[Code of Federal Regulations]
[Title 40, Volume 16]
[Revised as of July 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR86.000-15]
[Page 19-21]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 86--CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND ENGINES--Table of Contents
Subpart A--General Provisions for Emission Regulations for 1977 and
Sec. 86.000-15 NOX and particulate averaging, trading, and banking for heavy-duty engines.
Section 86.000-15 includes text that specifies requirements that
differ from Sec. 86.094-15 or Sec. 86.098-15. Where a paragraph in
Sec. 86.094-15 or Sec. 86.098-15 is identical and applicable to
Sec. 86.000-15, this may be indicated by specifying the corresponding
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
15.'' or ``[Reserved]. For guidance see Sec. 86.098-15.''.
(a)(1) Heavy-duty engines eligible for NOX and
particulate averaging, trading and banking programs are described in the
applicable emission standards sections in this subpart. All heavy-duty
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engine families which include any engines labeled for use in clean-fuel
vehicles as specified in 40 CFR part 88 are not eligible for these
programs. For manufacturers selecting Option 1 Otto-cycle engine
standards contained in Sec. 86.005-10(f)(1), the ABT program
requirements in Sec. 86.004-15 apply for 2003 model year Otto-cycle
engines, rather than the provisions contained in this Sec. 86.000-15.
Participation in these programs is voluntary.
(a)(2) through (b) [Reserved]. For guidance see Sec. 86.094-15.
(c) [Reserved]. For guidance see Sec. 86.098-15.
(d) through (i) [Reserved]. For guidance see Sec. 86.094-15.
(j) Optional program for early banking for diesel engines.
Provisions set forth in Secs. 86.094-15 (a), (b), (d) through (i), and
86.098-15 (c) apply except as specifically stated otherwise in
Sec. 86.098-15 (j)(1) through (j)(3)(iii).
(j)(1) through (j)(3)(iii) [Reserved]. For guidance see Sec. 86.098-
15.
(k) Optional program for early banking for Otto-cycle engines.
Provisions set forth in Secs. 86.094-15(a), (b), (d) through (i), and
86.098-15(c) apply except as specifically stated otherwise in this
paragraph (k).
(1) To be eligible for the optional program described in this
paragraph (k), the following must apply:
(i) Credits are generated from Otto-cycle heavy-duty engines which
have been certified using certification durability demonstration
procedures which meet the criteria contained in Sec. 86.004-26 and with
deterioration factors calculated in accordance with Sec. 86.004-28.
(ii) During certification, the manufacturer shall declare its intent
to include specific engine families in the program described in this
paragraph. Separate declarations are required for each program and no
engine families may be included in both programs in the same model year.
(2) Credit generation and use. (i) Credits shall only be generated
by 2000 and later model year engine families.
(ii) Except as provided in paragraph (k)(2)(iii) of this section,
credits generated under this paragraph (k) may only be used for 2003 and
later model year heavy-duty Otto-cycle engines subject to NOX
or NOX plus NMHC standards more stringent than 4.0 g/bhp-hr.
When used with 2003 and later model year engines, NOX credits
may be used to meet an applicable NOX plus NMHC standard,
except as otherwise provided in Sec. 86.004-10(a)(1)(i)(C).
(iii) If a manufacturer chooses to use credits generated under this
paragraph (k) for engine families subject to the NOX standard
contained in Sec. 86.098-10 (4.0 g/bhp-hr) the averaging, trading, and
banking of such credits shall be governed by the program provided in
Secs. 86.094-15(a), (b), (d) through (i) and 86.098-15(c) and shall be
subject to all discounting, credit life limits and all other provisions
contained in Secs. 86.094-15(a), (b), (d) through (i) and 86.098-15(c).
In the case where the manufacturer can demonstrate that the credits were
discounted under the program provided in this paragraph (k), that
discount may be accounted for in the calculation of credits described in
Sec. 86.098-15(c).
(iv) For NOX credits generated under this paragraph (k),
a Std value of 2.0 grams per brake horsepower-hour shall be used in
place of the current and applicable NOX standard in the
credit availability equation in Sec. 86.098-15(c)(1).
(3) Program flexibilities. (i) NOX credits that are
banked under this paragraph (k) and not used as provided by paragraph
(k)(2)(iii) of this section may be used without being forfeited due to
credit age. The requirement in this paragraph (k)(3) applies instead of
the requirements in Sec. 86.094-15(f)(2)(i).
(ii) There are no regional category restraints for averaging,
trading, and banking of credits generated under the program described in
this paragraph (k) except if they are used under paragraph (k)(2)(iii)
of this section. This applies instead of the regional category
provisions described in the introductory text of Sec. 86.094-15(d) and
(e).
(iii) Credit discounting. (A) For NOX credits generated
under this paragraph (k) from engine families with NOX FELs
greater than 1.0 grams per brake horsepower-hour for oxides of nitrogen,
a Discount value of 0.9 shall be used instead of 0.8 in the credit
availability equation in Sec. 86.098-15(c)(1).
(B) For NOX credits generated under this paragraph (k)
from engine families with NOX FELs less than or equal to 1.0
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grams per brake horsepower-hour for oxides of nitrogen, a Discount value
of 1.0 shall be used in place of 0.8 in the credit availability equation
in Sec. 86.098-15 (c)(1).
(4) 2003 model year. Manufacturers selecting Option 1, described in
Sec. 86.005-10(f)(1), may not generate or bank early credits under this
paragraph (k) for the 2003 model year. Credit generation and banking
provisions contained in Sec. 86.004-15 apply for the 2003 model year.
(l) Credit apportionment. At the manufacturer's option, credits
generated under the provisions described in paragraph (j) or (k) of this
section may be sold to or otherwise provided to another party for use in
programs other than the averaging, trading and banking program described
in this section.
(1) The manufacturer shall pre-identify two emission levels per
engine family for the purposes of credit apportionment. One emission
level shall be the FEL and the other shall be the level of the standard
that the engine family is required to certify to under Sec. 86.098-10 or
Sec. 86.098-11, as applicable. For each engine family, the manufacturer
may report engine sales in two categories, ``ABT-only credits'' and
``non-manufacturer-owned credits.''
(i) For engine sales reported as ``ABT-only credits'', the credits
generated must be used solely in the ABT program described in this
section.
(ii) The engine manufacturer may declare a portion of engine sales
``non-manufacturer-owned credits'' and this portion of the credits
generated between the standard and the FEL, based on the calculation in
Sec. 86.098-15(c)(1), would belong to another party. For ABT, the
manufacturer may not generate any credits for the engine sales reported
as ``non-manufacturer-owned credits.'' Engines reported as ``non-
manufacturer-owned credits'' shall comply with the FEL and the
requirements of the ABT program in all other respects.
(2) Only manufacturer-owned credits reported as ``ABT-only credits''
shall be used in the averaging, trading, and banking provisions
described in this section.
(3) Credits shall not be double-counted. Credits used in the ABT
program may not be provided to an engine purchaser for use in another
program.
(4) Manufacturers shall determine and state the number of engines
sold as ``ABT-only credits'' and ``non-manufacturer-owned credits'' in
the end-of-model year reports required under Sec. 86.098-23.
[65 FR 59944, Oct. 6, 2000]