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(continued)
(8) Subtract the weight of the tank at the end of the test from the weight of the tank at the beginning of the test; divide the difference by the internal surface area of the fuel tank. Divide this g/m 2 value by the number of test days (using at least three significant figures) to calculate the g/m 2 /day emission rate. Example: If a tank with an internal surface area of 0.72 m 2 weighed 31882.3 grams at the beginning of the test and weighed 31813.8 grams after soaking for 14.03 days, then the g/m 2 /day emission rate would be—
(31882.3 g-31813.8 g)/0.72 m 2 /14.03 days = 6.78 g/m 2 /day.
(9) Round your result to the same number of decimal places as the emission standard.
(10) In cases where consideration of permeation rates, using good engineering judgment, leads you to conclude that soaking for 14 days is not long enough to measure weight change to at least three significant figures, you may soak for 14 days longer. In this case, repeat the steps in paragraphs (b)(8) and (9) of this section to determine the weight change for the full 28 days.
(c) Determination of final test result. To determine the final test result, apply a deterioration factor to the measured emission level. The deterioration factor is the difference between permeation emissions measured before and after the durability testing described in paragraph (d) of this section. Adjust the baseline test results for each tested fuel tank by adding the deterioration factor to the measured emissions. The deterioration factor determination must be based on good engineering judgement. Therefore, during the durability testing, the test tank may not exceed the fuel tank permeation standard described in §1051.110 (this is known as “line-crossing”). If the deterioration factor is less than zero, use zero.
(d) Durability testing. You normally need to perform a separate durability demonstration for each substantially different combination of treatment approaches and tank materials. Perform these demonstrations before an emission test by taking the following steps, unless you can use good engineering judgment to apply the results of previous durability testing with a different fuel system. You may ask to exclude any of the following durability tests if you can clearly demonstrate that it does not affect the emissions from your fuel tank.
(1) Pressure cycling. Perform a pressure test by sealing the tank and cycling it between +2.0 psig and -0.5 psig and back to +2.0 psig for 10,000 cycles at a rate 60 seconds per cycle.
(2) UV exposure. Perform a sunlight-exposure test by exposing the tank to an ultraviolet light of at least 24 W/m 2 (0.40 W-hr/m 2 /min) on the tank surface for at least 450 hours. Alternatively, the fuel tank may be exposed to direct natural sunlight for an equivalent period of time, as long as you ensure that the tank is exposed to at least 450 daylight hours.
(3) Slosh testing. Perform a slosh test by filling the tank to 40 percent of its capacity with the fuel specified in §1051.501(d)(2)(i) and rocking it at a rate of 15 cycles per minute until you reach one million total cycles. Use an angle deviation of +15° to -15° from level. This test must be performed at a temperature of 28 °C ±5 °C.
(4) Final test result. Following the durability testing, the fuel tank must be soaked (as described in paragraph (a) of this section) to ensure that the permeation rate is stable. The period of slosh testing and the period of ultraviolet testing (if performed with fuel in the tank consistent with paragraph (a)(1) of this section) may be considered to be part of this soak, provided that the soak begins immediately after the slosh testing. To determine the final permeation rate, drain and refill the tank with fresh fuel, and repeat the permeation test run (as described in paragraph (b) of this section) immediately after this soak period. The same test fuel must be used for this permeation test run as for the permeation test run performed prior to the durability testing.
(e) Flow chart. The following figure presents a flow chart for the permeation testing described in this section, showing the full test procedure with durability testing, as well as the simplified test procedure with an applied deterioration factor:
View or download PDF
[67 FR 68347, Nov. 8, 2002, as amended at 69 FR 2442, Jan. 15, 2004; 70 FR 40501, July 13, 2005]
§ 1051.520 How do I perform exhaust durability testing?
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Sections 1051.240 and 1051.243 describe the method for testing that must be performed to establish deterioration factors for an engine family.
[70 FR 40501, July 13, 2005]
Subpart G—Compliance Provisions
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§ 1051.601 What compliance provisions apply to vehicles and engines subject to this part?
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Engine and vehicle manufacturers, as well as owners, operators, and rebuilders of these vehicles, and all other persons, must observe the requirements and prohibitions in part 1068 of this chapter and the requirements of the Act. The compliance provisions in this subpart apply only to the vehicles and engines we regulate in this part.
§ 1051.605 What provisions apply to engines already certified under the motor-vehicle program or the Large Spark-ignition program?
