National United States Regulations 40 CFR PART 1039—CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION ENGINES PART 1039—CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION ENGINES -------------------------------------------------------------------------------- Authority: 42 U.S.C. 7401–7671q. Source: 69 FR 39213, June 29, 2004, unless otherwise noted. Subpart A—Overview and Applicability top § 1039.1 Does this part apply for my engines? top (a) The regulations in this part 1039 apply for all new, compression-ignition nonroad engines (defined in §1039.801), except as provided in §1039.5. (b) This part 1039 applies as follows: (1) This part 1039 applies for all engines subject to the emission standards specified in subpart B of this part starting with the model years noted in the following table: Table 1 of § 1039.1_Part 1039 Applicability by Model Year ------------------------------------------------------------------------ Power category Model year ------------------------------------------------------------------------ kW < 19................................................. \1\ 2008 19 [le] kW < 56........................................ \2\ 2008 56 [le] kW < 130........................................ 2012 130 [le] kW [le] 560....................................... 2011 kW > 560................................................ 2011 ------------------------------------------------------------------------ \1\ As described in § 1039.102, some engines below 19 kW may not be subject to the emission standards in this part until the 2010 model year. \2\ As described in § 1039.102, some engines in the 19-56 kW power category may not be subject to the emission standards in this part until the 2012 model year. (2) If you use the provisions of §1039.104(a) to certify an engine to the emission standards of this part before the model years shown in Table 1 of this section, all the requirements of this part apply for those engines. (3) See 40 CFR part 89 for requirements that apply to engines not yet subject to the requirements of this part 1039. (4) This part 1039 applies for other compression-ignition engines as follows: (i) The provisions of paragraph (c) of this section and §1039.801 apply for stationary engines beginning January 1, 2006. (ii) The provisions of §1039.620 and §1039.801 apply for engines used solely for competition beginning January 1, 2006. (c) The definition of nonroad engine in 40 CFR 1068.30 excludes certain engines used in stationary applications. These engines are not required to comply with this part, except for the requirements in §1039.20. In addition, if these engines are uncertified, the prohibitions in 40 CFR 1068.101 restrict their use as nonroad engines. (d) In certain cases, the regulations in this part 1039 apply to engines at or above 250 kW that would otherwise be covered by 40 CFR part 1048. See 40 CFR 1048.620 for provisions related to this allowance. [69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005] § 1039.5 Which engines are excluded from this part's requirements? top This part does not apply to the following nonroad engines: (a) Locomotive engines. (1) The following locomotive engines are not subject to the provisions of this part 1039: (i) Engines in locomotives subject to the standards of 40 CFR part 92. (ii) Engines in locomotives that are exempt from the standards of 40 CFR part 92 pursuant to the provisions of 40 CFR part 92 (except for the provisions of 40 CFR 92.907). For example, an engine that is exempt under 40 CFR 92.906 because it is in a manufacturer-owned locomotive is not subject to the provisions of this part 1039. (2) The following locomotive engines are subject to the provisions of this part 1039: (i) Engines in locomotives exempt from 40 CFR part 92 pursuant to the provisions of 40 CFR 92.907. (ii) Locomotive engines excluded from the definition of locomotive in 40 CFR 92.2. (b) Marine engines. (1) The following marine engines are not subject to the provisions of this part 1039: (i) Engines subject to the standards of 40 CFR part 94. (ii) Engines not subject to the standards of 40 CFR part 94 only because they were produced before the standards of 40 CFR part 94 started to apply. (iii) Engines that are exempt from the standards of 40 CFR part 94 pursuant to the provisions of 40 CFR part 94 (except for the provisions of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under 40 CFR 94.906 because it is a manufacturer-owned engine is not subject to the provisions of this part 1039. (iv) Engines with rated power below 37 kW. (v) Engines on foreign vessels. (2) Marine engines are subject to the provisions of this part 1039 if they are exempt from 40 CFR part 94 based on the engine-dressing provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR 94.912. (c) Mining engines. Engines used in underground mining or in underground mining equipment and regulated by the Mining Safety and Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75 are not subject to the provisions of this part 1039. (d) Hobby engines. Engines with per-cylinder displacement below 50 cubic centimeters are not subject to the provisions of this part 1039. [69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005] § 1039.10 How is this part organized? top The regulations in this part 1039 contain provisions that affect both engine manufacturers and others. However, the requirements of this part are generally addressed to the engine manufacturer. The term “you” generally means the engine manufacturer, as defined in §1039.801. This part 1039 is divided into the following subparts: (a) Subpart A of this part defines the applicability of part 1039 and gives an overview of regulatory requirements. (b) Subpart B of this part describes the emission standards and other requirements that must be met to certify engines under this part. Note that §1039.102 and §1039.104 discuss certain interim requirements and compliance provisions that apply only for a limited time. (c) Subpart C of this part describes how to apply for a certificate of conformity. (d) [Reserved] (e) Subpart E of this part describes general provisions for testing in-use engines. (f) Subpart F of this part describes how to test your engines (including references to other parts of the Code of Federal Regulations). (g) Subpart G of this part and 40 CFR part 1068 describe requirements, prohibitions, and other provisions that apply to engine manufacturers, equipment manufacturers, owners, operators, rebuilders, and all others. (h) Subpart H of this part describes how you may generate and use emission credits to certify your engines. (i) Subpart I of this part contains definitions and other reference information. [69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005] § 1039.15 Do any other regulation parts apply to me? top (a) Part 1065 of this chapter describes procedures and equipment specifications for testing engines. Subpart F of this part 1039 describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the emission standards in this part. (b) The requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part 1039, or equipment containing these engines. Part 1068 of this chapter describes general provisions, including these seven areas: (1) Prohibited acts and penalties for engine manufacturers, equipment manufacturers, and others. (2) Rebuilding and other aftermarket changes. (3) Exclusions and exemptions for certain engines. (4) Importing engines. (5) Selective enforcement audits of your production. (6) Defect reporting and recall. (7) Procedures for hearings. (c) Other parts of this chapter apply if referenced in this part. § 1039.20 What requirements from this part apply to excluded stationary engines? top The provisions of this section apply for engines built on or after January 1, 2006. (a) You must add a permanent label or tag to each new engine you produce or import that is excluded under §1039.1(c) as a stationary engine. To meet labeling requirements, you must do the following things: (1) Attach the label or tag in one piece so no one can remove it without destroying or defacing it. (2) Secure it to a part of the engine needed for normal operation and not normally requiring replacement. (3) Make sure it is durable and readable for the engine's entire life. (4) Write it in English. (5) Follow the requirements in §1039.135(g) regarding duplicate labels if the engine label is obscured in the final installation. (b) Engine labels or tags required under this section must have the following information: (1) Include the heading “EMISSION CONTROL INFORMATION”. (2) Include your full corporate name and trademark. You may instead include the full corporate name and trademark of another company you choose to designate. (3) State the engine displacement (in liters) and maximum engine power. (4) State: “THIS ENGINE IS EXCLUDED FROM THE REQUIREMENTS OF 40 CFR PART 1039 AS A “STATIONARY ENGINE.” INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.”. Subpart B—Emission Standards and Related Requirements top § 1039.101 What exhaust emission standards must my engines meet after the 2014 model year? top 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 §1039.102 and §1039.104 expire. See §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 § 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 [le] kW < 56........... All............ 0.03 ............ ........... 4.7 \4\ 5.0 56 [le] kW < 130.......... All............ 0.02 0.40 0.19 ........... 5.0 130 [le] kW [le] 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. ---------------------------------------------------------------------------------------------------------------- \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 § 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 §1039.102: Table 2 of § 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 [le] kW < 56........................ All.......................... 0.05 ........... 7.5 56 [le] kW < 130....................... All.......................... 0.04 0.80 ........... 130 [le] kW [le] 560...................... All.......................... 0.04 0.80 ........... kW > 560............................... Generator sets............... 0.05 1.07 ........... All except generator sets.... 0.07 6.2 ........... ---------------------------------------------------------------------------------------------------------------- \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 § 1039.101_Alternate FEL Caps, g/kW-hr ------------------------------------------------------------------------ Starting Maximum engine power model year PM FEL cap NOX FEL cap \1\ ------------------------------------------------------------------------ 19 [le] kW < 56............... \2\ 2016 0.30 ........... 56 [le] kW < 130.............. 2016 \3\ 0.30 \3\ 3.8 130 [le] kW [le] 560............. 2015 0.20 3.8 kW > 560...................... 2019 0.10 \4\ 3.5 ------------------------------------------------------------------------ \1\ See § 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 § 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) × (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 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 × 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 §1039.615. For engines certified under §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 § 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 [le] kW <37...... 3,000 rpm or higher.... 3,000 hours or five years, whichever comes first. (iii) Constant speed................. 19 [le] kW <37...... Less than 3,000 rpm.... 5,000 hours or seven years, whichever comes first. (iv) Variable........................ 19 [le] 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 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 §§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] § 1039.102 What exhaust emission standards and phase-in allowances apply for my engines in model year 2014 and earlier? top The exhaust emission standards of this section apply for 2014 and earlier model years. See §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 §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 §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 §1039.104(g)(2). Note that in some cases this four-year period extends into the time covered by the standards in §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 § 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 8 [le] kW < 19........................................... 2008-2014 0.40 7.5 6.6 ---------------------------------------------------------------------------------------------------------------- \1\ For engines that qualify for the special provisions in § 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 § 1039.101(c). Engines certified to the 0.60 g/kWhr PM standard may not generate ABT credits. Table 2 of § 1039.102_Interim Tier 4 Exhaust Emission Standards (g/ kW-hr): 19 [le] 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 § 1039.102_Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 37 [le] 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 § 1039.102_Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 [le] 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 § 1039.102_Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 [le] 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 § 1039.102_Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 130 [le] 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 § 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 [le] 900........ All........................ 0.10 3.5 0.40 3.5 Generator sets............. 0.10 0.67 0.40 3.5 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 §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 §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 §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 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 §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 §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 §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 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 §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 §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 §1039.101. All other provisions of §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 §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 §1039.104(g). However, if you apply to meet transient emission standards for these engines under §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 in§1039.101(d)(1), except as allowed by §1039.104(g): Table 8 of § 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 [le] kW < 37................ ..................... 2008-2012 0.60 ........... 9.5 37 [le] kW < 56................ ..................... \3\2008-2012 0.40 ........... 7.5 56 [le] kW < 130............... Phase-in............. 2012-2013 0.04 0.80 ........... 56 [le] kW < 130............... Phase-out............ 2012-2013 0.04 ........... \4\ 6.6 130 [le] kW [le] 560.............. Phase-in............. 2011-2013 0.04 0.80 ........... 130 [le] kW [le] 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 § 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 § 1039.102, the FEL caps of § 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 §1039.115(a) do not apply to engines using charge-air compression that are certified to an FEL under the alternate FEL program in §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 §1039.104(f). § 1039.104 Are there interim provisions that apply only for a limited time? top 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 §1039.101 or §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 generating engines may generate additional allowances for equipment manufacturers under the incentive program described in §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 §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 §1039.102, or September 1, 2011 if you do not choose Option #1 in Table 3 of §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 §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 §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 In later model years For every . . . engine power . . applicable category that are by . . . . standards in . . required to meet . the . . . ---------------------------------------------------------------------------------------------------------------- (i) 2 engines................. 19 [le] kW < Table 2 of § PM standard in 3 engines. 37. 1039.102 \1\. Table 2 of § 1039.102 applicable to model year 2013 or 2014 engines or the PM standard in Table 1 of § 1039.101. (ii) 2 engines................ 56 [le] kW [le] Table 4, 5, or 6 Phase-out 3 engines. 560. of § standards in 1039.102 for Tables 4 through Phase-out 6 of § engines. 1039.102. (iii) 2 engines............... kW >= 19......... Table 1 of § Standards in 3 engines.\2\ 1039.101. Tables 2 through 7 of § 1039.102 or standards in Table 1 of § 1039.101. (iv) 1 engine................. kW >= 19......... Table 1 of § Standards in 2 engines.\2\ 1039.101 + 0.20 Tables 2 through g/kW-hr NOX 7 of § standard. 1039.102 or standards in Table 1 of § 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 §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 §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 §1039.101 or §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 §1039.102 or the standards in Table 1 of §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. (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 §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 §1068.265. You must meet the labeling requirements in §1039.135, but add the following statement instead of the compliance statement in §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 §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 §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 §1039.627 in the same engine family, subject to the provisions of §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 §1039.627. In the reports required in §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 §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 §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 [le] kW < 56......... not allowed................. 