[Code of Federal Regulations]
[Title 40, Volume 31]
[Revised as of July 1, 2007]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR1039.101]
[Page 480-483]
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. 1039.101 What exhaust emission standards must my engines meet after the 2014 model year?
The exhaust emission standards of this section apply after the 2014
model year. Certain of these standards also apply for model year 2014
and earlier. This section presents the full set of emission standards
that apply after all the transition and phase-in provisions of Sec.
1039.102 and Sec. 1039.104 expire. See Sec. 1039.102 and 40 CFR 89.112
for exhaust emission standards that apply to 2014 and earlier model
years. Section 1039.105 specifies smoke standards.
(a) Emission standards for transient testing. Transient exhaust
emissions from your engines may not exceed the applicable emission
standards in Table 1 of this section. Measure emissions using the
applicable transient test procedures described in subpart F of this
part. The following engines are not subject to the transient standards
in this paragraph (a):
(1) Engines above 560 kW.
(2) Constant-speed engines.
(b) Emission standards for steady-state testing. Steady-state
exhaust emissions from your engines may not exceed the applicable
emission standards in Table 1 of this section. Measure emissions using
the applicable steady-state test procedures described in subpart F of
this part.
Table 1 of Sec. 1039.101--Tier 4 Exhaust Emission Standards After the 2014 Model Year, g/kW-hr \1\
----------------------------------------------------------------------------------------------------------------
Maximum engine power Application PM NOX NMHC NOX+NMHC CO
----------------------------------------------------------------------------------------------------------------
kW < 19...................... All............ \2\ 0.40 ............ ........... 7.5 \3\ 6.6
19 <= kW < 56................ All............ 0.03 ............ ........... 4.7 \4\ 5.0
56 <= kW < 130............... All............ 0.02 0.40 0.19 ........... 5.0
130 <= kW <= 560............. All............ 0.02 0.40 0.19 ........... 3.5
Generator sets. 0.03 0.67 0.19 ........... 3.5
kW 560........... All except 0.04 3.5 0.19 ........... 3.5
generator sets.
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\1\ Note that some of these standards also apply for 2014 and earlier model years. This table presents the full
set of emission standards that apply after all the transition and phase-in provisions of Sec. 1039.102
expire.
\2\ See paragraph (c) of this section for provisions related to an optional PM standard for certain engines
below 8 kW.
\3\ The CO standard is 8.0 g/kW-hr for engines below 8 kW.
\4\ The CO standard is 5.5 g/kW-hr for engines below 37 kW.
(c) Optional PM standard for engines below 8 kW. You may certify
hand-startable, air-cooled, direct injection engines below 8 kW to an
optional Tier 4 PM standard of 0.60 g/kW-hr. The term hand-startable
generally refers to engines that are started using a hand crank or pull
cord. This PM standard applies to both steady-state and transient
testing, as described in paragraphs (a) and (b) of this section. Engines
certified under this paragraph (c) may not be used to generate PM or
NOX+NMHC emission credits under the provisions of subpart H
of this part. These engines may use PM or NOX+NMHC emission
credits, subject to the FEL caps in paragraph (d)(1) of this section.
(d) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program, as described in subpart H of this part. This requires that you
specify a family emission limit (FEL) for each pollutant you include in
the ABT program for each engine family. These FELs serve as the emission
standards for the engine family with respect to all required testing
instead of the standards specified in paragraphs (a) and (b) of this
section. The FELs determine the not-to-exceed standards for your engine
family, as specified in paragraph (e) of this section.
(1) Primary FEL caps. The FEL may not be higher than the limits in
Table 2 of this section, except as allowed by paragraph (d)(2) of this
section or by Sec. 1039.102:
[[Page 481]]
Table 2 of Sec. 1039.101--Tier 4 FEL Caps After the 2014 Model Year, g/kW-hr
----------------------------------------------------------------------------------------------------------------
Maximum engine power Application PM NOX NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19................................... All.......................... 0.80 ........... \1\ 9.5
19 <= kW < 56............................. All.......................... 0.05 ........... 7.5
56 <= kW < 130............................ All.......................... 0.04 0.80 ...........
130 <= kW <= 560.......................... All.......................... 0.04 0.80 ...........
kW 560........................ Generator sets............... 0.05 1.07 ...........
All except generator sets.... 0.07 6.2 ...........
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\1\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
(2) Alternate FEL caps. For a given power category, you may use the
alternate FEL caps shown in Table 3 of this section instead of the FEL
caps identified in paragraph (d)(1) of this section for up to 5 percent
of your U.S.-directed production volume in a given model year.
Table 3 of Sec. 1039.101--Alternate FEL Caps, g/kW-hr
------------------------------------------------------------------------
Starting
Maximum engine power model year PM FEL cap NOX FEL cap
\1\
------------------------------------------------------------------------
19 <= kW < 56.................... \2\ 2016 0.30 ...........
56 <= kW < 130................... 2016 \3\ 0.30 \3\ 3.8
130 <= kW <= 560................. 2015 0.20 3.8
kW 560............... 2019 0.10 \4\ 3.5
------------------------------------------------------------------------
\1\ See Sec. 1039.104(g) for alternate FEL caps that apply in earlier
model years.
\2\ For manufacturers certifying engines under Option 1 of
Table 3 of Sec. 1039.102, these alternate FEL caps apply starting
with the 2017 model year.
\3\ 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.
\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 a given model year, up to 50 of
them may be certified to the alternate NOX FEL caps.