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(a) General provisions. If you are an engine manufacturer, this section allows you to introduce into commerce new recreational vehicles, and engines for recreational vehicles, if the engines are already certified to the requirements that apply to spark-ignition engines under 40 CFR parts 85 and 86 or 40 CFR part 1048 for the appropriate model year. If you comply with all the provisions of this section, we consider the certificate issued under 40 CFR part 86 or 1048 for each engine to also be a valid certificate of conformity under this part 1051 for its model year, without a separate application for certification under the requirements of this part 1051. See §1051.610 for similar provisions that apply to vehicles that are already certified to the vehicle-based standards for motor vehicles.
(b) Vehicle-manufacturer provisions. If you are not an engine manufacturer, you may install an engine certified for the appropriate model year under 40 CFR part 86 or 1048 in a recreational vehicle as long as you meet all the requirements and conditions specified in paragraph (d) of this section. If you modify the non-recreational engine in any of the ways described in paragraph (d)(2) of this section for installation in a recreational vehicle, we will consider you a manufacturer of recreational vehicles. Such engine modifications prevent you from using the provisions of this section.
(c) Liability. Engines for which you meet the requirements of this section are exempt from all the requirements and prohibitions of this part, except for those specified in this section. Engines exempted under this section must meet all the applicable requirements from 40 CFR parts 85 and 86 or 40 CFR part 1048. This paragraph (c) applies to engine manufacturers, vehicle manufacturers who use such an engine, and all other persons as if the engine were used in its originally intended application. The prohibited acts of 40 CFR 1068.101(a)(1) apply to these new engines and vehicles; however, we consider the certificate issued under 40 CFR part 86 or 1048 for each engine to also be a valid certificate of conformity under this part 1051 for its model year. If we make a determination that these engines do not conform to the regulations during their useful life, we may require you to recall them under this part 1051 or under 40 CFR part 85 or 1068.505.
(d) Specific requirements. If you are an engine or vehicle manufacturer and meet all the following criteria and requirements regarding your new engine or vehicle, the vehicle using the engine is eligible for an exemption under this section:
(1) Your engine must be covered by a valid certificate of conformity issued under 40 CFR part 86 or 1048.
(2) You must not make any changes to the certified engine that could reasonably be expected to increase its exhaust emissions for any pollutant, or its evaporative emissions. For example, if you make any of the following changes to one of these engines, you do not qualify for this exemption:
(i) Change any fuel system or evaporative system parameters from the certified configuration (this does not apply to refueling controls).
(ii) Change, remove, or fail to properly install any other component, element of design, or calibration specified in the engine manufacturer's application for certification. This includes aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that temperatures or heat rejection rates are outside the original engine manufacturer's specified ranges.
(3) You must show that fewer than 50 percent of the engine family's total sales in the United States are used in recreational vehicles. This includes engines used in any application, without regard to which company manufactures the vehicle or equipment. Show this as follows:
(i) If you are the original manufacturer of the engine, base this showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of the engine to confirm this based on its sales information.
(4) You must ensure that the engine has the emission control information label we require under 40 CFR part 86 or 1048.
(5) You must add a permanent supplemental label to the engine in a position where it will remain clearly visible after installation in the vehicle. In the supplemental label, do the following:
(i) Include the heading: “RECREATIONAL VEHICLE EMISSION CONTROL INFORMATION”.
(ii) Include your full corporate name and trademark. You may instead include the full corporate name and trademark of another company you choose to designate.
(iii) State: “THIS ENGINE WAS ADAPTED FOR A RECREATIONAL USE WITHOUT AFFECTING ITS EMISSION CONTROLS.”.
(iv) State the date you finished installation (month and year), if applicable.
(6) The original and supplemental labels must be readily visible after the engine is installed in the vehicle or, if the vehicle obscures the engine's emission control information label, the make sure the vehicle manufacturer attaches duplicate labels, as described in 40 CFR 1068.105.
(7) Send the Designated Compliance Officer a signed letter by the end of each calendar year (or less often if we tell you) with all the following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the engine or vehicle models you expect to produce under this exemption in the coming year.
(iii) State: “We produce each listed [engine or vehicle] model for recreational application without making any changes that could increase its certified emission levels, as described in 40 CFR 1051.605.”.
