EPA420-B-97-004
U.S. EPA MARINE ENGINE
CERTIFICATION GUIDANCE
April 1997
Engine Compliance Programs Group
U.S. Environmental Protection Agency
Mail Code 6403J
Washington DC 20460
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Table of Contents
Pre-application I
A. Obtaining a Manufacturer Code I
B. Contact Persons I
C. Model Year Preview 2
Application 2
Confidential Business Information 3
EPA Review of Application 3
Certificate of Conformity 4
Amending an Application 4
Engine Family Name Carryover 5
Data Carryover 5
Labeling 6
Certification Fuel 6
Special and Alternative Test Procedures 6
Existing Technology FEL Calculations When Testing Postponed 6
Adjustable Parameters 7
XIV. FEL Changes 7
Appendix A - EPA Marine Engine Certification Application Form and Instructions for Completing Application
Form
Appendix B - Sample Statement of Compliance
Appendix C - EPA Standardized Engine Family Naming Convention
Appendix D - Confidential Business Information in the Certification Application
Appendix E- Sample Marine Engine Certificates of Conformity
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Introduction
This document provides guidance for preparing, submitting, and revising certification
applications for new Marine Spark gnition engines. The regulations that govern these engines are
found at 40 CFR 91.
Pre-application
A. Obtaining a Manufacturer Code : (one time only)
EPA requests that engine manufacturers notify EPA if they intend to manufacture marine
engines that will require EPA certification. Such notification does not obligate a manufacturer to certify
engines.
If a manufacturer has not previously certified mobile source engines or vehicles with EPA, EPA
will assign a manufacturer code, consisting of three letters or a combination of letter(s) and number(s),
that will be a permanent code included in the manufacturer's engine family designations.
Manufacturers who already have codes assigned from other EPA mobile source programs
must still notify EPA to change their status to include marine engines.
B. Contact Persons
The manufacturer should assign a primary contact person to work with EPA. All calls and
mailings, including the certificate of conformity, will be directed to the manufacturer's primary contact
unless otherwise directed by the manufacturer. EPA prefers the manufacturer's primary contact be in
the United States.
EPA will assign a primary EPA contact person for each manufacturer. Information for the EPA
primary contact person may be mailed to (note: express mail to this address will be returned to
sender):
Anne Fredo
Certification Team Leader
Engine Compliance Programs Group
U.S. Environmental Protection Agency
40 M Street, S.W., Mail Code 6403-J
Washington, DC 20460
Phone: 202-233-9263
FAX: 202-233-9596
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For Express Mail Deliveries and Office Visits Only (regular U.S. mail delivered to this address will be
returned to sender):
U.S. Environmental Protection Agency
50 3rdStNW
Washington, DC 20001
Att: Anne Fredo
C. Model Year Preview
EPA requests that each manufacturer provide a preview of its certification plans each model
year. The preview should include an estimate of the number of engine families to be certified, when
production is planned to begin, and any unusual or special circumstances that may impact certification.
A written submission in lieu of a meeting is acceptable.
The model year preview is the best time to notify EPA of any advance approvals that may be
needed for variations from the regulations in test procedure, equipment or facilities. Failure to request
advance approval in a timely manner is likely to result in a delay in certificate issuance, as discussed in
Section IV of this guidance document.
II. Application
A manufacturer can apply for a certificate of conformity by following the steps listed below:
The EPA application for a certificate of conformity consists of two parts: I) a completed
marine engine certification application form and 2) a signed statement of compliance with federal
regulations. Samples of the application form and instructions are included in Appendix A. A sample
statement of compliance is included in Appendix B. Upon completion, the application should be sent
to the EPA certification team leader. Paper copies and electronic versions are equally acceptable,
currently only paper forms are available (the electronic forms will be handed out at the Marine Engine
Certification Application Workshop). Applications submitted electronically will undergo an expedited
review process since the data entry step is eliminated.
EPA will be using the standardized engine family naming convention which is described in this
document in Appendix C. The engine family name will appear on the engine information label and in
the certificate of conformity. The engine family name should be used in all correspondence to EPA
concerning that family. EPA requires that engines be certified annually and that the engine family name
be changed every year regardless of carryover status.
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Subpart B of 40 CFR 91 lists certification-related information that is required to be maintained
by the manufacturer.
III. Confidential Business Information (CBI)
Please note that the manufacturer must clearly indicate any information included in the
application that it wishes to claim as confidential and the time period for which confidentiality is to be
maintained. The manufacturer should identify the specific answers that it claims as confidential by
listing these answers (by question number) in the cover letter to the application or/and by stamping or
marking the answers as confidential. If the manufacturer wishes this information to remain confidential
until the engine family is introduced into commerce, the manufacturer must specifically make such a
request, and must provide the anticipated introduction date. Examples of language for such a request
are included in Appendix B. For paper submissions, EPA requests that the manufacturer submit an
additional copy of its application in which all information claimed as confidential has been deleted.
Please refer to Appendix D for more information on CBI. For electronic applications please refer to
instructions in Appendix A describing how to designate responses as CBI.
IV. EPA Review of Application
EPA will make every effort to review an application within 30 calendar days of receipt of a
completed application. As part of the review, EPA will determine whether to request additional
information (audit) and/or to perform confirmatory testing. Manufacturers should plan to keep the test
engine in its certification configuration until the end of production.
If a review is delayed due to unforeseen circumstances, the EPA primary contact will call the
manufacturer's primary contact. The EPA primary contact will also call with any questions that arise
during application review. If the EPA primary contact cannot reach the manufacturer's primary contact
by telephone within a reasonable amount of time, the question will be submitted in writing.
V. Certificate of Conformity
A certificate of conformity will be issued for an engine family once EPA determines that the
regulatory requirements are met. A sample certificate is included in Appendix E. The effective date
listed on the certificate is the date that engines covered by the certificate can be introduced into
commerce. The certificate ceases to be valid at the end of the production period or December 31 of
the calendar year for which the model year is named, whichever date is sooner. In most cases, the
effective date of the certificate will be the date that the certificate is signed (the issue date). However,
in cases in which a manufacturer requests unusually early certification, the effective date would be
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January 2 of the first calendar year in which the engine family can be introduced into commerce. For
example, if a certificate for the 999 Model Year is issued on October 31,1997, the effective date of
the certificate would be January 2, 998 at the earliest.
