[Code of Federal Regulations] [Title 40, Volume 31] [Revised as of July 1, 2006] From the U.S. Government Printing Office via GPO Access [CITE: 40CFR1068.101] [Page 821-823] TITLE 40--PROTECTION OF ENVIRONMENT CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED) PART 1068_GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS--Table of Contents Subpart B_Prohibited Actions and Related Requirements Sec. 1068.101 What general actions does this regulation prohibit? This section specifies actions that are prohibited and the maximum civil penalties that we can assess for each violation. The maximum penalty values listed in paragraphs (a) and (b) of this section are shown for calendar year 2004. As described in paragraph (e) of this section, maximum penalty limits for later years are set forth in 40 CFR part 19. (a) The following prohibitions and requirements apply to manufacturers of new engines and manufacturers of equipment containing these engines, except as described in subparts C and D of this part: (1) Introduction into commerce. You may not sell, offer for sale, or introduce or deliver into commerce in the United States or import into the United States any new engine or equipment after emission standards take effect for that engine or equipment, unless it has a valid certificate of conformity for its model year and the required label or tag. You also may not take any of the actions listed in the previous sentence with respect to any equipment containing an engine subject to this part's provisions, unless the engine has a valid and appropriate [[Page 822]] certificate of conformity and the required engine label or tag. For purposes of this paragraph (a)(1), an appropriate certificate of conformity is one that applies for the same model year as the model year of the equipment (except as allowed by Sec. 1068.105(a)), covers the appropriate category of engines (such as locomotive or CI marine), and conforms to all requirements specified for equipment in the standard- setting part. The requirements of this paragraph (a)(1) also cover new engines you produce to replace an older engine in a piece of equipment, unless the engine qualifies for the replacement-engine exemption in Sec. 1068.240. We may assess a civil penalty up to $32,500 for each engine in violation. (2) Reporting and recordkeeping. This chapter requires you to record certain types of information to show that you meet our standards. You must comply with these requirements to make and maintain required records (including those described in Sec. 1068.501). You may not deny us access to your records or the ability to copy your records if we have the authority to see or copy them. Also, you must give us the required reports or information without delay. Failure to comply with the requirements of this paragraph is prohibited. We may assess a civil penalty up to $32,500 for each day you are in violation. (3) Testing and access to facilities. You may not keep us from entering your facility to test engines or inspect if we are authorized to do so. Also, you must perform the tests we require (or have the tests done for you). Failure to perform this testing is prohibited. We may assess a civil penalty up to $32,500 for each day you are in violation. (b) The following prohibitions apply to everyone with respect to the engines to which this part applies: (1) Tampering. You may not remove or disable a device or element of design that may affect an engine's emission levels. This restriction applies before and after the engine is placed in service. Section 1068.120 describes how this applies to rebuilding engines. For a manufacturer or dealer, we may assess a civil penalty up to $32,500 for each engine in violation. For anyone else, we may assess a civil penalty up to $2,750 for each engine in violation. This prohibition does not apply in any of the following situations: (i) You need to repair an engine and you restore it to proper functioning when the repair is complete. (ii) You need to modify an engine to respond to a temporary emergency and you restore it to proper functioning as soon as possible. (iii) You modify a new engine that another manufacturer has already certified to meet emission standards and recertify it under your own engine family. In this case you must tell the original manufacturer not to include the modified engines in the original engine family. (2) Defeat devices. You may not knowingly manufacture, sell, offer to sell, or install, an engine part that bypasses, impairs, defeats, or disables the engine's control the emissions of any pollutant. We may assess a civil penalty up to $2,750 for each part in violation. (3) Stationary engines. For an engine that is excluded from any requirements of this chapter because it is a stationary engine, you may not move it or install it in any mobile equipment, except as allowed by the provisions of this chapter. You may not circumvent or attempt to circumvent the residence-time requirements of paragraph (2)(iii) of the nonroad engine definition in Sec. 1068.30. We may assess a civil penalty up to $32,500 for each day you are in violation. (4) Competition engines. For an uncertified engine or piece of equipment that is excluded or exempted from any requirements of this chapter because it is to be used solely for competition, you may not use it in a manner that is inconsistent with use solely for competition. We may assess a civil penalty up to $32,500 for each day you are in violation. (5) Importation. You may not import an uncertified engine or piece of equipment if it is defined to be new in the standard-setting part and it is built after emission standards start to apply in the United States. We may assess a civil penalty up to $32,500 for each day you are in violation. Note the following: (i) The definition of new is broad for imported engines; uncertified engines [[Page 823]] and equipment (including used engines and equipment) are generally considered to be new when imported. (ii) Engines that were originally manufactured before applicable EPA standards were in effect are generally not subject to emission standards. (6) Warranty. You must meet your obligation to honor your emission- related warranty under Sec. 1068.115 and to fulfill any applicable responsibilities to recall engines under Sec. 1068.505. Failure to meet these obligations is prohibited. We may assess a civil penalty up to $32,500 for each engine in violation. (c) Exemptions from these prohibitions are described in subparts C and D of this part. (d) The standard-setting parts describe more requirements and prohibitions that apply to manufacturers (including importers) and others under this chapter. (e) The maximum penalty values listed in paragraphs (a) and (b) of this section are shown for calendar year 2002. Maximum penalty limits for later years may be adjusted based on the Consumer Price Index. The specific regulatory provisions for changing the maximum penalties, published in 40 CFR part 19, reference the applicable U.S. Code citation on which the prohibited action is based. The following table is shown here for informational purposes: Table 1 of Sec. 1068.101--Legal Citation for Specific Prohibitions for Determining Maximum Penalty Amounts ---------------------------------------------------------------------------------------------------------------- Part 1068 regulatory citation of General description of U.S. Code citation for Clean Air Act prohibited action prohibition authority ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(a)(1)................ Introduction into commerce of 42 U.S.C. 7522(a)(1) an uncertified product. ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(a)(1)................ Failure to provide 42 U.S.C. 7522(a)(2) information. ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(a)(3)................ Denying access to facilities. 42 U.S.C. 7522(a)(2) ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(b)(1)................ Tampering with emission 42 U.S.C. 7522(a)(3) controls by a manufacturer or dealer. Tampering with emission controls by someone other than a manufacturer or dealer. ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(b)(2)................ Sale or use of a defeat 42 U.S.C. 7522(a)(3) device. ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(b)(3)................ Mobile use of a stationary 42 U.S.C. 7522(a)(1) engine. ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(b)(4)................ Noncompetitive use of an 42 U.S.C. 7522(a)(1) uncertified engine that is exempted for competition. ---------------------------------------------------------------------------------------------------------------- Sec. 1068.101(b)(5)................ Importation of an uncertified 42 U.S.C. 7522(a)(1) product. ---------------------------------------------------------------------------------------------------------------- [67 FR 68347, Nov. 8, 2002, as amended at 69 FR 39265, June 29, 2004; 70 FR 40512, July 13, 2005]