(e) Failure to comply. If your engines do not meet the criteria listed in paragraph (d) of this section, they will be subject to the standards, requirements, and prohibitions of this part 1051 and the certificate issued under 40 CFR part 86 or 1048 will not be deemed to also be a certificate issued under this part 1051. Introducing these engines into commerce without a valid exemption or certificate of conformity under this part violates the prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Engines or vehicles adapted for recreational use under this section may not generate or use emission credits under this part 1051. These engines or vehicles may generate credits under the ABT provisions in 40 CFR part 86. These engines or vehicles must use emission credits under 40 CFR part 86 if they are certified to an FEL that exceeds an applicable standard.
[70 FR 40501, July 13, 2005]
§ 1051.610 What provisions apply to vehicles already certified under the motor-vehicle program?
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(a) General provisions. If you are a motor-vehicle manufacturer, this section allows you to introduce new recreational vehicles into commerce if the vehicle is already certified to the requirements that apply under 40 CFR parts 85 and 86. If you comply with all of the provisions of this section, we consider the certificate issued under 40 CFR part 86 for each motor vehicle to also be a valid certificate of conformity for the engine under this part 1051 for its model year, without a separate application for certification under the requirements of this part 1051. This section applies especially for highway motorcycles that are modified for recreational nonroad use. See §1051.605 for similar provisions that apply to motor-vehicle engines or Large SI engines produced for recreational vehicles.
(b) Nonroad vehicle-manufacturer provisions. If you are not a motor-vehicle manufacturer, you may produce recreational vehicles from motor vehicles under this section as long as you meet all the requirements and conditions specified in paragraph (d) of this section. If you modify the motor vehicle or its engine in any of the ways described in paragraph (d)(2) of this section, we will consider you a manufacturer of a new recreational vehicle. Such modifications prevent you from using the provisions of this section.
(c) Liability. Engines and vehicles for which you meet the requirements of this section are exempt from all the requirements and prohibitions of this part, except for those specified in this section. Engines exempted under this section must meet all the applicable requirements from 40 CFR parts 85 and 86. This applies to engine manufacturers, vehicle manufacturers, and all other persons as if the recreational vehicles were motor vehicles. The prohibited acts of 40 CFR 1068.101(a)(1) apply to these new recreational vehicles; however, we consider the certificate issued under 40 CFR part 86 for each motor vehicle to also be a valid certificate of conformity for the recreational vehicle under this part 1051 for its model year. If we make a determination that these engines or vehicles do not conform to the regulations during their useful life, we may require you to recall them under 40 CFR part 86 or 40 CFR 1068.505.
(d) Specific requirements. If you are a motor-vehicle manufacturer and meet all the following criteria and requirements regarding your new recreational vehicle and its engine, the vehicle is eligible for an exemption under this section:
(1) Your vehicle must be covered by a valid certificate of conformity as a motor vehicle issued under 40 CFR part 86.
(2) You must not make any changes to the certified vehicle that we could reasonably expect to increase its exhaust emissions for any pollutant, or its evaporative emissions if it is subject to evaporative-emission standards. For example, if you make any of the following changes, you do not qualify for this exemption:
(i) Change any fuel system parameters from the certified configuration.
(ii) Change, remove, or fail to properly install any other component, element of design, or calibration specified in the vehicle manufacturer's application for certification. This includes aftertreatment devices and all related components.
(iii) Modify or design the engine cooling system so that temperatures or heat rejection rates are outside the original vehicle manufacturer's specified ranges.
(iv) Add more than 500 pounds to the curb weight of the originally certified motor vehicle.
(3) You must show that fewer than 50 percent of the engine family's total sales in the United States are used in recreational vehicles. This includes any type of vehicle, without regard to which company completes the manufacturing of the recreational vehicle. Show this as follows:
(i) If you are the original manufacturer of the vehicle, base this showing on your sales information.
(ii) In all other cases, you must get the original manufacturer of the vehicle to confirm this based on their sales information.
(4) The vehicle must have the vehicle emission control information we require under 40 CFR part 86.
(5) You must add a permanent supplemental label to the vehicle in a position where it will remain clearly visible. In the supplemental label, do the following:
(i) Include the heading: “RECREATIONAL VEHICLE ENGINE EMISSION CONTROL INFORMATION”.
(ii) Include your full corporate name and trademark. You may instead include the full corporate name and trademark of another company you choose to designate.
(iii) State: “THIS VEHICLE WAS ADAPTED FOR RECREATIONAL USE WITHOUT AFFECTING ITS EMISSION CONTROLS.”.
(iv) State the date you finished modifying the vehicle (month and year), if applicable.
(6) The original and supplemental labels must be readily visible in the fully assembled vehicle.
