Reduced Certification Reporting Requirements for New Nonroad Engines

ENVIRONMENTAL PROTECTION AGENCY

40 CFR Parts 89 and 90

[FRL-5502-5]

Reduced Certification Reporting Requirements for New Nonroad

Engines

AGENCY: Environmental Protection Agency (EPA).

ACTION: Direct final rule.

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SUMMARY: This direct final rule revises certification requirements for

new nonroad spark-ignition engines at or below 19 kilowatts, and new

nonroad compression-ignition engines at or above 37 kilowatts, by

reducing the reporting burden associated with the application for

certification.

DATES: This final action will become effective on July 8, 1996 unless

notice is received by June 7, 1996 that any person wishes to submit

adverse comments. Should EPA receive such notice, EPA will publish a

subsequent action in the Federal Register withdrawing all or part of

this final action.

ADDRESSES: Written comments should be submitted (in duplicate, if

possible) to: EPA Air and Radiation Docket, Attention Docket No. A-95-

57, room M-1500 (mail code 6102), 401 M St., S.W., Washington, D.C.

20460. Materials relevant to this rulemaking are contained in docket

No. A-95-57, and may be viewed from 8:30 a.m. until 5:30 p.m. weekdays.

The docket may also be

[[Page 20739]]

reached by telephone at (202) 260-7548. As provided in 40 CFR part 2, a

reasonable fee may be charged by EPA for photocopying. Those wishing to

notify EPA of their intent to submit adverse comments on this action

should contact Laurel Horne, U.S. Environmental Protection Agency, 2565

Plymouth Road, Ann Arbor, MI 48105.

FOR FURTHER INFORMATION CONTACT: Laurel Horne, (313) 741-7803.

SUPPLEMENTARY INFORMATION:

I. Obtaining Electronic Copies of Documents

Electronic copies of the preamble and the regulatory text of this

direct final rulemaking are available electronically from the EPA

internet site and via dial-up modem on the Technology Transfer Network

(TTN), which is an electronic bulletin board system (BBS) operated by

EPA's Office of Air Quality Planning and Standards. Both services are

free of charge, except for your existing cost of internet connectivity

or the cost of the phone call to TTN. Users are able to access and

download files on their first call using a personal computer and modem

per the following information.

Internet:

World Wide Web:

http://www.epa.gov/OMSWWW

Gopher:

gopher://gopher.epa.gov/ Follow menus for: Offices/Air/OMS

FTP:

ftp://ftp.epa.gov/ Change Directory to pub/gopher/OMS TTN BBS: 919-

541-5742

(1200-14400 bps, no parity, 8 data bits, 1 stop bit)

Voice Helpline: 919-541-5384. Off-line: Mondays from 8:00 AM to 12:00

noon EST.

A user who has not called TTN previously will first be required to

answer some basic informational questions for registration purposes.

After completing the registration process, proceed through the

following menu choices from the Top Menu to access information on this

rulemaking.

GATEWAY TO TTN TECHNICAL AREAS (Bulletin Boards)

OMS--Mobile Sources Information

Rulemaking and Reporting

Non-Road

Non-road Engines

At this point, the system will list all available files in the

chosen category in reverse chronological order with brief descriptions.

To download a file, select a transfer protocol that is supported by the

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

receive the file using that same protocol.

If unfamiliar with handling compressed (i.e. ZIP'ed) files, go to

the TTN 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 the TTN BBS with the oodbye

command.

Please note that due to differences between the software used to

develop the document and the software into which the document may be

downloaded, changes in format, page length, etc. may occur.

II. Introduction and Background

On July 3, 1995, EPA published emission standards for new nonroad

spark-ignition engines at or below 19 kilowatts (hereinafter referred

to as small SI engines).1 Emission standards for new nonroad

compression-ignition engines at or above 37 kilowatts (hereinafter

referred to as large CI engines) were published on June 17, 1994.2

Under both sets of standards, engine manufacturers must obtain from the

Administrator a certificate of conformity covering each engine family

introduced into U.S. commerce. To obtain a certificate of conformity,

engine manufacturers must submit an application comprised of

information, specified by regulation, demonstrating that emission

standards will be met.

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\1\ 60 FR 34584, July 3, 1995.

\2\ 59 FR 31306, June 17, 1994.

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Today's action lessens the reporting burden associated with

certification and allows EPA to exercise some flexibility in

implementing the certification process for small SI and large CI

engines.