The certificate of conformity is signed by the Director of the Engine Programs and Compliance
Division who is delegated with signature authority by the EPA Administrator. A certificate is not valid
without this signature. The original signed certificate will be sent to the manufacturer's primary contact
at the address provided by the manufacturer in the application for that engine family.
VI. Amending an Application
After the application has been submitted, the manufacturer may need to amend it. EPA
requires a submission of amendments in order to have documentation that production engines are
built in accordance with the certificate and to monitor potential changes in emissions from production
engines. Amendments which must be reported are those which involve a product line change that
may have an effect on emissions and/or those which change information reported in the application.
As described at 40 CFR 9 . 22, manufacturers may report amendments to an application either in
advance or concurrently with making a change in production.
A manufacturer need only submit a brief description and revised application pages if an
amendment merely corrects an error or omission in an application or changes a part number and
does not involve a change which may affect emissions.
If the running change is expected to increase emissions or would change the test engine
selection, the manufacturer is required to either submit test data showing compliance after
incorporating the running change, or to submit an engineering evaluation as to why engines will
remain in compliance with all applicable standards and regulations. If the change is not expected to
increase emissions, the manufacturer should submit the reason for that conclusion. EPA may require
the manufacturer to perform tests on an engine representing the engine to be changed or added.
Changes that may affect the durability of the emission control system, including but not limited
to changes that may affect catalyst durability, must also be reported. EPA considers emission-related
running changes to be amendments which add an engine model, potentially affect emissions or
durability, or affect emission-related components.
Many on-highway applicants have followed a practice of identifying successive amendments
with a number which includes the family designation and model year of the engines being affected.
(For example, the number of the first running change in the 998 model year for family
WXYXM00621AI might be 98-00621AI -01.) This practice has proven to be quite useful and is
highly recommended. Running changes which result in changes or additions to information in the
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original application should be submitted using the same format as for application, but with the
unaltered information left blank.
The concurrent notification procedure described at 40 CFR 91. 22 (e) is similar to the
optional notification procedure used by on-highway manufacturers. While this procedure does not
eliminate EPA review, it does allow manufacturers to make changes without prior EPA review.
However, if EPA determines that affected engines do not meet applicable requirements, EPA will
notify the manufacturer that the running change is disapproved and to cease production of the affected
engines. See instructions in Appendix A for submitting an electronic copy of a running change.
Engine Family Name Carryover
To reflect its statutory obligation to issue annual certificates of conformity, and to be consistent
with other EPA mobile source certification programs, EPA will be granting certificates for each model
year using engine family names that identify that unique model year. These family names should be
provided in the manufacturers' applications for certification. It is EPAs preference that these engine
family names be updated on engine labels each year. However, EPA will allow the carryover of the
original (old) engine family name on engine labels from for carryover families.
VIII. Data Carryover
Under 40 CFR 9 .1 8(c), the engine manufacturer may request to use test data from a
previous EPA model year to represent a new EPA model year. To obtain EPA approval for this
carryover status, any differences between the previous and new model year engines must be shown
not to cause the engine family to exceed the emission standards. If a running change results in a new
worst case engine, then the data reported in the carryover application must reflect the new worst case
configuration.
IX. Labeling
All certified engines must be labeled with an Emission Control Information Label. The
Emission Control Information Label contents can be found under 40 CFR 9 . 13(c). For both new
and existing technology engines, the label must contain all information listed in the regulations with the
exception of information listed under 91.1 3(c)(3), (4), and (5) which may appear in the owners
manual instead if there is insufficient room on the label. Also for new and existing technology engines,
the date of manufacture may be put on the Emission Control Information Label, be stamped on the
engine or put on a supplemental label next to the Emission Control Information Label. For existing
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technology engines only, information listed under 9 .1 3(c)( 0), (I ), ( 3), and (14) may be placed in
the owner's manual instead of on the Emission Control Information Label.
X. Certification Fuel
Manufacturers have three options for choice of certification fuel for this rule. The options are
described at 40 CFR 9 .308(b). The first option is average in-use gasoline (e.g., Clean Air Act
Baseline), specified at 40 CFR Part 9 , Subpart D, Appendix A, Table 3 (for the octane specification
substitute, 86.1 3-94). The second option is federal certification fuel (e.g., Indolene), specified at 40
CFR 86.13 13-94(a), Table N94- . Note that manufacturers may request approval by the
Administrator of fuels with substantially equivalent specifications to these two options. Third,
manufacturers may use other fuels as described at 40 CFR 91.308(d).
XI. Special and Alternate Test Procedures
Regulations specify that special and alternate test procedures be approved by EPA. Special or
alternate test procedures may include the use of alternate fuels, test cycles which differ from those
described in the regulations, or any other deviation in test procedure. Manufacturers should propose
special and alternate test procedures during the certification preview, i.e. prior to testing, as described
above. The next step following clarification and an initial indication of approval from EPA is to submit a
written request for the special and alternate procedures. If EPA approves, an approval letter will be
sent to the manufacturer. When the manufacturer submits an application for an engine family which
was tested using special or alternate procedures, a description of the procedures must be included in
the statement of compliance. The description should identify the engine families for which the
procedure applies, include a brief explanation of the procedure(s) and provide adequate reference to
more detailed documentation on the procedure and indication of EPA approval.
Manufacturers may elect to use an alternative test procedure provided it yields results equal to
the results from the specified test procedure, its use is approved by EPA prior to testing, and the basis
for equivalent results is fully described in the manufacturer's application (see 40 CFR 91.1 9(b)( )).
EPA will work with manufacturers to assist them in making the required technical demonstrations to
show equivalency of the emission results.
Because EPA must monitor deviations from prescribed procedures, the certification format
specified in this document requires that manufacturers attest that the prescribed regulatory procedures
have been followed, or that the manufacturer must briefly describe any deviations from the prescribed
regulatory procedures in the statement of compliance section of the application.
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The requirements to seek EPA approval of special and alternate procedures and to report the
procedures in the compliance statement apply to each applicable engine family for each model year
regardless of carryover status.