(7) Send the Designated Compliance Officer a signed letter by the end of each calendar year (or less often if we tell you) with all the following information:
(i) Identify your full corporate name, address, and telephone number.
(ii) List the vehicle models you expect to produce under this exemption in the coming year.
(iii) State: “We produced each listed engine or vehicle model for recreational application without making any changes that could increase its certified emission levels, as described in 40 CFR 1051.610.”.
(e) Failure to comply. If your engines or vehicles do not meet the criteria listed in paragraph (d) of this section, the engines will be subject to the standards, requirements, and prohibitions of this part 1051, and the certificate issued under 40 CFR part 86 will not be deemed to also be a certificate issued under this part 1051. Introducing these engines into commerce without a valid exemption or certificate of conformity under this part violates the prohibitions in 40 CFR 1068.101(a)(1).
(f) Data submission. We may require you to send us emission test data on any applicable nonroad duty cycles.
(g) Participation in averaging, banking and trading. Vehicles adapted for recreational use under this section may not generate or use emission credits under this part 1051. These engines may generate credits under the ABT provisions in 40 CFR part 86. These engines must use emission credits under 40 CFR part 86 if they are certified to an FEL that exceeds an applicable standard.
[70 FR 40502, July 13, 2005]
§ 1051.615 What are the special provisions for certifying small recreational engines?
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(a) You may certify ATVs with engines that have total displacement of less than 100 cc to the following exhaust emission standards instead of certifying them to the exhaust emission standards of subpart B of this part:
(1) 25.0 g/kW-hr HC+NOX, with an FEL cap of 40.0 g/kW-hr HC+NOX.
(2) 500 g/kW-hr CO.
(b) You may certify off-highway motorcycles with engines that have total displacement of 70 cc or less to the following exhaust emission standards instead of certifying them to the exhaust emission standards of subpart B of this part:
(1) 16.1 g/kW-hr HC+NOX, with an FEL cap of 32.2 g/kW-hr HC+NOX.
(2) 519 g/kW-hr CO.
(c) You may use the averaging, banking, and trading provisions of subpart H of this part to show compliance with this HC+NOX standards (an engine family meets emission standards even if its family emission limit is higher than the standard, as long as you show that the whole averaging set of applicable engine families meet the applicable emission standards using emission credits, and the vehicles within the family meet the family emission limit). You may not use averaging to meet the CO standards of this section.
(d) Measure steady-state emissions by testing the engine on an engine dynamometer using the equipment and procedures of 40 CFR part 1065 with either discrete-mode or ramped-modal cycles. You must use the type of testing you select in your application for certification for all testing you perform for that engine family. If we test your engines to confirm that they meet emission standards, we will do testing the same way. We may also perform other testing as allowed by the Clean Air Act. Measure steady-state emissions as follows:
(1) For discrete-mode testing, sample emissions separately for each mode, then calculate an average emission level for the whole cycle using the weighting factors specified for each mode. In each mode, operate the engine for at least 5 minutes, then sample emissions for at least 1 minute. Calculate cycle statistics for the sequence of modes and compare with the specified values in 40 CFR 1065.514 to confirm that the test is valid.
(2) For ramped-modal testing, start sampling at the beginning of the first mode and continue sampling until the end of the last mode. Calculate emissions and cycle statistics the same as for transient testing.
(3) Measure emissions by testing the engine on a dynamometer with one or more of the following sets of duty cycles to determine whether it meets applicable emission standards:
(i) The following duty cycle applies for discrete-mode testing:
Table 1 of § 1051.615_6-Mode Duty Cycle for Recreational Engines
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Minimum time
Mode No. Engine speed Torque in mode Weighting
(percent) \1\ (percent) \2\ (minutes) factors
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1.............................................. 85 100 5.0 0.09
2.............................................. 85 75 5.0 0.20
3.............................................. 85 50 5.0 0.29
4.............................................. 85 25 5.0 0.30
5.............................................. 85 10 5.0 0.07
6.............................................. (\3\) 0 5.0 0.05
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\1\ Percent speed is percent of maximum test speed.
\2\ Percent torque is percent of maximum test torque at maximum test speed.
\3\Idle.
(ii) The following duty cycle applies for ramped-modal testing:
Table 2 of § 1051.615_Ramped-Modal Cycle for Testing Recreational Engines
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RMC mode Time Speed (percent) \1,2\ Torque (percent) \2,3\
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1a Steady-state..................... 41 Warm Idle.............. 0
1b Transition....................... 20 Linear Transition...... Linear Transition.
