Office of Mobile Sources

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Agenda
I. Standards, Phase-ins Flexibility II. DFs
and Useful Life III. The Certification
Process IV. Non-handheld ABT V. Production
Line Testing VI. Voluntary In-Use Testing VII.
The New Certification Templates VIII. Questions
, Answers, Demo
April 7, 1999
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I. Standards, Phase-Ins Flexibility
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I. Standards, Phase-Ins Flexibility
Phase II Emission Standards (g/kW-hr)
Class I
HC NOx 16.1
NMHCNOx 14.8
CO 610
Effective Date 8/1/2007 or
8/1/2003
For new families initially produced on or
after this date
Class II
Requirement HCNOx NMHCNOx CO
2001 18.0 16.7 610
2002 16.6 15.3 610
2003 15.0 14.0 610
2004 13.6 11.3 610
2005 12.1 11.3 610
Effective Date 9/1/2000 or 1/1/2000
and later
Engine families must meet these standards if
production starts on 9/1/2000 or later. If
production period for a family is over 1 year,
replace above date with 1/1/2000.
Phase 2 Small SI Workshop 5/26/99
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Exceptions and Flexibility
I. Standards, Phase-Ins Flexibility

• 2-stroke engine used in lawnmowers or other
  non-handheld equipment can meet Phase I Class
  III, IV, or V standards through 2002 according to
  the phase-out.
• Engines used exclusively in wintertime products
  Need not certify with HC, NOx, or HCNOx
  standards
• Small Volume Flexibility Optionally certify as
  Phase I until 2010
• Small Volume Mfrs produce 10,000 non-handheld
  engines or less
• Small Volume Engine Families have 5,000
  non-handheld engines or less
• The HC NOx standard for side valved engine
  families with annual production of 1,000 engines
  or less is 24.0 g/kW-hr for 2010 and later
• Families using Flexibility are excluded from
  Phase 2 ABT program

Phase 2 Small SI Workshop 5/26/99
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II. DFs and Useful Life
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II. DFs and Useful Life

• Calculation of DFs (Always gt 1.0)
• On at least one test engine representing worst
  case configuration
• worst case most likely to exceed HC NOx
  emission standard
• Conduct emissions testing on stabilized engine (0
  - 12 hrs) X0
• Age the engine to full useful life, conduct
  emission testing XUL
• DF XUL / X0
• Optionally, additional points can be added
  (Alignment with ARB)
• In addition to X0 and XUL add a midpoint test
  XMP
• Using method of least squares, fit a line through
  the three points
• Calculate E0 and EUL
• DF EUL / E0

• Certification levels Stabilized 0 hour tests
  X DF
• All test engines must comply

Phase 2 Small SI Workshop 5/26/99
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II. DFs and Useful Life - Additional Testing
Final Cert DF Avg. of DF1 and DF2
Phase 2 Small SI Workshop 5/26/99
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II. DFs and Useful Life - Adjustable Parameters
Engines with adjustable parameters Requires 2
tests (at extreme range of parameter, ER) per
point
Emission Level
Hours
Phase 2 Small SI Workshop 5/26/99
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II. DFs and Useful Life - Maintenance
Assuming yearly (or seasonal) maintenance, divide
useful life by the 2 year warranty period as
follows
Useful Life Period 125 250 500 1000 Maintenance
Schedule 62 125 250 500
Requirement Conduct test before maintenance
Emission Level
Maintenance
Maintenance
Hours
Phase 2 Small SI Workshop 5/26/99
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II. DFs and Useful Life

• Optional assigned DFs for small volume mfrs and
  engine families

Side Valve Engines
Overhead Valve Engines
Engines with Aftertreatment
Class
HC NOx 2.1 1.6
CO 1.1 1.1
HC NOx 1.5 1.4
CO 1.1 1.1
(NEEDF) - (CCF)
I II
(NE - CC)

• Appropriate Aging Cycles and Service Accumulation
• Aging procedure should be designed to
  appropriately predict the in-use emission
  deterioration expected over the useful life of
  the engine.
• EPA will accept ARBs approved aging cycle
  (Attachment 1)
• No prior approval is necessary, however EPA may
  ask to review a mfrs cycle
• Useful life categories
• Class I 125 250 500
• Class II 250 500 1000

Phase 2 Small SI Workshop 5/26/99
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III. The Certification Process
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III. The Certification Process