XII. Existing Technology PEL Calculations When Testing Postponed
If postponing testing for existing technology marine engines, use one the following equations
to calculate a PEL:
If power is > 4.3kW, FEL(HC + NOx) = [151 +(557/P°'9)]+[2.0]gAW-hr
If power is •< 4.3 kW, PEL (HC + NOx) = 302.0
X I . Adjustable Parameters (Provisions apply to New Technology ONLY)
An adjustable parameter is any device, system, or element of design which is physically
capable of being adjusted (even if access is difficult) and which, if adjusted, may affect emissions
or engine performance during emission testing or normal in-use operation. Manufacturers are
not liable for emissions over the adjustable range if the adjustable parameter is permanently
sealed by the manufacturer or is otherwise not normally accessible using ordinary tools.
Unsealed adjustable parameters may be required to be adjusted to a/?/setting within the
adjustable range during certification, production line, selective enforcement audit, or in-use
testing.
If you intend to seal parameters to prevent adjustment, the methods of sealing must
provide both a physical and a visual deterrent to tampering. If parameters are adjustable, you
are responsible for assuring emission compliance within the full range of adjustability of those
parameters. You should report all adjustable parameters sealed or unsealed, in your
application. EPA may determine that a parameter which a manufacturer has sealed is not
adequately sealed to prevent tampering; in this case EPA will provide written notification to
you, and you must modify the seal within 2 years of the written notification, or you will be
responsible for emissions over the entire adjustable range of the parameter.
XIV. PEL Changes
A marine engine manufacturer may change the PEL retroactively either to the
beginning of production or to the commencement of a modification of the engine family. A
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modification of the engine family is defined as a running change which is either a physical
modification to an engine, a change in specification or setting, the addition of a new
configuration, or the use of a different deterioration factor. PEL changes are not allowed after
the end of production. A new certificate must be issued to reflect the new PEL . The effective
date of the certificate will be the date the PEL change was implemented. The engine emission
information label should be changed to reflect the new PEL. However, engines affected by the
PEL change which have already been produced do not have to be relabelled with the new
PEL.
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APPENDIX A
EPA Marine Engine Certification Application Form
Instructions for Completing Application Form
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INSTRUCTIONS FOR COMPLETING
EPA MARINE ENGINE CERTIFICATION
APPLICATION FORM
Instructions are included in this appendix to aid manufacturers in filling out the certification
application form. This application should only be submitted ONCE ALL TESTING AND OTHER
CERTIFICATION ISSUES HAVE BEEN RESOLVED. These instructions are also available as an on-line
help system on the Filemaker Pro version of the marine certification application form.
The following forms comprise the Marine Engine Certification Application Form: the
Statement of Compliance, the Marine Engine Family Information Form, the Marine Engine Test
Information Form, the Marine Engine Model Summary Form, the Marine Engine Part Number
Summary Form, and the Marine Engine ABT Form.
The engine manufacturer completes these forms, which describe the engine family. The
layout of the form is set up to assist the EPA with data input into an electronic data base. Please be
sure to include units, or in cases where units are present on the forms, verify the validity of the preset
units. EPA asks that the units on the forms match the standards in the regulation. Manufacturers may
submit applications either electronically or on paper. EPA will most likely be able to expedite reviews
for electronic applications since the data entry step is eliminated.
The electronic version will employ some "pull-down" menus for some questions which will
identify all acceptable responses. Where a response is limited by a pull down menu, those responses
are described below. These responses are considered the only acceptable responses to those
questions.
Manufacturers may submit official correspondence and/or applications through the electronic
mail system, Please submit all electronic mail to deadwyler.richard@epamail.epa.gov" The
information will then be routed accordingly. Please do not send electronic applications directly to the
individual EPA certification representatives. It is important to understand that anytime information is
sent via electronic mail, there is no guarantee of security of the information while in transit to the EPA.
Additionally, applications may be submitted on diskette.
Confidential Business Information (CBI)
A Confidential Business Information (CBI) block has been included in the Family Information
Form, the Test Information Form, the Model Summary Form, and the Averaging, Banking & Trading
(ABT) Form. The purpose of the CBI section is to allow the manufacturer to fill in the application
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completely and at the same time designate which pieces of information, if any, are to be kept
confidential. Once the application has been received and reviewed by the EPA certification
representative, the material designated confidential by the manufacturer, will be erased from the public
version of the database and the remainder of the application will be made public.
To use the CBI section, first designate whether or not the information is to be kept
confidential until introduction into commerce or indefinitely. If the material is CBI until introduction
into commerce , type the introduction into commerce date in the blank on the top of the left hand
column and enter the number preceding the question whose response is to remain confidential in the
left-hand CBI column. If the material is to remain confidential indefinitely enter the number preceding
the question whose response is to remain confidential indefinitely in the right-hand CBI column.
Information on the ABT form may be specified confidential for a longer period of time than the
introduction into commerce date- enter the date in the left hand column.
Diagnostic Check
The EPA database contains a built-in diagnostic check. The purpose of the diagnostic check is
to ensure all required information has been entered on the Family Form and the Test Form. (If there
are any questions which are not applicable, enter NA; do not just leave blank.) The diagnostic check
also looks for common mistakes such as those made in the family name. The diagnostic check will not
take the place of the certification reviewer. Any errors found on the Family Form, will be listed in a
box to the right of the application labeled Family Form Checkout Box. Errors on the Test Form will
be listed in a box to the right of the application labeled Test Form Checkout Box.
How to handle New Submissions, New Submissions (Continued), Additional Test Engines, Running
Changes/ FEL changes, Submission of final test results, and Application Corrections using EPA
Filemaker Pro Marine Engine database format
Each of the above instances represents a new record in the EPA Filemaker Pro Marine Engine
database. The records are linked through common fields. Records should not be written over when
updating due to Additional Submissions, Running Changes, FEL changes, or the need to correct
information in the application. Instead, you must create a new record for those submissions following
the instructions below. (Manufacturers submitting paper versions of the application forms should
submit a separate page whenever the instructions below specify the creation of a new record).
New Submissions. Create a new record. Respond to all applicable questions or enter NA on all of the
forms (Marine Engine Family Information Form, Marine Engine Test Information Form, etc.). Please do
not leave any questions unanswered. This is the only type of record for which the diagnostic check is
activated. Enter "New Submission " under the "Process Code".
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New Submissions: If there are Additional Test Engines'. If there is more than one test engine,
complete the entire application for the first test engine, then create a new record. In this new record,
fill in ONLY the following information:
Manufacturer Name on the Marine Engine Family Information Form
Engine Family Name on the Marine Engine Family Information Form
Enter "New Submission " under the "Process Code"on the Marine Engine Family Information
Form
Complete the Marine Engine Test Information Form in its entirety and on that form enter the
previous highest test data set number incremented by one to reflect the new record:
for example, this value would be "2" for the second test engine, "3" for the third test
engine, etc.
