[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: 40CFR1039.102]
[Page 483-488]
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. 1039.102 What exhaust emission standards and phase-in allowances apply for my engines in model year 2014 and earlier?
The exhaust emission standards of this section apply for 2014 and
earlier model years. See Sec. 1039.101 for exhaust emission standards
that apply to later model years. See 40 CFR 89.112 for exhaust emission
standards that apply to model years before the standards of this part
1039 take effect.
(a) Emission standards for transient testing. Transient exhaust
emissions from your engines may not exceed the applicable emission
standards in Tables 1 through 6 of this section. Measure emissions using
the applicable transient test procedures described in subpart F of this
part. See paragraph (c) of this section for a description of provisions
related to the phase-in and phase-out standards shown in Tables 4
through 6 of this section. The emission standards for transient testing
are limited for certain engines, as follows:
(1) The transient standards in this section do not apply for the
following engines:
(i) Engines below 37 kW for model years before 2013.
(ii) Engines certified under Option 1 of Table 3 of this
section. These are the small-volume manufacturer engines certified to
the Option 1 standards for model years 2008 through 2015 under
Sec. 1039.104(c), and other engines certified to the Option 1
standards for model years 2008 through 2012.
(iii) Engines certified to an alternate FEL during the first four
years of the Tier 4 standards for the applicable power category, as
allowed in Sec. 1039.104(g). However, you may certify these engines to
the transient standards in this section to avoid using temporary
compliance adjustment factors, as described in Sec. 1039.104(g)(2).
Note that in some cases this four-year period extends into the time
covered by the standards in Sec. 1039.101.
(iv) Constant-speed engines.
(v) Engines above 560 kW.
(2) The transient standards in this section for gaseous pollutants
do not apply to 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. However, except as specified by paragraph (a)(1) of this section,
the transient PM emission standards apply to these engines.
(b) Emission standards for steady-state testing. Steady-state
exhaust emissions from your engines may not exceed the applicable
emission standards in Tables 1 through 7 of this section. Measure
emissions using the applicable steady-state test procedures described in
subpart F of this part. See paragraph (c) of this section for a
description of provisions related to the phase-in and phase-out
standards shown in Tables 4 through 6 of this section.
Table 1 of Sec. 1039.102--Tier 4 Exhaust Emission Standards (g/kW-hr): kW < 19
----------------------------------------------------------------------------------------------------------------
Maximum engine power Model years PM NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
kW < 8...................................................... 2008-2014 \1\ 0.40 7.5 8.0
[[Page 484]]
8 <= kW < 19................................................ 2008-2014 0.40 7.5 6.6
----------------------------------------------------------------------------------------------------------------
\1\ For engines that qualify for the special provisions in Sec. 1039.101(c), you may delay certifying to the
standards in this part 1039 until 2010. In 2009 and earlier model years, these engines must instead meet the
applicable Tier 2 standards and other requirements from 40 CFR part 89. Starting in 2010, these engines must
meet a PM standard of 0.60 g/kW-hr, as described in Sec. 1039.101(c). Engines certified to the 0.60 g/kWhr
PM standard may not generate ABT credits.
Table 2 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/
kW-hr): 19 <= kW < 37
------------------------------------------------------------------------
Model years PM NOX + NMHC CO
------------------------------------------------------------------------
2008-2012........................ 0.30 7.5 5.5
2013-2014........................ 0.03 4.7 5.5
------------------------------------------------------------------------
Table 3 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 37 <= kW < 56
----------------------------------------------------------------------------------------------------------------
Option \1\ Model years PM NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
1.................................................. 2008-2012 0.30 4.7 5.0
2.................................................. 2012 0.03 4.7 5.0
All......................................................... 2013-2014 0.03 4.7 5.0
----------------------------------------------------------------------------------------------------------------
\1\You may certify engines to the Option 1 or Option 2 standards starting in the listed model
year. Under Option 1, all engines at or above 37 kW and below 56 kW produced before the 2013 model
year must meet the applicable Option 1 standards in this table. These engines are considered to be
``Option 1 engines.'' Under Option 2, all these engines produced before the 2012 model year
must meet the applicable standards under 40 CFR part 89. Engines certified to the Option 2 standards
in model year 2012 are considered to be ``Option 2 engines.''
Table 4 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 <= kW < 75
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
Phase-in........ 0.02 0.40 0.19 ........... 5.0
2012-2013.................... Phase-out....... 0.02 ........... ........... 4.7 5.0
2014......................... All engines..... 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
specified in paragraph (c)(1) of this section.
