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(b) Explain how the emission-control system operates. Describe in detail all system components for controlling exhaust emissions, including all auxiliary-emission control devices (AECDs) and all fuel-system components you will install on any production or test engine. Describe the evaporative emission controls. Identify the part number of each component you describe. For this paragraph (b), treat as separate AECDs any devices that modulate or activate differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission-control strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including measuring, estimating, calculating, or empirically deriving the values). Include equipment-based parameters and state whether you simulate them during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in response to any sensed parameters, including the range of modulation for each parameter, the relationship between the sensed parameters and the controlled parameters and how the modulation achieves the AECD's stated purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be in the form of data tables, graphical representations, or some other description.
(9) Describe the hierarchy among the AECDs when multiple AECDs sense or modulate the same parameter. Describe whether the strategies interact in a comparative or additive manner and identify which AECD takes precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to protect engines or equipment:
(i) Identify the engine and/or equipment design limits that make protection necessary and describe any damage that would occur without the AECD.
(ii) Describe how each sensed parameter relates to the protected components' design limits or those operating conditions that cause the need for protection.
(iii) Describe the relationship between the design limits/parameters being protected and the parameters sensed or calculated as surrogates for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and/or equipment from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead of measuring them directly and describe how the AECD calculates the estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate only during conditions related to the stated need to protect components and only as needed to sufficiently protect those components in a way that minimizes the emission impact.
(c) Explain how the engine diagnostic system works, describing especially the engine conditions (with the corresponding diagnostic trouble codes) that cause the malfunction-indicator light to go on. Propose what you consider to be extreme conditions under which the diagnostic system should disregard trouble codes, as described in §1048.110.
(d) Describe the engines you selected for testing and the reasons for selecting them.
(e) Describe the test equipment and procedures that you used, including any special or alternate test procedures you used (see §1048.501).
(f) Describe how you operated the emission-data engine before testing, including the duty cycle and the number of engine operating hours used to stabilize emission levels. Explain why you selected the method of service accumulation. Describe any scheduled maintenance you did.
(g) List the specifications of each test fuel to show that it falls within the required ranges we specify in 40 CFR part 1065, subpart H.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the ultimate purchaser of each new nonroad engine (see §1048.125).
(j) Include the emission-related installation instructions you will provide if someone else installs your engines in a piece of nonroad equipment (see §1048.130).
(k) Identify each high-cost warranted part and show us how you calculated its replacement cost, including the estimated retail cost of the part, labor rates, and labor hours to diagnose and replace defective parts.
(l) Describe your emission control information label (see §1048.135).
(m) Identify the emission standards to which you are certifying engines in the engine family.
(n) Identify the engine family's deterioration factors and describe how you developed them (see §1048.240). Present any emission test data you used for this.
(o) State that you operated your emission-data engines as described in the application (including the test procedures, test parameters, and test fuels) to show you meet the requirements of this part.
(p) Present emission data to show that you meet emission standards, as follows:
(1) Present exhaust emission data for HC, NOX, and CO on an emission-data engine to show your engines meet the applicable duty-cycle emission standards we specify in §1048.101. Show emission figures before and after applying adjustment factors for deterioration factors for each engine. Include test data for each type of fuel from 40 CFR part 1065, subpart H, on which you intend for engines in the engine family to operate (for example, gasoline, liquefied petroleum gas, methanol, or natural gas). If we specify more than one grade of any fuel type (for example, a summer grade and winter grade of gasoline), you only need to submit test data for one grade, unless the regulations of this part specify otherwise for your engine. Note that §1048.235 allows you to submit an application in certain cases without new emission data.
(2) If your engine family includes a volatile liquid fuel (and you do not use design-based certification under §1048.245), present evaporative test data to show your vehicles meet the evaporative emission standards we specify in subpart B of this part. Show these figures before and after applying deterioration factors, where applicable.
