[Code of Federal Regulations]
[Title 40, Volume 30]
[Revised as of July 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR1039.205]
[Page 491-494]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 1039_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES--Table of Contents
Subpart C_Certifying Engine Families
Sec. 1039.205 What must I include in my application?
This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1039.201(c). We may require you to provide additional information to
evaluate your application.
(a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable engine configuration
in the engine family. For each engine configuration, list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec. 1039.140.
(b) Explain how the emission-control system operates. Describe in
detail all system components for controlling exhaust emissions,
including all auxiliary-emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine.
Identify the part number of each component you describe. For this
paragraph (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission-control
strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the values).
Include equipment-based parameters and state
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whether you simulate them during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that
activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation for
each parameter, the relationship between the sensed parameters and the
controlled parameters and how the modulation achieves the AECD's stated
purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
(9) Describe the hierarchy among the AECDs when multiple AECDs sense
or modulate the same parameter. Describe whether the strategies interact
in a comparative or additive manner and identify which AECD takes
precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the
applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to
protect engines or equipment:
(i) Identify the engine and/or equipment design limits that make
protection necessary and describe any damage that would occur without
the AECD.
(ii) Describe how each sensed parameter relates to the protected
components' design limits or those operating conditions that cause the
need for protection.
(iii) Describe the relationship between the design limits/parameters
being protected and the parameters sensed or calculated as surrogates
for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and/or
equipment from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead
of measuring them directly and describe how the AECD calculates the
estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate only
during conditions related to the stated need to protect components and
only as needed to sufficiently protect those components in a way that
minimizes the emission impact.
(c) [Reserved]
(d) Describe the engines you selected for testing and the reasons
for selecting them.
(e) Describe the test equipment and procedures that you used,
including any special or alternate test procedures you used (see Sec.
1039.501).
(f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
(g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the maintenance instructions you will give to the
ultimate purchaser of each new nonroad engine (see Sec. 1039.125).
(j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a piece of nonroad
equipment (see Sec. 1039.130).
(k) Describe your emission control information label (see Sec.
1039.135).
(l) Identify the emission standards or FELs to which you are
certifying engines in the engine family. Identify the ambient operating
regions that will apply for NTE testing under Sec. 1039.101(e)(4).
(m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec. 1039.245). Present any emission test
data you used for this.
(n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
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(o) Present emission data for hydrocarbons (such as NMHC or THCE, as
applicable), NOX, PM, and CO on an emission-data
engine to show your engines meet the applicable duty-cycle emission
standards we specify in Sec. 1039.101. Show emission data figures
before and after applying adjustment factors for regeneration and
deterioration factors for each engine. Present emission data to show
that you meet any applicable smoke standards we specify in Sec.
1039.105. If we specify more than one grade of any fuel type (for
example, high-sulfur and low-sulfur diesel fuel), you need to submit
test data only for one grade, unless the regulations of this part
specify otherwise for your engine. Note that Sec. 1039.235 allows you
to submit an application in certain cases without new emission data.
(p) State that all the engines in the engine family comply with the
not-to-exceed emission standards we specify in subpart B of this part
for all normal operation and use when tested as specified in Sec.
1039.515. Describe any relevant testing, engineering analysis, or other
information in sufficient detail to support your statement.
(q) For engines above 560 kW, include information showing how your
emission controls will function during normal in-use transient
operation. For example, this might include the following:
(1) Emission data from transient testing of engines using
measurement systems designed for measuring in-use emissions.
(2) Comparison of the engine design for controlling transient
emissions with that from engines for which you have emission data over
the transient duty cycle for certification.
(3) Detailed descriptions of control algorithms and other design
parameters for controlling transient emissions.
(r) Report all test results, including those from invalid tests or
from any other tests, whether or not they were conducted according to
the test procedures of subpart F of this part. If you measure
CO2, report those emission levels. We may ask you to send
other information to confirm that your tests were valid under the
requirements of this part and 40 CFR part 1065.
(s) Describe all adjustable operating parameters (see Sec.
1039.115(e)), including production tolerances. Include the following in
your description of each parameter:
(1) The nominal or recommended setting.
(2) The intended physically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of
inhibiting adjustment are effective in preventing adjustment of
parameters on in-use engines to settings outside your intended
physically adjustable ranges.
(t) Provide the information to read, record, and interpret all the
information broadcast by an engine's onboard computers and electronic
control units. State that, upon request, you will give us any hardware,
software, or tools we would need to do this. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
(u) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in equipment and placed in service.
If this cannot be done by simply adding a 20-centimeter extension to the
exhaust pipe, show how to sample exhaust emissions in a way that
prevents diluting the exhaust sample with ambient air.
(v) State whether your certification is limited for certain engines.
If this is the case, describe how you will prevent use of these engines
in applications for which they are not certified. This applies for
engines such as the following:
(1) Constant-speed engines.
(2) Engines used for transportation refrigeration units that you
certify under the provisions of Sec. 1039.645.
(3) Hand-startable engines certified under the provisions of Sec.
1039.101(c).
(4) Engines above 560 kW that are not certified to emission
standards for generator-set engines.
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(w) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced parts
of the CFR, and the Clean Air Act.
(x) Include estimates of U.S.-directed production volumes.
(y) Include the information required by other subparts of this part.
For example, include the information required by Sec. 1039.725 if you
participate in the ABT program.
(z) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.