the transport,

metering, and mixture of the fuel from the fuel tank to the combustion

chamber(s) including the following: fuel tank, fuel tank cap, fuel

pump, fuel lines, oil injection metering system, carburetor or fuel

injection components, and all fuel system vents.

Gross power means the power measured at the crankshaft or its

equivalent, the engine being equipped only with the standard

accessories (such as oil pumps, coolant pumps, and so forth) necessary

for its operation on the test bed.

Handheld equipment engine means a nonroad engine that meets the

requirements specified in Sec. 90.103(a)(2) (i) through (iv).

Model year (MY) means the manufacturer's annual new model

production period which includes January 1 of the calendar year, ends

no later than December 31 of the calendar year, and does not begin

earlier than January 2 of the previous calendar year. Where a

manufacturer has no annual new model production period, model year

means calendar year.

New, for the purposes of this part, means a nonroad engine or

nonroad vehicle the equitable or legal title to which has never been

transferred to an ultimate purchaser. Where the equitable or legal

title to the engine or vehicle is not transferred to an ultimate

purchaser until after the engine or vehicle is placed into service,

then the engine or vehicle will no longer be new after it is placed

into service. A nonroad engine or vehicle is placed into service when

it is used for its functional purposes. With respect to imported

nonroad engines or nonroad vehicles, the term ``new'' means an engine

or vehicle that is not covered by a certificate of conformity issued

under this part at the time of importation, and that is manufactured

after the effective date of a regulation issued under this part which

is applicable to such engine or vehicle (or which would be applicable

to such engine or vehicle had it been manufactured for importation into

the United States).

Nonroad engine means:

(1) Except as discussed in paragraph (2) of this definition, any

internal combustion engine:

(i) In or on a piece of equipment that is self-propelled or serves

a dual purpose by both propelling itself and performing another

function (such as garden tractors, off-highway mobile cranes, and

bulldozers); or

(ii) In or on a piece of equipment that is intended to be propelled

while performing its function (such as lawnmowers and string trimmers);

or

(iii) That, by itself or in or on a piece of equipment, is portable

or transportable, meaning designed to be and capable of being carried

or moved from one location to another. Indicia of transportability

include, but are not limited to, wheels, skids, carrying handles,

dolly, trailer, or platform.

(2) An internal combustion engine is not a nonroad engine if:

(i) The engine is used to propel a motor vehicle or a vehicle used

solely for competition, or is subject to standards promulgated under

section 202 of the Act; or

(ii) The engine is regulated by a federal New Source Performance

Standard promulgated under section 111 of the Act; or

(iii) The engine otherwise included in paragraph (1)(iii) of this

definition remains or will remain at a location for more than 12

consecutive months or a shorter period of time for an engine located at

a seasonal source. A location is any site at a building, structure,

facility, or installation. Any engine (or engines) that replaces an

engine at a location and that is intended to perform the same or

similar function as the engine replaced will be included in calculating

the consecutive time period. An engine located at a seasonal source is

an engine that remains at a seasonal source during the full annual

operating period of the seasonal source. A seasonal source is a

stationary source that remains in a single location on a permanent

basis (i.e., at least two years) and that operates at that single

location approximately three months (or more) each year. This paragraph

does not apply to an engine after the engine is removed from the

location.

Nonroad vehicle means a vehicle that is powered by a nonroad engine

as defined in this section and that is not a motor vehicle or a vehicle

used solely for competition. Nonroad vehicle also includes equipment

that is powered by nonroad engines.

Nonroad vehicle manufacturer means any person engaged in the

manufacturing or assembling of new nonroad vehicles or importing such

vehicles for resale, or who acts for and is under the control of any

such person in connection with the distribution of such vehicles. A

nonroad vehicle manufacturer does not include any dealer with respect

to new nonroad vehicles received by such person in commerce.

Operating hours means:

(1) For engine storage areas or facilities, all times during which

personnel other than custodial personnel are at work in the vicinity of

the storage area or facility and have access to it.

(2) For all other areas or facilities, all times during which an

assembly line is in operation or all times during which testing,

maintenance, service accumulation, production or compilation of

records, or any other procedure or activity related to certification

testing, to translation of designs from the test stage to the

production stage, or to engine manufacture or assembly is being carried

out in a facility.

Presentation of credentials means the display of the document

designating a person as an EPA enforcement officer or EPA authorized

representative.