2a Steady-state..................... 135 85..................... 100
2b Transition....................... 20 85..................... Linear Transition.
3a Steady-state..................... 112 85..................... 10
3b Transition....................... 20 85..................... Linear Transition.
4a Steady-state..................... 337 85..................... 75
4b Transition....................... 20 85..................... Linear Transition.
5a Steady-state..................... 518 85..................... 25
5b Transition....................... 20 85..................... Linear Transition.
6a Steady-state..................... 494 85..................... 50
6b Transition....................... 20 Linear Transition...... Linear Transition.
7 Steady-state...................... 43 Warm Idle.............. 0
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\1\ Percent speed is percent of maximum test speed.
\2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
a linear progression from the torque setting of the current mode to the torque setting of the next mode.
\3\ Percent torque is percent of maximum test torque at the commanded test speed.
(4) During idle mode, hold the speed within your specifications, keep the throttle fully closed, and keep engine torque under 5 percent of the peak torque value at maximum test speed.
(5) For the full-load operating mode, operate the engine at wide-open throttle.
(6) See 40 CFR part 1065 for detailed specifications of tolerances and calculations.
(e) All other requirements and prohibitions of this part apply to these engines and vehicles.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40503, July 13, 2005]
§ 1051.620 When may a manufacturer obtain an exemption for competition recreational vehicles?
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(a) We may grant you an exemption from the standards and requirements of this part for a new recreational vehicle on the grounds that it is to be used solely for competition. The provisions of this part other than those in this section do not apply to recreational vehicles that we exempt for use solely for competition.
(b) We will exempt vehicles that we determine will be used solely for competition. The basis of our determinations are described in paragraphs (b)(1), (b)(2), and (c) of this section. Exemptions granted under this section are good for only one model year and you must request renewal for each subsequent model year. We will not approve your renewal request if we determine the vehicles will not be used solely for competition.
(1) Off-highway motorcycles. Motorcycles that are marketed and labeled as only for competitive use and that meet at least four of the criteria listed in paragraphs (b)(1)(i) through (vi) of this section are considered to be used solely for competition, except in cases where other information is available that indicates that they are not used solely for competition. The following features are indicative of motorcycles used solely for competition:
(i) The absence of a headlight or other lights.
(ii) The absence of a spark arrestor.
(iii) The absence of manufacturer warranty.
(iv) Suspension travel greater than 10 inches.
(v) Engine displacement greater than 50 cc.
(vi) The absence of a functional seat. (For example, a seat with less than 30 square inches of seating surface would generally not be considered a functional seat).
(2) Snowmobiles and ATVs. Snowmobiles and ATVs meeting all of the following criteria are considered to be used solely for competition, except in cases where other information is available that indicates that they are not used solely for competition:
(i) The vehicle or engine may not be displayed for sale in any public dealership.
(ii) Sale of the vehicle must be limited to professional racers or other qualified racers.
(iii) The vehicle must have performance characteristics that are substantially superior to noncompetitive models.
(c) Vehicles not meeting the applicable criteria listed in paragraph (b) of this section will be exempted only in cases where the manufacturer has clear and convincing evidence that the vehicles will be used solely for competition.
(d) You must permanently label vehicles exempted under this section to clearly indicate that they are to be used only for competition. Failure to properly label a vehicle will void the exemption for that vehicle.
(e) If we request it, you must provide us any information we need to determine whether the vehicles are used solely for competition.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005]
§ 1051.625 What special provisions apply to unique snowmobile designs for small-volume manufacturers?
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(a) If you are a small-volume manufacturer, we may permit you to produce up to 600 snowmobiles per year that are certified to less stringent emission standards than those in §1051.103, as long as you meet all the conditions and requirements in this section.
(b) To apply for alternate standards under this section, send the Designated Officer a written request. In your request, do two things:
(1) Show that the snowmobile has unique design, calibration, or operating characteristics that make it atypical and infeasible or highly impractical to meet the emission standards in §1051.103, considering technology, cost, and other factors.
(2) Identify the level of compliance you can achieve, including a description of available emission-control technologies and any constraints that may prevent more effective use of these technologies.
(c) You must give us other relevant information if we ask for it.
(d) An authorized representative of your company must sign the request and include the statement: “All the information in this request is true and accurate, to the best of my knowledge.”.
(e) Send your request for this extension at least nine months before the relevant deadline. If different deadlines apply to companies that are not small-volume manufacturers, do not send your request before the regulations in question apply to the other manufacturers.