(q) State that all the engines in the engine family comply with the field-testing emission standards we specify in §1048.104 for all normal operation and use when tested as specified in §1048.515. Describe any relevant testing, engineering analysis, or other information in sufficient detail to support your statement.
(r) For engines with maximum engine power above 560 kW, include information showing how your emission controls will function during normal in-use transient operation. For example, this might include the following:
(1) Emission data from transient testing of engines using measurement systems designed for measuring in-use emissions.
(2) Comparison of the engine design for controlling transient emissions with that from engines for which you have emission data over the transient duty cycle for certification.
(3) Detailed descriptions of control algorithms and other design parameters for controlling transient emissions.
(s) Report all test results, including those from invalid tests or from any other tests, whether or not they were conducted according to the test procedures of subpart F of this part. If you measure CO2, report those emission levels. We may ask you to send other information to confirm that your tests were valid under the requirements of this part and 40 CFR part 1065.
(t) Describe all adjustable operating parameters (see §1048.115(e)), including production tolerances. Include the following in your description of each parameter:
(1) The nominal or recommended setting.
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of inhibiting adjustment are effective in preventing adjustment of parameters on in-use engines to settings outside your intended physically adjustable ranges.
(u) Provide the information to read, record, and interpret all the information broadcast by an engine's onboard computers and electronic control units. State that, upon request, you will give us any hardware, software, or tools we would need to do this. If you broadcast a surrogate parameter for torque values, you must provide us what we need to convert these into torque units. You may reference any appropriate publicly released standards that define conventions for these messages and parameters. Format your information consistent with publicly released standards.
(v) Confirm that your emission-related installation instructions specify how to ensure that sampling of exhaust emissions will be possible after engines are installed in equipment and placed in service. If this cannot be done by simply adding a 20-centimeter extension to the exhaust pipe, show how to sample exhaust emissions in a way that prevents diluting the exhaust sample with ambient air.
(w) State whether your engine will operate in variable-speed applications, constant-speed applications, or both. If your certification covers only constant-speed or only variable-speed applications, describe how you will prevent use of these engines in applications for which they are not certified.
(x) Unconditionally certify that all the engines in the engine family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act.
(y) Include estimates of U.S.-directed production volumes.
(z) Include other applicable information, such as information specified in this part or part 1068 of this chapter related to requests for exemptions.
(aa) Name an agent for service of process located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.
[70 FR 40470, July 13, 2005]
§ 1048.210 May I get preliminary approval before I complete my application?
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If you send us information before you finish the application, we will review it and make any appropriate determinations, especially for questions related to engine family definitions, auxiliary emission-control devices, deterioration factors, testing for service accumulation, and maintenance. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time.
[70 FR 40472, July 13, 2005]
§ 1048.220 How do I amend the maintenance instructions in my application?
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You may amend your emission-related maintenance instructions after you submit your application for certification, as long as the amended instructions remain consistent with the provisions of §1048.125. You must send the Designated Compliance Officer a request to amend your application for certification for an engine family if you want to change the emission-related maintenance instructions in a way that could affect emissions. In your request, describe the proposed changes to the maintenance instructions. We will disapprove your request if we determine that the amended instructions are inconsistent with maintenance you performed on emission-data engines.
(a) If you are decreasing the specified maintenance, you may distribute the new maintenance instructions to your customers 30 days after we receive your request, unless we disapprove your request. We may approve a shorter time or waive this requirement.
(b) If your requested change would not decrease the specified maintenance, you may distribute the new maintenance instructions anytime after you send your request. For example, this paragraph (b) would cover adding instructions to increase the frequency of a maintenance step for engines in severe-duty applications.
(c) You need not request approval if you are making only minor corrections (such as correcting typographical mistakes), clarifying your maintenance instructions, or changing instructions for maintenance unrelated to emission control.
[70 FR 40472, July 13, 2005]
§ 1048.225 How do I amend my application for certification to include new or modified engines?