New Submission (Continued). You would need to create this record if you have more information to
submit than space provided in the forms. For instance, if you run out of space on the Marine Engine
Part Number Summary, you would need to do this. Create a new record and fill in ONLY the
following information:
Manufacturer Name on the Marine Engine Family Information Form
Engine Family Name on the Marine Engine Family Information Form
Enter "New Sub-cont." under the "Process Code"on the Marine Engine Family Information
Form
Enter responses to only those questions on all the forms (Marine Engine Family Information
Form, Marine Engine Test Information Form, Marine Engine Model Summary, Marine
Engine Parts Summary, etc.) which would not fit in space provided on the New
Submission record. Do not enter information in any other fields.
Running Change: Create a new record and fill in ONLY the following information:
Manufacturer Name on the Marine Engine Family Information Form
Engine Family Name on the Marine Engine Family Information Form
Enter "Running Change" under the "Process Code"onthe Marine Engine Family Information
Form
Enter under "Estimated Production Start" on the Marine Engine Family Information Form the
date the running change was implemented.
Enter in "Comments" box on the Marine Engine Family Information Form a description of the
change and any explanation as to why the manufacturer believes the engine family
remains in compliance.
Enter responses to only those questions which are affected by the running change on all the
forms (Marine Engine Family Information Form, Marine Engine Test Information Form,
Marine Engine Model Summary, Marine Engine Parts Summary, etc.). If new emission
test data is being submitted, complete the Marine Engine Test Information Form in its
entirety and on that form increment the previous highest Test Data Set number by
one to reflect the new record.
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PEL Change. Treated the same as a Running Change, except the effective date is the date the new
PEL is applied to production. Create a new record and fill in ONLY the following information:
Manufacturer Name on the Marine Engine Family Information Form
Engine Family Name on the Marine Engine Family Information Form
Enter "FEL Change" under the "Process Code" on the Marine Engine Family Information Form
Enter under "Estimated Production Start" on the Marine Engine Family Information Form the
date the FEL change was effective.
Enter the new FEL
Enter in "Comments" box on the Marine Engine Family Information Form the words "FEL
Change" and describe the basis for the FEL change (for example, result of internal
audits or production line testing, and/or a modification to the engine or its settings). If
the FEL change is the result of an engine family modification, the date of the FEL
change must reflect the date the engine family modification was implemented on the
production line.
Enter responses to only those questions on all the forms (Marine Engine Family Information
Form, Marine Engine Test Information Form, Marine Engine Model Summary, Marine
Engine Parts Summary, etc.) which are affected by the FEL change. If new emission
test data is being submitted, complete the Marine Engine Test Information Form in its
entirety and on that form enter the previous highest Test Data Set number
incremented by one to reflect the new record.
Application Corrections: Only use this category if a correction is required AFTER you have submitted
your application to EPA. Create a new record and fill in ONLY the following information:
Manufacturer Name on the Marine Engine Family Information Form
Engine Family Name on the Marine Engine Family Information Form
Enter "Correction" under the "Process Code"on the Marine Engine Family Information Form
Enter in "Comments" box on the Marine Engine Family Information Form the reason for the
required correction.
Enter responses to only those questions on all the forms (Marine Engine Family Information
Form, Marine Engine Test Information Form, Marine Engine Model Summary, Marine
Engine Parts Summary, etc.) for which a correction is required.
Final Test Result per 91,118(h)(l)(i): Only use this category if test data is being submitted for Existing
Technology engines which were certified using the function referenced in 91.1 8(h)( )(i).
Create a new record. In this new record, fill in ONLY the following information:
Manufacturer Name on the Marine Engine Family Information Form
Engine Family Name on the Marine Engine Family Information Form
Enter "Final Test Result per 91.1 8(h)( )(i)" under the "Process Code"on the Marine Engine
Family Information Form
Complete the Marine Engine Test Information Form in its entirety and on that form enter the
previous highest test data set number incremented by one to reflect the new record.
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Marine Engine Statement of Compliance Form Instructions
Every application must contain a statement of compliance. A sample compliance statement is
contained in Appendix B. Alternatively for those applicants utilizing the electronic format, a form is
available for an electronic compliance statement. To insert standard compliance language, click on the
button labeled "To use the sample language". Otherwise, type in the field provided for your
statement of compliance. Remember to include a brief description of any alternate or special test
procedure utilized in the testing of this engine family and a reference to EPA's approval. Applicants
using the electronic compliance statement should include a signed transmittal letter along with the
electronic submission listing the engine families for which certification is requested.
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Marine Engine Family Information Form Instructions
MANUFACTURER NAME
2. CERTIFICATION CONTACT PERSON, ADDRESS, PHONE AND FAX NUMBER
List the company individual who is to receive all communications. Unless clearly specified otherwise,
this person will receive every form of correspondence, including the Certificate of Conformity. EPA
prefers the manufacturer's primary contact be in the United States. If you wish for someone else to
receive the Certificate of Conformity, please list that person's name and address second.
3. MODEL YEAR (Pulldown menu)
List the 4 digit model year of the engine family, according to the definition in 40 CFR 91.3. (Example
998).
4. PROCESS CODE (Pulldown menu)
Enter either "New Submission", "New Sub-Cont.", "Running Change", "Correction", "PEL Change",
or "Final Test Result 91. 18(h)( )i". "New Sub-Cont." is used when additional space is required on
the original "New Submission". Only enter "Running Change" if the engine family is already certified
and you are submitting a running change. "New Submission", "Correction", and "PEL Change" are
self explanatory. Use "Final Test Result 91.1 8(h)( )i" when submitting the final test report for
existing technology families for which testing was postponed. See instructions at the beginning of this
appendix for creation of new records for each of these categories.
5. ENGINE FAMILY NAME
Enter the engine family name. This name is composed of twelve letter and numeric characters
formatted according to Appendix C of this guidance.
6. ENGINE FAMILY NAME ON LABEL
Fill in the blank with the correct label information. The purpose for this question is for manufacturers
who wish to carryover engine families and have extra labels from the previous year they wish to use
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on the upcoming model year. Manufacturers should notify EPA of the changeover date when old
labels are no longer being used.