• The Corporate Average Plan
• Sum of positive and negative credits must be
  greater than or equal to 0
• Negative balances may not be carried over
• EPA will not require submission of corporate
  plans
• Determining Engine Families
• combustion cycle, cooling mechanism, of
  cylinders, etc. (90.116)
• For Each Engine Family
• Determine FEL (standard if necessary)
• Determine worst case configuration (HC NOx)
• Determine DF
• Submit New Submission to EPA
• Running Changes, FEL Changes, Field Fixes
• Simply submit only the changes to EPA
• FEL Changes require accounting of credits and
  effective dates

Phase 2 Small SI Workshop 5/26/99
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III. The Certification Process

• End-of-Year Reports
• Due 90 days after the end of the model year
• Final Reports
• EPA will only require the submission of the final
  report due 270 days after the end of the model
  year
• Manufacturers may submit this final report
  immediately after the end of the model year (ie
  you do not have to wait 270 days)
• Negative balances CAN NOT be carried over
• Exceptions only for PLT failures
• For those families for which a manufacturer does
  not have enough credits, the certificates may be
  voided ab initio

Phase 2 Small SI Workshop 5/26/99
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IV. Non-handheld ABT
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IV. Non-handheld ABT
General Provisions

• Averaging- exchange of credits between engine
  families during a model year -cross category
  exchange
• Banking- retention of credits for future years
• Trading- exchange of credits between
  manufacturers
• Pollutants- HC NOx
  
  
  NMHCNOx -Natural gas
• Upper limits- HCNOx Class I---32.2
  g/kW-hr
• 
  Class II--26.8 g/kW-hr
• FEL AVG. Limit- Class II 2005MY-13.6 g/kW-hr
• 
  2006MY-13.1
• 2007MY-12.6

Phase 2 Small SI Workshop 5/26/99
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IV. Non-handheld ABT
Early banking

• Class I- beginning with engines originally
  produced MY99 -7/31/03
• -HCNOx--FEL lt 16.1 g/kW-hr
• -credits calculated against a
  standard of 20.5 g/kW-hr
• Class II- beginning with MY 99 until the
  effective date of the regulations
• -HCNox--FEL lt 12.1 g/kW-hr
• -credits calculated against a
  standard of 18.0 g/kW-hr
• Selective Enforcement Audits (SEAs)
• In the event of a SEA failure, credits can be
  used for future production.
• In approved cases, credits can be combined
  with other remedies to correct past production.
• 
  

Phase 2 Small SI Workshop 5/26/99
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IV. Non-handheld ABT
Production Line Testing (PLT)

• Can use credits to cover past and future
  production due to PLT
• -if not enough credits are available to
  cover the FEL change, a negative balance can be
  carried-over for 3 MYs
• -1st MY credits are used at a rate of 1 to 1
• -2nd, 3rd MY credits are used at a rate of 1.2
  to 1
• Credit Calculation
• CreditsProduction x (STD-FEL) x PWR x Useful
  Life x Load Factor
• Production- annual production minus ineligible
  engines
• STD- applicable standard, except for early
  banking phase

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IV. Non-handheld ABT
Reporting

• End-of-year report - 90 days after the end of
  the MY
• Final report - 270 days after the
  end of the MY

Phase 2 Small SI Workshop 5/26/99
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V. Production Line Testing
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V. Production Line Testing

• Phase II engine families must be included in the
  CumSum program
• Except for
• those included in the small volume flexibility
  (mfr has option to include)
• families participating in the voluntary in-use
  testing program
• SEA program used only as backstop for Phase II
  engine families
• including those families not included in CumSum
  program
• SEA vs CumSum Programs
• SEA program designed to be a spot check on
  whether a family is passing or failing
• CumSum designed to monitor production line
  control
• Mfrs can react to results
• Designed to have similar risks as SEA program

Phase 2 Small SI Workshop 5/26/99
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V. Production Line Testing - Procedures
The CumSum Procedure for each engine family

• At the start of the model year, begin randomly
  sampling engines at a rate of 1 of production
• To calculate initial sample size
• For new families Calculate the sample size
  after 2 engines are tested
• For carry-over families Combine 1st test with
  last test from previous year
• Sample Size Equation - construct one for each
  pollutant
• CumSum Equation - construct one for each pollutant

Ci max 0 or Ci-1 Xi - (FEL F)
Phase 2 Small SI Workshop 5/26/99
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V. Production Line Testing - Procedures