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Before we issue you a certificate of conformity, you may amend your application to include new or modified engine configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified engine configurations within the scope of the certificate, subject to the provisions of this section. You must amend your application if any changes occur with respect to any information included in your application.
(a) You must amend your application before you take either of the following actions:
(1) Add an engine (that is, an additional engine configuration) to an engine family. In this case, the engine added must be consistent with other engines in the engine family with respect to the criteria listed in §1048.230.
(2) Change an engine already included in an engine family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production and design changes that may affect emissions any time during the engine's lifetime.
(b) To amend your application for certification, send the Designated Compliance Officer the following information:
(1) Describe in detail the addition or change in the engine model or configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data engine is still appropriate with respect to showing compliance of the amended family with all applicable requirements.
(3) If the original emission-data engine for the engine family is not appropriate to show compliance for the new or modified nonroad engine, include new test data showing that the new or modified nonroad engine meets the requirements of this part.
(c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your new or modified nonroad engine. You may ask for a hearing if we deny your request (see §1048.820).
(e) For engine families already covered by a certificate of conformity, you may start producing the new or modified nonroad engine anytime after you send us your amended application, before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days, you must stop producing the new or modified nonroad engines.
[70 FR 40472, July 13, 2005]
§ 1048.230 How do I select engine families?
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(a) Divide your product line into families of engines that are expected to have similar emission characteristics throughout the useful life. Your engine family is limited to a single model year.
(b) Group engines in the same engine family if they are the same in all of the following aspects:
(1) The combustion cycle.
(2) The cooling system (water-cooled vs. air-cooled).
(3) Configuration of the fuel system (for example, fuel injection vs. carburetion).
(4) Method of air aspiration.
(5) The number, location, volume, and composition of catalytic converters.
(6) The number, arrangement, and approximate bore diameter of cylinders.
(7) Evaporative emission controls.
(c) You may subdivide a group of engines that is identical under paragraph (b) of this section into different engine families if you show the expected emission characteristics are different during the useful life.
(d) You may group engines that are not identical with respect to the things listed in paragraph (b) of this section in the same engine family if you show that their emission characteristics during the useful life will be similar.
(e) You may create separate families for exhaust emissions and evaporative emissions. If we do this, list both families on the emission control information label.
(f) Where necessary, you may divide an engine family into sub-families to meet different emission standards, as specified in §1048.101(a)(2). For issues related to compliance and prohibited actions, we will generally apply decisions to the whole engine family. For engine labels and other administrative provisions, we may approve your request for separate treatment of sub-families.
[70 FR 40473, July 13, 2005]
§ 1048.235 What emission testing must I perform for my application for a certificate of conformity?
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This section describes the emission testing you must perform to show compliance with the emission standards in §§1048.101(a) and (b) and 1048.105 during certification. See §1048.205(q) regarding emission testing related to the field-testing standards. See §1048.240 and 40 CFR part 1065, subpart E, regarding service accumulation before emission testing.
(a) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. For any testing related to evaporative emissions, use good engineering judgment to include a complete fuel system with the engine.
(b) Select emission-data engines according to the following criteria:
(1) Exhaust testing. For each fuel type from each engine family, select an emission-data engine with a configuration that is most likely to exceed the exhaust emission standards, using good engineering judgment. Consider the emission levels of all exhaust constituents over the full useful life of the engine when operated in a piece of equipment.
(2) Evaporative testing. For each engine family that includes a volatile liquid fuel, select a test fuel system with a configuration that is most likely to exceed the evaporative emission standards, using good engineering judgment.
(c) We may measure emissions from any of your test engines or other engines from the engine family, as follows:
(1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the test engine to a test facility we designate. The test engine you provide must include appropriate manifolds, aftertreatment devices, electronic control units, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need.
(2) If we measure emissions on one of your test engines, the results of that testing become the official emission results for the engine. Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements.