7. ENGINE CYCLE (Checkbox)
Check the correct box. If other is chosen, fill in the exact type of engine cycle.
8. TECHNOLOGY TYPE (Check box)
Check either "New" or "Existing".
9. VALVE LOCATION/PORTING CONFIGURATION (Checkbox)
Specify where applicable side valve, overhead valve, or the type of intake porting utilized, such as reed
valve, piston ported, or other. If other, please specify type.
0. EMISSION CONTROL SYSTEM (Checkbox)
Check all boxes which apply. EM = Engine modification, EGR = Exhaust Gas Recirculation,
CATALYST, or Other. If "Other" is chosen, please specify control system.
ESTIMATED PRODUCTION PERIOD
List the anticipated beginning and end dates for the engine family's production. Date format is
mm/dd/yy. This information may be used to determine expiration of CBI claims which were made
until introduction into commerce if no other introduction into commerce date is specified.
2. PROIECTED ANNUAL SALES
Enter the number of engines in the engine family projected for sale in the U.S. for this model year.
3. PRODUCTION PLANT LOCATION(S) AND CONTACT(S)
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Provide the address(es) of the plant(s) and contact(s) (including phone and fax) where production of
this engine family occurs. Indicate which models are produced at which plants. This information will
be used in the unlikely event of a Selective Enforcement Audit (SEA). The contact person should be
able to assist EPA personnel in the selection of engines from the assembly line. All plants at which this
engine family are produced should be listed. Manufacturers may indicate a preferred plant location for
SEAs for this engine family.
4. MAIOR APPLICATION(S) (Checkboxes)
Indicate what the expected major end-use equipment application(s) will be for the engine family. For
hybrid applications, (e.g. jetboats), please choose OTHER and describe the application; then also
check the box to indicate whether the credits will be counted as Personal Water Craft or Outboard
credits.
D Personal Water Craft D Other...
D Outboard
5. ENTER THE FAMILY EMISSION LIMIT (FED
See XII above for the formulas to calculate the FEL for existing technology when testing is postponed.
6. FUEL SYSTEM (Check boxes)
Indicate the fuel system type for the engine family. If not listed, please choose OTHER and specify the
type. Check all boxes which apply.
D Carburetor D Throttle Body Injection
D Direct Injection D Electronic Control
D Indirect Injection D Other...
7. ADIUSTABLE PARAMETER (FOR NEW TECHNOLOGY ONLY)
List all adjustable parameters, the adjustable range, and the tamper resistance methods in their proper
columns. If not applicable, enter N/A. Please note that an adjustable parameter should be listed even
when it is sealed.
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A-ll
ADDITIONAL COMMENTS
This box is provided for anything in the application that needs further explanation. The box will hold
as much and what ever type of additional information the manufacturer would like to add to the
application.
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A-12
Marine Engine Test Information Form
A separate copy of this form must be filled out for each different test engine. List multiple tests
of the same engine on one form. Space is provided for reporting up to four tests per engine. If more
than four tests on the same engine are performed, an additional sheet (or data set) must be used.
Each additional sheet must be numbered (see item #27).
8. ARE YOU CARRYING OVER TEST RESULTS.... (Checkboxes)
Indicate whether you are carrying over test results from a previously-certified EPA engine family.
Check "Yes" or "No".
A) If yes, indicate the family name from which test results are being carried over and
B) whether the family being certified is identical to the family from which test data is being carried
over, "Yes" or "No".
9. MODEL DESIGNATION OF TEST ENGINE
Enter the manufacturer's model number of the engine used for certification testing
20. TEST ENGINE IDENTIFICATION NUMBER
List the test engine serial number.
21. SERVICE ACCUMULATION DURATION
Enter the number of service accumulation hours performed, following 40 CFR 9 . 17 and 9 .408
(test engine break-in.) The break-in period is determined by the manufacturer to be the length of
time the engine should be run to stabilize emissions. The manufacturer may use emission test results
or engineering judgement to determine the appropriate break-in period.
22. MAXIMUM RATED POWER
Specify the maximum rated power in kW at maximum RPM of the test engine.
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A-13
23. DISPLACEMENT
Indicate the displacement of the test engine in cubic centimeters.
24. CERTIFICATION FUEL (Checkboxes)
Indicate the type of fuel used for the certification emission test:
n Average in-use gasoline (e.g., "Clean Air Act Baseline"), specified at 40 CFR Part 9 , Subpart
D, Appendix A, Table 3. [foroctane rating, see 86.1 3-94.]
n Federal Certification Fuel (e.g., "Indolene"), specified at 40 CFR 86.1313-94(a), Table N94-1.
n Other. If you choose other, you must specify the fuel type.
If "other" is chosen, manufacturer must seek approval from EPA prior to testing.
25. TEST CYCLE (Checkboxes)
Indicate which test cycle was used, "5-mode", "5-mode with authorized deviation", "Alternate Test
Procedure", "Special Test Procedure", "NA". Check all boxes which apply. NA is chosen only for
EXISTING TECHNOLOGY. If Special Test Procedure or Alternative Test Procedure, manufacturer
must seek approval from EPA prior to testing.
26. FOR EXISTING TECHNOLOGY ONLY: IS COMPLIANCE BASED ON? (Check boxes)
D Testing per 91 subpart E* [FTP testing]
D Testing per 91. 18(g) [Alt. Testing/Engineering Judgement]
D Postponed [Equation]
* Including alternate and special test procedures with prior approval by the EPA.
• Check "Testing per 91 subpart E* [FTP testing]" box if submitting actual data which
was acquired following the FTP or authorized deviations from the FTP.
• Check "Testing per 91.1 8(g) [Alt. Testing/Engineering Judgement]" box if submitting
data which was collected as described in 40 CFR 9 . 18(g) or if good engineering
judgement was used. {Note: If good engi nee ring judgement was used, some from of
data which will support the good engineering judgement must also be supplied.}
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A-14
Check "Postponed [Equation]" box if PEL is based on the equation and testing will be
done in the future.
27. TEST DATA SET
Enter the test data set number (e.g. 1,2,3...). The first data set is data set I. Data sets 2, 3, etc. are
reserved for additional test engines, the reporting of the fifth or higher test on the engine described in
a previous data set, or for the reporting of data generated for a running change. Additional data sets
must appear on separate records. See instructions for adding records at the beginning of this appendix.
28. TEST LOCATION AND CONTACTS
Indicate the location and contacts, including phone and fax numbers, where the certification emission
engine testing was conducted.
