[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: 40CFR1039.104]
[Page 487-493]
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 B_Emission Standards and Related Requirements
Sec. 1039.104 Are there interim provisions that apply only for a
limited time?
The provisions in this section apply instead of other provisions in
this part. This section describes when these interim provisions apply.
(a) Incentives for early introduction. This paragraph (a) allows you
to reduce the number of engines subject to the applicable standards in
Sec. 1039.101 or Sec. 1039.102, when some of your engines are
certified to the specified levels earlier than otherwise required. The
engines that are certified early are considered offset-generating
engines. The provisions of this paragraph (a), which describe the
requirements applicable to offset-generating engines, apply beginning in
model year 2007. These offset
[[Page 488]]
generating engines may generate additional allowances for equipment
manufacturers under the incentive program described in Sec. 1039.627;
you may instead use these offsets under paragraph (a)(2) of this section
in some cases.
(1) For early-compliant engines to generate offsets for use either
under this paragraph (a) or under Sec. 1039.627, you must meet the
following general provisions:
(i) You may not generate offsets from engines below 19 kW.
(ii) You must begin actual production of engines covered by the
corresponding certificate by the following dates:
(A) For engines at or above 19 kW and below 37 kW: September 1,
2012.
(B) For engines at or above 37 kW and below 56 kW: September 1, 2012
if you choose Option 1 in Table 3 of Sec. 1039.102, or
September 1, 2011 if you do not choose Option 1 in Table 3 of
Sec. 1039.102.
(C) For engines in the 56-130 kW power category: September 1, 2011.
(D) For engines in the 130-560 kW power category: September 1, 2010.
(E) For engines above 560 kW: September 1, 2014.
(iii) Engines you produce after December 31 of the year shown in
paragraph (a)(1)(ii) of this section may not generate offsets.
(iv) You may not use ABT credits to certify offset-generating
engines.
(v) Offset-generating engines must be certified to the Tier 4
standards and requirements under this part 1039.
(2) If equipment manufacturers decline offsets for your offset-
generating engines under Sec. 1039.627, you may not generate ABT
credits with these engines, but you may reduce the number of engines
that are required to meet the standards in Sec. 1039.101 or 1039.102 as
follows:
----------------------------------------------------------------------------------------------------------------
You may reduce the
That are number of engines
With maximum certified to the in the same power
For every . . . engine power . . applicable category that are In later model years
. standards in . . required to meet by . . .
. the . . .
----------------------------------------------------------------------------------------------------------------
(i) 2 engines................. 19 <= kW < 37.... Table 2 of Sec. PM standard in 3 engines.
1039.102 \1\. Table 2 of Sec.
1039.102
applicable to
model year 2013
or 2014 engines
or the PM
standard in Table
1 of Sec.
1039.101.
(ii) 2 engines................ 56 <= kW <= 560.. Table 4, 5, or 6 Phase-out 3 engines.
of Sec. standards in
1039.102 for Tables 4 through
Phase-out 6 of Sec.
engines. 1039.102.
(iii) 2 engines............... kW = Table 1 of Sec. Standards in 3 engines.\2\
19. 1039.101. Tables 2 through
7 of Sec.
1039.102 or
standards in
Table 1 of Sec.
1039.101.
(iv) 1 engine................. kW = Table 1 of Sec. Standards in 2 engines.\2\
19. 1039.101 + 0.20 Tables 2 through
g/kW-hr NOX 7 of Sec.
standard. 1039.102 or
standards in
Table 1 of Sec.
1039.101.
----------------------------------------------------------------------------------------------------------------
\1\ The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NOX+NMHC
and CO standards applicable to model year 2012 engines.
\2\ For engines above 560 kW, offsets from generator-set engines may be used only for generator-set engines.
Offsets from engines for other applications may be used only for other applications besides generator sets.
(3) Example: If you produce 100 engines in the 56-130 kW power
category in model year 2008 that are certified to the 56-130 kW
standards listed in Sec. 1039.101, and you produced 10,000 engines in
this power category in model year 2015, then only 9,850 of these model
year 2015 engines would need to comply with the standards listed in
Sec. 1039.101. The 100 offset-generating engines in model year 2008
could not use or generate ABT credits.