Scheduled maintenance means any adjustment, repair, removal,

disassembly, cleaning, or replacement of components or systems required

by the manufacturer to be performed on a periodic basis to prevent part

failure or vehicle or engine malfunction, or those actions anticipated

as necessary to correct an overt indication of malfunction or failure

for which

[[Page 34601]]

periodic maintenance is not appropriate.

Test engine means the engine or group of engines that a

manufacturer uses during certification to determine compliance with

emission standards.

Ultimate purchaser means, with respect to any new nonroad engine or

new nonroad vehicle, the first person who in good faith purchases such

new nonroad engine or vehicle for purposes other than resale.

Used solely for competition means exhibiting features that are not

easily removed and that would render its use other than in competition

unsafe, impractical, or highly unlikely.

Warranty period means the period of time the engine or part is

covered by the warranty provisions.

Sec. 90.4 Treatment of confidential information.

(a) Any manufacturer may assert that some or all of the information

submitted pursuant to this part is entitled to confidential treatment

as provided by part 2, subpart B of this chapter.

(b) Any claim of confidentiality must accompany the information at

the time it is submitted to EPA.

(c) To assert that information submitted pursuant to this subpart

is confidential, a manufacturer must indicate clearly the items of

information claimed confidential by marking, circling, bracketing,

stamping, or otherwise specifying the confidential information.

Furthermore, EPA requests, but does not require, that the submitter

also provide a second copy of its submittal from which all confidential

information has been deleted. If a need arises to publicly release

nonconfidential information, EPA will assume that the submitter has

accurately deleted the confidential information from this second copy.

(d) If a claim is made that some or all of the information

submitted pursuant to this subpart is entitled to confidential

treatment, the information covered by that confidentiality claim will

be disclosed by the Administrator only to the extent and by means of

the procedures set forth in part 2, subpart B of this chapter.

(e) Information provided without a claim of confidentiality at the

time of submission may be made available to the public by EPA without

further notice to the submitter, in accordance with

Sec. 2.204(c)(2)(i)(A) of this chapter.

Sec. 90.5 Acronyms and abbreviations.

The following acronyms and abbreviations apply to part 90.

AECD--Auxiliary emission control device

ASME--American Society of Mechanical Engineers

ASTM--American Society for Testing and Materials

CAA--Clean Air Act

CAAA--Clean Air Act Amendments of 1990

CLD--chemiluminescent detector

CO--Carbon monoxide

CO2--Carbon dioxide

EPA--Environmental Protection Agency

FTP--Federal Test Procedure

g/kW-hr--grams per kilowatt hour

HC--hydrocarbons

HCLD--heated chemiluminescent detector

HFID--heated flame ionization detector

ICI--independent Commercial Importer

NDIR--non-dispersive infrared analyzer

NIST--National Institute for Standards and Testing

NO--Nitric oxide

NO2--Nitrogen dioxide

NOX--Oxides of nitrogen

O2--Oxygen

OEM--original equipment manufacturer

PMD--paramagnetic detector

SAE--Society of Automotive Engineers

SEA--Selective Enforcement Auditing

SI--spark-ignition

U.S.C.--United States Code

VOC--Volatile organic compounds

ZROD--zirconiumdioxide sensor

Sec. 90.6 Table and figure numbering; position.

(a) Tables for each subpart appear in an appendix at the end of the

subpart. Tables are numbered consecutively by order of appearance in

the appendix. The table title will indicate the topic.

(b) Figures for each subpart appear in an appendix at the end of

the subpart. Figures are numbered consecutively by order of appearance

in the appendix. The figure title will indicate the topic.

Sec. 90.7 Reference materials.

(a) Incorporation by reference. The documents in paragraph (b) of

this section have been incorporated by reference. The incorporation by

reference was approved by the Director of the Federal Register in

accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be

inspected at U.S. EPA Air and Radiation Docket, room M-1500, 401 M

Street, S.W., Washington D.C. 20460, or at the Office of the Federal

Register, 800 North Capitol Street, NW., suite 700, Washington, DC.

(b) The following paragraphs and tables set forth the material that

has been incorporated by reference in this part.

(1) ASTM material. The following table sets forth material from the

American Society for Testing and Materials which has been incorporated

by reference. The first column lists the number and name of the

material. The second column lists the section(s) of this part, other

than Sec. 90.7, in which the matter is referenced. The second column is

presented for information only and may not be all inclusive. Copies of

these materials may be obtained from American Society for Testing and

Materials, 1916 Race St., Philadelphia, PA 19103.