III. Requirements of This Direct Final Rulemaking

EPA is revising language in Secs. 89.115-96, 90.107, and 90.118 to

streamline the reporting requirements associated with applications for

engine certification. EPA believes that these revisions will in no way

impede the ability of the Administrator to determine compliance with

the applicable requirements of this regulation, and that the

information required under today's rulemaking will be sufficient to

establish to the satisfaction of the Administrator that engines conform

to applicable requirements and thus may be issued certificates of

conformity.

A. Test Engine Operating Cycle, Service Accumulation, and Maintenance

EPA is revising paragraph (d)(5) of Sec. 90.107, which requires the

engine manufacturer to submit a description of the operating cycle and

service accumulation period necessary to break-in the test engine(s)

and stabilize emission levels, and any maintenance scheduled. EPA is

deleting the provision that requires the engine manufacturer to submit

a description of the operating cycle used to break-in the test

engine(s) and any maintenance scheduled. Similar information is already

required to be kept for each certification test engine by

Sec. 90.121(a)(3) (i), (ii) and (iii), including a description of the

test engine's construction, the method used for engine service

accumulation, and all maintenance performed. EPA believes it is

sufficient that this information is readily available under

Sec. 90.121(a)(3) if needed, and believes that it is not necessary to

require it to be submitted with an application for certification.

Accordingly, EPA is also revising Sec. 90.118(d) to indicate that the

engine manufacturer must provide records about service accumulation to

the Administrator only if requested. Note, however, that the

Sec. 90.107(d)(5) provision requiring that the engine manufacturer

submit the service accumulation period necessary to break-in the test

engine(s) and stabilize emission levels is retained.

Similarly, EPA is deleting the provision in Sec. 89.115-96(d)(5)

that requires the engine manufacturer to submit a description of the

operating cycle used to break-in the test engine(s), as that

information is already required to be kept for each certification test

engine by Sec. 89.124-96(a)(2) (i), (ii) and (iii). But EPA is

retaining the requirement of Sec. 89.115-96(d)(5) that the engine

manufacturer submit the period of operation necessary to accumulate

service hours on test engines and stabilize emission levels.

B. Maintenance Instructions

EPA is deleting the provision in Sec. 90.107(d)(7) that requires

manufacturers to submit the proposed maintenance instructions furnished

to the ultimate purchaser of each new small engine. As there is no

promulgated useful life period or in-use standard established in this

initial phase of the small SI engine emission reduction program, EPA

does not believe it is appropriate to require manufacturers to submit

this information.

[[Page 20740]]

C. Abbreviated or Streamlined Certification

EPA is adding new subsections (f) to Sec. 89.115-96, and (g) to

Sec. 90.107, that authorize the Administrator to modify the

certification application information submission requirements. EPA

believes that it is appropriate to require manufacturers to collect and

maintain the application information specified in Secs. 89.115-96(d)

and 90.107(d), but that it should not be necessary for manufacturers to

submit this information in all cases unless specifically requested.

Authority to modify information submission requirements will allow EPA

to exercise some flexibility in designing and implementing the

certification process for small SI and large CI engines. When the

Agency exercises its authority to modify the information submission

requirements, it will provide manufacturers with a guidance document,

similar to manufacturer guidance issued under the on-highway program,

that explains the modification(s).

During the comment period on the recent small SI engine proposal,

EPA received comments from the Engine Manufacturers Association (EMA),

Outdoor Power Equipment Institute (OPEI), and the Portable Power

Equipment Manufacturers Association (PPEMA) 3 requesting that EPA

harmonize its certification application requirements with the

California Air Resources Board (CARB) in order to ease the paperwork

burden on small SI engine manufacturers. A single identical application

acceptable to both EPA and CARB was the preferred approach to EMA and

OPEI, while PPEMA favored EPA acceptance of certification by CARB. The

language being added to Sec. 90.107(g)(1) (as well as to Sec. 89.115-

96(f)(1)) will allow EPA to streamline application requirements for

federal jurisdiction and 49 state certification applicants, and, where

EPA finds that it is appropriate, to accept the CARB certification

application. Although EPA anticipates that in most cases it will find

it appropriate to accept the CARB certification application, the Agency

reserves the right to deny such acceptance. For example, significant

variations in test procedures may be sufficient reason for the Agency

not to accept the CARB certification application. In addition, EPA

recognizes that CARB may revise its certification application in the

future; EPA may not find it appropriate to accept such a revised CARB

certification application. In no case does EPA acceptance of a CARB

certification application indicate that EPA necessarily will grant a

certificate of conformity.

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\3\ See EPA Air Docket No. A-93-25, items IV-D-07, IV-D-20, and

IV-D-22A, respectively.