(4) Offset-using engines (that is, those not required to certify to
the standards of Sec. 1039.101 or Sec. 1039.102 under paragraph (a)(2)
of this section) are subject to the following provisions:
(i) If the offset is being used under paragraph (a)(2)(i) of this
section for an engine that would otherwise be certified to the model
year 2013 or 2014 standards in Table 2 of Sec. 1039.102 or the
standards in Table 1 of Sec. 1039.101, this engine must be certified to
the standards and requirements of this part 1039, except that the only
PM standard that applies is the steady-state PM standard that applies
for model year 2012. Such an engine may not generate ABT credits.
[[Page 489]]
(ii) If the offset is being used under paragraph (a)(2)(ii) of this
section for an engine that would otherwise be certified to the phase-out
standards in Tables 4 through 6 of Sec. 1039.102, this engine must be
certified to the standards and requirements of this part 1039, except
that the PM standard is the Tier 3 PM standard that applies for this
engine's maximum power. Such an engine will be treated as a phase-out
engine for purposes of determining compliance with percentage phase-in
requirements. Such an engine may not generate ABT credits.
(iii) All other offset-using engines must meet the standards and
other provisions that apply in model year 2011 for engines in the 19-130
kW power categories, in model year 2010 for engines in the 130-560 kW
power category, or in model year 2014 for engines above 560 kW. Show
that engines meet these emission standards by meeting all the
requirements of Sec. 1068.265. You must meet the labeling requirements
in Sec. 1039.135, but add the following statement instead of the
compliance statement in Sec. 1039.135(c)(12): ``THIS ENGINE MEETS U.S.
EPA EMISSION STANDARDS UNDER 40 CFR 1039.104(a).'' For power categories
with a percentage phase-in, these engines should be treated as phase-in
engines for purposes of determining compliance with phase-in
requirements.
(5) If an equipment manufacturer claims offsets from your engine for
use under Sec. 1039.627, the engine generating the offset must comply
with the requirements of paragraph (a)(1) of this section. You may not
generate offsets for use under paragraphs (a)(2) and (5) of this section
for these engines. You may generate ABT credits from these engines as
follows:
(i) To generate emission credits for NOX,
NOX+NMHC, and PM, the engine must be certified to FELs at or
below the standards in paragraph (a)(2) of this section.
(ii) Calculate credits according to Sec. 1039.705 but use as the
applicable standard the numerical value of the standard to which the
engine would have otherwise been subject if it had not been certified
under this paragraph (a).
(iii) For the production volume, use the number of engines certified
under this paragraph (a) for which you do not claim offsets under
paragraph (a)(2) of this section.
(6) You may include engines used to generate offsets under this
paragraph (a) and engines used to generate offsets under Sec. 1039.627
in the same engine family, subject to the provisions of Sec. 1039.230.
The engine must be certified to FELs, as specified in paragraph
(a)(5)(i) of this section. The FELs must be below the standard levels
specified in paragraph (a)(2) of this section and those specified in
Sec. 1039.627. In the reports required in Sec. 1039.730, include the
following information for each model year:
(i) The total number of engines that generate offsets under this
paragraph (a).
(ii) The number of engines used to generate offsets under paragraph
(a)(2) of this section.
(iii) The names of equipment manufacturers that intend to use your
offsets under Sec. 1039.627 and the number of offsets involved for each
equipment manufacturer.
(b) In-use compliance limits. For purposes of determining compliance
after title or custody has transferred to the ultimate purchaser,
calculate the applicable in-use compliance limits by adjusting the
applicable standards or FELs. This applies only for engines at or above
19 kW. The NOX adjustment applies only for engines with a
NOX FEL no higher than 2.1 g/kW-hr The PM adjustment applies
only for engines with a PM FEL no higher than the PM standard in Sec.
1039.101 for the appropriate power category. Add the following
adjustments to the otherwise applicable standards or FELs (steady-state,
transient, and NTE) for NOX and PM:
----------------------------------------------------------------------------------------------------------------
The PM
If your engine's maximum The NOX adjustment in g/kW- adjustment in
In model years . . . power is . . . hr is . . . g/kW-hr is . .
.
----------------------------------------------------------------------------------------------------------------
2013-2014............................ 19 <= kW < 56.............. not allowed................. 0.01
[[Page 490]]
2012-2016............................ 56 <= kW < 130............. 0.16 for operating hours <= 0.01
2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
2011-2015............................ 130 <= kW < 560............ 0.16 for operating hours <= 0.01
2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
2011-2016............................ kW 560......... 0.16 for operating hours <= 0.01
2000.