(3) Before we test one of your engines, we may set its adjustable parameters to any point within the physically adjustable ranges (see §1048.115(e)).
(4) Before we test one of your engines, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter.
(d) You may ask to use emission data from a previous model year instead of doing new tests, but only if all the following are true:
(1) The engine family from the previous model year differs from the current engine family only with respect to model year.
(2) The emission-data engine from the previous model year remains the appropriate emission-data engine under paragraph (b) of this section.
(3) The data show that the emission-data engine would meet all the requirements that apply to the engine family covered by the application for certification.
(e) We may require you to test a second engine of the same or different configuration in addition to the engine tested under paragraph (b) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure.
[70 FR 40473, July 13, 2005]
§ 1048.240 How do I demonstrate that my engine family complies with exhaust emission standards?
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(a) For purposes of certification, your engine family is considered in compliance with the applicable numerical emission standards in §1048.101(a) and (b) if all emission-data engines representing that family have test results showing deteriorated emission levels at or below these standards.
(b) Your engine family is deemed not to comply if any emission-data engine representing that family has test results showing a deteriorated emission level above an applicable emission standard from §1048.101 for any pollutant.
(c) To compare emission levels from the emission-data engine with the applicable emission standards, apply deterioration factors to the measured emission levels for each pollutant. Specify the deterioration factors based on emission measurements using four significant figures, consistent with good engineering judgment. For example, your deterioration factors must take into account any available data from in-use testing with similar engines (see subpart E of this part). Small-volume engine manufacturers may use assigned deterioration factors that we establish. Apply deterioration factors as follows:
(1) Multiplicative deterioration factor. For engines that use aftertreatment technology, such as catalytic converters, use a multiplicative deterioration factor for exhaust emissions. A multiplicative deterioration factor is the ratio of exhaust emissions at the end of useful life to exhaust emissions at the low-hour test point. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one.
(2) Additive deterioration factor. For engines that do not use aftertreatment technology, use an additive deterioration factor for exhaust emissions. An additive deterioration factor is the difference between exhaust emissions at the end of useful life and exhaust emissions at the low-hour test point. Adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero.
(d) Collect emission data using measurements to one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine. In the case of HC + NOX standards, apply the deterioration factor to each pollutant and then add the results before rounding.
[70 FR 40474, July 13, 2005]
§ 1048.245 How do I demonstrate that my engine family complies with evaporative emission standards?
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(a) For certification, your engine family is considered in compliance with the evaporative emission standards in subpart B of this part if you do either of the following:
(1) You have test results showing that evaporative emissions in the family are at or below the standards throughout the useful life.
(2) Where applicable, you comply with the design specifications in paragraph (e) of this section.
(b) Your engine family does not comply if any fuel system representing that family has test results showing emission levels above the standards.
(c) Use good engineering judgment to develop a test plan to establish deterioration factors to show how much emissions increase at the end of useful life.
(d) If you adjust the emission levels for deterioration, round them to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each test fuel system.
(e) You may demonstrate that your engine family complies with the evaporative emission standards by demonstrating that you use the following control technologies:
(1) For certification to the standards specified in §1048.105(a)(1), with the following technologies:
(i) Use a tethered or self-closing gas cap on a fuel tank that stays sealed up to a positive pressure of 24.5 kPa (3.5 psig) or a vacuum pressure of 0.7 kPa (0.1 psig).
(ii) [Reserved]
(2) For certification to the standards specified in §1048.105(a)(3), demonstrating that you use design features to prevent fuel boiling under all normal operation. You may do this using fuel temperature data measured during normal operation.
(3) We may establish additional options for design-based certification where we find that new test data demonstrate that a technology will ensure compliance with the emission standards in this section.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005]
§ 1048.250 What records must I keep and make available to EPA?
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(a) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send us.
(2) Any of the information we specify in §1048.205 that you were not required to include in your application.