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

Document number and name 40 CFR part 90 reference

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

ASTM D86-93:

Standard Test Method for Distillation of Petroleum Products. Appendix A to subpart D, Table 3.

ASTM D1319-89:

Standard Test Method for Hydrocarbon Types in Liquid Appendix A to subpart D, Table 3.

Petroleum Products by Fluorescent Indicator Adsorption.

ASTM D2622-92:

Standard Test Method for Sulfur in Petroleum Products by X- Appendix A to subpart D, Table 3.

ray Spectrometry.

ASTM D2699-92:

Standard Test Method for Knock Characteristics of Motor Appendix A to subpart D, Table 3.

Fuels by the Research Method.

ASTM D2700-92:

Standard Test Method for Knock Characteristics of Motor and Appendix A to subpart D, Table 3.

Aviation Fuels by the Motor Method.

ASTM D3231-89:

Standard Test Method for Phosphorus in Gasoline............. Appendix A to subpart D, Table 3.

ASTM D3606-92:

Standard Test Method for Determination of Benzene and Appendix A to subpart D, Table 3.

Toluene in Finished Motor and Aviation Gasoline by Gas

Chromatography.

ASTM D5191-93a:

Standard Test Method for Vapor Pressure of Petroleum Appendix A to subpart D, Table 3.

Products (Mini Method).

[[Page 34602]]

ASTM E29-93a:

Standard Practice for Using Significant Digits in Test Data 90.116; 90.509.

to Determine Conformance with Specifications.

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

(2) SAE material. The following table sets forth material from the

Society of Automotive Engineers which has been incorporated by

reference. The first column lists the number and name of the material.

The second column lists the section(s) of this part, other than

Sec. 90.7, in which the matter is referenced. The second column is

presented for information only and may not be all inclusive. Copies of

these materials may be obtained from Society of Automotive Engineers

International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.

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

40 CFR part

Document number and name 90

reference

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

SAE J1930 September 1991, Electrical/Electronic Systems

Diagnostic Terms, Definitions, Abbreviations and Acronyms. 90.114

SAE Paper 770141, Optimization of a Flame Ionization

Detector for Determination of Hydrocarbon in Diluted

Automotive Exhausts, Glenn D. Reschke, 1977............... 90.316

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

Subpart B--Emission Standards and Certification Provisions

Sec. 90.101 Applicability.

The requirements of subpart B are applicable to all nonroad engines

and vehicles subject to the provisions of subpart A of part 90.

Sec. 90.102 Definitions.

The definitions in subpart A of part 90 apply to this subpart. All

terms not defined herein or in subpart A have the meaning given them in

the Act. The following definitions also apply to this subpart.

Attitudinal control means the operator regulates either the

horizontal or vertical position of the equipment, or both.

Carry means the operator completely bears the weight of the

equipment, including the engine.

Support means that the operator holds the equipment in position so

as to prevent it from falling, slipping or sinking. It is not necessary

for the entire weight of the equipment to be borne by the operator.

Sec. 90.103 Exhaust emission standards.

(a) Exhaust emissions from new nonroad spark-ignition engines at or

below 19 kilowatts (kW), effective with the 1997 model year, shall not

exceed the following levels:

Exhaust Emission Standards (grams per kilowatt-hour)

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

Engine Hydrocarbon

displacement plus oxides of Hydrocarbon Carbon Oxides of

class nitrogen monoxide nitrogen

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

I 16.1 ............... 469 ...........

II 13.4 ............... 469 ...........

III ............... 295 805 5.36

IV ............... 241 805 5.36

V ............... 161 603 5.36

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

(1) Each engine displacement class has a unique set of exhaust

emission standards. Boundaries for each class are indicated in

Sec. 90.116(b).

(2) Emission standards for classes III, IV, V may be used only if

an engine meets at least one of the following requirements:

(i) The engine must be used in a piece of equipment that is carried

by the operator throughout the performance of its intended function(s);

(ii) The engine must be used in a piece of equipment that must

operate multipositionally, such as upside down or sideways, to complete

its intended function(s);

(iii) The engine must be used in a piece of equipment for which the

combined engine and equipment dry weight is under 14 kilograms, no more

than two wheels are present on the equipment, and at least one of the

following attributes is also present:

(A) The operator must alternately provide support or carry the

equipment throughout the performance of its intended function(s);

(B) The operator must provide support or attitudinal control for

the equipment throughout the performance of its intended function(s);

and

(C) The engine must be used in a generator or pump;

(iv) The engine must be used to power one-person augers, with a

combined engine and equipment dry weight under 20 kilograms.

