[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: 40CFR86.004-28]
[Page 52-56]
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. 86.004-28 Compliance with emission standards.
Section 86.004-28 includes text that specifies requirements that
differ from Sec. 86.094-28, Sec. 86.098-28, Sec. 86.000-28 or
Sec. 86.001-28. Where a paragraph in Sec. 86.094-28, Sec. 86.098-28,
Sec. 86.000-28 or Sec. 86.001-28 is identical and applicable to
Sec. 86.004-28, this may be indicated by specifying the corresponding
paragraph and the statement ``[Reserved]. For guidance see Sec. 86.094-
28.'' or ``[Reserved]. For guidance see Sec. 86.098-28.'' or
``[Reserved]. For guidance see Sec. 86.000-28.'' or ``[Reserved]. For
guidance see Sec. 86.001-28.''
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(a)(1) through (a)(2) [Reserved. For guidance see Sec. 86.000-28.
(a)(3) [Reserved]. For guidance see Sec. 86.094-28.
(a)(4) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
(a)(4)(i) [Reserved]. For guidance see Sec. 86.000-28.
(a)(4)(i)(A) through (a)(4)(i)(B)(2)(i) [Reserved. For guidance see
Sec. 86.094-28.
(a)(4)(i)(B)(2)(ii) [Reserved]. For guidance see Sec. 86.000-28.
(a)(4)(i)(B)(2)(iii) through (a)(4)(i)(B)(2)(iv) [Reserved]. For
guidance see Sec. 86.094-28.
(a)(4)(i)(C) through (a)(4)(i)(D)(2) [Reserved]. For guidance see
Sec. 86.098-28.
(a)(4)(ii)(A)(1) through (a)(4)(ii)(A)(2) [Reserved]. For guidance
see Sec. 86.000-28.
(a)(4)(ii)(B) through (a)(4)(ii)(C) [Reserved]. For guidance see
Sec. 86.098-28.
(a)(4)(iii) [Reserved]. For guidance see Sec. 86.000-28.
(a)(4)(iv) [Reserved]. For guidance see Sec. 86.094-28.
(a)(4)(v) [Reserved]. For guidance see Sec. 86.098-28.
(a)(5) through (a)(6) [Reserved]. For guidance see Sec. 86.094-28.
(a)(7) introductory text [Reserved]. For guidance see Sec. 86.098-
28.
(a)(7)(i) [Reserved]. For guidance see Sec. 86.000-28.
(a)(7)(ii) [Reserved]. For guidance see Sec. 86.094-28.
(b)(1) This paragraph (b) applies to light-duty trucks.
(2) Each exhaust, evaporative and refueling emission standard (and
family emission limits, as appropriate) of Sec. 86.004-9 applies to the
emissions of vehicles for the appropriate useful life as defined in
Secs. 86.098-2 and 86.004-9.
(b)(3) through (b)(4)(i) [Reserved]. For guidance see Sec. 86.094-
28.
(b)(4)(ii) through (b)(6) [Reserved]. For guidance see Sec. 86.000-
28.
(b)(7)(i) through (b)(9) [Reserved]. For guidance see Sec. 86.001-
28.
(c)(1) Paragraph (c) of this section applies to heavy-duty engines.
(2) The applicable exhaust emission standards (or family emission
limits, as appropriate) for Otto-cycle engines and for diesel-cycle
engines apply to the emissions of engines for their useful life.
(3) Since emission control efficiency generally decreases with the
accumulation of service on the engine, deterioration factors will be
used in combination with emission data engine test results as the basis
for determining compliance with the standards.
