[Code of Federal Regulations]

[Title 40, Volume 20]

[Revised as of July 1, 2006]

From the U.S. Government Printing Office via GPO Access

[CITE: 40CFR89.102]



[Page 47-49]

 

                   TITLE 40--PROTECTION OF ENVIRONMENT

 

         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)

 

PART 89_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 

COMPRESSION-IGNITION ENGINES--Table of Contents

 

        Subpart B_Emission Standards and Certification Provisions

 

Sec.  89.102  Effective dates, optional inclusion, flexibility for 

equipment manufacturers.



    (a) This subpart applies to all engines described in Sec.  89.101 

with the following power rating and manufactured after the following 

dates:

    (1) Less than 19 kW and manufactured on or after January 1, 2000;

    (2) Greater than or equal to 19 kW but less than 37 kW and 

manufactured on or after January 1, 1999;

    (3) Greater than or equal to 37 kW but less than 75 kW and 

manufactured on or after January 1, 1998;

    (4) Greater than or equal to 75 kW but less than 130 kW and 

manufactured on or after January 1, 1997;

    (5) Greater than or equal to 130 kW but less than or equal to 560 kW 

and manufactured on or after January 1, 1996;

    (6) Greater than 560 kW and manufactured on or after January 1, 

2000.

    (b) A manufacturer can optionally certify engines manufactured up to 

one calendar year prior to the effective date of mandatory certification 

to earn emission credits under the averaging, banking, and trading 

program. Such optionally certified engines are subject to all provisions 

relating to mandatory certification and enforcement described in this 

part.

    (c) Engines meeting the voluntary standards described in Sec.  

89.112(f) may be designated as Blue Sky Series engines through the 2004 

model year.

    (d) Implementation flexibility for equipment and vehicle 

manufacturers and post-manufacture marinizers. Nonroad equipment and 

vehicle manufacturers and post-manufacture marinizers may take any of 

the otherwise prohibited actions identified in Sec.  89.1003(a)(1) with 

respect to nonroad equipment and vehicles and marine diesel engines, 

subject to the requirements of paragraph (e) of this section. The 

following allowances apply separately to each engine power category 

subject to standards under Sec.  89.112:

    (1) Percent-of-production allowances. (i) Equipment rated at or 

above 37 kW. For nonroad equipment and vehicles with engines rated at or 

above 37 kW, a manufacturer may take any of the actions identified in 

Sec.  89.1003(a)(1) for a portion of its U.S.-directed production volume 

of such equipment and vehicles during the seven years immediately 

following the date on which Tier 2 engine standards first apply to 

engines used in such equipment and vehicles, provided that the seven-

year sum of these portions in each year, as expressed as a percentage 

for each year, does not exceed 80, and provided that all such equipment 

and vehicles or equipment contain Tier 1 or Tier 2 engines;

    (ii) Equipment rated under 37 kW. For nonroad equipment and vehicles 

and marine diesel engines with engines rated under 37 kW, a manufacturer 

may take any of the actions identified in Sec.  89.1003(a)(1) for a 

portion of its U.S.-directed production volume of such equipment and 

vehicles during the seven years immediately following the date on which 

Tier 1 engine standards first apply to engines used in such equipment 

and vehicles, provided that the seven-year sum of these portions in each 

year, as expressed as a percentage for each year, does not exceed 80.

    (2) Small volume allowances. A nonroad equipment or vehicle 

manufacturer or post-manufacture marinizer may exceed the production 

percentages in paragraph (d)(1) of this section, provided that in each 

regulated power category the manufacturer's total of excepted nonroad 

equipment and vehicles and marine diesel engines:

    (i) Over the years in which the percent-of-production allowance 

applies does not exceed 100 units times the



[[Page 48]]



number of years in which the percent-of-production allowance applies; 

and

    (ii) Does not exceed 200 units in any year; and

    (iii) Does not use engines from more than one engine family, or, for 

excepted equipment vehicles, and marine diesel engines using engines not 

belonging to any engine family, from more than one engine manufacturer.