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The new subsections also clarify the recordkeeping requirements of

Sec. 89.124-96 and Sec. 90.121 in regard to certification application

records that a manufacturer is required to have available but is not

required to submit, and the Administrator's right to review such

records. Under new Secs. 89.115-96(f)(2) and 90.107(g)(2),

manufacturers must retain records that comprise the certification

application whether or not EPA requires that all such records be

submitted to EPA at the time of certification. New Secs. 89.115-

96(f)(3) and 90.107(g)(3) clarify the Administrator's right to review

records at any time and at any place designated by the Administrator.

IV. Public Participation and Effective Date

EPA is publishing this action as a direct final rule because it

views the changes contained herein as noncontroversial and anticipates

no adverse or critical comments. This direct final rule alters existing

provisions by reducing the certification reporting burden and allowing

more flexibility in certification reporting requirements. Engine

manufacturers should not take issue since they favor a lessened

reporting burden in the certification program. Environmental groups and

state and local governments should not take issue since the rule will

not affect the emission reductions associated with small SI or large CI

engine emission standards, nor will it affect adversely EPA's

enforcement authority.

This action will be effective on July 8, 1996 unless EPA is

notified by June 7, 1996 that adverse or critical comment will be

submitted. EPA requests that, should any adverse or critical comments

be submitted, they be submitted according to the specific issues as

identified below:

(a) Test Engine Operating Cycle, Service Accumulation, and Maintenance

(b) Maintenance Instructions

(c) Abbreviated or Streamlined Certification

Should EPA receive such notice of intent to submit adverse or critical

comment on a specific issue identified above, EPA will publish an

action withdrawing the provisions of this final action corresponding to

that specific issue, and all adverse comments received will be

addressed in a subsequent final rule based on a proposed rule that is

published in the proposed rule section of today's Federal Register.

IV. Administrative Requirements

A. Administrative Designation

Under Executive Order 12866 (58 FR 51735 (October 4, 1993)), EPA

must determine whether a 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:

(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 order.

EPA has determined that this rule is not a ``significant regulatory

action'' under the terms of Executive Order 12866 and is therefore not

subject to OMB review.

B. Paperwork Reduction Act

The Office of Management and Budget (OMB) has approved the

information collection requirements contained in this rule under the

provisions of the Paperwork Reduction Act, 44 U.S.C. 3501 et seq., and

has assigned OMB control number 2060-0338 to the requirements

associated with the nonroad small SI engine certification information

collection request (ICR), and OMB control number 2060-0287 to the

nonroad large CI engine certification ICR.

This direct final rulemaking lessens the information collection

request requirements associated with the nonroad small SI engine

certification ICR (OMB No. 2060-0338) and the nonroad large CI engine

certification ICR (OMB No. 2060-0287). Although the burden hours

associated with emissions testing and recordkeeping remain the same,

the burden hours associated with certification reporting decrease. For

the small SI engine program, the total annual information collection

request burden will decrease

[[Page 20741]]

an estimated 45 percent (65,760 hours) to a new revised annual total

ICR burden of 78,485 hours. This direct final rule also will reduce the

total annual information collection request burden for the large CI

engine certification program by an estimated 45 percent (63,361 hours),

for a new revised annual total ICR burden of 78,005 hours.

Burden means the total time, effort, or financial resources

expended by persons to generate, maintain, retain, or disclose or

provide information to or for a Federal agency. This includes the time

needed to review instructions; develop, acquire, install, and utilize

technology and systems for the purposes of collecting, validating, and

verifying information, processing and maintaining information, and

disclosing and providing information; adjust the existing ways to

comply with any previously applicable instructions and requirements;

train personnel to be able to respond to a collection of information;

search data sources; complete and review the collection of information;

and transmit or otherwise disclose the information.

An Agency may not conduct or sponsor, and a person is not required

to respond to a collection of information unless it displays a

currently valid OMB control number. The OMB control numbers for EPA's

regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15.

C. Unfunded Mandates Act

Section 202 of the Unfunded Mandates Reform Act of 1995 (signed

into law on March 22, 1995) requires that EPA 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 of the Unfunded Mandates Reform Act

requires EPA 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, EPA must identify

and consider a reasonable number of regulatory alternatives before

promulgating a rule for which a budgetary impact statement must be

prepared. EPA must select from those alternatives the least costly,

most cost-effective, or least burdensome alternative that achieves the

objectives of the rule, unless EPA explains why this alternative is not

selected or the selection of this alternative is inconsistent with law.