(3) Notwithstanding paragraph (a)(2) of this section, two-stroke

engines used to power lawnmowers may meet class III, IV, or V standards

until model year 2003.

(4) Notwithstanding paragraph (a)(2) of this section, two-stroke

engines used to power snowthrowers may meet class III, IV, or V

standards.

(5) Notwithstanding paragraph (a)(2) of this section, engines used

exclusively to power snowthrowers or ice augers, at the option of the

engine manufacturer, need not certify to or comply with standards

regulating emissions of hydrocarbons. If the manufacturer exercises the

option to certify to standards regulating such emissions, such engines

must meet such standards. If the engine produced by the manufacturer is

to be used in any equipment or vehicle other than a snowthrower or ice

auger, it must be certified to the applicable standard regulating

emissions of hydrocarbons.

[[Page 34603]]

(b) Exhaust emissions will be measured using the procedures set

forth in subpart E of this part.

Sec. 90.104 Compliance with emission standards.

(a) If all test engines representing an engine family have

emissions less than or equal to each emission standard in a given

engine displacement class, that family complies with that class of

emission standards.

(b) If any test engine representing an engine family has emissions

greater than any one emission standard in a given engine displacement

class, that family will be deemed not in compliance with that class of

emission standards.

(c) If catalysts are used in an engine family, the engine

manufacturer must affirm that catalyst durability has been confirmed on

the basis of the evaluation procedure that is specified in subpart E of

this part.

Sec. 90.105 Useful life period.

A useful life period for engines subject to the provisions of

subpart A of this part will be set by the Agency in the second phase of

small engine regulation and will be promulgated no later than April 30,

1997.

Sec. 90.106 Certificate of conformity.

(a) Except as specified in Sec. 90.2(b), every manufacturer of new

engines produced during or after model year 1997 must obtain a

certificate of conformity covering such engines; however, engines

manufactured during an annual production period beginning prior to

September 1, 1996 are not required to be certified.

(b)(1) The annual production period begins either when an engine

family is first produced or on January 2 of the calendar year preceding

the year for which the model year is designated, whichever date is

later. The annual production period ends either when the last engine is

produced or on December 31 of the calendar year for which the model

year is named, whichever date is sooner.

(2) Notwithstanding paragraph (b)(1) of this section, annual

production periods beginning prior to September 1, 1996 may not exceed

12 months in length.

(c) Except as provided in paragraph (d) of this section, a

certificate of conformity is deemed to cover the engines named in such

certificate and produced during the annual production period, as

defined in paragraph (b) of this section.

(d) Except as provided in paragraph (e) of this section, the

certificate of conformity must be obtained from the Administrator prior

to selling, offering for sale, introducing into commerce, or importing

into the United States the new engine. Engines produced prior to the

effective date of a certificate of conformity may also be covered by

the certificate, once it is effective, if the following conditions are

met:

(1) The engines conform in all respects to the engines described in

the application for the certificate of conformity.

(2) The engines are not sold, offered for sale, introduced into

commerce, or delivered for introduction into commerce prior to the

effective date of the certificate of conformity.

(3) EPA is notified prior to the beginning of production when such

production will start, and EPA is provided a full opportunity to

inspect and/or test the engines during and after their production. EPA

must have the opportunity to conduct SEA production line testing as if

the vehicles had been produced after the effective date of the

certificate.

(e) Engines that are certified by EPA prior to January 2, 1996 for

model year 1997 may be delivered for introduction into commerce prior

to January 2, 1996 once a certificate of conformity has been issued.

(f) Engines imported by an original equipment manufacturer after

December 31 of the calendar year for which the model year is named are

still covered by the certificate of conformity as long as the

production of the engine was completed before December 31 of that year.

Sec. 90.107 Application for certification.

(a) For each engine family, the engine manufacturer must submit to

the Administrator a completed application for a certificate of

conformity.

(b) The application must be approved and signed by the authorized

representative of the manufacturer.

(c) The application must be updated and corrected by amendment as

provided in Sec. 90.122 to accurately reflect the manufacturer's

production.