(f) If we approve your request, we will set alternate standards for your qualifying snowmobiles. These standards will not be above 400 g/kW-hr for CO or 150 g/kW-hr for HC.
(g) You may produce these snowmobiles to meet the alternate standards we establish under this section as long as you continue to produce them at the same or lower emission levels.
(h) You may not include snowmobiles you produce under this section in any averaging, banking, or trading calculations under Subpart H of this part.
(i) You must meet all the requirements of this part, except as noted in this section.
§ 1051.630 What special provisions apply to unique snowmobile designs for all manufacturers?
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(a) We may permit you to produce up to 600 snowmobiles per year that are certified to the FELs listed in this section without new test data, as long as you meet all the conditions and requirements in this section.
(b) You may certify these snowmobiles with FELs of 560 g/kW-hr for CO and 270 g/kW-hr for HC (using the normal certification procedures).
(c) The emission levels described in this section are intended to represent worst-case emission levels. You may not certify snowmobiles under this section if good engineering judgment indicates that they have emission rates higher than these levels.
(d) Include snowmobiles you produce under this section in your averaging calculations under Subpart H of this part.
(e) You must meet all the requirements of this part, unless the regulations of this part specify otherwise.
§ 1051.635 What provisions apply to new manufacturers that are small businesses?
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(a) If you are a small business (as defined by the Small Business Administration) that manufactures recreational vehicles, but does not otherwise qualify for the small-volume manufacturer provisions of this part, you may ask us to designate you to be a small-volume manufacturer. You may do this whether you began manufacturing recreational vehicles before, during, or after 2002.
(b) We may set other reasonable conditions that are consistent with the intent of this section and the Act. For example, we may place sales limits on companies that we designate to be small-volume manufacturers under this section.
§ 1051.640 What special provisions apply for custom off-highway motorcycles that are similar to highway motorcycles?
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You may ask to exempt custom-designed off-highway motorcycles that are substantially similar to highway motorcycles under the display exemption provisions of 40 CFR 86.407–78(c). Motorcycles exempt under this provision are subject to the restrictions of 40 CFR 86.407–78(c) and are considered to be motor vehicles for the purposes of this part 1051.
[69 FR 2445, Jan. 15, 2004]
§ 1051.645 What special provisions apply to branded engines?
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The following provisions apply if you identify the name and trademark of another company instead of your own on your emission control information label, as provided by §1051.135(c)(2):
(a) You must have a contractual agreement with the other company that obligates that company to take the following steps:
(1) Meet the emission warranty requirements that apply under §1051.120. This may involve a separate agreement involving reimbursement of warranty-related expenses.
(2) Report all warranty-related information to the certificate holder.
(b) In your application for certification, identify the company whose trademark you will use and describe the arrangements you have made to meet your requirements under this section.
(c) You remain responsible for meeting all the requirements of this chapter, including warranty and defect-reporting provisions.
[70 FR 40504, July 13, 2005]
Subpart H—Averaging, Banking, and Trading for Certification
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§ 1051.701 General provisions.
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(a) You may average, bank, and trade emission credits for purposes of certification as described in this subpart to show compliance with the standards of this part. To do this you must certify your engines to Family Emission Limits (FELs) and show that your average emission levels are below the applicable standards in subpart B of this part, or that you have sufficient credits to offset a credit deficit for the model year (as calculated in §1051.720).
(b) The following averaging set restrictions apply:
(1) You may not average together engine families that are certified to different standards. You may, however, use banked credits that were generated relative to different standards, except as prohibited by paragraphs (b)(2) and (3) of this section, paragraph (e) of this section, or by other provisions in this part. For example, you may not average together within a model year off-highway motorcycles that are certified to the standards in §1051.105(a)(1) and §1051.105(a)(2); but you may use banked credits generated by off-highway motorcycles that are certified to the standards in §1051.105(a)(1) to show compliance with the standards in §1051.105(a)(2) in a later model year, and vice versa.
(2) There are separate averaging, banking, and trading programs for snowmobiles, ATVs, and off-highway motorcycles. You may not average or exchange banked or traded credits from engine families of one type of vehicle with those from engine families of another type of vehicle.
(3) You may not average or exchange banked or traded credits with other engine families if you use fundamentally different measurement procedures for the different engine families (for example, ATVs certified to chassis-based vs. engine-based standards). This paragraph (b)(3) does not restrict you from averaging together engine families that use test procedures that we determine provide equivalent emission results.
(4) You may not average or exchange banked or traded exhaust credits with evaporative credits, or vice versa.