29. EMISSION SAMPLING METHOD (Pulldown menu)
Indicate which emission sampling method was used to produce the test results, "Raw-Gas Method
(RGM)", "Constant Volume Sampling(CVS)", or "Other". If "Other", please specify alternate method.
In addition if "Other" is selected, manufacturer must seek approval from EPA prior to testing.
30. OIL TO FUEL RATIO
Enter the oil to fuel ratio. If variable, enter "Variable" and the range.
31. DETERIORATION FACTOR TYPE (Pulldown menu)
Select either "Additive" or "Multiplicative" deterioration factor type.
32. CERTIFICATION EMISSION TEST RESULTS (Table)
List the date of the test and the final weighted emissions of the test engine for HC, NOX, and HC +
NOX. EPA prefers that emission results are reported in g/kW-hr. List the certification levels of the test
engine (the certification levels are the test results with the deterioration factor (df) applied).
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A-15
Marine Engine Model Summary Form
33. MODEL DESIGNATION (Table)
List all models in the engine family. Enter each model number in an independent row.
34. DISPLACEMENT (Table)
Indicate the displacement of each model in the engine family in cubic centimeters. Please do not leave
blanks or use ditto marks.
35. MAXIMUM PCWEWTable)
Specify maximum power in kW for the model engine(s). This specification may be rated power or
advertised power as long as the same definition is used consistently to fill out the model summary
table.
36. RATED SPEED (Table)
Enter the speed at which maximum power reported in #35 was achieved.
37. MAX TORQUE (TaM?)
Specify the maximum torque in Nm for the model engine(s).
38. RATED SPEED (Table)
Enter the speed at which maximum power reported in #37 was achieved
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A-13
Marine Engine Part Number Summary Form
39.-50. PART NUMBERS (Tab/e)(Por New Technology Only)
Enter part numbers for each model in the engine family.
39. Spark plug
40. Catalyst
41. Carburetor
42. Distributor
43. Injector
44. EGR
45. ECM
46. Fuel Pump or Injection Pump
47. Oxygen Sensor
48. PCV value
49.
50.
49 to 50 : Space for additional parts. Please list here the name of any AECD's or other parts required
to be described along with the part number for each model.
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A-14
Marine Engine ABT Form
Enter the following information in the appropriate columns.
52. If the engine family generates positive emission credits, check the "positive credits" box in the
left-hand column. If the engine family generates negative emission credits, check the "negative
credits" box in the right-hand column
53. Enter the number of positive or negative credits generated using the units g/kW-hr. If negative
credits, use a minus sign in front of the number.
54. Enter the Power (per the definition in 91.207(a)) in kW.
55. Enter the Average Actual Useful Life (as defined in 91.207(a)) in years.
56. For engine families generating positive credits, enter the engine family name of the family
which will be using the credits, or "reserved" if the credit usage has not been identified. For
engine families generating negative credits, enter the engine family name which was the source
of the credits, or "reserved" if credits came from the manufacturer's reserve of credits.
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APPENDIX B
Sample Statement of Compliance
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SAMPLE STATEMENT OF COMPLIANCE
Manufacturer Primary Contact
XY Engine Company
4567 Industrial Highway
El Monte, CA 9173
March 1, 1997
Anne Fredo
Engine Compliance Programs Group
U.S. Environmental Protection Agency
Mail Code 6403J
40 M Street, S.W.
Washington, DC 20460
Dear Ms. Fredo:
Please find enclosed the model year 998 application for engine family WXYXM00621AO. On behalf
of XY Engine Company, I hereby certify that the test engine(s), as described in this application for
certification, has been tested in accordance with the applicable test procedures, utilizing the fuels and
equipment required under subparts D and E of 40 CFR 91, and that on the basis of such tests the
engine(s) conforms to the requirements of 40 CFR 9 . I further certify that all engines in this engine
family comply with all requirements of 40 CFR 91 and the Clean Air Act.
[OPTIONAL] I hereby assert that certain information in this application is confidential business
information, and request that this information remain confidential until the introduction of these
engines into commerce on [DATE]. The information which we assert to be confidential business
information is **,**, and **. An additional copy of the application with this information deleted is
enclosed.
Sincerely,
[MANUFACTURER PRIMARY CONTACT]
Enclosures
Refer in this letter to any alternate or special test procedure approvals or any other approvals required
from EPA for this engine family.
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APPENDIX C
EPA STANDARDIZED ENGINE FAMILY NAMING CONVENTION
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C-2
EPA Standardized Engine Family Names
for 1998 and Later Model Years
The following document is a final document prepared for distribution. It has been peer reviewed and
EPA has made a decision to adopt this design.
Manufacturers must use a standardized system for identifying their individual engine families. The
system described below was developed by EPA in 1995 to meet new regulatory requirements for
998 and later model years.
The engine family name consists of 2 characters. For the displacement field, zero is used as a space
character in the leading position when a value does not apply. To avoid confusion with numeric
characters '0' and ' ', characters T and 'O1 are not used. It is considered desirable to minimize use of
characters 'Q1, V, Z, 'S1 'G1, which can be confused with '0',' ', '2', '5', and '6'; however, this has not
always been possible. The following method is to be used to name engine families when data is
submitted. The format of the standardized engine family name is:
Family information for all families
Organizing your engine families
The engines in your product line must be divided into families according to the following criteria.
Generally, engines in the same family must have the same:
( ) combustion cycle,
(2) cooling mechanism,
(3) cylinder configuration,
(4) number of cylinders,
(5) number of catalytic converters, in the same location, and with the same volume
and composition, and,
(6) thermal reactor characteristics.
If you can demonstrate that engines with different combustion cycles, cooling mechanisms, etc., have
similar emissions over the useful life, you may place the engines in the same engine family. Submit data
showing equivalency with your request to combine or further divide engine families.
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C-3
EPA engine family names
Engine families must be named using the definitions provided below. Your certificates will be identified
using this 2-character EPA family name.
Position
Definition
model year
Characters
W= 998
X=I999
Y=2000
=200
2=2002
3=2003
4=2004
5=2005
6=2006
7=2007
2-4
manufacturer
code
M9X=Mercury Marine
PX=Outboard Motor Corp.
