Certification Guidance For Engines Regulated Under: 40 CFR .
United StatesEnvironmental ProtectionAgencyAir and RadiationEPA420-B-98-002March 1999Certification Guidance forEngines Regulated Under:40 CFR Part 86 (On-HighwayHeavy-Duty Engines) and40 CFR Part 89 (NonroadCI Engines)Printed on Recycled Paper
EPA420-B-98-002March 1999CERTIFICATION GUIDANCE FORENGINES REGULATED UNDER:40 CFR Part 86On-Highway Heavy-Duty Enginesand40 CFR Part 89Nonroad CI EnginesEngine Compliance Programs GroupOffice of Transportation and Air QualityU.S. Environmental Protection Agency
Parts of this information collection related to Nonroad CI has been approved by OMB (ControlNumbers 2060-0011.09, 0095.10, 0282.10, 1684.04,1695.03, and 1826.01). 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. 2060-0104).The annual public reporting and recordkeeping burden is estimated to average 1,240.5 hours perrespondent for the on-highway certification program, 333 hours per respondent for the onhighway AB&T program; 515.8 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, U.S. Environmental Protection Agency, OPPERegulatory Information Division (2137), 401 M Street, SW, Washington, DC 20460; and Officeof Information and Regulatory Affairs, Office of Management and Budget,Attention:Desk Officer for EPA 725 17th Street, NW, Washington, DC 20503.This 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).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 II.T. and II.U.ii
Table of ContentsPreface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . viI.II.Overview of the Certification Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1A.Timing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1B.Initiating Certification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1C.EPA Review Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3D.The Certificate . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4EPA Guidance on Specific Topics . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5A.Engine Family Name . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5B.Confidential Business Information . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5C.Audits of Manufacturer Records or Facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6D.Carryover . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6E.Test Fuel for Nonroad Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7F.Test Fuel for On Highway Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7G.Special and Alternative Test Procedures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8H.Special Power Features . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8I.Modification by Equipment Manufacturers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8J.Useful life . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9K.Amending an Application (Running Changes) . . . . . . . . . . . . . . . . . . . . . . . . . . . 9L.Certification Fees . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11M.Adjustable Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11N.Evaporative Emission Family Description . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11iii
O.Averaging, Banking and Trading . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12P.Production Part Numbers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15Q.Phase-in of Standards for 37 kW Nonroad Engines . . . . . . . . . . . . . . . . . . . . . 15R.Developing Deterioration Factors for 37 kw Nonroad Engines . . . . . . . . . . . . 16S.Maintenance Intervals for Nonroad Engines . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19T.Flexibility for Nonroad Equipment Manufacturers . . . . . . . . . . . . . . . . . . . . . . . 19U.Flexibility for Post Manufacture Marinizers . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20V.Voluntary Low-Emitting Nonroad Engine Program . . . . . . . . . . . . . . . . . . . . . . 20III.Common Application (EPA and CARB for Heavy Duty) . . . . . . . . . . . . . . . . . . . . . . . . 21IV.Labeling . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21V. Additional Requirements for California ARB only . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21Appendix A - EPA Application FormatA2.General InstructionsA7.Sample Statement of Compliance for NonroadA8.Sample Statement of Compliance for On HighwayA9.Sample Statement of Compliance for On Highway Evaporative EmissionCertificationA10. Instructions for the Engine Family Information FormA14. Instructions for the Engine Test Information FormA20. Engine Model SummaryA21. Engine Model Part Number SummaryA21. Technical DescriptionA26. Sample Diskette Label FormatAppendix B - Confidential Business Information for Certification ApplicationAppendix C - Certificate of ConformityC2.Sample Nonroad Certificate of Conformity without Banking & TradingC3.Sample Nonroad Certificate of Conformity with Banking & TradingC4.Sample On Highway Certificate of Conformity without Banking & TradingC5.Sample On Highway Certificate of Conformity with Banking & TradingAppendix D - EPA Standard Engine and Evaporative Family Namesiv
Appendix E - EPA Evaporative Section (For On Highway Vehicle Certification Only)E2.Engine Evaporative Information Form and InstructionsE4.Sample Evaporative Statement of ComplianceE5.Sample 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)v
PREFACEUnder the authority of the Clean Air Act and Federal regulations, manufacturersregulated under these parts must submit applications to obtain a certificate of conformity to EPA.This document describes suggested procedures and formats for compiling such applications.This guidance is applicable to engines regulated by the Code of Federal Regulations, Title 40,Parts 86 and 891 (40 CFR 86 and 40 CFR 89) and in NO WAY supersedes either Part. Examplesof engines 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 37kilowatts are regulated under 40 CFR Part 91 and are not included in this guidance.Manufacturers should get copies of the applicable regulations. 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 371954Pittsburgh, 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(http://www.epa.gov/fedrgstr/EPA-AIR, or http://www.epa.gov/oms/equip-hd.htm.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. In1Engines 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.2Please 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.vi
conjunction 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 EPAInformation Management System database template and the FileMaker Pro 4.0 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 time.EPA 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. Copies of old guidance are available upon request from EPA andare also available at Office of Mobile Sources Internet home page(http://www.epa.gov/OMSWWW).This document has been prepared with input from CARB, EMA, AAMA, and otherconcerned manufacturers.vii