(3) A detailed history of each emission-data engine. For each engine, describe all of the following:
(i) The emission-data engine's construction, including its origin and buildup, steps you took to ensure that it represents production engines, any components you built specially for it, and all the components you include in your application for certification.
(ii) How you accumulated engine operating hours (service accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine and standard tests, as specified in part 40 CFR part 1065, and the date and purpose of each test.
(v) All tests to diagnose engine or emission-control performance, giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly plant.
(5) Keep a list of engine identification numbers for all the engines you produce under each certificate of conformity.
(b) Keep data from routine emission tests (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in paragraph (a) of this section for eight years after we issue your certificate.
(c) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.
(d) Send us copies of any engine maintenance instructions or explanations if we ask for them.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40474, July 13, 2005]
§ 1048.255 When may EPA deny, revoke, or void my certificate of conformity?
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(a) If we determine your application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for your engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny your application for certification if we determine that your engine family fails to comply with emission standards or other requirements of this part or the Act. Our decision may be based on a review of all information available to us. If we deny your application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke your certificate if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements.
(2) Submit false or incomplete information (paragraph (e) of this section applies if this is fraudulent).
(3) Render inaccurate any test data.
(4) Deny us from completing authorized activities despite our presenting a warrant or court order (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend your application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void your certificate if you do not keep the records we require or do not give us information when we ask for it.
(e) We may void your certificate if we find that you intentionally submitted false or incomplete information.
(f) If we deny your application or suspend, revoke, or void your certificate, you may ask for a hearing (see §1048.820).
[70 FR 40474, July 13, 2005]
Subpart D—Testing Production-line Engines
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§ 1048.301 When must I test my production-line engines?
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(a) If you produce engines that are subject to the requirements of this part, you must test them as described in this subpart.
(b) We may suspend or revoke your certificate of conformity for certain engine families if your production-line engines do not meet the requirements of this part or you do not fulfill your obligations under this subpart (see §§1048.325 and 1048.340).
(c) Other requirements apply to engines that you produce. Other regulatory provisions authorize us to suspend, revoke, or void your certificate of conformity, or order recalls for engines families without regard to whether they have passed these production-line testing requirements. The requirements of this part do not affect our ability to do selective enforcement audits, as described in part 1068 of this chapter. Individual engines in families that pass these production-line testing requirements must also conform to all applicable regulations of this part and part 1068 of this chapter.
(d) You may ask to use an alternate program for testing production-line engines. In your request, you must show us that the alternate program gives equal assurance that your production-line engines meet the requirements of this part. If we approve your alternate program, we may waive some or all of this subpart's requirements.
(e) If you certify an engine family with carryover emission data, as described in §1048.235(c), and these equivalent engine families consistently pass the production-line testing requirements over the preceding two-year period, you may ask for a reduced testing rate for further production-line testing for that family. The minimum testing rate is one engine per engine family. If we reduce your testing rate, we may limit our approval to any number of model years. In determining whether to approve your request, we may consider the number of engines that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line engines available for a reasonable time so we can test or inspect them for compliance with the requirements of this part. See 40 CFR 1068.27.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]
§ 1048.305 How must I prepare and test my production-line engines?
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(a) Test procedures. Test your production-line engines using either the steady-state or transient testing procedures in subpart F of this part to show you meet the emission standards in §1048.101(a) or (b), respectively. We may require you to test engines using the transient testing procedures to show you meet the emission standards in §1048.101(a).
(b) Modifying a test engine. Once an engine is selected for testing (see §1048.310), you may adjust, repair, prepare, or modify it or check its emissions only if one of the following is true:
(1) You document the need for doing so in your procedures for assembling and inspecting all your production engines and make the action routine for all the engines in the engine family.
(2) This subpart otherwise specifically allows your action.
(3) We approve your action in advance.
(c) Engine malfunction. If an engine malfunction prevents further emission testing, ask us to approve your decision to either repair the engine or delete it from the test sequence.