0.01 2012-2016............................ 56 [le] kW < 130........ 0.16 for operating hours 0.01 [le] 2000. 0.25 for operating hours 2001 to 3400. 0.34 for operating hours > 3400. 2011-2015............................ 130 [le] kW < 560....... 0.16 for operating hours 0.01 [le] 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 [le] 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: ---------------------------------------------------------------------------------------------------------------- Before that model year the If your engine's maximum power is . . . You may delay meeting . . . Until model engine must comply with . . year . . . . ---------------------------------------------------------------------------------------------------------------- kW < 19............................... The standards and 2011 The standards and requirements of this part. requirements in 40 CFR part 89. 19 [le] 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 [le] kW < 56....................... See paragraph (c)(2) of this section for special provisions that apply for engines in this power category.. 56 [le] 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 §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 §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 §1039.625. (5) For engines 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 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 §1039.135, but use the following compliance statement instead of the compliance statement in §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 §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 the fuel inlet recommending 15 ppm fuel. (iv) For the engines described in §1039.101(c) that are certified to the 0.60 g/kW-hr PM standard in Table 1 of §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 §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 §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 §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 §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 §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 §1039.102, then all the 2012 model year engines you install must be certified to the Option #2 standards of Table 3 of §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 §1039.102 and some engines certified to Tier 3 standards under Option #2 standards of Table 3 of §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 §1039.102 from the following equation: Minimum number = [(T-O1-F)/(T-F)-0.05] × 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 §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 §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 §1039.102 (or certified to less stringent standards) in such equipment violates the prohibitions in §1068.101(a)(1). (g) Alternate FEL caps. You may certify a limited number of engines from your U.S.-directed production volume to the FEL caps in Table 1 of this section instead of the otherwise applicable FEL caps in §1039.101(d)(1), §1039.102(e), or §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 §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 §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) × (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 § 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 [le] kW < 56.............................. 0.30 \1\ 2012-2015 .............. .............. 56 [le] kW < 130 \2\......................... 0.30 \3\ 2012-2015 3.8 \3\ 2014-2015 130 [le] kW [le] 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 § 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 § 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] § 1039.105 What smoke standards must my engines meet? top (a) The smoke standards in this section apply to all engines subject to emission standards under this part, except for the following engines: (1) Single-cylinder engines. (2) Constant-speed engines. (3) Engines certified to a PM emission standard or FEL of 0.07 g/kW-hr or lower. (b) Measure smoke as specified in §1039.501(c). Smoke from your engines may not exceed the following standards: (1) 20 percent during the acceleration mode. (2) 15 percent during the lugging mode. (3) 50 percent during the peaks in either the acceleration or lugging modes. § 1039.107 What evaporative emission standards and requirements apply? top There are no evaporative emission standards for diesel-fueled engines, or engines using other nonvolatile or nonliquid fuels (for example, natural gas). If your engine uses a volatile liquid fuel, such as methanol, you must meet the evaporative emission requirements of 40 CFR part 1048 that apply to spark-ignition engines, as follows: (a) Follow the steps in 40 CFR 1048.245 to show that you meet the requirements of 40 CFR 1048.105. (b) Do the following things in your application for certification: (1) Describe how your engines control evaporative emissions. (2) Present test data to show that equipment using your engines meets the evaporative emission standards we specify in this section if you do not use design-based certification under 40 CFR 1048.245. Show these figures before and after applying deterioration factors, where applicable. § 1039.110 [Reserved] top § 1039.115 What other requirements must my engines meet? top Engines subject to this part must meet the following requirements, except as noted elsewhere in this part: (a) Crankcase emissions. Crankcase emissions may not be discharged directly into the ambient atmosphere from any engine, except as follows: (1) Engines may discharge crankcase emissions to the ambient atmosphere if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing. (2) If you take advantage of this exception, you must do the following things: (i) Manufacture the engines so that all crankcase emissions can be routed into the applicable sampling systems specified in 40 CFR part 1065. (ii) Account for deterioration in crankcase emissions when determining exhaust deterioration factors. (3) For purposes of this paragraph (a), crankcase emissions that are routed to the exhaust upstream of exhaust aftertreatment during all operation are not considered to be discharged directly into the ambient atmosphere. (b)–(d) [Reserved] (e) Adjustable parameters. Engines that have adjustable parameters must meet all the requirements of this part for any adjustment in the physically adjustable range. An operating parameter is not considered adjustable if you permanently seal it or if it is not normally accessible using ordinary tools. We may require that you set adjustable parameters to any specification within the adjustable range during any testing, including certification testing, selective enforcement auditing, or in-use testing. (f) Prohibited controls. You may not design your engines with emission-control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the engine emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk. (g) Defeat devices. You may not equip your engines with a defeat device. A defeat device is an auxiliary emission-control device that reduces the effectiveness of emission controls under conditions that the engine may reasonably be expected to encounter during normal operation and use. This does not apply to auxiliary-emission control devices you identify in your certification application if any of the following is true: (1) The conditions of concern were substantially included in the applicable test procedures described in subpart F of this part. (2) You show your design is necessary to prevent engine (or equipment) damage or accidents. (3) The reduced effectiveness applies only to starting the engine. § 1039.120 What emission-related warranty requirements apply to me? top (a) General requirements. You must warrant to the ultimate purchaser and each subsequent purchaser that the new nonroad engine, including all parts of its emission-control system, meets two conditions: (1) It is designed, built, and equipped so it conforms at the time of sale to the ultimate purchaser with the requirements of this part. (2) It is free from defects in materials and workmanship that may keep it from meeting these requirements. (b) Warranty period. Your emission-related warranty must be valid for at least as long as the minimum warranty periods listed in this paragraph (b) in hours of operation and years, whichever comes first. You may offer an emission-related warranty more generous than we require. The emission-related warranty for the engine may not be shorter than any published warranty you offer without charge for the engine. Similarly, the emission-related warranty for any component may not be shorter than any published warranty you offer without charge for that component. If an engine has no hour meter, we base the warranty periods in this paragraph (b) only on the engine's age (in years). The warranty period begins when the engine is placed into service. The minimum warranty periods are shown in the following table: ---------------------------------------------------------------------------------------------------------------- And its maximum power And its rated speed is Then its warranty If your engine is certified as . . . is . . . . . . period is . . . ---------------------------------------------------------------------------------------------------------------- Variable speed or constant speed..... kW < 19............. Any speed.............. 1,500 hours or two years, whichever comes first. Constant speed....................... 19 [le] kW < 37..... 3,000 rpm or higher.... 1,500 hours or two years, whichever comes first. Constant speed....................... 19 [le] kW < 37..... Less than 3,000 rpm.... 3,000 hours or five years, whichever comes first. Variable speed....................... 19 [le] kW < 37..... Any speed.............. 3,000 hours or five years, whichever comes first. Variable speed or constant speed..... kW >= 37............... Any speed.............. 3,000 hours or five years, whichever comes first. ---------------------------------------------------------------------------------------------------------------- (c) Components covered. The emission-related warranty covers all components whose failure would increase an engine's emissions of any pollutant. This includes components listed in 40 CFR part 1068, Appendix I, and components from any other system you develop to control emissions. The emission-related warranty covers these components even if another company produces the component. Your emission-related warranty does not cover components whose failure would not increase an engine's emissions of any pollutant. (d) Limited applicability. You may deny warranty claims under this section if the operator caused the problem through improper maintenance or use, as described in 40 CFR 1068.115. (e) Owners manual. Describe in the owners manual the emission-related warranty provisions from this section that apply to the engine. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.125 What maintenance instructions must I give to buyers? top Give the ultimate purchaser of each new nonroad engine written instructions for properly maintaining and using the engine, including the emission-control system. The maintenance instructions also apply to service accumulation on your emission-data engines, as described in §1039.245 and in 40 CFR part 1065. (a) Critical emission-related maintenance. Critical emission-related maintenance includes any adjustment, cleaning, repair, or replacement of critical emission-related components. This may also include additional emission-related maintenance that you determine is critical if we approve it in advance. You may schedule critical emission-related maintenance on these components if you meet the following conditions: (1) You demonstrate that the maintenance is reasonably likely to be done at the recommended intervals on in-use engines. We will accept scheduled maintenance as reasonably likely to occur if you satisfy any of the following conditions: (i) You present data showing that, if a lack of maintenance increases emissions, it also unacceptably degrades the engine's performance. (ii) You present survey data showing that at least 80 percent of engines in the field get the maintenance you specify at the recommended intervals. (iii) You provide the maintenance free of charge and clearly say so in maintenance instructions for the customer. (iv) You otherwise show us that the maintenance is reasonably likely to be done at the recommended intervals. (2) For engines below 130 kW, you may not schedule critical emission-related maintenance more frequently than the following minimum intervals, except as specified in paragraphs (a)(4), (b), and (c) of this section: (i) For EGR-related filters and coolers, PCV valves, and fuel injector tips (cleaning only), the minimum interval is 1,500 hours. (ii) For the following components, including associated sensors and actuators, the minimum interval is 3000 hours: fuel injectors, turbochargers, catalytic converters, electronic control units, particulate traps, trap oxidizers, components related to particulate traps and trap oxidizers, EGR systems (including related components, but excluding filters and coolers), and other add-on components. For particulate traps, trap oxidizers, and components related to either of these, maintenance is limited to cleaning and repair only. (3) For engines at or above 130 kW, you may not schedule critical emission-related maintenance more frequently than the following minimum intervals, except as specified in paragraphs (a)(4), (b), and (c) of this section: (i) For EGR-related filters and coolers, PCV valves, and fuel injector tips (cleaning only), the minimum interval is 1,500 hours. (ii) For the following components, including associated sensors and actuators, the minimum interval is 4500 hours: fuel injectors, turbochargers, catalytic converters, electronic control units, particulate traps, trap oxidizers, components related to particulate traps and trap oxidizers, EGR systems (including related components, but excluding filters and coolers), and other add-on components. For particulate traps, trap oxidizers, and components related to either of these, maintenance is limited to cleaning and repair only. (4) If your engine family has an alternate useful life under §1039.101(g) that is shorter than the period specified in paragraph (a)(2) or (a)(3) of this section, you may not schedule critical emission-related maintenance more frequently than the alternate useful life, except as specified in paragraph (c) of this section. (b) Recommended additional maintenance. You may recommend any additional amount of maintenance on the components listed in paragraph (a) of this section, as long as you state clearly that these maintenance steps are not necessary to keep the emission-related warranty valid. If operators do the maintenance specified in paragraph (a) of this section, but not the recommended additional maintenance, this does not allow you to disqualify those engines from in-use testing or deny a warranty claim. Do not take these maintenance steps during service accumulation on your emission-data engines. (c) Special maintenance. You may specify more frequent maintenance to address problems related to special situations, such as atypical engine operation. You must clearly state that this additional maintenance is associated with the special situation you are addressing. (d) Noncritical emission-related maintenance. You may schedule any amount of emission-related inspection or maintenance that is not covered by paragraph (a) of this section, as long as you state in the owners manual that these steps are not necessary to keep the emission-related warranty valid. If operators fail to do this maintenance, this does not allow you to disqualify those engines from in-use testing or deny a warranty claim. Do not take these inspection or maintenance steps during service accumulation on your emission-data engines. (e) Maintenance that is not emission-related. For maintenance unrelated to emission controls, you may schedule any amount of inspection or maintenance. You may also take these inspection or maintenance steps during service accumulation on your emission-data engines, as long as they are reasonable and technologically necessary. This might include adding engine oil, changing air, fuel, or oil filters, servicing engine-cooling systems, and adjusting idle speed, governor, engine bolt torque, valve lash, or injector lash. You may perform this nonemission-related maintenance on emission-data engines at the least frequent intervals that you recommend to the ultimate purchaser (but not the intervals recommended for severe service). (f) Source of parts and repairs. State clearly on the first page of your written maintenance instructions that a repair shop or person of the owner's choosing may maintain, replace, or repair emission-control devices and systems. Your instructions may not require components or service identified by brand, trade, or corporate name. Also, do not directly or indirectly condition your warranty on a requirement that the equipment be serviced by your franchised dealers or any other service establishments with which you have a commercial relationship. You may disregard the requirements in this paragraph (f) if you do one of two things: (1) Provide a component or service without charge under the purchase agreement. (2) Get us to waive this prohibition in the public's interest by convincing us the engine will work properly only with the identified component or service. (g) Payment for scheduled maintenance. Owners are responsible for properly maintaining their engines. This generally includes paying for scheduled maintenance. However, manufacturers must pay for scheduled maintenance during the useful life if it meets all the following criteria: (1) Each affected component was not in general use on similar engines before the applicable dates shown in paragraph (6) of the definition of new nonroad engine in §1039.801. (2) The primary function of each affected component is to reduce emissions. (3) The cost of the scheduled maintenance is more than 2 percent of the price of the engine. (4) Failure to perform the maintenance would not cause clear problems that would significantly degrade the engine's performance. (h) Owners manual. Explain the owner's responsibility for proper maintenance in the owners manual. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.130 What installation instructions must I give to equipment manufacturers? top (a) If you sell an engine for someone else to install in a piece of nonroad equipment, give the engine installer instructions for installing it consistent with the requirements of this part. Include all information necessary to ensure that an engine will be installed in its certified configuration. (b) Make sure these instructions have the following information: (1) Include the heading: “Emission-related installation instructions”. (2) State: “Failing to follow these instructions when installing a certified engine in a piece of nonroad equipment violates federal law (40 CFR 1068.105(b)), subject to fines or other penalties as described in the Clean Air Act.”. (3) Describe the instructions needed to properly install the exhaust system and any other components. Include instructions consistent with the requirements of §1039.205(u). (4) [Reserved] (5) Describe any limits on the range of applications needed to ensure that the engine operates consistently with your application for certification. For example, if your engines are certified only for constant-speed operation, tell equipment manufacturers not to install the engines in variable-speed applications. (6) Describe any other instructions to make sure the installed engine will operate according to design specifications in your application for certification. This may include, for example, instructions for installing aftertreatment devices when installing the engines. (7) State: “If you install the engine in a way that makes the engine's emission control information label hard to read during normal engine maintenance, you must place a duplicate label on the equipment, as described in 40 CFR 1068.105.”. (8) Describe equipment-labeling requirements consistent with §1039.135. State whether you are providing the label for the fuel inlet or the equipment manufacturer must provide the label. (c) You do not need installation instructions for engines you install in your own equipment. (d) Provide instructions in writing or in an equivalent format. For example, you may post instructions on a publicly available website for downloading or printing. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each installer is informed of the installation requirements. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.135 How must I label and identify the engines I produce? top (a) Assign each engine a unique identification number and permanently affix, engrave, or stamp it on the engine in a legible way. (b) At the time of manufacture, affix a permanent and legible label identifying each engine. The label must be— (1) Attached in one piece so it is not removable without being destroyed or defaced. However, you may use two-piece labels for engines below 19 kW if there is not enough space on the engine to apply a one-piece label. (2) Secured to a part of the engine needed for normal operation and not normally requiring replacement. (3) Durable and readable for the engine's entire life. (4) Written in English. (c) The label must— (1) Include the heading “EMISSION CONTROL INFORMATION”. (2) Include your full corporate name and trademark. You may identify another company and use its trademark instead of yours if you comply with the provisions of §1039.640. (3) Include EPA's standardized designation for the engine family (and subfamily, where applicable). (4) State the power category or subcategory from §1039.101 or §1039.102 that determines the applicable emission standards for the engine family. (5) State the engine's displacement (in liters); however, you may omit this from the label if all the engines in the engine family have the same per-cylinder displacement and total displacement. (6) State the date of manufacture [MONTH and YEAR]. You may omit this from the label if you keep a record of the engine-manufacture dates and provide it to us upon request. (7) State the FELs to which the engines are certified if certification depends on the ABT provisions of subpart H of this part. (8) Identify the emission-control system. Use terms and abbreviations consistent with SAE J1930 (incorporated by reference in §1039.810). You may omit this information from the label if there is not enough room for it and you put it in the owners manual instead. (9) For diesel-fueled engines, unless otherwise specified in §1039.104(e)(2), state: “ULTRA LOW SULFUR FUEL ONLY'. (10) Identify any additional requirements for fuel and lubricants that do not involve fuel-sulfur levels. You may omit this information from the label if there is not enough room for it and you put it in the owners manual instead. (11) State the useful life for your engine family if we approve a shortened useful life under §1039.101(g)(2). (12) State: “THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] NONROAD DIESEL ENGINES.”. (13) For engines above 560 kW, include the following things: (i) For engines certified to the emission standards for generator-set engines, add the phrase “FOR GENERATOR SETS AND OTHER APPLICATIONS”. (ii) For all other engines, add the phrase “NOT FOR USE IN A GENERATOR SET”. (14) If your engines are certified only for constant-speed operation, state “USE IN CONSTANT-SPEED APPLICATIONS ONLY”. (d) You may add information to the emission control information label to identify other emission standards that the engine meets or does not meet (such as European standards). You may also add other information to ensure that the engine will be properly maintained and used. (e) Except as specified in §1039.104(e)(2), create a separate label with the statement: “ULTRA LOW SULFUR FUEL ONLY”. Permanently attach this label to the equipment near the fuel inlet or, if you do not manufacture the equipment, take one of the following steps to ensure that the equipment will be properly labeled: (1) Provide the label to the equipment manufacturer and include the appropriate information in the emission-related installation instructions. (2) Confirm that the equipment manufacturers install their own complying labels. (f) You may ask us to approve modified labeling requirements in this part 1039 if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part. (g) If you obscure the engine label while installing the engine in the equipment, you must place a duplicate label on the equipment. If others install your engine in their equipment in a way that obscures the engine label, we require them to add a duplicate label on the equipment (see 40 CFR 1068.105); in that case, give them the number of duplicate labels they request and keep the following records for at least five years: (1) Written documentation of the request from the equipment manufacturer. (2) The number of duplicate labels you send and the date you sent them. § 1039.140 What is my engine's maximum engine power? top (a) An engine configuration's maximum engine power is the maximum brake power point on the nominal power curve for the engine configuration, as defined in this section. Round the power value to the nearest whole kilowatt. (b) The nominal power curve of an engine configuration is the relationship between maximum available engine brake power and engine speed for an engine, using the mapping procedures of 40 CFR part 1065, based on the manufacturer's design and production specifications for the engine. This information may also be expressed by a torque curve that relates maximum available engine torque with engine speed. (c) The nominal power curve must be within the range of the actual power curves of production engines considering normal production variability. If after production begins it is determined that your nominal power curve does not represent production engines, we may require you to amend your application for certification under §1039.225. (d) Throughout this part, references to a specific power value or a range of power values for an engine are based on maximum engine power. For example, the group of engines with maximum engine power above 560 kW may be referred to as engines above 560 kW. Subpart C—Certifying Engine Families top § 1039.201 What are the general requirements for obtaining a certificate of conformity? top (a) You must send us a separate application for a certificate of conformity for each engine family. A certificate of conformity is valid from the indicated effective date until December 31 of the model year for which it is issued. (b) The application must contain all the information required by this part and must not include false or incomplete statements or information (see §1039.255). (c) We may ask you to include less information than we specify in this subpart, as long as you maintain all the information required by §1039.250. (d) You must use good engineering judgment for all decisions related to your application (see 40 CFR 1068.5). (e) An authorized representative of your company must approve and sign the application. (f) See §1039.255 for provisions describing how we will process your application. (g) We may require you to deliver your test engines to a facility we designate for our testing (see §1039.235(c)). § 1039.205 What must I include in my application? top This section specifies the information that must be in your application, unless we ask you to include less information under §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 §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 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 §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 §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 §1039.130). (k) Describe your emission control information label (see §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 §1039.101(e)(4). (m) Identify the engine family's deterioration factors and describe how you developed them (see §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. (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 §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 §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 §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 §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 §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 §1039.645. (3) Hand-startable engines certified under the provisions of §1039.101(c). (4) Engines above 560 kW that are not certified to emission standards for generator-set engines. (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 §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. § 1039.210 May I get preliminary approval before I complete my application? top If you send us information before you finish the application, we will review it and make any appropriate determinations, especially for questions related to engine family definitions, auxiliary emission-control devices, deterioration factors, testing for service accumulation, maintenance, and NTE deficiencies and carve-outs. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time. § 1039.220 How do I amend the maintenance instructions in my application? top You may amend your emission-related maintenance instructions after you submit your application for certification, as long as the amended instructions remain consistent with the provisions of §1039.125. You must send the Designated Compliance Officer a request to amend your application for certification for an engine family if you want to change the emission-related maintenance instructions in a way that could affect emissions. In your request, describe the proposed changes to the maintenance instructions. We will disapprove your request if we determine that the amended instructions are inconsistent with maintenance you performed on emission-data engines. (a) If you are decreasing the specified maintenance, you may distribute the new maintenance instructions to your customers 30 days after we receive your request, unless we disapprove your request. We may approve a shorter time or waive this requirement. (b) If your requested change would not decrease the specified maintenance, you may distribute the new maintenance instructions anytime after you send your request. For example, this paragraph (b) would cover adding instructions to increase the frequency of a maintenance step for engines in severe-duty applications. (c) You need not request approval if you are making only minor corrections (such as correcting typographical mistakes), clarifying your maintenance instructions, or changing instructions for maintenance unrelated to emission control. § 1039.225 How do I amend my application for certification to include new or modified engines or to change an FEL? top Before we issue you a certificate of conformity, you may amend your application to include new or modified engine configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application requesting that we include new or modified engine configurations within the scope of the certificate, subject to the provisions of this section. You must amend your application if any changes occur with respect to any information included in your application. (a) You must amend your application before you take either of the following actions: (1) Add an engine (that is, an additional engine configuration) to an engine family. In this case, the engine added must be consistent with other engines in the engine family with respect to the criteria listed in §1039.230. (2) Change an engine already included in an engine family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production and design changes that may affect emissions any time during the engine's lifetime. (3) Modify an FEL for an engine family, as described in paragraph (f) of this section. (b) To amend your application for certification, send the Designated Compliance Officer the following information: (1) Describe in detail the addition or change in the engine model or configuration you intend to make. (2) Include engineering evaluations or data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data engine is still appropriate with respect to showing compliance of the amended family with all applicable requirements. (3) If the original emission-data engine for the engine family is not appropriate to show compliance for the new or modified nonroad engine, include new test data showing that the new or modified nonroad engine meets the requirements of this part. (c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them. (d) For engine families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your new or modified nonroad engine. You may ask for a hearing if we deny your request (see §1039.820). (e) For engine families already covered by a certificate of conformity, you may start producing the new or modified nonroad engine anytime after you send us your amended application, before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days, you must stop producing the new or modified nonroad engines. (f) You may ask to change your FEL in the following cases: (1) You may ask to raise your FEL after the start of production. You may not apply the higher FEL to engines you have already introduced into commerce. Use the appropriate FELs with corresponding sales volumes to calculate your average emission level, as described in subpart H of this part. In your request, you must demonstrate that you will still be able to comply with the applicable average emission standards as specified in subparts B and H of this part. (2) You may ask to lower the FEL for your engine family after the start of production only when you have test data from production engines indicating that your engines comply with the lower FEL. You may create a separate subfamily with the lower FEL. Otherwise, you must use the higher FEL for the family to calculate your average emission level under subpart H of this part. (3) If you change the FEL during production, you must include the new FEL on the emission control information label for all engines produced after the change. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.230 How do I select engine families? top (a) Divide your product line into families of engines that are expected to have similar emission characteristics throughout the useful life. Your engine family is limited to a single model year. (b) Group engines in the same engine family if they are the same in all the following aspects: (1) The combustion cycle and fuel. (2) The cooling system (water-cooled vs. air-cooled). (3) Method of air aspiration. (4) Method of exhaust aftertreatment (for example, catalytic converter or particulate trap). (5) Combustion chamber design. (6) Bore and stroke. (7) Number of cylinders (for engines with aftertreatment devices only). (8) Cylinder arrangement (for engines with aftertreatment devices only). (9) Method of control for engine operation other than governing (i.e., mechanical or electronic). (10) Power category. (11) Numerical level of the emission standards that apply to the engine. (c) You may subdivide a group of engines that is identical under paragraph (b) of this section into different engine families if you show the expected emission characteristics are different during the useful life. (d) You may group engines that are not identical with respect to the things listed in paragraph (b) of this section in the same engine family if you show that their emission characteristics during the useful life will be similar. (e) If you combine engines from different power categories into a single engine family under paragraph (d) of this section, you must certify the engine family to the more stringent set of standards from the two power categories in that model year. § 1039.235 What emission testing must I perform for my application for a certificate of conformity? top This section describes the emission testing you must perform to show compliance with the emission standards in §1039.101(a) and (b) or §1039.102(a) and (b). See §1039.205(p) regarding emission testing related to the NTE standards. See §1039.240, §1039.245, and 40 CFR part 1065, subpart E, regarding service accumulation before emission testing. (a) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. (b) Select an emission-data engine from each engine family for testing. Select the engine configuration with the highest volume of fuel injected per cylinder per combustion cycle at the point of maximum torque—unless good engineering judgment indicates that a different engine configuration is more likely to exceed (or have emissions nearer to) an applicable emission standard or FEL. If two or more engines have the same fueling rate at maximum torque, select the one with the highest fueling rate at rated speed. In making this selection, consider all factors expected to affect emission-control performance and compliance with the standards, including emission levels of all exhaust constituents, especially NOX and PM. (c) We may measure emissions from any of your test engines or other engines from the engine family, as follows: (1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the test engine to a test facility we designate. The test engine you provide must include appropriate manifolds, aftertreatment devices, electronic control units, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need. (2) If we measure emissions on one of your test engines, the results of that testing become the official emission results for the engine. Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements. (3) Before we test one of your engines, we may set its adjustable parameters to any point within the physically adjustable ranges (see §1039.115(e)). (4) Before we test one of your engines, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. (d) You may ask to use emission data from a previous model year instead of doing new tests, but only if all the following are true: (1) The engine family from the previous model year differs from the current engine family only with respect to model year. (2) The emission-data engine from the previous model year remains the appropriate emission-data engine under paragraph (b) of this section. (3) The data show that the emission-data engine would meet all the requirements that apply to the engine family covered by the application for certification. (e) We may require you to test a second engine of the same or different configuration in addition to the engine tested under paragraph (b) of this section. (f) If you use an alternate test procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure. § 1039.240 How do I demonstrate that my engine family complies with exhaust emission standards? top (a) For purposes of certification, your engine family is considered in compliance with the applicable numerical emission standards in §1039.101(a) and (b), §1039.102(a) and (b), §1039.104, and §1039.105 if all emission-data engines representing that family have test results showing deteriorated emission levels at or below these standards. (Note: if you participate in the ABT program in subpart H of this part, your FELs are considered to be the applicable emission standards with which you must comply.) (b) Your engine family is deemed not to comply if any emission-data engine representing that family has test results showing a deteriorated emission level above an applicable FEL or emission standard from §1039.101, §1039.102, §1039.104, or §1039.105 for any pollutant. (c) To compare emission levels from the emission-data engine with the applicable emission standards, apply deterioration factors to the measured emission levels for each pollutant. Section 1039.245 specifies how to test your engine to develop deterioration factors that represent the deterioration expected in emissions over your engines' full useful life. Your deterioration factors must take into account any available data from in-use testing with similar engines. Small-volume engine manufacturers may use assigned deterioration factors that we establish. Apply deterioration factors as follows: (1) Additive deterioration factor for exhaust emissions. Except as specified in paragraph (c)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor for a pollutant is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard. (2) Multiplicative deterioration factor for exhaust emissions. Use a multiplicative deterioration factor if good engineering judgment calls for the deterioration factor for a pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. For example, if you use aftertreatment technology that controls emissions of a pollutant proportionally to engine-out emissions, it is often appropriate to use a multiplicative deterioration factor. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard. (3) Deterioration factor for smoke. Deterioration factors for smoke are always additive, as described in paragraph (c)(1) of this section. (4) Deterioration factor for crankcase emissions. If your engine vents crankcase emissions to the exhaust or to the atmosphere, you must account for crankcase emission deterioration, using good engineering judgment. You may use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive) or include the effects in combined deterioration factors that include exhaust and crankcase emissions together for each pollutant. (d) Collect emission data using measurements to one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine. In the case of NOX+NMHC standards, apply the deterioration factor to each pollutant and then add the results before rounding. (e) For engines subject to NMHC standards, you may base compliance on total hydrocarbon (THC) emissions. Indicate in your application for certification if you are using this option. If you do, measure THC emissions and calculate NMHC emissions as 98 percent of THC emissions, as shown in the following equation: NMHC = (0.98) × (THC). [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.245 How do I determine deterioration factors from exhaust durability testing? top Establish deterioration factors to determine whether your engines will meet emission standards for each pollutant throughout the useful life, as described in §§1039.101 and 1039.240. This section describes how to determine deterioration factors, either with an engineering analysis, with pre-existing test data, or with new emission measurements. If you are required to perform durability testing, see §1039.125 for limitations on the maintenance that you may perform on your emission-data engine. (a) You may ask us to approve deterioration factors for an engine family with established technology based on engineering analysis instead of testing. Engines certified to a NOX+NMHC standard or FEL greater than the Tier 3 NOX+NMHC standard described in 40 CFR 89.112 are considered to rely on established technology for gaseous emission control, except that this does not include any engines that use exhaust-gas recirculation or aftertreatment. In most cases, technologies used to meet the Tier 1 and Tier 2 emission standards would be considered to be established technology. (b) You may ask us to approve deterioration factors for an engine family based on emission measurements from similar highway or nonroad engines if you have already given us these data for certifying the other engines in the same or earlier model years. Use good engineering judgment to decide whether the two engines are similar. We will approve your request if you show us that the emission measurements from other engines reasonably represent in-use deterioration for the engine family for which you have not yet determined deterioration factors. (c) If you are unable to determine deterioration factors for an engine family under paragraph (a) or (b) of this section, select engines, subsystems, or components for testing. Determine deterioration factors based on service accumulation and related testing to represent the deterioration expected from in-use engines over the full useful life. You must measure emissions from the emission-data engine at least three times with evenly spaced intervals of service accumulation. You may use extrapolation to determine deterioration factors once you have established a trend of changing emissions with age for each pollutant. You may use an engine installed in nonroad equipment to accumulate service hours instead of running the engine only in the laboratory. You may perform maintenance on emission-data engines as described in §1039.125 and 40 CFR part 1065, subpart E. Use good engineering judgment for all aspects of the effort to establish deterioration factors under this paragraph (c). (d) Include the following information in your application for certification: (1) If you use test data from a different engine family, explain why this is appropriate and include all the emission measurements on which you base the deterioration factor. (2) If you determine your deterioration factors based on engineering analysis, explain why this is appropriate and include a statement that all data, analyses, evaluations, and other information you used are available for our review upon request. (3) If you do testing to determine deterioration factors, describe the form and extent of service accumulation, including a rationale for selecting the service-accumulation period and the method you use to accumulate hours. § 1039.250 What records must I keep and what reports must I send to EPA? top (a) Within 30 days after the end of the model year, send the Designated Compliance Officer a report describing the following information about engines you produced during the model year: (1) Report the total number of engines you produced in each engine family by maximum engine power, total displacement, and the type of fuel system. (2) If you produced exempted engines under the provisions of §1039.625, report the number of exempted engines you produced for each engine model and identify the buyer or shipping destination for each exempted engine. (b) Organize and maintain the following records: (1) A copy of all applications and any summary information you send us. (2) Any of the information we specify in §1039.205 that you were not required to include in your application. (3) A detailed history of each emission-data engine. For each engine, describe all of the following: (i) The emission-data engine's construction, including its origin and buildup, steps you took to ensure that it represents production engines, any components you built specially for it, and all the components you include in your application for certification. (ii) How you accumulated engine operating hours (service accumulation), including the dates and the number of hours accumulated. (iii) All maintenance, including modifications, parts changes, and other service, and the dates and reasons for the maintenance. (iv) All your emission tests, including documentation on routine and standard tests, as specified in part 40 CFR part 1065, and the date and purpose of each test. (v) All tests to diagnose engine or emission-control performance, giving the date and time of each and the reasons for the test. (vi) Any other significant events. (4) Production figures for each engine family divided by assembly plant. (5) Keep a list of engine identification numbers for all the engines you produce under each certificate of conformity. (c) Keep data from routine emission tests (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in paragraph (a) of this section for eight years after we issue your certificate. (d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time. (e) Send us copies of any engine maintenance instructions or explanations if we ask for them. § 1039.255 What decisions may EPA make regarding my certificate of conformity? top (a) If we determine your application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for your engine family for that model year. We may make the approval subject to additional conditions. (b) We may deny your application for certification if we determine that your engine family fails to comply with emission standards or other requirements of this part or the Act. Our decision may be based on a review of all information available to us. If we deny your application, we will explain why in writing. (c) In addition, we may deny your application or suspend or revoke your certificate if you do any of the following: (1) Refuse to comply with any testing or reporting requirements. (2) Submit false or incomplete information (paragraph (e) of this section applies if this is fraudulent). (3) Render inaccurate any test data. (4) Deny us from completing authorized activities despite our presenting a warrant or court order (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance. (5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities. (6) Fail to supply requested information or amend your application to include all engines being produced. (7) Take any action that otherwise circumvents the intent of the Act or this part. (d) We may void your certificate if you do not keep the records we require or do not give us information when we ask for it. (e) We may void your certificate if we find that you intentionally submitted false or incomplete information. (f) If we deny your application or suspend, revoke, or void your certificate, you may ask for a hearing (see §1039.820). Subpart D [Reserved] top Subpart E—In-Use Testing top § 1039.401 General provisions. top We may perform in-use testing of any engine subject to the standards of this part. However, we will limit recall testing to the first 75 percent of each engine's useful life as specified in §1039.101(g). Subpart F—Test Procedures top § 1039.501 How do I run a valid emission test? top (a) Use the equipment and procedures for compression-ignition engines in 40 CFR part 1065 to determine whether engines meet the duty-cycle emission standards in §1039.101(a) and (b). Measure the emissions of all the pollutants we regulate in §1039.101 as specified in 40 CFR part 1065. Use the applicable duty cycles specified in §§1039.505 and 1039.510. (b) Section 1039.515 describes the supplemental procedures for evaluating whether engines meet the not-to-exceed emission standards in §1039.101(e). (c) Measure smoke using the procedures in 40 CFR part 86, subpart I, for evaluating whether engines meet the smoke standards in §1039.105, except that you may test two-cylinder engines with an exhaust muffler like those installed on in-use engines. (d) Use the fuels specified in §1039.104(e) and 40 CFR part 1065 to perform valid tests. (1) For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use engines will use. (2) For diesel-fueled engines, use the appropriate diesel fuel specified in 40 CFR part 1065 for emission testing. Unless we specify otherwise, the appropriate diesel test fuel is the ultra low-sulfur diesel fuel. If we allow you to use a test fuel with higher sulfur levels, identify the test fuel in your application for certification and ensure that the emission control information label is consistent with your selection of the test fuel (see §1039.135(c)(9)). For example, do not test with ultra low-sulfur diesel fuel if you intend to label your engines to allow use of diesel fuel with sulfur concentrations up to 500 ppm. (e) You may use special or alternate procedures to the extent we allow them under 40 CFR 1065.10. (f) This subpart is addressed to you as a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your engines meet emission standards. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.505 How do I test engines using steady-state duty cycles, including ramped-modal testing? top This section describes how to test engines under steady-state conditions. In some cases, we allow you to choose the appropriate steady-state duty cycle for an engine. In these cases, you must use the duty cycle you select in your application for certification for all testing you perform for that engine family. If we test your engines to confirm that they meet emission standards, we will use the duty cycles you select for your own testing. We may also perform other testing as allowed by the Clean Air Act. (a) You may perform steady-state testing with either discrete-mode or ramped-modal cycles, as follows: (1) For discrete-mode testing, sample emissions separately for each mode, then calculate an average emission level for the whole cycle using the weighting factors specified for each mode. Calculate cycle statistics for the sequence of modes and compare with the specified values in 40 CFR part 1065 to confirm that the test is valid. Operate the engine and sampling system as follows: (i) Engines with NOX aftertreatment. For engines that depend on aftertreatment to meet the NOX emission standard, operate the engine for 5–6 minutes, then sample emissions for 1–3 minutes in each mode. You may extend the sampling time to improve measurement accuracy of PM emissions, using good engineering judgment. If you have a longer sampling time for PM emissions, calculate and validate cycle statistics separately for the gaseous and PM sampling periods. (ii) Engines without NOX aftertreatment. For other engines, operate the engine for at least 5 minutes, then sample emissions for at least 1 minute in each mode. Calculate cycle statistics for the sequence of modes and compare with the specified values in 40 CFR part 1065 to confirm that the test is valid. (2) For ramped-modal testing, start sampling at the beginning of the first mode and continue sampling until the end of the last mode. Calculate emissions and cycle statistics the same as for transient testing. (b) Measure emissions by testing the engine on a dynamometer with one of the following duty cycles to determine whether it meets the steady-state emission standards in §1039.101(b): (1) Use the 5-mode duty cycle or the corresponding ramped-modal cycle described in Appendix II of this part for constant-speed engines. Note that these cycles do not apply to all engines used in constant-speed applications, as described in §1039.801. (2) Use the 6-mode duty cycle or the corresponding ramped-modal cycle described in Appendix III of this part for variable-speed engines below 19 kW. You may instead use the 8-mode duty cycle or the corresponding ramped-modal cycle described in Appendix IV of this part if some engines from your engine family will be used in applications that do not involve governing to maintain engine operation around rated speed. (3) Use the 8-mode duty cycle or the corresponding ramped-modal cycle described in Appendix IV of this part for variable-speed engines at or above 19 kW. (c) During idle mode, operate the engine with the following parameters: (1) Hold the speed within your specifications. (2) Set the engine to operate at its minimum fueling rate. (3) Keep engine torque under 5 percent of maximum test torque. (d) For full-load operating modes, operate the engine at its maximum fueling rate. However, for constant-speed engines whose design prevents full-load operation for extended periods, you may ask for approval under 40 CFR 1065.10(c) to replace full-load operation with the maximum load for which the engine is designed to operate for extended periods. (e) See 40 CFR part 1065 for detailed specifications of tolerances and calculations. (f) For those cases where transient testing is not necessary, perform the steady-state test according to this section after an appropriate warm-up period, consistent with 40 CFR part 1065, subpart F. § 1039.510 Which duty cycles do I use for transient testing? top (a) Measure emissions by testing the engine on a dynamometer with one of the following transient duty cycles to determine whether it meets the transient emission standards in §1039.101(a): (1) For variable-speed engines, use the transient duty cycle described in Appendix VI of this part. (2) [Reserved] (b) The transient test sequence consists of an initial run through the transient duty cycle from a cold start, 20 minutes with no engine operation, then a final run through the same transient duty cycle. Start sampling emissions immediately after you start the engine. Calculate the official transient emission result from the following equation: Official transient emission result = 0.05 × cold-start emission rate + 0.95 × hot-start emission rate. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.515 What are the test procedures related to not-to-exceed standards? top (a) General provisions. The provisions in 40 CFR 86.1370–2007 apply for determining whether an engine meets the not-to-exceed emission standards in §1039.101(e). Interpret references to vehicles and vehicle operation to mean equipment and equipment operation. (b) Special PM zone. For engines certified to a PM standard or FEL above 0.07 g/kW-hr, a modified NTE control area applies for PM emissions only. The speeds and loads to be excluded are determined based on speeds B and C, determined according to the provisions of 40 CFR 86.1360–2007(c). One of the following provisions applies: (1) If the C speed is below 2400 rpm, exclude the speed and load points to the right of or below the line formed by connecting the following two points on a plot of speed-vs.-power: (i) 30% of maximum power at the B speed; however, use the power value corresponding to the engine operation at 30% of maximum torque at the B speed if this is greater than 30% of maximum power at the B speed. (ii) 70% of maximum power at 100% speed. (2) If the C speed is at or above 2400 rpm, exclude the speed and load points to the right of the line formed by connecting the two points in paragraphs (b)(2)(i) and (ii) of this section (the 30% and 50% torque/power points) and below the line formed by connecting the two points in paragraphs (b)(2)(ii) and (iii) of this section (the 50% and 70% torque/power points). The 30%, 50%, and 70% torque/power points are defined as follows: (i) 30% of maximum power at the B speed; however, use the power value corresponding to the engine operation at 30% of maximum torque at the B speed if this is greater than 30% of maximum power at the B speed. (ii) 50% of maximum power at 2400 rpm. (iii) 70% of maximum power at 100% speed. § 1039.520 What testing must I perform to establish deterioration factors? top Sections 1039.240 and 1039.245 describe the method for testing that must be performed to establish deterioration factors for an engine family. § 1039.525 How do I adjust emission levels to account for infrequently regenerating aftertreatment devices? top This section describes how to adjust emission results from engines using aftertreatment technology with infrequent regeneration events. For this section, “regeneration” means an intended event during which emission levels change while the system restores aftertreatment performance. For example, exhaust gas temperatures may increase temporarily to remove sulfur from adsorbers or to oxidize accumulated particulate matter in a trap. For this section, “infrequent” refers to regeneration events that are expected to occur on average less than once over the applicable transient duty cycle or ramped-modal cycle, or on average less than once per typical mode in a discrete-mode test. (a) Developing adjustment factors. Develop an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency. Adjustment factors should generally apply to an entire engine family, but you may develop separate adjustment factors for different engine configurations within an engine family. If you use adjustment factors for certification, you must identify the frequency factor, F, from paragraph (b) of this section in your application for certification and use the adjustment factors in all testing for that engine family. You may use carryover or carry-across data to establish adjustment factors for an engine family, as described in §1039.235(d), consistent with good engineering judgment. All adjustment factors for regeneration are additive. Determine adjustment factors separately for different test segments. For example, determine separate adjustment factors for hot-start and cold-start test segments and for different modes of a discrete-mode steady-state test. You may use either of the following different approaches for engines that use aftertreatment with infrequent regeneration events: (1) You may disregard this section if regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. If you do not use adjustment factors under this section, your engines must meet emission standards for all testing, without regard to regeneration. (2) If your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section, you may ask us to approve an alternate methodology to account for regeneration events. (b) Calculating average adjustment factors. Calculate the average adjustment factor (EFA) based on the following equation: EFA = (F)(EFH) + (1-F)(EFL) Where: F = the frequency of the regeneration event in terms of the fraction of tests during which the regeneration occurs. EFH = measured emissions from a test segment in which the regeneration occurs. EFL = measured emissions from a test segment in which the regeneration does not occur. (c) Applying adjustment factors. Apply adjustment factors based on whether regeneration occurs during the test run. You must be able to identify regeneration in a way that is readily apparent during all testing. (1) If regeneration does not occur during a test segment, add an upward adjustment factor to the measured emission rate. Determine the upward adjustment factor (UAF) using the following equation: UAF = EFA - EFL (2) If regeneration occurs or starts to occur during a test segment, subtract a downward adjustment factor from the measured emission rate. Determine the downward adjustment factor (DAF) using the following equation: DAF = EFH - EFA (d) Sample calculation. If EFL is 0.10 g/kW-hr, EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs once for each ten tests), then: EFA = (0.1)(0.5 g/kW-hr) + (1.0 - 0.1)(0.1 g/kW-hr) = 0.14 g/kW-hr. UAF = 0.14 g/kW-hr - 0.10 g/kW-hr = 0.04 g/kW-hr. DAF = 0.50 g/kW-hr - 0.14 g/kW-hr = 0.36 g/kW-hr. Subpart G—Special Compliance Provisions top § 1039.601 What compliance provisions apply to these engines? top Engine and equipment manufacturers, as well as owners, operators, and rebuilders of engines subject to the requirements of this part, and all other persons, must observe the provisions of this part, the requirements and prohibitions in 40 CFR part 1068, and the provisions of the Act. § 1039.605 What provisions apply to engines certified under the motor-vehicle program? top (a) General provisions. If you are an engine manufacturer, this section allows you to introduce new nonroad engines into commerce if they are already certified to the requirements that apply to compression-ignition engines under 40 CFR parts 85 and 86. If you comply with all the provisions of this section, we consider the certificate issued under 40 CFR part 86 for each engine to also be a valid certificate of conformity under this part 1039 for its model year, without a separate application for certification under the requirements of this part 1039. See §1039.610 for similar provisions that apply to engines certified to chassis-based standards for motor vehicles. (b) Equipment-manufacturer provisions. If you are not an engine manufacturer, you may produce nonroad equipment using motor-vehicle engines under this section as long as the engine has been properly labeled as specified in paragraph (d)(5) of this section and you do not make any of the changes described in paragraph (d)(2) of this section. You must also add the fuel-inlet label we specify in §1039.135(e). If you modify the motor-vehicle engine in any of the ways described in paragraph (d)(2) of this section, we will consider you a manufacturer of a new nonroad engine. Such engine modifications prevent you from using the provisions of this section. (c) Liability. Engines for which you meet the requirements of this section are exempt from all the requirements and prohibitions of this part, except for those specified in this section. Engines exempted under this section must meet all the applicable requirements from 40 CFR parts 85 and 86. This paragraph (c) applies to engine manufacturers, equipment manufacturers who use these engines, and all other persons as if these engines were used in a motor vehicle. The prohibited acts of §1068.101(a)(1) apply to these new engines and equipment; however, we consider the certificate issued under 40 CFR part 86 for each engine to also be a valid certificate of conformity under this part 1039 for its model year. If we make a determination that these engines do not conform to the regulations during their useful life, we may require you to recall them under 40 CFR part 85 or 40 CFR 1068.505. (d) Specific requirements. If you are an engine manufacturer and meet all the following criteria and requirements regarding your new nonroad engine, the engine is eligible for an exemption under this section: (1) Your engine must be covered by a valid certificate of conformity issued under 40 CFR part 86. (2) You must not make any changes to the certified engine that could reasonably be expected to increase its exhaust emissions for any pollutant, or its evaporative emissions if it is subject to evaporative-emission standards. For example, if you make any of the following changes to one of these engines, you do not qualify for this exemption: (i) Change any fuel system parameters from the certified configuration. (ii) Change, remove, or fail to properly install any other component, element of design, or calibration specified in the engine manufacturer's application for certification. This includes aftertreatment devices and all related components. (iii) Modify or design the engine cooling system so that temperatures or heat rejection rates are outside the original engine manufacturer's specified ranges. (3) You must show that fewer than 50 percent of the engine model's total sales for the model year, from all companies, are used in nonroad applications, as follows: (i) If you are the original manufacturer of the engine, base this showing on your sales information. (ii) In all other cases, you must get the original manufacturer of the engine to confirm this based on its sales information. (4) You must ensure that the engine has the label we require under 40 CFR part 86. (5) You must add a permanent supplemental label to the engine in a position where it will remain clearly visible after installation in the equipment. In the supplemental label, do the following: (i) Include the heading: “NONROAD ENGINE EMISSION CONTROL INFORMATION”. (ii) Include your full corporate name and trademark. You may instead include the full corporate name and trademark of another company you choose to designate. (iii) State: “THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL LAW.”. (iv) State the date you finished modifying the engine (month and year), if applicable. (6) The original and supplemental labels must be readily visible after the engine is installed in the equipment or, if the equipment obscures the engine's emission control information label, the equipment manufacturer must attach duplicate labels, as described in 40 CFR 1068.105. (7) You must make sure that nonroad equipment produced under this section will have the fueling label we specify in §1039.135(c)(9)(i). (8) Send the Designated Compliance Officer a signed letter by the end of each calendar year (or less often if we tell you) with all the following information: (i) Identify your full corporate name, address, and telephone number. (ii) List the engine models you expect to produce under this exemption in the coming year. (iii) State: “We produce each listed engine model for nonroad application without making any changes that could increase its certified emission levels, as described in 40 CFR 1039.605.”. (e) Failure to comply. If your engines do not meet the criteria listed in paragraph (d) of this section, they will be subject to the standards, requirements, and prohibitions of this part 1039 and the certificate issued under 40 CFR part 86 will not be deemed to also be a certificate issued under this part 1039. Introducing these engines into commerce without a valid exemption or certificate of conformity under this part violates the prohibitions in 40 CFR 1068.101(a)(1). (f) Data submission. We may require you to send us emission test data on any applicable nonroad duty cycles. (g) Participation in averaging, banking and trading. Engines adapted for nonroad use under this section may not generate or use emission credits under this part 1039. These engines may generate credits under the ABT provisions in 40 CFR part 86. These engines must use emission credits under 40 CFR part 86 if they are certified to an FEL that exceeds an applicable standard under 40 CFR part 86. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.610 What provisions apply to vehicles certified under the motor-vehicle program? top (a) General provisions. If you are a motor-vehicle manufacturer, this section allows you to introduce new nonroad engines or equipment into commerce if the vehicle is already certified to the requirements that apply under 40 CFR parts 85 and 86. If you comply with all of the provisions of this section, we consider the certificate issued under 40 CFR part 86 for each motor vehicle to also be a valid certificate of conformity for the engine under this part 1039 for its model year, without a separate application for certification under the requirements of this part 1039. See §1039.605 for similar provisions that apply to motor-vehicle engines produced for nonroad equipment. (b) Equipment-manufacturer provisions. If you are not an engine manufacturer, you may produce nonroad equipment from motor vehicles under this section as long as the equipment has the labels specified in paragraph (d)(5) of this section and you do not make any of the changes described in paragraph (d)(2) of this section. You must also add the fuel-inlet label we specify in §1039.135(e). If you modify the motor vehicle or its engine in any of the ways described in paragraph (d)(2) of this section, we will consider you a manufacturer of a new nonroad engine. Such modifications prevent you from using the provisions of this section. (c) Liability. Engines, vehicles, and equipment for which you meet the requirements of this section are exempt from all the requirements and prohibitions of this part, except for those specified in this section. Engines exempted under this section must meet all the applicable requirements from 40 CFR parts 85 and 86. This applies to engine manufacturers, equipment manufacturers, and all other persons as if the nonroad equipment were motor vehicles. The prohibited acts of §1068.101(a)(1) apply to these new pieces of equipment; however, we consider the certificate issued under 40 CFR part 86 for each motor vehicle to also be a valid certificate of conformity for the engine under this part 1039 for its model year. If we make a determination that these engines, vehicles, or equipment do not conform to the regulations during their useful life, we may require you to recall them under 40 CFR part 86 or 40 CFR 1068.505. (d) Specific requirements. If you are a motor-vehicle manufacturer and meet all the following criteria and requirements regarding your new nonroad equipment and its engine, the engine is eligible for an exemption under this section: (1) Your equipment must be covered by a valid certificate of conformity as a motor vehicle issued under 40 CFR part 86. (2) You must not make any changes to the certified vehicle that we could reasonably expect to increase its exhaust emissions for any pollutant, or its evaporative emissions if it is subject to evaporative-emission standards. For example, if you make any of the following changes, you do not qualify for this exemption: (i) Change any fuel system parameters from the certified configuration. (ii) Change, remove, or fail to properly install any other component, element of design, or calibration specified in the vehicle manufacturer's application for certification. This includes aftertreatment devices and all related components. (iii) Modify or design the engine cooling system so that temperatures or heat rejection rates are outside the original vehicle manufacturer's specified ranges. (iv) Add more than 500 pounds to the curb weight of the originally certified motor vehicle. (3) You must show that fewer than 50 percent of the total sales as a motor vehicle or a piece of nonroad equipment, from all companies, are used in nonroad applications, as follows: (i) If you are the original manufacturer of the vehicle, base this showing on your sales information. (ii) In all other cases, you must get the original manufacturer of the vehicle to confirm this based on their sales information. (4) The equipment must have the vehicle emission control information and fuel labels we require under 40 CFR 86.007–35. (5) You must add a permanent supplemental label to the equipment in a position where it will remain clearly visible. In the supplemental label, do the following: (i) Include the heading: “NONROAD ENGINE EMISSION CONTROL INFORMATION”. (ii) Include your full corporate name and trademark. You may instead include the full corporate name and trademark of another company you choose to designate. (iii) State: “THIS VEHICLE WAS ADAPTED FOR NONROAD USE WITHOUT AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF FEDERAL LAW.”. (iv) State the date you finished modifying the vehicle (month and year), if applicable. (6) The original and supplemental labels must be readily visible in the fully assembled equipment. (7) Send the Designated Compliance Officer a signed letter by the end of each calendar year (or less often if we tell you) with all the following information: (i) Identify your full corporate name, address, and telephone number. (ii) List the equipment models you expect to produce under this exemption in the coming year. (iii) State: “We produce each listed engine or equipment model for nonroad application without making any changes that could increase its certified emission levels, as described in 40 CFR 1039.610.”. (e) Failure to comply. If your engines, vehicles, or equipment do not meet the criteria listed in paragraph (d) of this section, the engines will be subject to the standards, requirements, and prohibitions of this part 1039, and the certificate issued under 40 CFR part 86 will not be deemed to also be a certificate issued under this part 1039. Introducing these engines into commerce without a valid exemption or certificate of conformity under this part violates the prohibitions in 40 CFR 1068.101(a)(1). (f) Data submission. We may require you to send us emission test data on any applicable nonroad duty cycles. (g) Participation in averaging, banking and trading. Vehicles adapted for nonroad use under this section may not generate or use emission credits under this part 1039. These vehicles may generate credits under the ABT provisions in 40 CFR part 86. These vehicles must be included in the calculation of the applicable fleet average in 40 CFR part 86. [69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005] § 1039.615 What special provisions apply to engines using noncommercial fuels? top In §1039.115(e), we generally require that engines meet emission standards for any adjustment within the full range of any adjustable parameters. For engines that use noncommercial fuels significantly different than the specified test fuel of the same type, you may ask to use the parameter-adjustment provisions of this section instead of those in §1039.115(e). Engines certified under this section must be in a separate engine family. (a) If we approve your request, the following provisions apply: (1) You must certify the engine using the test fuel specified in §1039.501. (2) You may produce the engine without limits or stops that keep the engine adjusted within the certified range. (3) You must specify in-use adjustments different than the adjustable settings appropriate for the specified test fuel, consistent with the provisions of paragraph (b)(1) of this section. (b) To produce engines under this section, you must do the following: (1) Specify in-use adjustments needed so the engine's level of emission control for each regulated pollutant is equivalent to that from the certified configuration. (2) Add the following information to the emission control information label specified in §1039.135: (i) Include instructions describing how to adjust the engine to operate in a way that maintains the effectiveness of the emission-control system. (ii) State: “THIS ENGINE IS CERTIFIED TO OPERATE IN APPLICATIONS USING NONCOMMERCIAL FUEL. MALADJUSTMENT OF THE ENGINE IS A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.”. (3) Keep records to document the destinations and quantities of engines produced under this section. § 1039.620 What are the provisions for exempting engines used solely for competition? top The provisions of this section apply for new engines built on or after January 1, 2006. (a) Equipment manufacturers may use uncertified engines if the vehicles or equipment in which they are installed will be used solely for competition. (b) The definition of nonroad engine in 40 CFR 1068.30 excludes engines used solely for competition. These engines are not required to comply with this part 1039 or 40 CFR part 89, but 40 CFR 1068.101 prohibits the use of competition engines for noncompetition purposes. (c) We consider a vehicle or piece of equipment to be one that will be used solely for competition if it has features that are not easily removed that would make its use other than in competition unsafe, impractical, or highly unlikely. (d) As an engine manufacturer, your engine is exempt without our prior approval if you have a written request for an exempted engine from the equipment manufacturer showing the basis for believing that the equipment will be used solely for competition. You must permanently label engines exempted under this section to clearly indicate that they are to be used solely for competition. Failure to properly label an engine will void the exemption. (e) We may discontinue an exemption under this section if we find that engines are not used solely for competition. § 1039.625 What requirements apply under the program for equipment-manufacturer flexibility? top The provisions of this section allow equipment manufacturers to produce equipment with engines that are subject to less stringent emission standards after the Tier 4 emission standards begin to apply. To be eligible to use these provisions, you must follow all the instructions in this section. See 40 CFR 89.102(d) and (e) for provisions that apply to equipment produced while Tier 1, Tier 2, or Tier 3 standards apply. See §1039.626 for requirements that apply specifically to companies that manufacture equipment outside the United States and to companies that import such equipment without manufacturing it. Engines and equipment you produce under this section are exempt from the prohibitions in 40 CFR 1068.101(a)(1), subject to the provisions of this section. (a) General. If you are an equipment manufacturer, you may introduce into commerce in the United States limited numbers of nonroad equipment with engines exempted under this section. You may use the exemptions in this section only if you have primary responsibility for designing and manufacturing equipment and your manufacturing procedures include installing some engines in this equipment. Consider all U.S.-directed equipment sales in showing that you meet the requirements of this section, including those from any parent or subsidiary companies and those from any other companies you license to produce equipment for you. If you produce a type of equipment that has more than one engine, count each engine separately. These provisions are available over the following periods: (1) These provisions are available for the years shown in the following table, except as provided in paragraph (a)(2) of this section: Table 1 of § 1039.625_General Availability of Allowances ------------------------------------------------------------------------ Power category Calendar years ------------------------------------------------------------------------ kW < 19............................................ 2008-2014 19 [le] kW < 56.................................... 2008-2014 56 [le] kW < 130................................... 2012-2018 130 [le] kW [le] 560.................................. 2011-2017 kW > 560........................................... 2011-2017 ------------------------------------------------------------------------ (2) If you do not use any allowances in a power category before the earliest dates shown in the following table, you may delay the start of the seven-year period for using allowances under this section as follows: Table 2 of § 1039.625_Availability of Delayed Allowances ------------------------------------------------------------------------ Power category Calendar years ------------------------------------------------------------------------ kW < 19............................................ ................ 19 [le] kW < 56.................................... 2012-2018 56 [le] kW < 130................................... 2014-2020 130 [le] kW [le] 560.................................. 2014-2020 kW > 560........................................... 2015-2021 ------------------------------------------------------------------------ (b) Allowances. You may choose one of the following options for each power category to produce equipment with exempted engines under this section, except as allowed under §1039.627: (1) Percent-of-production allowances. You may produce a certain number of units with exempted engines calculated using a percentage of your total sales within a power category relative to your total U.S.-directed production volume. The sum of these percentages within a power category during the seven-year period specified in paragraph (a) of this section may not exceed 80 percent, except as allowed under paragraph (b)(2) or (m) of this section. (2) Small-volume allowances. You may determine an alternate allowance for a specific number of exempted engines under this section using one of the following approaches for your U.S.-directed production volumes: (i) You may produce up to 700 units with exempted engines within a power category during the seven-year period specified in paragraph (a) of this section, with no more than 200 units in any single year within a power category, except as provided in paragraph (m) of this section. Engines within a power category that are exempted under this section must be from a single engine family within a given year. (ii) For engines below 130 kW, you may produce up to 525 units with exempted engines within a power category during the seven-year period specified in paragraph (a) of this section, with no more than 150 units in any single year within a power category, except as provided in paragraph (m) of this section. For engines at or above 130 kW, you may produce up to 350 units with exempted engines within a power category during the seven-year period, with no more than 100 units in any single year within a power category. Exemptions under this paragraph (b)(2)(ii) may apply to engines from multiple engine families in a given year. (c) Percentage calculation. Calculate for each calendar year the percentage of equipment with exempted engines from your total U.S.-directed production within a power category if you need to show that you meet the percent-of-production allowances in paragraph (b)(1) of this section. (d) Inclusion of engines not subject to Tier 4 standards. The following provisions apply to engines that are not subject to Tier 4 standards: (1) If you use the provisions of §1068.105(a) to use up your inventories of engines not certified to new emission standards, do not include these units in your count of equipment with exempted engines under paragraph (b) of this section. However, you may include these units in your count of total equipment you produce for the given year for the percentage calculation in paragraph (b)(1) of this section. (2) If you install engines that are exempted from the Tier 4 standards for any reason, other than for equipment-manufacturer allowances under this section, do not include these units in your count of exempted engines under paragraph (b) of this section. However, you may include these units in your count of total equipment you produce for the given year for the percentage calculation in paragraph (b)(1) of this section. For example, if we grant a hardship exemption for the engine manufacturer, you may count these as compliant engines under this section. This paragraph (d)(2) applies only if the engine has a permanent label describing why it is exempted from the Tier 4 standards. (3) Do not include equipment using model year 2008 or 2009 engines certified under the provisions of §1039.101(c) in your count of equipment using exempted engines. However, you may include these units in your count of total equipment you produce for the given year for the percentage calculation in paragraph (b)(1) of this section. (4) You may start using the allowances under this section for engines that are not yet subject to Tier 4 standards, as long as the seven-year period for using allowances under the Tier 2 or Tier 3 program has expired (see 40 CFR 89.102(d)). Table 3 of this section shows the years for which this applies. To use these early allowances, you must use engines that meet the emission standards described in paragraph (e) of this section. You must also count these units or calculate these percentages as described in paragraph (c) of this section and apply them toward the total number or percentage of equipment with exempted engines we allow for the Tier 4 standards as described in paragraph (b) of this section. The maximum number of cumulative early allowances under this paragraph (d)(4) is 10 percent under the percent-of-production allowance or 100 units under the small-volume allowance. For example, if you produce 5 percent of your equipment with engines between 130 and 560 kW that use allowances under this paragraph (d)(4) in 2009, you may use up to an additional 5 percent of your allowances in 2010. If you use allowances for 5 percent of your equipment in both 2009 and 2010, your 80 percent allowance for 2011–2017 in the 130–560 kW power category decreases to 70 percent. Manufacturers using allowances under this paragraph (d)(4) must comply with the notification and reporting requirements specified in paragraph (g) of this section. Table 3 of § 1039.625_Years for Early Allowances ------------------------------------------------------------------------ Maximum engine power Calendar years ------------------------------------------------------------------------ kW < 19............................................ 2007 19 [le] kW < 37.................................... 2006-2011 37 [le] kW < 56.................................... 2011 56 [le] kW < 75.................................... 2011 75 [le] kW < 130................................... 2010-2011 130 [le] kW < 225.................................. 2010 225 [le] kW < 450.................................. 2008-2010 450 [le] kW [le] 560.................................. 2009-2010 KW > 560........................................... ................ ------------------------------------------------------------------------ (e) Standards. If you produce equipment with exempted engines under this section, the engines must meet emission standards at least as stringent as the following: (1) If you are using the provisions of paragraph (d)(4) of this section, engines must meet the applicable Tier 1 emission standards described in §89.112. (2) If you are using the provisions of paragraph (a)(2) of this section, engines must be certified under this part 1039 as follows: ------------------------------------------------------------------------ Must meet all standards and requirements Engines in the following power category . . . that applied in the following model year . . . ------------------------------------------------------------------------ (i) 19 [le] kW < 56................................ 2008 (ii) 56 [le] kW < 130.............................. 2012 (iii) 130 [le] kW [le] 560............................ 2011 (iv) kW > 560...................................... 