CERTIFICATION GUIDANCE FOR ENGINES REGULATED …

1 Environmental EPA 420-B-98-002 Protection Agency March 1999 engine Compliance Programs Group Mail Code 6403J Washington DC 20460 CERTIFICATION GUIDANCE FOR ENGINES REGULATED UNDER:40 CFR PART 86 On-Highway Heavy Duty EnginesAND40 CFR PART 89 Nonroad CI EnginesiiParts of this information collection related to Nonroad CI has been approved by OMB (ControlNumbers , , , , , and ). Public reportingburden for this collection of information is estimated to average 800 hours per engine . Parts ofthis information collection related to on highway ENGINES and nonroad compression-ignitedengines above 37 kW are currently under review by OMB (Former Control No.)

2 2060-0104). Theannual public reporting and recordkeeping burden is estimated to average 1, hours perrespondent for the on-highway CERTIFICATION program, 333 hours per respondent for the on-highway AB&T program; hours per respondent for the nonroad CERTIFICATION program, and460 hours per respondent for the nonroad AB&T program. This includes the time needed forreviewing instruction, searching existing data sources, gathering and maintaining the dataneeded, and completing and reviewing the collection of information. Send comments regardingthe burden estimate or any other aspect of this collection of information, including suggestionsfor reducing this burden, to Ms. Sandy Farmer, Environmental Protection Agency, OPPER egulatory Information Division (2137), 401 M Street, SW, Washington, DC 20460; and Officeof Information and Regulatory Affairs, Office of Management and Budget,Attention: DeskOfficer for EPA 725 17th Street, NW, Washington, DC document serves as the Small Entity Compliance Guide for the final rule, AControl ofEmission of Air Pollution from Nonroad Diesel ENGINES @ (63 FR 56968, October 23, 1998).

3 Prior to proposing this rule, EPA convened a Small Business Advocacy Review Panel under theRegulatory Flexibility Act to ensure that concerns of small businesses were adequatelyconsidered during the development of the rule. On June 10, 1997, the panel presented its reportto EPA, outlining flexibility provisions for small businesses subject to the rule andrecommending that EPA incorporate them in the rule. In response, EPA proposed and finalizedseveral provisions to ease the compliance burden of this rule for nonroad equipmentmanufacturers. The provisions are designed to be especially useful to equipment manufacturesthat are small and that face special obstacles to compliance due to their size. This guideaddresses these flexibility provisions in Sections and of Overview of the CERTIFICATION Review EPA GUIDANCE on Specific Family Business Audits of Manufacturer Records or Fuel for Nonroad Fuel for On Highway and Alternative Test Power by Equipment an Application (Running Changes).

4 Emission Family , Banking and Part of Standards for <37 kW Nonroad Deterioration Factors for <37 kw Nonroad Intervals for Nonroad for Nonroad Equipment for Post Manufacture Low-Emitting Nonroad engine Application (EPA and CARB for Heavy Duty).. Additional Requirements for California ARB A - EPA Application Format Statement of Compliance for Statement of Compliance for On Statement of Compliance for On Highway Evaporative for the engine Family Information for the engine Test Information Model Model Part Number Diskette Label FormatAppendix B - Confidential Business Information for CERTIFICATION ApplicationAppendix C - Certificate of Conformity Nonroad Certificate of Conformity without Banking & Nonroad Certificate of Conformity with Banking & On Highway Certificate of Conformity without Banking & On Highway Certificate of Conformity with Banking & TradingAppendix D - EPA Standard engine and Evaporative Family NamesvAppendix E - EPA Evaporative Section (For On Highway Vehicle CERTIFICATION Only)

5 Evaporative Information Form and Evaporative Statement of On Highway Evaporative CertificateAppendix F - EPA Motor Vehicle and engine Compliance Program (MVECP) Fees ProgramAppendix G - CERTIFICATION Preview TopicsAppendix H - Executive Order Information (CARB only application)1 ENGINES REGULATED by 40 CFR Part 86 typically include ENGINES used in on-highway applications such as heavy-dutygasoline fueled ENGINES (HDGEs), heavy-duty diesel fueled ENGINES (HDDEs), and heavy-duty ENGINES using alternate fuels(CNG, LPG and LNG). ENGINES REGULATED by 40 CFR Part 89 include compression-ignition ENGINES used in nonroad vehicles. This GUIDANCE also applies to evaporative emission CERTIFICATION required by 40 CFR Part 86 for vehicles employing Heavy DutyEngines. 2 Please contact Mr. David Good at EPA, National Vehicle and Fuel Emission Laboratory, 2565 Plymouth Road, AnnArbor, MI 48105, if you want to certify either (1) an Otto cycle heavy-duty engine using the chassis test, or, (2) an evaporativesystem installed on a vehicle which was certified using the chassis test and is equipped with a heavy-duty engine .