(4)(i) Paragraph (c)(4) of this section describes the procedure for
determining compliance of an engine with emission standards (or family
emission limits, as appropriate), based on deterioration factors
supplied by the manufacturer. Deterioration factors shall be established
using applicable emissions test procedures. NOX plus NMHC
deterioration factors shall be established based on the sum of the
pollutants. When establishing deterioration factors for NOX
plus NMHC, a negative deterioration (emissions decrease from the
official exhaust emissions test result) for one pollutant may not offset
deterioration of the other pollutant. Where negative deterioration
occurs for NOX and/or NMHC, the official exhaust emission
test result shall be used for purposes of determining the NOX
plus NMHC deterioration factor.
(ii) Separate exhaust emission deterioration factors, determined
from tests of engines, subsystems, or components conducted by the
manufacturer, shall be supplied for each engine-system combination. For
Otto-cycle engines, separate factors shall be established for transient
NMHC (NMHCE), CO, NOX, NOX plus NMHC, and idle CO,
for those engines utilizing aftertreatment technology (e.g., catalytic
converters). For diesel-cycle engines, separate factors shall be
established for transient NMHC (NMHCE), CO, NOX,
NOX plus NMHC and exhaust particulate. For diesel-cycle smoke
testing, separate factors shall also be established for the acceleration
mode (designated as ``A''), the lugging mode (designated as ``B''), and
peak opacity (designated as ``C'').
(iii)(A) Paragraphs (c)(4)(iii)(A) (1) and (2) of this section apply
to Otto-cycle HDEs.
(1) Otto-cycle HDEs not utilizing aftertreatment technology (e.g.,
catalytic converters). For transient NMHC (NMHCE), CO, NOX,
the official exhaust emission results for each emission data engine at
the selected test point shall
[[Page 54]]
be adjusted by the addition of the appropriate deterioration factor.
However, if the deterioration factor supplied by the manufacturer is
less than zero, it shall be zero for the purposes of this paragraph.
(2) Otto-cycle HDEs utilizing aftertreatment technology (e.g.,
catalytic converters). For transient NMHC (NMHCE), CO, NOX,
and for idle CO, the official exhaust emission results for each emission
data engine at the selected test point shall be adjusted by
multiplication by the appropriate deterioration factor, except as
otherwise provided in paragraph (c)(4)(iii)(A)(3) of this section. The
deterioration factor must be calculated by dividing the exhaust
emissions at full useful life by the stabilized mileage emission level
(reference Sec. 86.096-26(c)(4), e.g., 125 hours). However, if the
deterioration factor supplied by the manufacturer is less than one, it
shall be one for purposes of this paragraph (c)(4)(iii)(A)(2).
(3) An Otto-cycle heavy-duty engine manufacturer who believes that a
deterioration factor derived using the calculation methodology described
in paragraph (c)(4)(iii)(4)(A)(2) of this section are significantly
unrepresentative for one or more engine families (either too high or too
low) may petition the Administrator to allow for the use of an additive
rather than a multiplicative deterioration factor. This petition must
include full rationale behind the request together with any supporting
data or other evidence. Based on this or other information the
Administration may allow for an alternative procedure. Any petition
should be submitted in a timely manner, to allow adequate time for a
thorough evaluation. Manufacturers using an additive deterioration
factor under this paragraph (c)(4)(iii)(A)(3) must perform in-use
verification testing to determine if the additive deterioration factor
reasonably predicts actual in-use emissions. The plan for the in-use
verification testing must be approved by the Administrator as part of
the approval process described in this paragraph (c)(4)(iii)(4)(A)(3)
prior to the use of the additive deterioration factor. The Administrator
may consider the results of the in-use verification testing both in
certification and in-use compliance programs.
(B) Paragraph (c)(4)(iii)(B) of this section applies to diesel-cycle
HDEs.
(1) Diesel-cycle HDEs not utilizing aftertreatment technology (e.g.,
particulate traps). For transient NMHC (NMHCE), CO, NOX,
NOX plus NMHC, and exhaust particulate, the official exhaust
emission results for each emission data engine at the selected test
point shall be adjusted by the addition of the appropriate deterioration
factor. However, if the deterioration factor supplied by the
manufacturer is less than zero, it shall be zero for the purposes of
this paragraph.