Table 5 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 <= kW < 130
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
Phase-in........ 0.02 0.40 0.19 ........... 5.0
2012-2013.................... Phase-out....... 0.02 ........... ........... 4.0 5.0
2014......................... All engines..... 0.02 0.40 0.19 ........... 5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
specified in paragraph (c)(1) of this section.
Table 6 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 130 <= kW < 560
----------------------------------------------------------------------------------------------------------------
Model years \1\ Phase-in option PM NOX NMHC NOX + NMHC CO
----------------------------------------------------------------------------------------------------------------
Phase-in........ 0.02 0.40 0.19 ........... 3.5
2011-2013.................... Phase-out....... 0.02 ........... ........... 4.0 3.5
2014......................... All engines..... 0.02 0.40 0.19 ........... 3.5
----------------------------------------------------------------------------------------------------------------
Table 7 of Sec. 1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): kW 560
--------------------------------------------------------------------------------------------------------------------------------------------------------
Model years Maximum engine power Application PM NOX NMHC CO
--------------------------------------------------------------------------------------------------------------------------------------------------------
560 < kW <= 900............. All........................ 0.10 3.5 0.40 3.5
Generator sets............. 0.10 0.67 0.40 3.5
[[Page 485]]
2011-2014................................ kW 900.......... All except generator sets.. 0.10 3.5 0.40 3.5
--------------------------------------------------------------------------------------------------------------------------------------------------------
(c) Phase-in requirements. The following phase-in provisions apply
for engines in 56-560 kW power categories meeting the interim Tier 4
standards in paragraphs (a) and (b) of this section:
(1) For each model year before 2014 noted in Tables 4 through 6 of
this section, you must certify engine families representing at least 50
percent of your U.S.-directed production volume for each power category
to the applicable phase-in standards, except as allowed by paragraph
(c)(3), (d)(2), or (e) of this section. Any engines not certified to the
phase-in standards must be certified to the corresponding phase-out
standards.
(2) Engines certified to the phase-out standards in Tables 4 through
6 of this section must comply with all other requirements that apply to
Tier 4 engines, except as otherwise specified in this section.
(3) At the time of certification, show how you intend to meet the
phase-in requirements of this paragraph (c) based on projected U.S.-
directed production volumes. If your actual U.S.-directed production
volume fails to meet the phase-in requirements for a given model year,
you must make up the shortfall (in terms of number of engines) by the
end of the model year representing the final year of the phase-in
period. For example, if you plan in good faith to produce 50 percent of
a projected 10,000 engines in the 56-130 kW power category (i.e., 5,000
engines) in 2012 in compliance with the Tier 4 phase-in standards for
NOX and NMHC in Table 4 of this section, but produce 4,500
such engines of an actual 10,000 engines, you must produce 500 engines
in model year 2013 (i.e., the final year of the phase-in for this power
category) that meet the Tier 4 phase-in standards above and beyond the
production otherwise needed to meet the 50-percent phase-in requirement
for model year 2013. If any shortfall exceeds the applicable limit of
paragraph (c)(3)(i) or (ii) of this section, that number of phase-out
engines will be considered not covered by a certificate of conformity
and in violation of Sec. 1068.101(a)(1). The shortfall allowed by this
paragraph (c)(3) may not exceed a certain number of engines, as follows:
(i) For engine families certified according to the alternate phase-
in schedule described in paragraph (d)(2) of this section, for model
years prior to the final year of the phase-in, 5 percent of your actual
U.S.-directed production volume for that power category in that model
year.
(ii) For all other engine families, for model years prior to the
final year of the phase-in, 25 percent of your actual U.S.-directed
production volume for that power category in that model year.
(iii) No shortfall is allowed in the final year of the phase-in.
(4) Engines you introduce into commerce beyond the limits described
in paragraphs (c)(3) of this section will be considered not covered by a
certificate of conformity and in violation of Sec. 1068.101(a)(1).
(5) For the purposes of this part, the term ``phase-in'' means
relating to a standard that is identified in this section as a phase-in
standard and the term ``phase-out'' means relating to a standard that is
identified in this section as a phase-out standard. For example, a 200-
kW engine from the 2012 model year that is certified to the 4.0 g/kW-hr
NOX+NMHC standard in Table 6 of Sec. 1039.102 is a phase-out
engine.