    (3) Inclusion of previous-tier engines. Nonroad equipment and 

vehicles and marine diesel engines built with previous tier or 

noncertified engines under the existing inventory provisions of Sec.  

89.1003(b)(4) need not be included in determining compliance with 

paragraphs (d)(1) and (d)(2) of this section.

    (e) Recordkeeping and calculation to verify compliance. The 

following shall apply to nonroad equipment or vehicle manufacturers and 

post-manufacture marinizers who produce excepted equipment or vehicles 

or marine diesel engines under the provisions of paragraph (d) of this 

section:

    (1) For each power category in which excepted nonroad equipment or 

vehicles or marine diesel engines are produced, a calculation to verify 

compliance with the requirements of paragraph (d) of this section shall 

be made by the nonroad equipment or vehicle manufacturer or post-

manufacture marinizer. This calculation shall be made no later than 

December 31 of the year following the last year in which allowances are 

used, and shall be based on actual production information from the 

subject years. If both the percent-of-production and small volume 

allowances have been exceeded, then the manufacturer is in violation of 

section 203 of the Act and Sec.  89.1003, except as provided under 

paragraphs (f) and (h) of this section.

    (2) A nonroad equipment or vehicle manufacturer or post-manufacture 

marinizer shall keep records of all nonroad equipment and vehicles and 

marine diesel engines excepted under the provisions of paragraph (d) of 

this section, for each power category in which exceptions are taken. 

These records shall include equipment and engine model numbers, serial 

numbers, and dates of manufacture, and engine rated power. In addition, 

the manufacturer shall keep records sufficient to demonstrate the 

verifications of compliance required in paragraph (e)(1) of this 

section. All records shall be kept until at least two full years after 

the final year in which allowances are available for each power 

category, and shall be made available to EPA upon request.

    (f) Hardship relief. Nonroad equipment and vehicle manufacturers and 

post-manufacture marinizers may take any of the otherwise prohibited 

actions identified in Sec.  89.1003(a)(1) if approved by the 

Administrator, and subject to the following requirements:

    (1) Application for relief must be submitted to the Engine Programs 

and Compliance Division of the EPA in writing prior to the earliest date 

in which the applying manufacturer would be in violation of Sec.  

89.1003. The manufacturer must submit evidence showing that the 

requirements for approval have been met.

    (2) The applying manufacturer must not be the manufacturer of the 

engines used in the equipment for which relief is sought. This 

requirement does not apply to post-manufacture marinizers.

    (3) The conditions causing the impending violation must not be 

substantially the fault of the applying manufacturer.

    (4) The conditions causing the impending violation must be such that 

the applying manufacturer will experience serious economic hardship if 

relief is not granted.

    (5) The applying manufacturer must demonstrate that no allowances 

under paragraph (d) of this section will be available to avoid the 

impending violation.

    (6) Any relief granted must begin within one year after the 

implementation date of the standard applying to the engines being used 

in the equipment, or to the marine diesel engines, for which relief is 

requested, and may not exceed one year in duration.

    (7) The Administrator may impose other conditions on the granting of 

relief including provisions to recover the lost environmental benefit.

    (g) Allowance for the production of engines. Engine manufacturers 

may take any of the otherwise prohibited actions identified in Sec.  

89.1003(a)(1) with regard



[[Page 49]]



to uncertified engines or Tier 1 engines, as appropriate, if the engine 

manufacturer has received written assurance from the equipment 

manufacturer that the engine is required to meet the demand for engines 

created under paragraph (d), (f), or (h) of this section.

    (h) Alternative Flexibility for Post-Manufacture Marinizers. Post-

manufacture marinizers may elect to delay the effective date of the Tier 

1 standards in Sec.  89.112 for marine diesel engines rated under 37 kW 

by one year, instead of using the provisions of paragraphs (d) and (f) 

of this section. Post-manufacture marinizers wishing to take advantage 

of this provision must inform the Director of the Engine Programs and 

Compliance Division of their intent to do so in writing before the date 

that the standards would otherwise take effect.



[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 

56997, Oct. 23, 1998; 70 FR 40444, July 13, 2005]