(e) Not-to-exceed standards. Exhaust emissions from your engines may
not exceed the applicable not-to-exceed (NTE) standards in this
paragraph (e).
(1) Measure emissions using the procedures described in subpart F of
this part.
(2) Except as noted in paragraph (e)(7) of this section, the NTE
standard, rounded to the same number of decimal places as the applicable
standard in Table 1 of this section, is determined from the following
equation:
NTE standard for each pollutant = (STD) x (M)
Where:
STD = The standard specified for that pollutant in Table 1 of this
section (or paragraph (c) of this section) if you certify without using
ABT for that pollutant; or the FEL for that pollutant if you certify
using ABT.
M = The NTE multiplier for that pollutant, as defined in paragraph
(e)(3) of this section.
(3) The NTE multiplier for each pollutant is 1.25, except in the
following cases:
------------------------------------------------------------------------
If . . . Or . . . Then . . .
------------------------------------------------------------------------
(i) The engine family is The engine family The multiplier for
certified to a NOX standard is certified to a NOX, NMHC, and
less than 2.50 g/kW-hr without NOX FEL less than NOX+NMHC is 1.50.
using ABT. 2.50 g/kW-hr or a
NOX+NMHC FEL less
than 2.70 g/kW-hr.
(ii) The engine family is The engine family The multiplier for
certified to a PM standard is certified to a PM is 1.50.
less than 0.07 g/kW-hr without PM FEL less than
using ABT. 0.07 g/kW-hr.
------------------------------------------------------------------------
(4) There are two sets of specifications of ambient operating
regions that will apply for all NTE testing of engines in an engine
family. You must choose one set for each engine family and must identify
your choice of ambient operating regions in each application for
certification for an engine
[[Page 482]]
family. You may choose separately for each engine family. Choose one of
the following ambient operating regions:
(i) All altitudes less than or equal to 5,500 feet above sea level
during all ambient temperature and humidity conditions.
(ii) All altitudes less than or equal to 5,500 feet above sea level,
for temperatures less than or equal to the temperature determined by the
following equation at the specified altitude:
T = -0.00254 x A + 100
Where:
T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea level (A is negative for altitudes below
sea level).
(5) Temperature and humidity ranges for which correction factors are
allowed are specified in 40 CFR 86.1370-2007(e).
(i) If you choose the ambient operating region specified in
paragraph (e)(4)(i) of this section, the temperature and humidity ranges
for which correction factors are allowed are defined in 40 CFR 86.1370-
2007(e)(1).
(ii) If you choose the ambient operating region specified in
paragraph (e)(4)(ii) of this section, the temperature and humidity
ranges for which correction factors are allowed are defined in 40 CFR
86.1370-2007(e)(2).
(6) For engines equipped with exhaust-gas recirculation, the NTE
standards of this section do not apply during the cold operating
conditions specified in 40 CFR 86.1370-2007(f).
(7) For engines certified to a PM FEL less than or equal to 0.01 g/
kW-hr, the PM NTE standard is 0.02 g/kW-hr.
(f) Fuel types. The exhaust emission standards in this section apply
for engines using the fuel type on which the engines in the engine
family are designed to operate, except for engines certified under Sec.
1039.615. For engines certified under Sec. 1039.615, the standards of
this section apply to emissions measured using the specified test fuel.
You must meet the numerical emission standards for NMHC in this section
based on the following types of hydrocarbon emissions for engines
powered by the following fuels:
(1) Alcohol-fueled engines: THCE emissions.
(2) Other engines: NMHC emissions.
(g) Useful life. Your engines must meet the exhaust emission
standards in paragraphs (a) through (e) of this section over their full
useful life.
(1) The useful life values are shown in the following table, except
as allowed by paragraph (g)(2) of this section:
Table 4 of Sec. 1039.101--Useful Life Values
----------------------------------------------------------------------------------------------------------------
And its maximum power And its rated speed is Then its useful life is
If your engine is certified as . . . is . . . . . . . . .
----------------------------------------------------------------------------------------------------------------
(i) Variable speed or constant speed. kW <19................. Any Speed.............. 3,000 hours or five
years, whichever comes
first.
(ii) Constant speed.................. 19 <= kW <37........... 3,000 rpm or higher.... 3,000 hours or five
years, whichever comes
first.
(iii) Constant speed................. 19 <= kW <37........... Less than 3,000 rpm.... 5,000 hours or seven
years, whichever comes
first.
(iv) Variable........................ 19 <= kW <37........... Any Speed.............. 5,000 hours or seven
years, whichever comes
first.
(v) Variable speed or constant speed. kW =37...... Any speed.............. 8,000 hours or ten
years, whichever comes
first.
----------------------------------------------------------------------------------------------------------------
(2) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have already been produced and are in use, your demonstration must
include documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your demonstration
must also include any overhaul interval that you recommend, any
[[Page 483]]
mechanical warranty that you offer for the engine or its components, and
any relevant customer design specifications. Your demonstration may
include any other relevant information. The useful life value may not be
shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(h) Applicability for testing. The emission standards in this
subpart apply to all testing, including certification, selective
enforcement audits, and in-use testing. For selective enforcement
audits, we will require you to perform duty-cycle testing as specified
in Sec. Sec. 1039.505 and 1039.510. The NTE standards of this section
apply for those tests. We will not direct you to do additional testing
under a selective enforcement audit to show that your engines meet the
NTE standards.
[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]