(2) Diesel-cycle HDEs utilizing aftertreatment technology (e.g.,
particulate traps). For transient NMHC (NMHCE), CO, NOX,
NOX plus NMHC, and exhaust particulate, the official exhaust
emission results for each emission data engine at the selected test
point shall be adjusted by multiplication by the appropriate
deterioration factor. However, if the deterioration factor supplied by
the manufacturer is less than one, it shall be one for the purposes of
this paragraph.
(3) Diesel-cycle HDEs only. For acceleration smoke (``A''), lugging
smoke (``B''), and peak smoke (``C''), the official exhaust emission
results for each emission data engine at the selected test point shall
be adjusted by the addition of the appropriate deterioration factor.
However, if the deterioration factor supplied by the manufacturer is
less than zero, it shall be zero for the purposes of this paragraph.
(iv) The emission values to compare with the standards (or family
emission limits, as appropriate) shall be the adjusted emission values
of paragraph (c)(4)(iii) of this section, rounded to the same number of
significant figures as contained in the applicable standard in
accordance with ASTM E 29-93a (as referenced in Sec. 86.094-28
(a)(4)(i)(B)(2)(ii)), for each emission data engine.
(5) and (6) [Reserved]
(7) Every test engine of an engine family must comply with all
applicable standards (or family emission limits, as appropriate), as
determined in paragraph (c)(4)(iv) of this section, before any engine in
that family will be certified.
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(8) For the purposes of setting an NMHC plus NOx
certification level or FEL for a diesel-fueled engine family, the
manufacturer may use one of the following options for the determination
of NMHC for an engine family. The manufacturer must declare which option
is used in its application for certification of that engine family.
(i) THC may be used in lieu of NMHC for the standards set forth in
Sec. 86.004-11.
(ii) The manufacturer may choose its own method to analyze methane
with prior approval of the Administrator.
(iii) The manufacturer may assume that two percent of the measured
THC is methane (NMHC =0.98 x THC).
(d)(1) Paragraph (d) of this section applies to heavy-duty vehicles
equipped with gasoline-fueled or methanol-fueled engines.
(2) The applicable evaporative emission standards in this subpart
apply to the emissions of vehicles for their useful life.
(3)(i) For vehicles with a GVWR of up to 26,000 pounds, because it
is expected that emission control efficiency will change during the
useful life of the vehicle, an evaporative emission deterioration factor
shall be determined from the testing described in Sec. 86.098-23(b)(3)
for each evaporative emission family-evaporative emission control system
combination to indicate the evaporative emission control system
deterioration during the useful life of the vehicle (minimum 50,000
miles). The factor shall be established to a minimum of two places to
the right of the decimal.
(ii) For vehicles with a GVWR of greater than 26,000 pounds, because
it is expected that emission control efficiency will change during the
useful life of the vehicle, each manufacturer's statement as required in
Sec. 86.098-23(b)(4)(ii) shall include, in accordance with good
engineering practice, consideration of control system deterioration.
(4) The evaporative emission test results, if any, shall be adjusted
by the addition of the appropriate deterioration factor, provided that
if the deterioration factor as computed in paragraph (d)(3) of this
section is less than zero, that deterioration factor shall be zero for
the purposes of this paragraph.
(5) The emission level to compare with the standard shall be the
adjusted emission level of paragraph (d)(4) of this section. Before any
emission value is compared with the standard, it shall be rounded, in
accordance with ASTM E 29-93a (as referenced in Sec. 86.094-28
(a)(4)(i)(B)(2)(ii)), to two significant figures. The rounded emission
values may not exceed the standard.
(6) Every test vehicle of an evaporative emission family must comply
with the evaporative emission standard, as determined in paragraph
(d)(5) of this section, before any vehicle in that family may be
certified.
(e) [Reserved]
(f) through (g)(3) [Reserved]. For guidance see Sec. 86.001-28.