(c) The definitions of Subpart I of this part apply to this subpart. The following definitions also apply:
(1) Actual emission credits means emission credits you have generated that we have verified by reviewing your final report.
(2) Average standard means a standard that allows you comply by averaging all your vehicles under this part. See subpart B of this part to determine which standards are average standards.
(3) Averaging set means a set of engines in which emission credits may be exchanged only with other engines in the same averaging set.
(4) Broker means any entity that facilitates a trade of emission credits between a buyer and seller.
(5) Buyer means the entity that receives emission credits as a result of a trade.
(6) Reserved emission credits means emission credits you have generated that we have not yet verified by reviewing your final report.
(7) Seller means the entity that provides emission credits during a trade.
(8) Trade means to exchange emission credits, either as a buyer or seller.
(d) In your application for certification, base your showing of compliance on projected production volumes for vehicles whose point of first retail sale is in the United States. As described in §1051.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual production volumes for vehicles whose point of first retail sale is in the United States. Do not include any of the following vehicles to calculate emission credits:
(1) Vehicles exempted under subpart G of this part or under 40 CFR part 1068.
(2) Exported vehicles.
(3) Vehicles not subject to the requirements of this part, such as those excluded under §1051.5.
(4) Vehicles for which the location of first retail sale is in a state that has applicable state emission regulations for that model year. However, this restriction does not apply if we determine that the state standards and requirements are equivalent to those of this part and that these vehicles sold in such a state will not generate credits under the state program. For example, you may not include vehicles certified for California if it has more stringent emission standards for these vehicles or those vehicles generate or use emission credits under the California program.
(5) Any other vehicles, where we indicate elsewhere in this part 1051 that they are not to be included in the calculations of this subpart.
(e) You may not use emission credits generated under this subpart to offset any emissions that exceed an FEL or standard, except as specified in §1051.225(f)(1). This applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing.
(f) Emission credits may be used in the model year they are generated or in future model years. Emission credits may not be used for past model years.
(g) You may increase or decrease an FEL during the model year by amending your application for certification under §1051.225.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40504, July 13, 2005]
§ 1051.705 How do I average emission levels?
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(a) As specified in subpart B of this part, certify each vehicle to an FEL, subject to the FEL caps in subpart B of this part.
(b) Calculate a preliminary average emission level according to §1051.720 for each averaging set using projected U.S.-directed production volumes from your application for certification, excluding vehicles described in §1051.701(d)(4).
(c) After the end of your model year, calculate a final average emission level according to §1051.720 for each type of recreational vehicle or engine you manufacture or import. Use actual U.S.-directed production volumes, excluding vehicles described in §1051.701(d)(4).
(d) If your preliminary average emission level is below the allowable average standard, see §1051.710 for information about generating and banking emission credits. These credits will be considered reserved until we verify them in reviewing the end-of-year report.
(e) If your average emission level is above the allowable average standard, you must obtain enough emission credits to offset the deficit by the due date for the final report required in §1051.730. The emission credits used to address the deficit may come from emission credits you have banked or from emission credits you obtain through trading.
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005]
§ 1051.710 How do I generate and bank emission credits?
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(a) Banking is the retention of emission credits by the manufacturer generating the emission credits for use in averaging or trading in future model years. You may use banked emission credits only within the averaging set in which they were generated.
(b) If your average emission level is below the average standard, you may calculate credits according to §1051.720. Credits you generate do not expire.
(c) You may generate credits if you are a certifying manufacturer.
(d) In your application for certification, designate any emission credits you intend to bank. These emission credits will be considered reserved credits. During the model year and before the due date for the final report, you may redesignate these emission credits for averaging or trading.
(e) You may use banked emission credits from the previous model year for averaging or trading before we verify them, but we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records.
(f) Reserved credits become actual emission credits only when we verify them in reviewing your final report.
[70 FR 40505, July 13, 2005]
§ 1051.715 How do I trade emission credits?
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(a) Trading is the exchange of emission credits between manufacturers. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits may be used only within the averaging set in which they were generated.
(b) You may trade banked credits to any certifying manufacturer.
(c) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits.
(d) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See §1051.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer having a negative balance of emission credits. See §1051.745.
[70 FR 40505, July 13, 2005]
§ 1051.720 How do I calculate my average emission level or emission credits?
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(a) Calculate your average emission level for each type of recreational vehicle or engine for each model year according to the following equation and round it to the nearest tenth of a g/km or g/kW-hr. Use consistent units throughout the calculation.