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES40 CFR PART 86 AND PART 89I.A.Overview of the Certification ProcessTiming1.When 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. 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.B.Initiating Certification1.Obtaining 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 certify.2.EPA Contact (One Time Only):EPA will assign a primary EPA contact person for each manufacturer.Information for the EPA primary contact person may be mailed to (express mailsent to this address will be return to the sender):Tom StrickerOn Highway and Nonroad CI Team LeaderEngine Compliance Programs GroupU.S. Environmental Protection AgencyHeadquarters, Mail Code 6403-JWashington, DC 20460Phone: 202-564-9322FAX: 202-564-2057MARCH 4, 1999-1
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES40 CFR PART 86 AND PART 89For Express Mail Deliveries Only (regular mail delivered to this address will bereturned to sender) and for office visits:Tom StrickerOn Highway and Nonroad CI Team LeaderEngine Compliance Programs GroupU.S. Environmental Protection Agency501 3rd St NW, Mail Code 6403-JWashington DC 200013.Manufacturer ContactsEach manufacturer designates one or two people who are authorized todiscuss certification matters with EPA personnel. This information is submittedas part of the application. Manufacturers who have not previously certifiednonroad ci or on-highway engines should inform EPA of designated certificationcontacts prior to application for certification.4.Certification Preview (Once Every Model Year):A manufacturer wishing to certify engines should provide EPA with apreview of its plans for that model year. The plan should include an estimate ofthe number of engine families to be certified that model year, whether any specialtesting procedures are anticipated, and any other unusual or special features whichmay impact certification. The Certification Preview is the best time to notifyEPA of any issues where advance Administrator approval may be needed. Failureto obtain needed EPA approvals in a timely manner may result in delays orpotential noncertification. Suggested preview topics are contained in AppendixG. It is suggested that the first time a manufacturer certifies that this meetingoccur at EPA’s offices in Washington, D.C. After that, the preview topics may beaddressed in a letter.5.Application for Certification (Every Model Year, Every Engine Family):Manufacturers must apply for certification on an annual basis. While aproduction period greater than one year is permitted, a manufacturer may not usethe production period definition to skip certification of a model year. Aproduction period may include only the January 1 of the calendar year for whichthe model year is named, ends no later than December 31 of the calender year forwhich the model year is named, and does not begin sooner that January 2 of theMARCH 4, 1999-2
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES40 CFR PART 86 AND PART 89previous calendar year. (See section I(A) above for when to submit anapplication.) To expedite EPA review of the application for certification, it isrequested that the information be submitted using a consistent format. Thisformat can be found in Appendix A. Directions for completing the applicationare also found in Appendix A. The following elements comprise a complete EPAapplication: Signed Statement of Compliance (the signed original must be submitted)Engine Family Information FormEngine Test Information FormEngine Model Summary FormEngine Part Number Summary FormTechnical Description3Manufacturers requesting a certificate of conformity for evaporativeengine families are only required to submit the Statement of Compliance and anEvaporative Engine Form (EEF).C. EPA Review Process1.The ProcessUpon receipt of a complete application, the assigned EPA representativewill make every effort to review it within 30 days. (The first few applicationsmay take longer as the process is “debugged”). When a review may be delayeddue to unforeseen circumstances, the reviewer will contact you. The reviewerwill call you with any questions arising from the review. If the reviewer cannotreach you by telephone in a reasonable amount of time, the question will besubmitted in writing. While the reviewer may accommodate an occasionalrequest to expedite a review, he/she is under no obligation to do so. Chronicrequests for expedited review cannot be honored. Manufacturers shouldanticipate and allow at least 30 days for EPA review in theirproduction/manufacturing plans. Additionally, if EPA decides to conductconfirmatory testing, certification may be delayed.3Submitted the first year you apply using the new format, and then once every 5 years or when a change occurs orwhen certifying an engine with new technology.MARCH 4, 1999-3
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES40 CFR PART 86 AND PART 892.EPA Confirmatory Testing:EPA plans to conduct confirmatory testing of engines in the near future.While reviewing the application, EPA will determine whether it chooses toperform confirmatory testing. Manufacturers should plan to keep the emissiondata engine in its certification test configuration until EPA issues the Certificate.Should EPA request to perform such testing, adequate advance notice will begiven to allow time for shipping, etc.D. The Certificate of ConformityOnce the review is completed and all questions are answered to the satisfaction ofthe reviewer, a certificate of conformity will be issued. (Sample is in Appendix C).Certificate language will vary depending on the certification type. Families certifiedunder Averaging, Banking and Trading require special certificate language. The“Effective Date” is the date that manufacturers may start to introduce engines intocommerce. If the certificate was issued unusually early, the effective date may beJanuary 2 of the year prior to the model year. Otherwise, the effective date is usually thedate that the certificate was signed.The Certificate is signed by the Administrator or a designated authority; currently,it is the Director of the Vehicle Programs and Compliance Division. A certificate is notauthentic without this signature.The signed certificate is copied for internal use, and the original will be sent to theaddress provided in the application for certification for that engine family. It is veryimportant that this address is kept current – notify your EPA Representative ifthere is an address change.II.EPA Guidance on Specific TopicsA. Engine Family Name1.Naming ConventionEPA has developed a standard engine family naming convention which isrequired for inputting data. (The official format can be found in Appendix D).MARCH 4, 1999-4
CERTIFICATION GUIDANCE FOR HEAVY DUTY ON-HIGHWAY AND NONROAD CI ENGINES40 CFR PART 86 AND PART 89This name will appear on the certificate, and must also be on the engine label.Although many manufacturers may have separate naming conventions, the EPAengine family name must
Engines regulated by 40 CFR Part 86 typically include engines used in on-highway applications such as heavy-duty gasoline 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 .
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