• The sample size equation will reveal how many
  tests are required for the rest of the year
• The remaining tests are spread evenly throughout
  the rest of the model year
• Mfrs may test additional engines to help
  bracket production
• These extra test points MAY NOT be included in
  the Sample Size or CumSum equations
• Continue sampling, testing and updating the two
  equations until
• A compliance decision is reached
• The calculated sample size, N lt the actual
  sample size, n AND
• The sample mean, x, is below the standard, OR
• Requires no mfr response
• A non-compliance decision is reached
• The CumSum statistic, Ci , exceeds the Action
  Limit, H, for 2 consecutive tests
• Requires mfr response
• 30 tests (or 1 of production) is reached
• Stop sampling by default
• If at any time the sample mean, x, gt the
  standard of FEL (for any pollutant), the required
  sample is 30 engines
• Quarterly Reporting Requirements

Run Simulator
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V. Production Line Testing - Running Changes
What action is required when changes are made on
the production line?

• Running Change only
• Do nothing, all sample size and CumSum
  calculations remain unchanged
• Running change submission in the certification
  process
• FEL Change only (retroactively change entire
  family)
• Previous sample size and CumSum equations must be
  recalculated
• Additional tests may be required
• FEL change submission in the certification
  process
• Both a Running Change and an FEL Change
• If FEL is applied retroactively
• Previous sample size and CumSum equations must be
  recalculated
• If FEL is effective with the running change
• Previous calculations remain unchanged
• This breakpoint must be accounted for in final
  credit submittal
• Running change in the certification process

Run Simulator
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V. Production Line Testing - Noncompliance

• For each non-complying engine
• By default, certificates of conformity are
  suspended for non-complying engines
• Can not be introduced into commerce until
• problem is remedied
• engine is retested with passing results
• Submit a failed engine report to EPA containing a
  description of the remedy and the new test
  results
• When the CumSum statistic exceeds the Action
  Limit for 2 consecutive tests
• Contact EPA within 10 working days
• For the non-complying family
• EPA may suspend or revoke the certificate of
  conformity
• Test engines until the CumSum statistic is below
  the Action Limit
• Submit report describing reason for
  non-compliance, proposed remedies
• To avoid production disruption, EPA may
  conditionally reinstate certificate

Phase 2 Small SI Workshop 5/26/99
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VI. Voluntary In-Use Testing
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VI. Voluntary In-Use Testing

• Mfrs may elect to participate in this program by
  notifying EPA prior to the beginning of the model
  year. Simply include a list of engine families.
• Mfrs may include up to 20 of eligible phase II
  families
• Those families included in the voluntary program
  are exempted from the PLT requirements for 2
  model years (current and subsequent).
• Program Procedure
• Randomly select a minimum of 3 engines from each
  included family from
• consumer or independently owned fleets
• existing manufacturer owned fleets
• the production line (then placed into
  manufacturer or independently owned fleets)
• Selected engines must be aged in equipment
  representing the top 50 of production
• Age engines to at least 75 of useful life
• Age engines in actual field conditions
• Complete testing within 3 years form the date EPA
  was notified

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VII. The New Certification Templates
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BACKUP MATERIAL
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VI. Production Line Testing
The Sample Size Equation
CumSum Background
Where t95 95 Confidence
Coefficient r Sample standard
deviation Xi Emission test result for an
individual engine x Mean of actual
sample FEL Family Emission Limit or emission
standard N Calculated sample size n Actual
number of tests
n 2 3 4 5 6 7 8 t95 6.31 2.92 2.35 2.13 2.02 1.94
1.90
Phase 2 Small SI Workshop 5/26/99
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VI. Production Line Testing
The CumSum Equation
CumSum Background
Ci max 0 or Ci-1 Xi - (FEL F)
Where Ci Current CumSum statistic Ci-1
The previous CumSum statistic (C0
0) Xi Current emission test
result FEL Family Emission Limit or emission
standard F 0.25 x r r Sample standard
deviation (recalculated after each test) H The
Action Limit. 5.0 x r
Phase 2 Small SI Workshop 5/26/99
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I. Standards, Phase-Ins Flexibility
Phase I Emission Standards (g/kW-hr)
Class I II III IV V
HC NOx 16.1 13.4 -- -- --
HC -- -- 295 241 161
CO 519 519 805 805 603
NOx -- -- 5.36 5.36 5.36
Non-Handheld
Handheld
Phase 2 Small SI Workshop 5/26/99