(d) Banked credits and alternate phase-in for 56-130 kW engines. For
engines in the 56-130 kW power category, you may use only one of the
following additional provisions:
(1) For model years 2012 through 2014, you may use banked
NOX+NMHC credits from any Tier 2 engine at or above 37 kW
certified under 40 CFR part 89 to
[[Page 486]]
meet the NOX phase-in standards or the NOX+NMHC
phase-out standards under paragraphs (b) and (c) of this section,
subject to the additional ABT provisions in Sec. 1039.740.
(2) Instead of meeting the phase-in requirements of paragraph (c)(1)
of this section, you may certify engine families representing at least
25 percent of your U.S.-directed production volume for each model year
from 2012 through 2014 to the applicable phase-in standards in Tables 4
and 5 of this section, except as allowed by paragraph (c)(3) or (e) of
this section. Any engines not certified to the phase-in standards must
be certified to the corresponding phase-out standards. Engines certified
under this paragraph (d)(2) may generate NOX emission credits
only for averaging within the same power category during the same model
year. For engines certified under this paragraph (d)(2), the 2014 model
year may not extend beyond December 30, 2014.
(e) Alternate NOX standards. For engines in 56-560 kW
power categories during the phase-in of Tier 4 standards, you may
certify engine families to the alternate NOX standards in
this paragraph (e) instead of the phase-in and phase-out NOX
and NOX+NMHC standards described in Tables 4 through 6 of
this section. Engines certified under this section must be certified to
an NMHC standard of 0.19 g/kW-hr. Do not include engine families
certified under this paragraph (e) in determining whether you comply
with the percentage phase-in requirements of paragraphs (c) and (d)(2)
of this section. Except for the provisions for alternate FEL caps in
Sec. 1039.104(g), the NOX standards and FEL caps under this
paragraph (e) are as follows:
(1) For engines in the 56-130 kW power category, apply the following
alternate NOX standards and FEL caps:
(i) If you use the provisions of paragraph (d)(1) of this section,
your alternate NOX standard for any engine family in the 56-
130 kW power category is 2.3 g/kW-hr for model years 2012 and 2013.
Engines certified to this standard may not exceed a NOX FEL
cap of 3.0 g/kW-hr.
(ii) If you use the provisions of paragraph (d)(2) of this section,
your alternate NOX standard for any engine family in the 56-
130 kW power category is 3.4 g/kW-hr for model years 2012 through 2014.
Engines below 75 kW certified to this standard may not exceed a
NOX FEL cap of 4.4 g/kW-hr; engines at or above 75 kW
certified to this standard may not exceed a NOX FEL cap of
3.8 g/kW-hr.
(iii) If you do not use the provisions of paragraph (d) of this
section, you may apply the alternate NOX standard and the
appropriate FEL cap from either paragraph (e)(1)(i) or (ii) of this
section.
(2) For engines in the 130-560 kW power category, the alternate
NOX standard is 2.0 g/kW-hr for model years 2011 through
2013. Engines certified to this standard may not exceed a NOX
FEL cap of 2.7 g/kW-hr.
(f) Split families. For generating or using credits for engines in
56-560 kW power categories during the phase-in of Tier 4 standards, you
may split an engine family into two subfamilies (for example, one that
uses credits and one that generates credits for the same pollutant).
(1) Identify any split engine families in your application for
certification. Your engines must comply with all the standards and
requirements applicable to Tier 4 engines, except as noted in this
paragraph (f). You may calculate emission credits relative to different
emission standards (i.e., phase-in and phase-out standards) for
different sets of engines within the engine family, but the engine
family must be certified to a single set of standards and FELs. To
calculate NOX+NMHC emission credits, add the NOX
FEL to the NMHC phase-in standard for comparison with the applicable
NOX+NMHC phase-out standard. Any engine family certified
under this paragraph (f) must meet the applicable phase-in standard for
NMHC. You may assign the number and configurations of engines within the
respective subfamilies any time before the due date for the final report
required in Sec. 1039.730. Apply the same label to each engine in the
family, including the NOX FEL to which it is certified.
(2) For example, a 10,000-unit engine family in the 75-130 kW power
category may be certified to meet the standards for PM, NMHC, and CO
that apply to
[[Page 487]]
phase-in engines, with a 0.8 g/kW-hr FEL for NOX. When
compared to the phase-out NOX+NMHC standard, this engine
family would generate positive NOX+NMHC emission credits.