(1) For exhaust emissions:
(i) Calculate the average emission level as:
Where:
FELi = The FEL to which the engine family is certified.
ULi = The useful life of the engine family.
Productioni = The number of vehicles in the engine family.
(ii) Use U.S.-directed production projections for initial certification, and actual U.S.-directed production volumes to determine compliance at the end of the model year.
(2) For vehicles that have standards expressed as g/kW-hr and a useful life in kilometers, convert the useful life to kW-hr based on the maximum power output observed over the emission test and an assumed vehicle speed of 30 km/hr as follows: UL (kW-hr) = UL (km) × Maximum Test Power (kW) 30 ÷ km/hr. (Note: It is not necessary to include a load factor, since credit exchange is not allowed between vehicles certified to g/kW-hr standards and vehicles certified to g/km standards.)
(3) For evaporative emission standards expressed as g/m 2 /day, use the useful life value in years multiplied by 365.24 and calculate the average emission level as:
Where:
FEL i = The FEL to which the engine family is certified, as described in paragraph (a)(4) of this section.
Production i = The number of vehicles in the engine family times the average internal surface area of the vehicles' fuel tanks.
(4) Determine the FEL for calculating credits under paragraph (a)(3) of this section using any of the following values:
(i) The FEL to which the tank is certified, as long as the FEL is at or below 3.0 g/m 2 /day.
(ii) 10.4 g/m 2 /day. However, if you use this value to establish the FEL for any of your tanks, you must use this value to establish the FEL for every tank not covered by paragraph (a)(4)(i) of this section.
(iii) The measured permeation rate of the tank or the measured permeation rate of a thinner-walled tank of the same material. However, if you use this approach to establish the FEL for any of your tanks, you must establish an FEL based on emission measurements for every tank not covered by paragraph (a)(4)(i) of this section.
(b) If your average emission level is below the average standard, calculate credits available for banking according to the following equation and round them to the nearest tenth of a gram:
(c) If your average emission level is above the average standard, calculate your preliminary credit deficit according to the following equation, rounding to the nearest tenth of a gram:
[67 FR 68347, Nov. 8, 2002, as amended at 70 FR 40505, July 13, 2005]
§ 1051.725 What must I include in my applications for certification?
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(a) You must declare in your applications for certification your intent to use the provisions of this subpart. You must also declare the FELs you select for each engine family. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs must be expressed to the same number of decimal places as the applicable standards.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year. This means that if you believe that your average emission level will be above the standard (i.e., that you will have a deficit for the model year), you must have banked credits (or project to have received traded credits) to offset the deficit.
(2) Detailed calculations of projected emission credits (positive or negative) based on projected production volumes. If you will generate positive emission credits, state specifically where the emission credits will be applied (for example, whether they will be traded or reserved for banking). If you have projected negative emission credits, state the source of positive emission credits to offset the negative emission credits. Describe whether the emission credits are actual or reserved and whether they will come from banking, trading, or a combination of these. If you intend to rely on trading, identify from which manufacturer the emission credits will come.
[70 FR 40506, July 13, 2005]
§ 1051.730 What ABT reports must I send to EPA?
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(a) If any of your engine families are certified using the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year. We may waive the requirement to send the end-of year report, as long as you send the final report on time.
(b) Your end-of-year and final reports must include the following information for each engine family:
(1) Engine-family designation.
(2) The emission standards that would otherwise apply to the engine family.
(3) The FEL for each pollutant. If you changed an FEL during the model year, identify each FEL you used and calculate the positive or negative emission credits under each FEL. Also, describe how the applicable FEL can be identified for each vehicle you produced. For example, you might keep a list of vehicle identification numbers that correspond with certain FEL values.
(4) The projected and actual production volumes for the model year with a point of retail sale in the United States. If you changed an FEL during the model year, identify the actual production volume associated with each FEL.
(5) For vehicles that have standards expressed as g/kW-hr, maximum engine power for each vehicle configuration, and the sales-weighted average engine power for the engine family.
(6) Useful life.
(7) Calculated positive or negative emission credits. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section.
(c) Your end-of-year and final reports must include the following additional information:
(1) Show that your net balance of emission credits in each averaging set in the applicable model year is not negative.
(2) State whether you will reserve any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows:
(1) As the seller, you must include the following information in your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The engine families that generated emission credits for the trade, including the number of emission credits from each family.
(2) As the buyer, you must include the following information in your report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply to each engine family (if known).
(e) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justificationfor a waiver. (continued)