0.25 for operating hours
2001 to 3400.
0.34 for operating hours 3400.
----------------------------------------------------------------------------------------------------------------
(c) Provisions for small-volume manufacturers. Special provisions
apply if you are a small-volume engine manufacturer subject to the
requirements of this part. You must notify us in writing before January
1, 2008 if you intend to use these provisions.
(1) You may delay complying with certain otherwise applicable Tier 4
emission standards and requirements as described in the following table:
----------------------------------------------------------------------------------------------------------------
Until model Before that model year the
If your engine's maximum power is . . . You may delay meeting . . . year . . . engine must comply with . .
.
----------------------------------------------------------------------------------------------------------------
kW < 19.................................. The standards and 2011 The standards and
requirements of this part. requirements in 40 CFR
part 89.
19 <= kW < 37............................ The Tier 4 standards and 2016 The Tier 4 standards and
requirements of this part requirements that apply
that would otherwise be for model year 2008.
applicable in model year
2013.
37 <= kW < 56............................ See paragraph (c)(2) of this section for special provisions that
apply for engines in this power category.
56 <= kW < 130........................... The standards and 2015 The standards and
requirements of this part. requirements in 40 CFR
part 89.
----------------------------------------------------------------------------------------------------------------
(2) To use the provisions of this paragraph (c) for engines at or
above 37 kW and below 56 kW, choose one of the following:
(i) If you comply with the 0.30 g/kW-hr PM standard in Sec.
1039.102 in all model years from 2008 through 2012 without using PM
credits, you may continue meeting that standard through 2015.
(ii) If you do not choose to comply with paragraph (c)(2)(i) of this
section, you may continue to comply with the standards and requirements
in 40 CFR part 89 for model years through 2012, but you must begin
complying in 2013 with Tier 4 standards and requirements specified in
Table 3 of Sec. 1039.102 for model years 2013 and later.
(3) After the delays indicated in paragraph (c)(1) and (2) of this
section, you must comply with the same Tier 4 standards and requirements
as all other manufacturers.
(4) For engines not in the 19-56 kW power category, if you delay
compliance with any standards under this paragraph (c), you must do all
the following things for the model years when you are delaying
compliance with the otherwise applicable standards:
(i) Produce engines that meet all the emission standards and other
requirements under 40 CFR part 89 applicable for that model year, except
as noted in this paragraph (c).
(ii) Meet the labeling requirements in 40 CFR 89.110, but use the
following compliance statement instead of the compliance statement in 40
CFR 89.110(b)(10): ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR
1039.104(c).''.
(iii) Notify the equipment manufacturer that the engines you produce
under this section are excluded from the production volumes associated
with the equipment-manufacturer allowance program in Sec. 1039.625.
(5) For engines in the 19-56 kW power category, if you delay
compliance with any standards under this paragraph (c),
[[Page 491]]
you must do all the following things for the model years when you are
delaying compliance with the otherwise applicable standards:
(i) Produce engines in those model years that meet all the emission
standards and other requirements that applied for your model year 2008
engines in the same power category.
(ii) Meet the labeling requirements in Sec. 1039.135, but use the
following compliance statement instead of the compliance statement in
Sec. 1039.135: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR
1039.104(c).''.
(iii) Notify the equipment manufacturer that the engines you produce
under this section are excluded from the production volumes associated
with the equipment-manufacturer allowance program in Sec. 1039.625.
(6) The provisions of this paragraph (c) may not be used to
circumvent the requirements of this part.
(d) Deficiencies for NTE standards. You may ask us to accept as
compliant an engine that does not fully meet specific requirements under
the applicable NTE standards. Such deficiencies are intended to allow
for minor deviations from the NTE standards under limited conditions. We
expect your engines to have functioning emission-control hardware that
allows you to comply with the NTE standards.
(1) Request our approval for specific deficiencies in your
application for certification, or before you submit your application. We
will not approve deficiencies retroactively to cover engines already
certified. In your request, identify the scope of each deficiency and
describe any auxiliary emission-control devices you will use to control
emissions to the lowest practical level, considering the deficiency you
are requesting.