(g)(4) Vehicles certified to the refueling emission standard under
this provision shall not be counted in the sales percentage compliance
determinations for the 2004, 2005 and subsequent model years.
(h) [Reserved]. For guidance see Sec. 86.001-28.
(i) Emission results from heavy-duty engines equipped with exhaust
aftertreatment may need to be adjusted to account for regeneration
events. This provision only applies for engines equipped with emission
controls that are regenerated on an infrequent basis. For the purpose of
this paragraph (i), the term ``regeneration'' means an event during
which emissions levels change while the aftertreatment performance is
being restored by design. Examples of regenerations are increasing
exhaust gas temperature to remove sulfur from an adsorber or increasing
exhaust gas temperature to oxidize PM in a trap. For the purpose of this
paragraph (i), the term ``infrequent'' means having an expected
frequency of less than once per transient test cycle. Calculation and
use of adjustment factors are described in paragraphs (i)(1) through
(i)(5) of this section.
(1) Development of adjustment factors. Manufacturers must develop
separate pairs of adjustment factors (an upward adjustment factor and a
downward adjustment factor) for each pollutant based on measured
emission data and observed regeneration frequency. Adjustment factors
may be carried-over
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to subsequent model years or carried-across to other engine families
only where the Administrator determines that such carry-over or carry-
across is consistent with good engineering judgment. Adjustment factors
should generally apply to an entire engine family, but manufacturers may
develop separate adjustment factors for different engine configurations
within an engine family. All adjustment factors for regeneration are
additive.
(2) Calculation of adjustment factors. The adjustment factors are
calculated from the following parameters: the measured emissions from a
test in which the regeneration occurs (EFH), the measured
emissions from a test in which the regeneration does not occur
(EFL), and the frequency of the regeneration event in terms
of fraction of tests during which the regeneration occurs (F). The
average emission rate (EFA) is calculated as:
EFA = (F)(EFH) + (1 - F)(EFL)
(i) The upward adjustment factor (UAF) is calculated as: UAF =
EFA - EFL.
(ii) The downward adjustment factor (DAF) is calculated as: DAF =
EFA - EFH.
(3) Use of adjustment factors. Upward adjustment factors are added
to measured emission rates for all tests in which the regeneration does
not occur. Downward adjustment factors are added to measured emission
rates for all tests in which the regeneration occurs. The occurrence of
the regeneration must be identified in a manner that is readily apparent
during all testing. Where no regeneration is identified, the upward
adjustment factor shall be applied.
(4) Sample calculation. If EFL is 0.10 g/bhp-hr,
EFH is 0.50 g/bhp-hr, and F is 0.1 (i.e., the regeneration
occurs once for each ten tests), then:
EFA = (0.1)(0.5 g/bhp-hr) + (1.0 - 0.1)(0.1 g/bhp-hr) = 0.14
g/bhp-hr
UAF = 0.14 g/bhp-hr - 0.10 g/bhp-hr = 0.04 g/bhp-hr
DAF = 0.14 g/bhp-hr - 0.50 g/bhp-hr = -0.36 g/bhp-hr
(5) Options. (i) A manufacturer may elect to omit adjustment factors
for one or more of its engine families (or configurations) because the
effect of the regeneration is small, or because it is not practical to
identify when regenerations occur. In these cases, no upward or downward
adjustment factor shall be added, and the manufacturer is liable for
compliance with the emission standards for all tests, without regard to
whether a regeneration occurs.
(ii) Upon request by the manufacturer, the Administrator may account
for regeneration events differently than is provided in this paragraph
(i). However, this option only applies for events that occur extremely
infrequently, and which cannot be practically addressed using the
adjustment factors described in this paragraph (i).
[61 FR 54890, Oct. 22, 1996, as amended at 62 FR 54726, Oct. 21, 1997;
65 FR 59948, Oct. 6, 2000; 66 FR 5159, Jan. 18, 2001]