When compared to the phase-in NOX standard, this engine
family would generate negative NOX emission credits. You
could create a subfamily with 2,500 engines (one-quarter of the 10,000
engines) and identify them as phase-in engines. You would count these
2,500, with their negative NOX credits, in determining
compliance with the 50-percent phase-in requirement in paragraph (c)(1)
of this section. You would calculate negative credits relative to the
0.40 g/kW-hr NOX standard for these 2,500 engines. You would
identify the other 7,500 engines in the family as phase-out engines and
calculate positive credits relative to the 4.0 g/kW-hr
NOX+NMHC standard.
(g) Other provisions. The provisions of Sec. 1039.101(d) through
(h) apply with respect to the standards of this section, with the
following exceptions and special provisions:
(1) NTE standards. Use the provisions of Sec. 1039.101(e)(3) to
calculate and apply the NTE standards, but base these calculated values
on the applicable standards in this section or the applicable FEL,
instead of the standards in Table 1 of Sec. 1039.101. All other
provisions of Sec. 1039.101(e) apply under this paragraph (g)(1). The
NTE standards do not apply for certain engines and certain pollutants,
as follows:
(i) All engines below 37 kW for model years before 2013.
(ii) All engines certified under Option 1 of Table 3 of
this section. These are small-volume manufacturer engines certified to
the Option 1 standards for model years 2008 through 2015 under
Sec. 1039.104(c), and other engines certified to the Option 1
standards for model years 2008 through 2012.
(iii) All engines less than or equal to 560 kW that are certified to
an FEL under the alternate FEL program during the first four years of
the Tier 4 standards for the applicable power category, as described in
Sec. 1039.104(g). However, if you apply to meet transient emission
standards for these engines under Sec. 1039.102(a)(1)(iii), you must
also meet the NTE standards in this paragraph (g)(1).
(iv) Gaseous pollutants for phase-out engines that you certify to
the same numerical standards and FELs for gaseous pollutants to which
you certified under the Tier 3 requirements of 40 CFR part 89. However,
the NTE standards for PM apply to these engines.
(2) Interim FEL caps. As described in 1039.101(d), you may
participate in the ABT program in subpart H of this part by certifying
engines to FELs for PM, NOX, or NOX+NMHC instead
of the standards in Tables 1 through 7 of this section for the model
years shown. The FEL caps listed in the following table apply instead of
the FEL caps inSec. 1039.101(d)(1), except as allowed by Sec.
1039.104(g):
Table 8 of Sec. 1039.102--Interim Tier 4 FEL Caps, g/kW-hr
----------------------------------------------------------------------------------------------------------------
Model years
Maximum engine power Phase-in option \1\ PM NOX NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19........................... ..................... 2008-2014 0.80 ........... \2\9.5
19 <= kW < 37..................... ..................... 2008-2012 0.60 ........... 9.5
37 <= kW < 56..................... ..................... \3\2008-2012 0.40 ........... 7.5
56 <= kW < 130.................... Phase-in............. 2012-2013 0.04 0.80 ...........
56 <= kW < 130.................... Phase-out............ 2012-2013 0.04 ........... \4\ 6.6
130 <= kW <= 560.................. Phase-in............. 2011-2013 0.04 0.80 ...........
130 <= kW <= 560.................. Phase-out............ 2011-2013 0.04 ........... \5\ 6.4
kW 560................ ..................... 2011-2014 0.20 6.2 ...........
----------------------------------------------------------------------------------------------------------------
\1\ For model years before 2015 where this table does not specify FEL caps, apply the FEL caps shown in Sec.
1039.101.
\2\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
\3\ For manufacturers certifying engines to the standards of this part 1039 in 2012 under Option 2 of
Table 3 of Sec. 1039.102, the FEL caps of Sec. 1039.101 apply for model year 2012 and later; see 40 CFR
part 89 for provisions that apply to earlier model years.
\4\ For engines below 75 kW, the FEL cap is 7.5 g/kW-hr for NOX+NMHC emissions.
\5\ For engines below 225 kW, the FEL cap is 6.6 g/kW-hr for NOX+NMHC emissions.
(3) Crankcase emissions. The crankcase emission requirements of
Sec. 1039.115(a) do not apply to engines using charge-air compression
that are certified to an
[[Page 488]]
FEL under the alternate FEL program in Sec. 1039.104(g) during the
first four years of the Tier 4 standards for the applicable power
category.
(4) Special provisions for 37-56 kW engines. For engines at or above
37 kW and below 56 kW from model years 2008 through 2012, you must take
the following additional steps:
(i) State the applicable PM standard on the emission control
information label.
(ii) Add information to the emission-related installation
instructions to clarify the equipment manufacturer's obligations under
Sec. 1039.104(f).