(2) We will approve a deficiency only if compliance would be
infeasible or unreasonable considering such factors as the technical
feasibility of the given hardware and the applicable lead time and
production cycles--including schedules related to phase-in or phase-out
of engines. We may consider other relevant factors.
(3) Our approval applies only for a single model year and may be
limited to specific engine configurations. We may approve your request
for the same deficiency in the following model year if correcting the
deficiency would require unreasonable hardware or software modifications
and we determine that you have demonstrated an acceptable level of
effort toward complying.
(4) You may ask for any number of deficiencies in the first three
model years during which NTE standards apply for your engines. For the
next four model years, we may approve up to three deficiencies per
engine family. Deficiencies of the same type that apply similarly to
different power ratings within a family count as one deficiency per
family. We may condition approval of any such additional deficiencies
during these four years on any additional conditions we determine to be
appropriate. We will not approve deficiencies after the seven-year
period specified in this paragraph (d)(4).
(e) Diesel test fuels and corresponding labeling requirements. For
diesel-fueled engines in 2011 and later model years, the diesel test
fuel is ultra low-sulfur diesel fuel specified in 40 CFR part 1065. For
diesel-fueled engines in 2010 and earlier model years, use test fuels
and meet labeling requirements as follows:
(1) Use the following test fuels in 2010 and earlier model years:
(i) Unless otherwise specified, the diesel test fuel is low-sulfur
diesel fuel specified in 40 CFR part 1065.
(ii) In model years 2007 through 2010, you may use ultra low-sulfur
diesel fuel as the test fuel for any engine family that employs sulfur-
sensitive technology if you can demonstrate that in-use engines in the
family will use diesel fuel with a sulfur concentration no greater than
15 ppm.
(iii) You may use ultra low-sulfur diesel fuel as the test fuel for
engine families in any power category below 56 kW, as long as none of
the engines in your engine family employ sulfur-sensitive technologies,
you ensure that ultimate purchasers of equipment using these engines are
informed that ultra low-sulfur diesel fuel is recommended, and you
recommend to equipment manufacturers that a label be applied at
[[Page 492]]
the fuel inlet recommending 15 ppm fuel.
(iv) For the engines described in Sec. 1039.101(c) that are
certified to the 0.60 g/kW-hr PM standard in Table 1 of Sec. 1039.102
in the 2010 model year, you may test with the ultra low-sulfur fuel
specified in 40 CFR part 1065.
(2) Meet the labeling requirements of this paragraph (e)(2) (or
other labeling requirements we approve) to identify the applicable test
fuels specified in paragraph (e)(1) of this section. Provide
instructions to equipment manufacturers to ensure that they are aware of
these labeling requirements.
(i) For engines certified under the provisions of paragraph
(e)(1)(i) of this section, include the following statement on the
emission control information label and the fuel-inlet label specified in
Sec. 1039.135: ``LOW SULFUR FUEL OR ULTRA LOW SULFUR FUEL ONLY''.
(ii) For engines certified under the provisions of paragraph
(e)(1)(ii) of this section, include the following statement on the
emission control information label and the fuel-inlet label specified in
Sec. 1039.135: ``ULTRA LOW SULFUR FUEL ONLY''.
(iii) For engines certified under the provisions of paragraph
(e)(1)(iii) of this section, include the following statement on the
emission control information label specified in Sec. 1039.135: ``ULTRA
LOW SULFUR FUEL RECOMMENDED''.
(3) For model years 2010 and earlier, we will use the test fuel that
you use under paragraph (e)(1) of this section, subject to the
conditions of paragraph (e)(1) of this section.
(f) Requirements for equipment manufacturers. If you produce
equipment with engines certified to Tier 3 standards under Option
2 of Table 3 of Sec. 1039.102 during model years from 2008
through 2011, then a minimum number of pieces of equipment you produce
using 2012 model year engines must have engines certified to the Option
2 standards, as follows:
(1) For equipment you produce with 2012 model year engines at or
above 37 kW and below 56 kW, determine the minimum number of these
engines that must be certified to the Option 2 standards in
Table 3 of Sec. 1039.102 as follows:
(i) If all the equipment you produce using 2008 through 2011 model
year engines use engines certified to Tier 3 standards under Option
2 of Table 3 of Sec. 1039.102, then all the 2012 model year
engines you install must be certified to the Option 2 standards
of Table 3 of Sec. 1039.102.