2011 ------------------------------------------------------------------------ (3) In all other cases, engines at or above 37 kW and at or below 560 kW must meet the appropriate Tier 3 standards described in §89.112. Engines below 37 kW and engines above 560 kW must meet the appropriate Tier 2 standards described in §89.112. (f) Equipment labeling. You must add a permanent label, written legibly in English, to the engine or another readily visible part of each piece of equipment you produce with exempted engines under this section. This label, which supplements the engine manufacturer's emission control information label, must include at least the following items: (1) The label heading “EMISSION CONTROL INFORMATION”. (2) Your corporate name and trademark. (3) The calendar year in which the equipment is manufactured. (4) The name, e-mail address, and phone number of a person to contact for further information. (5) The following statement: THIS EQUIPMENT [or identify the type of equipment] HAS AN ENGINE THAT MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625. (g) Notification and reporting. You must notify us of your intent to use the provisions of this section and send us an annual report to verify that you are not exceeding the allowances, as follows: (1) Before January 1 of the first year you intend to use the provisions of this section, send the Designated Compliance Officer and the Designated Enforcement Officer a written notice of your intent, including: (i) Your company's name and address, and your parent company's name and address, if applicable. (ii) Whom to contact for more information. (iii) The calendar years in which you expect to use the exemption provisions of this section. (iv) The name and address of the company that produces the engines you will be using for the equipment exempted under this section. (v) Your best estimate of the number of units in each power category you will produce under this section and whether you intend to comply under paragraph (b)(1) or (b)(2) of this section. (vi) The number of units in each power category you have sold in previous calendar years under 40 CFR 89.102(d). (2) For each year that you use the provisions of this section, send the Designated Compliance Officer and the Designated Enforcement Officer a written report by March 31 of the following year. Include in your report the total number of engines you sold in the preceding year for each power category, based on actual U.S.-directed production information. Also identify the percentages of U.S.-directed production that correspond to the number of units in each power category and the cumulative numbers and percentages of units for all the units you have sold under this section for each power category. You may omit the percentage figures if you include in the report a statement that you will not be using the percent-of-production allowances in paragraph (b)(1) of this section. (h) Recordkeeping. Keep the following records of all equipment with exempted engines you produce under this section for at least five full years after the final year in which allowances are available for each power category: (1) The model number, serial number, and the date of manufacture for each engine and piece of equipment. (2) The maximum power of each engine. (3) The total number or percentage of equipment with exempted engines, as described in paragraph (b) of this section and all documentation supporting your calculation. (4) The notifications and reports we require under paragraph (g) of this section. (i) Enforcement. Producing more exempted engines or equipment than we allow under this section or installing engines that do not meet the emission standards of paragraph (e) of this section violates the prohibitions in 40 CFR 1068.101(a)(1). You must give us the records we require under this section if we ask for them (see 40 CFR 1068.101(a)(2)). (j) Provisions for engine manufacturers. As an engine manufacturer, you may produce exempted engines as needed under this section. You do not have to request this exemption for your engines, but you must have written assurance from equipment manufacturers that they need a certain number of exempted engines under this section. Send us an annual report of the engines you produce under this section, as described in §1039.250(a). For engines produced under the provisions of paragraph (a)(2) of this section, you must certify the engines under this part 1039. For all other exempt engines, the engines must meet the emission standards in paragraph (e) of this section and you must meet all the requirements of 40 CFR 1068.265. If you show under 40 CFR 1068.265(c) that the engines are identical in all material respects to engines that you have previously certified to one or more FELs above the standards specified in paragraph (e) of this section, you must supply sufficient credits for these engines. Calculate these credits under subpart H of this part using the previously certified FELs and the alternate standards. You must meet the labeling requirements in 40 CFR 89.110, but add the following statement instead of the compliance statement in 40 CFR 89.110(b)(10): THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1039.625. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR THE EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 1039.625 MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY. (k) Other exemptions. See 40 CFR 1068.255 for exemptions based on hardship for equipment manufacturers and secondary engine manufacturers. (l) [Reserved] (m) Additional exemptions for technical or engineering hardship. You may request additional engine allowances under paragraph (b)(1) of this section for 19–560 kW power categories or, if you are a small equipment manufacturer, under paragraph (b)(2) of this section for engines at or above 19 and below 37 kW. However, you may use these extra allowances only for those equipment models for which you, or an affiliated company, do not also produce the engine. After considering the circumstances, we may permit you to introduce into commerce equipment with such engines that do not comply with Tier 4 emission standards, as follows: (1) We may approve additional exemptions if extreme and unusual circumstances that are clearly outside your control and that could not have been avoided with reasonable discretion have resulted in technical or engineering problems that prevent you from meeting the requirements of this part. You must show that you exercised prudent planning and have taken all reasonable steps to minimize the scope of your request for additional allowances. (2) To apply for exemptions under this paragraph (m), send the Designated Compliance Officer and the Designated Enforcement Officer a written request as soon as possible before you are in violation. In your request, include the following information: (i) Describe your process for designing equipment. (ii) Describe how you normally work cooperatively or concurrently with your engine supplier to design products. (iii) Describe the engineering or technical problems causing you to request the exemption and explain why you have not been able to solve them. Describe the extreme and unusual circumstances that led to these problems and explain how they were unavoidable. (iv) Describe any information or products you received from your engine supplier related to equipment design—such as written specifications, performance data, or prototype engines—and when you received it. (v) Compare the design processes of the equipment model for which you need additional exemptions and that for other models for which you do not need additional exemptions. Explain the technical differences that justify your request. (vi) Describe your efforts to find and use other compliant engines, or otherwise explain why none is available. (vii) Describe the steps you have taken to minimize the scope of your request. (viii) Include other relevant information. You must give us other relevant information if we ask for it. (ix) Estimate the increased percent of production you need for each equipment model covered by your request, as described in paragraph (m)(3) of this section. Estimate the increased number of allowances you need for each equipment model covered by your request, as described in paragraph (m)(4) of this section. (3) We may approve your request to increase the allowances under paragraph (b)(1) of this section, subject to the following limitations: (i) The additional allowances will not exceed 70 percent for each power category. (ii) You must use up the allowances under paragraph (b)(1) of this section before using any additional allowance under this paragraph (m). (iii) Any allowances we approve under this paragraph (m)(3) expire 24 months after the provisions of this section start for a given power category, as described in paragraph (a) of this section. You may use these allowances only for the specific equipment models covered by your request. (4) We may approve your request to increase the allowances for the 19–56 kW power category under paragraph (b)(2) of this section, subject to the following limitations: (i) You are eligible for additional allowances under this paragraph (m)(4) only if you are a small equipment manufacturer and you do not use the provisions of paragraph (m)(3) of this section to obtain additional allowances for the 19–56 kW power category. (ii) You must use up all the available allowances for the 19–56 kW power category under paragraph (b)(2) of this section in a given year before using any additional allowances under this paragraph (m)(4). (iii) Base your request only on equipment you produce with engines at or above 19 kW and below 37 kW. You may use any additional allowances only for equipment you produce with engines at or above 19 kW and below 37 kW. (iv) The total allowances under either paragraph (b)(2)(i) or (ii) of this section for the 19–56 kW power category will not exceed 1,100 units. (v) Any allowances we approve under this paragraph (m)(4) expire 36 months after the provisions of this section start for this power category, as described in paragraph (a) of this section. These additional allowances are not subject to the annual limits specified in paragraph (b)(2) of this section. You may use these allowances only for the specific equipment models covered by your request. (5) For purposes of this paragraph (m), small equipment manufacturer means a small-business equipment manufacturer that had annual U.S.-directed production volume of equipment using nonroad diesel engines between 19 and 56 kW of no more than 3,000 units in 2002 and all earlier calendar years, and has 750 or fewer employees (500 or fewer employees for nonroad equipment manufacturers that produce no construction equipment or industrial trucks). For manufacturers owned by a parent company, the production limit applies to the production of the parent company and all its subsidiaries and the employee limit applies to the total number of employees of the parent company and all its subsidiaries. [69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005] § 1039.626 What special provisions apply to equipment imported under the equipment-manufacturer flexibility program? top This section describes requirements that apply to equipment manufacturers using the provisions of §1039.625 for equipment produced outside the United States. Note that §1039.625 limits these provisions to equipment manufacturers that install some engines and have primary responsibility for designing and manufacturing equipment. Companies that import equipment into the United States without meeting these criteria are not eligible for these allowances. Such importers may import equipment with exempted engines only as described in paragraph (b) of this section. (a) As a foreign equipment manufacturer, you or someone else may import equipment with exempted engines under this section if you comply with the provisions in §1039.625 and commit to the following: (1) Give any EPA inspector or auditor complete and immediate access to inspect and audit, as follows: (i) Inspections and audits may be announced or unannounced. (ii) Inspections and audits may be by EPA employees or EPA contractors. (iii) You must provide access to any location where— (A) Any nonroad engine, equipment, or vehicle is produced or stored. (B) Documents related to manufacturer operations are kept. (C) Equipment, engines, or vehicles are tested or stored for testing. (iv) You must provide any documents requested by an EPA inspector or auditor that are related to matters covered by the inspections or audit. (v) EPA inspections and audits may include review and copying of any documents related to demonstrating compliance with the exemptions in §1039.625. (vi) EPA inspections and audits may include inspection and evaluation of complete or incomplete equipment, engines, or vehicles, and interviewing employees. (vii) You must make any of your employees available for interview by the EPA inspector or auditor, on request, within a reasonable time period. (viii) You must provide English language translations of any documents to an EPA inspector or auditor, on request, within 10 working days. (ix) You must provide English-language interpreters to accompany EPA inspectors and auditors, on request. (2) Name an agent for service of process located in the District of Columbia. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part. (3) The forum for any civil or criminal enforcement action related to the provisions of this section for violations of the Clean Air Act or regulations promulgated thereunder shall be governed by the Clean Air Act. (4) The substantive and procedural laws of the United States shall apply to any civil or criminal enforcement action against you or any of your officers or employees related to the provisions of this section. (5) Provide the notification required by §1039.625(g). Include in the notice of intent in §1039.625(g)(1) a commitment to comply with the requirements and obligations of §1039.625 and this section. This commitment must be signed by the owner or president. (6) You, your agents, officers, and employees must not seek to detain or to impose civil or criminal remedies against EPA inspectors or auditors, whether EPA employees or EPA contractors, for actions performed within the scope of EPA employment related to the provisions of this section. (7) By submitting notification of your intent to use the provisions of §1039.625, producing and exporting for resale to the United States nonroad equipment under this section, or taking other actions to comply with the requirements of this part, you, your agents, officers, and employees, without exception, become subject to the full operation of the administrative and judicial enforcement powers and provisions of the United States as described in 28 U.S.C. 1605(a)(2), without limitation based on sovereign immunity, for conduct that violates the requirements applicable to you under this part 1039—including such conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the Clean Air Act'with respect to actions instituted against you and your agents, officers, and employees in any court or other tribunal in the United States. (8) Any report or other document you submit to us must be in the English language, or include a complete translation in English. (9) You must post a bond to cover any potential enforcement actions under the Clean Air Act before you or anyone else imports your equipment under this section, as follows: (i) The value of the bond is based on the per-engine bond values shown in Table 1 of this section and on the highest number of engines in each power category you produce in any single calendar year under the provisions of §1039.625. For example, if you have projected U.S.-directed production volumes of 100 exempt engines in the 19–56 kW power category and 300 exempt engines in the 56–130 kW power category in 2013, the appropriate bond amount is $180,000. If your estimated or actual engine imports increase beyond the level appropriate for your current bond payment, you must post additional bond to reflect the increased sales within 90 days after you change your estimate or determine the actual sales. You may not decrease your bond. (ii) You may meet the bond requirements of this section with any of the following methods: (A) Get a bond from a third-party surety that is cited in the U.S. Department of Treasury Circular 570, “Companies Holding Certificates of Authority as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring Companies.” Maintain this bond for five years after the applicable allowance period expires, or five years after you use up all the available allowances under §1039.625, whichever comes first. (B) Get the Designated Enforcement Officer to approve a waiver from the bonding requirement, as long as you can show that you have assets of an appropriate liquidity and value readily available in the United States. (iii) If you forfeit some or all of your bond in an enforcement action, you must post any appropriate bond for continuing importation within 90 days after you forfeit the bond amount. Table 1 of § 1039.626_Per-Engine Bond Values ------------------------------------------------------------------------ The per-engine For engines with maximum engine power falling in the bond value is following ranges . . . . . . ------------------------------------------------------------------------ kW < 19.............................................. $150 19 [le] kW < 56...................................... 300 56 [le] kW < 130..................................... 500 130 [le] kW < 225.................................... 1,000 225 [le] kW < 450.................................... 3,000 kW >= 450............................................... 