(d) Required content. Each application must include the following

information:

(1) A description of the basic engine design including, but not

limited to, the engine family specifications;

(2) An explanation of how the emission control system operates,

including a detailed description of all emission control system

components (Detailed component calibrations are not required to be

included; they must be provided if requested, however.), each auxiliary

emission control device (AECD), and all fuel system components to be

installed on any production or test engine(s);

(3) Proposed test engine(s) selection and the rationale for the

test engine(s) selection;

(4) Special or alternate test procedures, if applicable;

(5) A description of the operating cycle and the service

accumulation period necessary to break-in the test engine(s) and

stabilize emission levels and any maintenance scheduled;

(6) A description of all adjustable operating parameters including

the following:

(i) The nominal or recommended setting and the associated

production tolerances;

(ii) The intended physically adjustable range;

(iii) The limits or stops used to establish adjustable ranges;

(iv) Production tolerances of the limits or stops used to establish

each physically adjustable range; and

(v) Information relating to why the physical limits or stops used

to establish the physically adjustable range of each parameter, or any

other means used to inhibit adjustment, are effective in preventing

adjustment of parameters to settings outside the manufacturer's

intended physically adjustable ranges on in-use engines;

(7) The proposed maintenance instructions the manufacturer will

furnish to the ultimate purchaser of each new nonroad engine and the

proposed engine information label;

(8) All test data obtained by the manufacturer on each test engine;

(9) A statement that the test engine(s), as described in the

manufacturer's application for certification, has been tested in

accordance with the applicable test procedures, utilizing the fuels and

equipment required under subparts D and E of this part, and that on the

basis of such tests the engine(s) conforms to the requirements of this

part; and

(10) An unconditional statement certifying that all engines in the

engine family comply with all requirements of this part and the Clean

Air Act.

(e)(1) In addition to the information specified in paragraph (d) of

this section, manufacturers of two-stroke lawnmower engines must submit

with their application for a certificate of conformity:

(i) For model year 1997, information establishing the highest

number of two-stroke lawnmower engines produced in a single annual

production period from 1992 through 1994. This number will be known as

the production baseline.

(ii) For model years 1998 through 2002, information documenting the

previous year's production and

[[Page 34604]]

projected production for the current year.

(2) In model year 1997, two-stroke lawnmower engine manufacturers

may produce up to 100 percent of their production baseline established

under paragraph (e)(1)(i) of this section.

(3) In model year 1998, two-stroke lawnmower engine manufacturers

may produce up to 75 percent of their production baseline.

(4) From model years 1999 through 2002, two-stroke lawnmower engine

manufacturers may produce up to 50 percent of their production

baseline.

(5) In model year 2003, two-stroke lawnmower engine manufacturers

must meet class I or II standards specified in Sec. 90.103(a). If in

model year 2003 those standards have been superseded by Phase 2

standards, two-stroke lawnmower engine manufacturers must meet the

Phase 2 standards that are equivalent to the class I or II standards.

(f) At the Administrator's request, the manufacturer must supply

such additional information as may be required to evaluate the

application including, but not limited to, projected nonroad engine

production.

Sec. 90.108 Certification.

(a) If, after a review of the manufacturer's submitted application,

information obtained from any inspection, and such other information as

the Administrator may require, the Administrator determines that the

application is complete and that the engine family meets the

requirements of this part and the Clean Air Act, the Administrator

shall issue a certificate of conformity.

(b) The Administrator shall give a written explanation when

certification is denied. The manufacturer may request a hearing on a

denial. (See Sec. 90.124 for procedure.)

Sec. 90.109 Requirement of certification--closed crankcase.

(a) An engine's crankcase must be closed.

(b) For purposes of this section, ``crankcase'' means the housing

for the crankshaft and other related internal parts.

Sec. 90.110 Requirement of certification--prohibited controls.

(a) An engine may not be equipped with an emission control device,

system, or element of design for the purpose of complying with emission

standards if such device, system, or element of design will cause or

contribute to an unreasonable risk to public health, welfare, or safety

in its operation or function.

(b) An engine with an emission control device, system, or element

of design may not emit any noxious or toxic substance which would not

be emitted in the operation of such engine in the absence of the

device, system, or element of design except as specifically permitted

by regulation.

Sec. 90.111 Requirement of certification--prohibition of defeat

devices.

(a) An engine may not be equipped with a defeat device.

(b) For purposes of this section, ``defeat device'' means any

device, system, or element of design which senses operation outside

normal emission test conditions and reduces emission control

effectiveness.

(1) Defeat device includes any auxiliary emission control device

(AECD) that reduces the effectiveness

This text is long and has been trimmed here. Open the source document for the complete record.