SKX=American Suzuki
YMX=Yamaha
KAX= Kawasaki
HNX=Honda
TX=Tohatsu
T7X=Tanaka
BCX= Bombardier
RBX= Robin
3AX=Arctco
POX=Polaris
5
6-9
0-12
family type
engine disp
M (marine)
four numbers indicating displacement
in cubic inches
(e.g., "0200"); two numbers and a
decimal point for liters (e.g., "05.0",
"10. ")
manufacturer's discretion
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C-3
If you plan to include engines with different displacements in the same engine family, use the largest
displacement in the family name.
If the manufacturer code for your company is not shown in the table above, contact EPA and request
a code.
Optionally, you may use the following definitions for positions 10 and I of the engine family name
classAechnology type
I =OB, old tech.
2=OB, new tech.
3 = PWC, old tech.
4=PWC, new tech.
cycle/cooling/emissions
A=2 stroke (2s), air-cooled (ac) engine, no catalyst
B=2s, ac, catalyst
C=2s, water-cooled (we), no catalyst
D=2s, we, catalyst
E=4 stroke (4s), ac, no catalyst
F=4s, ac, catalyst
G=4s, we , no catalyst
H=4s, we, catalyst
* NOTE: EPA allows carryover of family name on labels to use up stocks of labels; however,
manufacturers must update the engine family name every year in the application for
certification.
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APPENDIX D
Confidential Business Information in the Certification Application
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D-2
As a general principle, information provided to EPA by individuals or companies will be
considered public information and will be provided to those who request it unless the information falls
under one of the exemptions listed in the Freedom of Information Act (the Federal statute which
governs disclosure of information to the public). One of these exemptions is information which the
submitting individual or company asserts is confidential or proprietary information (e.g., trade secrets).
Manufacturers are entitled to assert a claim of confidential business information (CBI) on the
information which they are required to submit in a certification application. If information the
manufacturer asserts to be CBI is information which is otherwise discernible by physical inspection of
the marine engine or equipment (e.g., question 10, "Emission Control System"), EPA will not release
any such information that qualifies as CBI before the effective date of the certificate. If the
manufacturer wishes this information to remain confidential until the engine family is introduced into
commerce (when this date is after the effective date of the certificate), the manufacturer must inform
EPA of this actual date of introduction into commerce when it submits its certification application, and
specifically request that the information remain confidential until the introduction date.
For example, consider this time line for a 997 model year engine:
Date certificate issued: December , 996
Date certificate is effective: January 2, 997
Date of introduction into commerce: April , 997
Under this time line, EPA would not release any CBI from the certificate application until April
, 997 or later, provided the manufacturer informs EPA of the date of introduction into commerce
and makes such a request when it submits its certification package. See sample optional language for
such a request in appendix B of this guidance.
Manufacturers should be aware that certain information in the certification application can
retain CBI status even after the actual date the engines are introduced into commerce. If a
manufacturer desires that certain information retain CBI status after the date the engines are
introduced into commerce, it must make this request when it submits its application package by
informing EPA of the length of time the manufacturer wishes the information to remain CBI.
Under EPA regulations at 40 CFR 9 .7, manufacturers must indicate clearly what information
submitted is confidential. Manufacturers may state in the application cover letter which sections of the
application are CBI, or/and otherwise mark or stamp the CBI. Whenever a manufacturer submits an
application which contains information asserted to be confidential, EPA urges the manufacturers to
submit an additional application with all CBI deleted to accompany the original application.
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D-3
Based on EPA's historical experience with certification applications in the on-highway program,
EPA notes that certain information in the application should not be considered eligible to fall under a
CBI claim under any circumstances. This information is generally available to the public or competitors
and disclosure of this information would not be likely to cause any harm to the competitive position of
any manufacturer. The Engine Compliance Programs Group (ECPG) staff believes that the
information provided in response to the following questions on the Marine Engine Certification
Application Form should not be considered confidential under any circumstances:
Manufacturer Name
2. Contact Person, Address, Telephone, Facsimile
3. Model Year
5. Engine Family Name
6. Engine Family Name Used on Label
7. Engine Cycle (2 stroke or 4 stroke)
8. Engine Technology (New or Existing)
9. Valve Location/porting Configuration
3. Production Plant Location
4. Major Applications (OB, PWC, Other)
5. FEL
8. Carryover of Test Results
29. Emission Sampling Method
24. Certification Fuel
25. Test Cycle
28. Test Location
32. Certification Emission Test Results and Test Date
Finally, manufacturers should remember that, if EPA receives a request under the Freedom of
Information Act for release of a certification application, EPA will inform the requestor (in writing) that
all information asserted to be CBI by the manufacturer cannot be released until the Agency (which in
this instance means the Office of General Counsel (OGC)) makes a "final determination of
confidentiality." The EPCG staff will then write to the manufacturer to offer the opportunity to
substantiate its claim about the business confidentiality of the information by answering some questions
about the information (the questions can be found in regulations at 40 CFR 2.204(e)). The EPCG staff
will review the manufacturer's responses to these questions and forward them with comments to the
OGC for the final determination of confidentiality.
Any questions about this process should be addressed to:
Robert M. Doyle, Attorney-Advisor
Engine Compliance Programs Group
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D-4
U.S. Environmental Protection Agency
40 M Street, S.W. (6403J)
Washington, DC 20460
Telephone (202) 233-9258
Facsimile (202) 233-9596
E-mail - Doyle.Robert@EPAMAIL.EPA.GOV
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APPENDIX E
Sample Marine Engine Certificates of Conformity
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E-l
SAMPLE MARINE CERTIFICATE OF CONFORMITY FOR NEW ENGINE FAMILIES
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, DC 20460
1998 MODEL YEAR
CERTIFICATE OF CONFORMITY
WITH THE CLEAN AIR ACT OF 1970 AS AMENDED IN 1990
SAMPLE
MANUFACTURER CERTIFICATE NUMBER
, EPCD EFFECT:
Chester J. France, Director, EPCD EFFECTIVE DATE
OFFICE OF MOBILE SOURCES
DATE ISSUED:
Pursuant to Section 213 of the Clean Air Act (42 U.S.C. § 7547) and 40 CFR 91, and subject
to the terms and conditions prescribed in those provisions, this certificate of conformity
is hereby issued with respect to the test engines which have been found to conform to
applicable requirements and which represent the following marine engines, by engine
family, more fully described in the documentation required by 40 CFR Part 91 and produced
in the stated model y\
iseiiL. urie LOJ. j_owj_iig marj_ii<
sntation required Jpy ^T^F!