Because this direct final rule is expected to result in the

expenditure by state, local, and tribal governments or the private

sector of less than $100 million in any one year, EPA has not prepared

a budgetary impact statement or specifically addressed 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, EPA 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) requires EPA to

consider potential impacts of proposed regulations on small business.

If a preliminary analysis indicates that a proposed regulation would

have a significant adverse economic impact on a substantial number of

small business entities, then a regulatory flexibility analysis must be

prepared. An action which has a predominately deregulatory or

beneficial economic effect on small business does not need a regulatory

flexibility analysis.

Since this rule is deregulatory in nature, has no significant

adverse effect on small business, and decreases the reporting burden on

all regulated entities, EPA has determined that it is not necessary to

prepare a regulatory flexibility analysis. However, the Agency has

taken the interests of small business entities into account in this

action. This direct final rule relieves the regulatory burden on small

businesses and minimizes the reporting requirements imposed on

regulated entities, including smaller engine manufacturers, by

authorizing EPA to modify certification application information

submission requirements. The Agency intends to exercise this authority

by reducing these requirements, and where appropriate, to accept the

CARB certification application, thereby additionally reducing the

paperwork burden on small SI engine manufacturers. Thus, EPA certifies

that this rulemaking will not have a significant adverse effect on a

substantial number of small entities.

List of Subjects in 40 CFR Parts 89 and 90

Administrative practice and procedure, Air pollution control,

Confidential business information, Environmental protection, Imports,

Incorporation by reference, Labeling, Nonroad source pollution,

Reporting requirements.

Dated: May 2, 1996.

Carol M. Browner,

Administrator.

For the reasons set out in the preamble, parts 89 and 90 of title

40 of the Code of Federal Regulations are amended as follows:

PART 89--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD ENGINES

1. The authority citation for part 89 continues to read as follows:

Authority: Sections 202, 203, 204, 205, 206, 207, 208, 209, 213,

215, 216, and 301(a) of the Clean Air Act, as amended (42 U.S.C.

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

and 7601(a)).

Subpart B--[Amended]

2. Section 89.115-96 is amended by revising paragraph (d)(5),

redesignating the second paragraph (b) which follows paragraph (d)(10)

as paragraph (e), and adding paragraph (f) to read as follows:

Sec. 89.115-96 Application for certificate.

* * * * *

(d) * * *

(5) The period of operation necessary to accumulate service hours

on test engines and stabilize emission levels;

* * * * *

(e) * * *

(f)(1) The Administrator may modify the information submission

requirements of paragraph (d) of this section, provided that all of the

information specified therein is maintained by the engine manufacturer

as required by Sec. 89.124-96, and amended, updated, or corrected as

necessary.

(2) For the purposes of this paragraph, Sec. 89.124-96(a)(1)

includes all information specified in paragraph (d) of this section

whether or not such information is actually submitted to the

Administrator for any particular model year.

(3) The Administrator may review an engine manufacturer's records

at any time. At the Administrator's discretion, this review may take

place either at the manufacturer's facility or at another facility

designated by the Administrator.

PART 90--CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES

3. The authority citation for part 90 continues to read as follows:

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)).

[[Page 20742]]

Subpart B--[Amended]

4. Section 90.107 is amended by revising paragraphs (d)(5) and

(d)(7), and adding paragraph (g) to read as follows:

Sec. 90.107 Application for certification.

* * * * *

(d) * * *

(5) The service accumulation period necessary to break in the test

engine(s) and stabilize emission levels.

* * * * *

(7) The proposed engine information label;

* * * * *

(g)(1) The Administrator may modify the information submission

requirements of paragraph (d) of this section, provided that all of the

information specified therein is maintained by the engine manufacturer

as required by Sec. 90.121, and amended, updated, or corrected as

necessary.

(2) For the purposes of this paragraph, Sec. 90.121(a)(1) includes

all information specified in paragraph (d) of this section whether or

not such information is actually submitted to the Administrator for any

particular model year.

(3) The Administrator may review an engine manufacturer's records

at any time. At the Administrator's discretion, this review may take

place either at the manufacturer's facility or at another facility

designated by the Administrator.

5. Section 90.118 is amended by revising paragraph (d) to read as

follows:

Sec. 90.118 Certification procedure--service accumulation.

* * * * *

(d) The manufacturer must maintain, and provide to the

Administrator if requested, records stating the rationale for selecting

a service accumulation period less than 12 hours and records describing

the method used to accumulate hours on the test engine(s).

[FR Doc. 96-11477 Filed 5-7-96; 8:45 am]

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