(d) Setting adjustable parameters. Before any test, we may adjust or require you to adjust any adjustable parameter to any setting within its physically adjustable range.
(1) We may adjust or require you to adjust idle speed outside the physically adjustable range as needed only until the engine has stabilized emission levels (see paragraph (e) of this section). We may ask you for information needed to establish an alternate minimum idle speed.
(2) We may make or specify adjustments within the physically adjustable range by considering their effect on emission levels, as well as how likely it is someone will make such an adjustment with in-use engines.
(e) Stabilizing emission levels. Before you test production-line engines, you may operate the engine to stabilize the emission levels. Using good engineering judgment, operate your engines in a way that represents the way production engines will be used. You may operate each engine for no more than the greater of two periods:
(1) 50 hours.
(2) The number of hours you operated your emission-data engine for certifying the engine family (see 40 CFR part 1065, subpart E).
(f) Damage during shipment. If shipping an engine to a remote facility for production-line testing makes necessary an adjustment or repair, you must wait until after the initial emission test to do this work. We may waive this requirement if the test would be impossible or unsafe, or if it would permanently damage the engine. Report to us, in your written report under §1048.345, all adjustments or repairs you make on test engines before each test.
(g) Retesting after invalid tests. You may retest an engine if you determine an emission test is invalid under subpart F of this part. Explain in your written report reasons for invalidating any test and the emission results from all tests. If you retest an engine and, within ten days after testing, ask to substitute results of the new tests for the original ones, we will answer within ten days after we receive your information.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]
§ 1048.310 How must I select engines for production-line testing?
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(a) Use test results from two engines for each engine family to calculate the required sample size for the model year. Update this calculation with each test.
(b) Early in each calendar quarter, randomly select and test two engines from the end of the assembly line for each engine family.
(c) Calculate the required sample size for each engine family. Separately calculate this figure for HC+NOX and for CO. The required sample size is the greater of these two calculated values. Use the following equation:
Where:
N = Required sample size for the model year.
t95 = 95% confidence coefficient, which depends on the number of tests completed, n, as specified in the table in paragraph (c)(1) of this section. It defines 95% confidence intervals for a one-tail distribution.
x = Mean of emission test results of the sample.
STD = Emission standard.
s = Test sample standard deviation (see paragraph (c)(2) of this section).
n = The number of tests completed in an engine family.
(1) Determine the 95% confidence coefficient, t95, from the following table:
------------------------------------------------------------------------
n t95 n t95 n t95
------------------------------------------------------------------------
2 6.31 12 1.80 22 1.72
3 2.92 13 1.78 23 1.72
4 2.35 14 1.77 24 1.71
5 2.13 15 1.76 25 1.71
6 2.02 16 1.75 26 1.71
7 1.94 17 1.75 27 1.71
8 1.90 18 1.74 28 1.70
9 1.86 19 1.73 29 1.70
10 1.83 20 1.73 30+ 1.70
11 1.81 21 1.72 ......................
------------------------------------------------------------------------
(2) Calculate the standard deviation, s, for the test sample using the following formula:
Where:
Xi = Emission test result for an individual engine.
(d) Use final deteriorated test results to calculate the variables in the equations in paragraph (c) of this section (see §1048.315(a)).
(e) After each new test, recalculate the required sample size using the updated mean values, standard deviations, and the appropriate 95-percent confidence coefficient.
(f) Distribute the remaining engine tests evenly throughout the rest of the year. You may need to adjust your schedule for selecting engines if the required sample size changes. Continue to randomly select engines from each engine family; this may involve testing engines that operate on different fuels.
(g) Continue testing any engine family for which the sample mean, x, is greater than the emission standard. This applies if the sample mean for either HC+NOX or for CO is greater than the emission standard. Continue testing until one of the following things happens:
(1) The number of tests completed in an engine family, n, is greater than the required sample size, N, and the sample mean, x, is less than or equal to the emission standard. For example, if N = 3.1 after the third test, the sample-size calculation does not allow you to stop testing.