1 J_ J—l J—l
MARINE SPARK-IGNITION ENGINE FAMILY:
This certificate of conformity covers only those new marine spark-ignition engines which
conform, in all material respects, to the design specifications that applied to those
engines described in the documentation required by 40 CFR Part 91 and which are produced
during the model year production period stated on this certificate of the said
manufacturer, as defined in 40 CFR Part 91. This certificate of conformity does not cover
marine engines imported prior to the effective date of the certificate.
This certificate of conformity is conditional upon compliance of said manufacturer with
the averaging, banking and trading provisions of 40 CFR Part 91, Subpart C including those
after model year production. Failure to comply with these provisions may render this
certificate void ab initio. The HC + NOx family emission limit (PEL) is g/kW-hr.
ite that the manufacturer shall conser
It is a term of this certificate that the manufacturer shall consent to all inspections
described in 40 CFR 91 or authorized in a warrant or court order. Failure to comply with
the requirements of such inspections may lead to revocation or suspension of this
certificate. It is also a term of this certificate that this certificate may be revoked
or suspended or rendered void ab initio for other reasons specified in 40 CFR Part 91.
This certificate does not cover marine engines sold, offered for sale, or introduced, or
delivered for introduction, into commerce in the U.S. prior to the effective date of the
certificate.
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E-2
(New Technology Marine Engine Certificate
LE
j
j
j
j
j
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; CERTI
E-3
SAMPLE MARINE CERTIFICATE OF CONFORMITY FOR TESTED ENGINE FAMILIES
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
WASHINGTON, DC 20460
1998 MODEL YEAR
CERTIFICATE OF CONFORMITY
WITH THE CLEAN AIR ACT OF 1970 AS AMENDED IN 1990
SAMPLE
MANUFACTURER
CERTIFICATE NUMBER
Chester J. France, Director,
OFFICE OF MOBILE SOURCES
DATE ISSUED:
Pursuant to Section 213 of the Clean Air Act (42 U.S.C. § 7547) and 40 CFR 91, and subject
to the terms and conditions prescribed in those provisions, this certificate of conformity
is hereby issued with respect to the test engines which have been found to conform to
applicable requirements and which represent the following marine engines, by engine
family, more fully described in the documentation required by 40 CFR Part 91 and produced
in the stated model y\
iseiiL. urie LOJ. j_owj_iig marj_ii<
sntation required Jpy ^T^F!
1 J_ J—l J—l
MARINE SPARK- IGNITION ENGINE FAMILY:
This certificate of conformity covers only those new marine spark-ignition engines which
conform, in all material respects, to the design specifications that applied to those
engines described in the documentation required by 40 CFR Part 91 and which are produced
during the model year production period stated on this certificate of the said
manufacturer, as defined in 40 CFR Part 91. This certificate of conformity does not cover
marine engines imported prior to the effective date of the certificate.
This certificate of conformity is conditional upon compliance of said manufacturer with
the averaging, banking and trading provisions of 40 CFR Part 91, Subpart C including those
after model year production. Failure to comply with these provisions may render this
certificate void ab in\£io. The HC + NOx family emission limltgftlL) is _ g/kW-hr.
;h these provis
ssion limit (FE
III
It is a term of this certificate that the manufacturer shall consent to all inspections
described in 40 CFR 91 or authorized in a warrant or court order. Failure to comply with
the requirements of such inspections may lead to revocation or suspension of this
certificate. It is also a term of this certificate that this certificate may be revoked
or suspended or rendered void ab initio for other reasons specified in 40 CFR Part 91.
This certificate does not cover marine engines sold, offered for sale, or introduced, or
delivered for introduction, into commerce in the U.S. prior to the effective date of the
certificate.
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E-4
(Existing Technology Marine Engine
7\MD
Engine Certificate)
-l_l J_l
j
j
j
j
j
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SAMPLE MARINE C
ERTIFICATEO
E-5
F CONFORMITY FOR EQUATION ENGINE FAMILIES
UNITED STATES ENVIRONMENTAL PROTECTION AGENCY
1998 MODEL YEAR
CERTIFICATE OF CONFORMITY
WITH THE CLEAN AIR ACT OF 1970 AS AMENDED IN 1990
ISSUED TO:
MANUFACTURER
Chester J. France, Director, EPCD
OFFICE OF MOBILE SOURCES
J3AMPE
ERTIFICATE NUMBER
EFFECTIVE DATE
DATE ISSUED:
Pursuant to Section 213 of the Clean Air Act (42 U.S.C. § 7547) and 40 CFR 91, and subject
to the terms and conditions prescribed in those provisions, this certificate of conformity
is hereby issued with respect to the test engines which have been found to conform to
applicable requirements and which represent the following marine engines, by engine
family, more fully described in the documentation required by^O_CFR Part 91 and produced
in the stated model year:
MARINE SPARK-IGNITION ENGI
;d in the
; FAMILY:
Mation required by 40 CFR
PLE
This certificate of conformity covers only those new marine spark-ignition engines which
conform, in all material respects, to the design specifications that applied to those
engines described in the documentation required by 40 CFR Part 91 and which are produced
during the model year production period stated on this certificate of the said
manufacturer, as defined in 40 CFR Part 91. This certificate of conformity does not cover
marine engines imported prior to the effective date of the certificate.
This certificate of conformity is conditional upon compliance of said manufacturer with
the averaging, banking and trading provisions of 40 CFR Part 91, Subpart C including those
after model year production. Additionally, this certifiEaTel is conditional upon
compliance with requirements described at 40 CFR 91.118 (h)(1)(i). Failure to comply with
these provisions may render this certificate void ek irMtil. jThe HC + NOx family
emission limit (PEL) is g/kW-hr.
It is a term of this certificate that the manufacturer shall consent to all inspections
described in 40 CFR 91 or authorized in a warrant or court order. Failure to comply with
the requirements of such inspections may lead to revocation or suspension of this
certificate. It is also a term of this certificate that this certificate may be revoked
or suspended or rendered void ab initio for other reasons specified in 40 CFR Part 91.
This certificate does not cover marine engines sold, offered for sale, or introduced, or
delivered for introduction, into commerce in the U.S. prior to the effective date of the
certificate.
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E-6
(Existing Technology Marine Engine Certificate
Conditioned Upon Requirements at 40 CFR 91.118(h)(1)(i)
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