(ii) If you produce equipment using 2008 through 2011 model year
engines with some engines certified to Option 1 standards of
Table 3 of Sec. 1039.102 and some engines certified to Tier 3 standards
under Option 2 standards of Table 3 of Sec. 1039.102,
calculate the minimum number of 2012 model year engines you must install
that are certified to the Option 2 standards of Table 3 of
Sec. 1039.102 from the following equation:
Minimum number = [(T-O1-F)/(T-F)-0.05] x P
Where:
T = The total number of 2008-2010 model year engines at or above 37 kW
and below 56 kW that you use in equipment you produce.
O1 = The number of engines from the 2008-2010 model years
certified under Option 1 of Table 3 of Sec. 1039.102 that you
use in equipment you produce.
F = The number of 2008-2010 model year engines at or above 37 kW and
below 56 kW that you use in equipment you produce under the flexibility
provisions of Sec. 1039.625.
P = The total number of 2012 model year engines at or above 37 kW and
below 56 kW that you use in equipment you produce.
(2) As needed for the calculation required by this paragraph (f),
keep records of all equipment you produce using 2008-2012 model year
engines at or above 37 kW and below 56 kW. If you fail to keep these
records, you may not use any 2012 model year engines certified to Option
1 standards in your equipment.
(3) If you fail to comply with the provisions of this paragraph (f),
then using 2012 model year engines certified under Option 1 of
Table 3 of Sec. 1039.102 (or certified to less stringent standards) in
such equipment violates the prohibitions in Sec. 1068.101(a)(1).
(g) Alternate FEL caps. You may certify a limited number of engines
from your U.S.-directed production volume
[[Page 493]]
to the FEL caps in Table 1 of this section instead of the otherwise
applicable FEL caps in Sec. 1039.101(d)(1), Sec. 1039.102(e), or Sec.
1039.102(g)(2), subject to the following provisions:
(1) The provisions of this paragraph (g) apply during the model
years shown in Table 1 of this section. During this period, the number
of engines certified to the FEL caps in Table 1 of this section must not
exceed 20 percent in any single model year in each power category. The
sum of percentages over the four-year period must not exceed a total of
40 percent in each power category. If you certify an engine under an
alternate FEL cap in this paragraph (g) for any pollutant, count it
toward the allowed percentage of engines certified to the alternate FEL
caps.
(2) If your engine is not certified to transient emission standards
under the provisions of Sec. 1039.102(a)(1)(iii), you must adjust your
FEL upward by a temporary compliance adjustment factor (TCAF) before
calculating your negative emission credits under Sec. 1039.705, as
follows:
(i) The temporary compliance adjustment factor for NOX is
1.1.
(ii) The temporary compliance adjustment factor for PM is 1.5.
(iii) The adjusted FEL (FELadj) for calculating emission
credits is determined from the steady-state FEL (FELss) using
the following equation:
FELadj = (FELss) x (TCAF)
(iv) The unadjusted FEL (FELss) applies for all purposes
other than credit calculation.
(3) These alternate FEL caps may not be used for phase-in engines.
(4) Do not apply TCAFs to gaseous emissions for phase-out engines
that you certify to the same numerical standards (and FELs if the
engines are certified using ABT) for gaseous pollutants as you certified
under the Tier 3 requirements of 40 CFR part 89.
Table 1 of Sec. 1039.104--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
Model years Model years
PM FEL cap, g/ for the NOX FEL cap, g/ for the
Maximum engine power kW-hr alternate PM kW-hr alternate NOX
FEL cap FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56................................... 0.30 \1\ 2012-2015 .............. ..............
56 <= kW < 130 \2\.............................. 0.30 \3\ 2012-2015 3.8 \3\ 2014-2015
130 <= kW <= 560................................ 0.20 2011-2014 3.8 2014
kW 560 \4\.......................... 0.10 2015-2018 3.5 2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ For manufacturers certifying engines under Option 1 of Table 3 of Sec. 1039.102, these alternate
FEL caps apply for model years from 2013 through 2016.
\2\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\3\ For engines certified under the provisions of Sec. 1039.102(d)(2) or (e)(1)(ii), the alternate NOX FEL cap
in the table applies only for the 2015 model year.
\4\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines. For
example, if you produce 1,000 generator-set engines above 560 kW in 2015, up to 200 of them may be certified
to the alternate NOX FEL caps.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]