(2) The engine family does not comply according to §1048.315.
(3) You test 30 engines from the engine family.
(4) You test one percent of your projected annual U.S.-directed production volume for the engine family, rounded to the nearest whole number. If your projected production is between 150 and 750 engines, test engines as specified in paragraph (b) of this section until you have tested one percent of your projected annual U.S.-directed production volume. For example, if projected volume is 475 engines, test two engines in each of the first two quarters and one engine in the third quarter to fulfill your testing requirements under this section for that engine family. If your projected production volume is less than 150, you must test at least two engines.
(5) You choose to declare that the engine family does not comply with the requirements of this subpart.
(h) If the sample-size calculation allows you to stop testing for a pollutant, you must continue measuring emission levels of that pollutant for any additional tests required under this section. However, you need not continue making the calculations specified in this section for that pollutant. This paragraph (h) does not affect the requirements in §1048.320.
(i) You may elect to test more randomly chosen engines than we require under this section. Include these engines in the sample-size calculations.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]
§ 1048.315 How do I know when my engine family fails the production-line testing requirements?
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This section describes the pass/fail criteria for the production-line testing requirements. We apply these criteria on an engine-family basis. See §1048.320 for the requirements that apply to individual engines that fail a production-line test.
(a) Calculate your test results. Round them to the number of decimal places in the emission standard expressed to one more decimal place.
(1) Initial and final test results. Calculate and round the test results for each engine. If you do several tests on an engine, calculate the initial test results, then add them together and divide by the number of tests and round for the final test results on that engine.
(2) Final deteriorated test results. Apply the deterioration factor for the engine family to the final test results (see §1048.240(c)).
(b) Construct the following CumSum Equation for each engine family (for HC+NOX and for CO emissions):
Where:
Ci = The current CumSum statistic.
Ci-1 = The previous CumSum statistic. For the first test, CumSum statistic is 0 (i.e. C1 = 0).
Xi = The current emission test result for an individual engine.
STD = Emission standard.
(c) Use final deteriorated test results to calculate the variables in the equation in paragraph (b) of this section (see §1048.315(a)).
(d) After each new test, recalculate the CumSum statistic.
(e) If you test more than the required number of engines, include the results from these additional tests in the CumSum Equation.
(f) After each test, compare the current CumSum statistic, Ci, to the recalculated Action Limit, H, defined as H = 5.0 × s.
(g) If the CumSum statistic exceeds the Action Limit in two consecutive tests, the engine family fails the production-line testing requirements of this subpart. Tell us within ten working days if this happens.
(h) If you amend the application for certification for an engine family (see §1048.225), do not change any previous calculations of sample size or CumSum statistics for the model year.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]
§ 1048.320 What happens if one of my production-line engines fails to meet emission standards?
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If you have a production-line engine with final deteriorated test results exceeding one or more emission standards (see §1048.315(a)), the certificate of conformity is automatically suspended for that failing engine. You must take the following actions before your certificate of conformity can cover that engine:
(a) Correct the problem and retest the engine to show it complies with all emission standards.
(b) Include in your written report a description of the test results and the remedy for each engine (see §1048.345).
§ 1048.325 What happens if an engine family fails the production-line requirements?
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(a) We may suspend your certificate of conformity for an engine family if it fails under §1048.315. The suspension may apply to all facilities producing engines from an engine family, even if you find noncompliant engines only at one facility.
(b) We will tell you in writing if we suspend your certificate in whole or in part. We will not suspend a certificate until at least 15 days after the engine family fails. The suspension is effective when you receive our notice.
(c) Up to 15 days after we suspend the certificate for an engine family, you may ask for a hearing (see §1048.820). If we agree before a hearing that we used erroneous information in deciding to suspend the certificate, we will reinstate the certificate.