6 Vi PREFACEU nder the authority of the Clean Air Act and Federal regulations, manufacturers regulatedunder these parts must submit applications to obtain a certificate of conformity to EPA. Thisdocument describes suggested procedures and formats for compiling such applications. Thisguidance is applicable to ENGINES REGULATED by the Code of Federal Regulations, Title 40, Parts 86and 891 (40 CFR 86 and 40 CFR 89) and in NO WAY supersedes either Part. Examples ofengines covered under this document (jointly referred to as Nonroad ENGINES ) are heavy dutydiesel-cycle and gasoline-cycle ENGINES for on-highway use, and nonroad compression ignitionengines. This GUIDANCE also covers evaporative CERTIFICATION for vehicles containing engineswhich were certified under heavy duty engine protocol2. Marine ENGINES at or above 37 kilowattsare REGULATED under 40 CFR Part 91 and are not included in this should get copies of the applicable regulations.

7 There are definitions,procedures and recordkeeping requirements, among others, associated with the certificationprocess that are not fully addressed in this GUIDANCE but with which manufacturers must comply. Copies of 40 CFR Parts 86 and 89 can be obtained by (1) writing to:Superintendent of DocumentsAttention: New OrdersPO Box 371954 Pittsburgh, PA 15250-7954,(2) calling the Government Printing Office Order Desk at (202) 512-1800 (a charge isapplicable), or, (3) downloading them from EPA s Homepage( , or This GUIDANCE describes the information that will be generally required by EPA in anapplication, but this in no way suggests that EPA will not require additional information, testingor the provision of ENGINES for EPA confirmatory testing prior to issuance of a certificate ofconformity. Although the information regularly submitted to EPA is reduced, manufacturers arereminded that information described in applicable regulations must still be retained at themanufacturer s facility and be made available on a timely basis upon request by EPA.)

8 Inviiconjunction with adopting this application format EPA may conduct periodic enhanced reviewsto verify that manufacturers are following regulatory procedures and may at those times ask foradditional information. Manufacturers may submit applications by e-mail or on diskette using the EPAI nformation Management System database template and the FileMaker Pro applicationsoftware. The database template is available upon request from EPA. Although EPA encourageselectronic application, manufacturers may submit their applications on paper. Be advised thatpaper submittals will require a longer processing has historically provided periodic GUIDANCE to manufacturers in the form of DearManufacturer letters and Advisory Circulars (A/Cs). EPA will continue this practice and willmail applicable new GUIDANCE to manufacturers at the address of the primary contact listed in theapplication for CERTIFICATION .

9 Copies of old GUIDANCE are available upon request from EPA andare also available at Office of Mobile Sources Internet home page( ). This document has been prepared with input from CARB, EMA, AAMA, and otherconcerned GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES40 CFR PART 86 AND PART 89 MARCH 4, 1999 of the CERTIFICATION Process to submit request for certificationCertification is required on a model year basis. EPA asks thatcertification applications be submitted no earlier than one year prior to the start ofproduction. For example, for the 2001 model year, CERTIFICATION could be effectiveas early as January 2, 2000. Therefore, EPA would accept applications for 2001model year CERTIFICATION in January 1999.

10 Bear in mind that the certificate doesnot become effective until the effective date shown on it. Due to resourcelimitations, priority will be given to earlier model year applications alreadyreceived. Manufacturer Status (One Time Only):Before doing anything, notify EPA in writing of your intent tomanufacture ENGINES covered by these regulations. If you have not previouslyworked with EPA, EPA will assign you a manufacturer code. If your companyalready has a code assigned but has never certified, for example, nonroad ENGINES ,you should notify EPA to amend your current status to include nonroad ENGINES . Your manufacturer code will not change. Obtaining manufacturer status does notobligate you to Contact (One Time Only):EPA will assign a primary EPA contact person for each manufacturer.