(d) Section 1048.335 specifies steps you must take to remedy the cause of the engine family's production-line failure. All the engines you have produced since the end of the last test period are presumed noncompliant and should be addressed in your proposed remedy. We may require you to apply the remedy to engines produced earlier if we determine that the cause of the failure is likely to have affected the earlier engines.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40475, July 13, 2005]
§ 1048.330 May I sell engines from an engine family with a suspended certificate of conformity?
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You may sell engines that you produce after we suspend the engine family's certificate of conformity under §1048.315 only if one of the following occurs:
(a) You test each engine you produce and show it complies with emission standards that apply.
(b) We conditionally reinstate the certificate for the engine family. We may do so if you agree to recall all the affected engines and remedy any noncompliance at no expense to the owner if later testing shows that the engine family still does not comply.
§ 1048.335 How do I ask EPA to reinstate my suspended certificate?
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(a) Send us a written report asking us to reinstate your suspended certificate. In your report, identify the reason for noncompliance, propose a remedy for the engine family, and commit to a date for carrying it out. In your proposed remedy include any quality control measures you propose to keep the problem from happening again.
(b) Give us data from production-line testing that shows the remedied engine family complies with all the emission standards that apply.
§ 1048.340 When may EPA revoke my certificate under this subpart and how may I sell these engines again?
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(a) We may revoke your certificate for an engine family in the following cases:
(1) You do not meet the reporting requirements.
(2) Your engine family fails to comply with the requirements of this subpart and your proposed remedy to address a suspended certificate under §1048.325 is inadequate to solve the problem or requires you to change the engine's design or emission-control system.
(b) To sell engines from an engine family with a revoked certificate of conformity, you must modify the engine family and then show it complies with the requirements of this part.
(1) If we determine your proposed design change may not control emissions for the engine's full useful life, we will tell you within five working days after receiving your report. In this case we will decide whether production-line testing will be enough for us to evaluate the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when you have met these requirements.
§ 1048.345 What production-line testing records must I send to EPA?
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Do all the following things unless we ask you to send us less information:
(a) Within 30 calendar days of the end of each calendar quarter, send us a report with the following information:
(1) Describe any facility used to test production-line engines and state its location.
(2) State the total U.S.-directed production volume and number of tests for each engine family.
(3) Describe how you randomly selected engines.
(4) Describe your test engines, including the engine family's identification and the engine's model year, build date, model number, identification number, and number of hours of operation before testing for each test engine.
(5) Identify where you accumulated hours of operation on the engines and describe the procedure and schedule you used.
(6) Provide the test number; the date, time and duration of testing; test procedure; initial test results before and after rounding; final test results; and final deteriorated test results for all tests. Provide the emission results for all measured pollutants. Include information for both valid and invalid tests and the reason for any invalidation.
(7) Describe completely and justify any nonroutine adjustment, modification, repair, preparation, maintenance, or test for the test engine if you did not report it separately under this subpart. Include the results of any emission measurements, regardless of the procedure or type of equipment.
(8) Provide the CumSum analysis required in §1048.315 for each engine family.
(9) Report on each failed engine as described in §1048.320.
(10) State the date the calendar quarter ended for each engine family.
(b) We may ask you to add information to your written report, so we can determine whether your new nonroad engines conform with the requirements of this subpart.
(c) An authorized representative of your company must sign the following statement:
We submit this report under Sections 208 and 213 of the Clean Air Act. Our production-line testing conformed completely with the requirements of 40 CFR part 1048. We have not changed production processes or quality-control procedures for the engine family in a way that might affect the emission control from production engines. All the information in this report is true and accurate, to the best of my knowledge. I know of the penalties for violating the Clean Air Act and the regulations. (Authorized Company Representative)
(d) Send electronic reports of production-line testing to the Designated Compliance Officer using an approved information format. If you want to use a different format, sendus a written request with justification for a waiver. (continued)