8,000 ------------------------------------------------------------------------ (iv) You will forfeit the proceeds of the bond posted under this paragraph (a)(9) if you need to satisfy any United States administrative final order or judicial judgment against you arising from your conduct in violation of this part 1039, including such conduct that violates 18 U.S.C. 1001, 42 U.S.C. 7413(c)(2), or other applicable provisions of the Clean Air Act. (b) The provisions of this paragraph (b) apply to importers that do not install engines into equipment and do not have primary responsibility for designing and manufacturing equipment. Such importers may import equipment with engines exempted under §1039.625 only if each engine is exempted under an allowance provided to an equipment manufacturer meeting the requirements of §1039.625 and this section. You must notify us of your intent to use the provisions of this section and send us an annual report, as follows: (1) Before January 1 of the first year you intend to use the provisions of this section, send the Designated Compliance Officer and the Designated Enforcement Officer a written notice of your intent, including: (i) Your company's name and address, and your parent company's name and address, if applicable. (ii) The name and address of the companies that produce the equipment and engines you will be importing under this section. (iii) Your best estimate of the number of units in each power category you will import under this section in the upcoming calendar year, broken down by equipment manufacturer and power category. (iv) The number of units in each power category you have imported in previous calendar years under 40 CFR 89.102(d). (2) For each year that you use the provisions of this section, send the Designated Compliance Officer and the Designated Enforcement Officer a written report by March 31 of the following year. Include in your report the total number of engines you imported under this section in the preceding calendar year, broken down by engine manufacturer and by equipment manufacturer. § 1039.627 What are the incentives for equipment manufacturers to use cleaner engines? top This section allows equipment manufacturers to generate additional allowances under the provisions of §1039.625 by producing equipment using engines at or above 19 kW certified to specified levels earlier than otherwise required. (a) For early-compliant engines to generate offsets for use under this section, the following general provisions apply: (1) The engine manufacturer must comply with the provisions of §1039.104(a)(1) for the offset-generating engines. (2) Engines you install in your equipment after December 31 of the years specified in §1039.104(a)(1) do not generate allowances under this section, even if the engine manufacturer generated offsets for that engine under §1039.104(a). (3) Offset-generating engines must be certified to the following standards under this part 1039: ---------------------------------------------------------------------------------------------------------------- You may reduce the number of engines in the If the engine's maximum And you install . . . Certified early same power In later model power is . . . to the . . . category that years by . . . are required to meet the . . . ---------------------------------------------------------------------------------------------------------------- (i) kW >= 19............... One engine................. Emissions Standards in One engine. standards in Tables 2 § through 7 of 1039.101. § 1039.102 or in § 1039.101. (ii) 56 [le] kW < 130... Two engines................ NOX standards Standards in One engine. in § Tables 2 1039.102(d)(1) through 7 of , and NMHC § standard of 1039.102 or in 0.19 g/kW-hr, § a PM standard 1039.101. of 0.02 g/kW- hr, and a CO standard of 5.0 g/kW-hr. (iii) 130 [le] kW < 560. Two engines................ NOX standards Standards in One engine. in § Tables 2 1039.102(d)(2) through 7 of , an NMHC § standard of 1039.102 or in 0.19 g/kW-hr, § a PM standard 1039.101. of 0.02 g/kW- hr, and a CO standard of 3.5 g/kW-hr. ---------------------------------------------------------------------------------------------------------------- (b) Using engine offsets. (1) You may use engine offsets generated under paragraph (a) of this section to generate additional allowances under §1039.625, as follows: (i) For each engine offset, you may increase the number of available allowances under §1039.625(b) for that power category by one engine for the years indicated. (ii) For engines in 56–560 kW power categories, you may transfer engine offsets across power categories within this power range. Calculate the number of additional allowances by scaling the number of generated engine offsets according to the ratio of engine power for offset and allowance engines. Make this calculation for all your offset engines for which you will transfer offsets under this paragraph (b)(1)(ii), then round the result to determine the total number of available power-weighted allowances. For example, if you generate engine offsets for 75 500-kW engines, you may generate up to 37,500 kW-engines of power-weighted allowances. You may apply this to 375 100-kW engines or any other combination that totals 37,500 kW-engines. (2) You may decline to use the offsets. If you decline, the engine manufacturer may use the provisions of §1039.104(a)(1). (c) Limitation on offsets for engines above 560 kW. For engines above 560 kW, you must track how many engines you install in generator sets and how many you install in other applications under the provisions of this section. 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. (d) Reporting. When you submit your first annual report under §1039.625(g), include the following additional information related to the engines you use to generate offsets under this section: (1) The name of each engine family involved. (2) The number of engines from each power category. (3) The maximum engine power of each engine. (4) For engines above 560 kW, whether you use engines certified to the standards for generator-set engines. (e) In-use fuel. If the engine manufacturer certifies using ultra low-sulfur diesel fuel, you must take steps to ensure that the in-use engines in the family will use diesel fuel with a sulfur concentration no greater than 15 ppm. For example, selling equipment only into applications where the operator commits to a central-fueling facility with ultra low-sulfur diesel fuel throughout its lifetime would meet this requirement. § 1039.630 What are the economic hardship provisions for equipment manufacturers? top If you qualify for the economic hardship provisions specified in 40 CFR 1068.255, we may approve your hardship application subject to the following additional conditions: (a) You must show that you have used up the allowances to produce equipment with exempted engines under §1039.625. (b) You may produce equipment under this section for up to 12 months total (or 24 months total for small-volume manufacturers). § 1039.635 What are the hardship provisions for engine manufacturers? top If you qualify for the hardship provisions specified in 40 CFR 1068.245, we may approve a period of delayed compliance for up to one model year total (or two model years total for small-volume manufacturers). If you qualify for the hardship provisions specified in 40 CFR 1068.250 for small-volume manufacturers, we may approve a period of delayed compliance for up to two model years total. § 1039.640 What special provisions apply to branded engines? top The following provisions apply if you identify the name and trademark of another company instead of your own on your emission control information label, as provided by §1039.135(c)(2): (a) You must have a contractual agreement with the other company that obligates that company to take the following steps: (1) Meet the emission warranty requirements that apply under §1039.120. This may involve a separate agreement involving reimbursement of warranty-related expenses. (2) Report all warranty-related information to the certificate holder. (b) In your application for certification, identify the company whose trademark you will use and describe the arrangements you have made to meet your requirements under this section. (c) You remain responsible for meeting all the requirements of this chapter, including warranty and defect-reporting provisions. § 1039.645 What special provisions apply to engines used for transportation refrigeration units? top Manufacturers may choose to use the provisions of this section for engines used in transportation refrigeration units (TRUs). The operating restrictions and characteristics in paragraph (f) of this section define engines that are not used in TRUs. All provisions of this part apply for TRU engines, except as specified in this section. (a) You may certify engines under this section with the following special provisions: (1) The engines are not subject to the transient emission standards of subpart B of this part. (2) The steady-state emission standards in subpart B of this part apply for emissions measured over the steady-state test cycle described in paragraph (b) of this section instead of the otherwise applicable duty cycle described in §1039.505. (b) Measure steady-state emissions using the procedures specified in §1039.505, except for the duty cycles, as follows: (1) The following duty cycle applies for discrete-mode testing: Table 1 of § 1039.645_Discrete-Mode Cycle for TRU Engines ------------------------------------------------------------------------ Observed Weighting Mode number Engine speed \1\ torque \2\ factors ------------------------------------------------------------------------ 1..................... Maximum test speed.... 75 0.25 2..................... Maximum test speed.... 50 0.25 3..................... Intermediate test 75 0.25 speed. 4..................... Intermediate test 50 0.25 speed. ------------------------------------------------------------------------ \1\ Speed terms are defined in 40 CFR part 1065. \2\ The percent torque is relative to the maximum torque at the given engine speed. (2) The following duty cycle applies for ramped-modal testing: Table 2 of § 1039.645_Ramped-Modal Cycle for TRU Engines ---------------------------------------------------------------------------------------------------------------- Time in mode RMC mode (seconds) Engine speed \1\ Torque (percent) \2,3\ ---------------------------------------------------------------------------------------------------------------- 1a Steady-state..................... 290 Intermediate Speed..... 75. 1b Transition....................... 20 Intermediate Speed..... Linear Transition. 2a Steady-state..................... 280 Intermediate Speed..... 50. 2b Transition....................... 20 Linear Transition...... Linear Transition. 3a Steady-state..................... 280 Maximum Test Speed..... 75. 3b Transition....................... 20 Maximum Test Speed..... Linear Transition. 4 Steady-state...................... 290 Maximum Test Speed..... 50 ---------------------------------------------------------------------------------------------------------------- \1\ Speed terms are defined in 40 CFR part 1065. \2\ The percent torque is relative to the maximum torque at the commanded engine speed. \3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine speed if there is a change in speed setting. (c) Engines certified under this section must be certified in a separate engine family that contains only TRU engines. (d) You must do the following for each engine certified under this section: (1) State on the emission control information label: “THIS ENGINE IS CERTIFIED TO OPERATE ONLY IN TRANSPORTATION REFRIGERATION UNITS. INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.”. (2) State in the emission-related installation instructions all steps necessary to ensure that the engine will operate only in the modes covered by the test cycle described in this section. (3) Keep records to document the destinations and quantities of engines produced under this section. (e) All engines certified under this section must comply with NTE standards, as described in §1039.101 or §1039.102 for the applicable model year, except that the NTE standards are not limited with respect to operating speeds and loads. In your application for certification, certify that all the engines in the engine family comply with the not-to-exceed emission standards for all normal operation and use. The deficiency provisions of §1039.104(d) do not apply to these engines. This paragraph (e) applies whether or not the engine would otherwise be subject to NTE standards. (f) An engine is not considered to be used in a TRU if any of the following is true: (1) The engine is installed in any equipment other than refrigeration units for railcars, truck trailers, or other freight vehicles. (2) The engine operates in any mode not covered by the test cycle described in this section, except as follows: (i) The engine may operate briefly at idle. Note, however, that TRU engines must meet NTE emission standards under any type of operation, including idle, as described in paragraph (e) of this section. (ii) The engine may have a minimal amount of transitional operation between two allowable modes. As an example, a thirty-second transition period would clearly not be considered minimal. (iii) The engine as installed may experience up to a 2-percent decrease in load at a given setpoint over any 10-minute period, and up to a 15-percent decrease in load at a given setpoint over any 60-minute period. (3) The engine is sold in a configuration that allows the engine to operate in any mode not covered by the test cycle described in this section. For example, this section does not apply to an engine sold without a governor limiting operation only to those modes covered by the test cycle described in this section. (4) The engine is subject to Tier 3 or earlier standards, or phase-out Tier 4 standards. § 1039.650 [Reserved] top § 1039.655 What special provisions apply to engines sold in Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands? top (a) The prohibitions in §1068.101(a)(1) do not apply to an engine if the following conditions are met: (1) The engine is intended for use and will be used in Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands. (2) The engine meets the latest applicable emission standards in 40 CFR 89.112. (3) You meet all the requirements of 40 CFR 1068.265. (b) If you introduce an engine into commerce in the United States under this section, you must meet the labeling requirements in 40 CFR 89.110, but add the following statement instead of the compliance statement in 40 CFR 89.110(b)(10): THIS ENGINE DOES NOT COMPLY WITH U.S. EPA TIER 4 EMISSION REQUIREMENTS. IMPORTING THIS ENGINE INTO THE UNITED STATES OR ANY TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY. (c) Introducing into commerce an engine exempted under this section in any state or territory of the United States other than Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands, throughout its lifetime, violates the prohibitions in 40 CFR 1068.101(a)(1), unless it is exempt under a different provision. [69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005] § 1039.660 What special provisions apply to Independent Commercial Importers? top Under §1039.801, certain engines are considered to be new engines when they are imported into the United States, even if they have previously been used outside the country. Independent Commercial Importers may use the provisions of 40 CFR part 89, subpart G, and 40 CFR 89.906(b) to receive a certificate of conformity for engines meeting all the requirements of this part 1039. Subpart H—Averaging, Banking, and Trading for Certification top § 1039.701 General provisions. top (a) You may average, bank, and trade (ABT) emission credits for purposes of certification as described in this subpart to show compliance with the standards of this part. Participation in this program is voluntary. (b) Section 1039.740 restricts the use of emission credits to certain averaging sets. (c) The definitions of Subpart I of this part apply to this subpart. The following definitions also apply: (1) Actual emission credits means emission credits you have generated that we have verified by reviewing your final report. (2) Averaging set means a set of engines in which emission credits may be exchanged only with other engines in the same averaging set. (3) Broker means any entity that facilitates a trade of emission credits between a buyer and seller. (4) Buyer means the entity that receives emission credits as a result of a trade. (5) Reserved emission credits means emission credits you have generated that we have not yet verified by reviewing your final report. (6) Seller means the entity that provides emission credits during a trade. (7) Standard means the emission standard that applies under subpart B of this part for engines not participating in the ABT program of this subpart. (8) Trade means to exchange emission credits, either as a buyer or seller. (d) You may not use emission credits generated under this subpart to offset any emissions that exceed an FEL or standard. This applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing. However, if emissions from an engine exceed an FEL or standard (for example, during a selective enforcement audit), you may use emission credits to recertify the engine family with a higher FEL that applies only to future production. (e) Engine families that use emission credits for one or more pollutants may not generate positive emission credits for another pollutant. (f) Emission credits may be used in the model year they are generated or in future model years. Emission credits may not be used for past model years. (g) You may increase or decrease an FEL during the model year by amending your application for certification under §1039.225. The new FEL may apply only to engines you have not already introduced into commerce. Each engine's emission control information label must include the applicable FELs. § 1039.705 How do I generate and calculate emission credits? top The provisions of this section apply separately for calculating emission credits for NOX, NOX+NMHC, or PM. (a) Calculate positive emission credits for an engine family that has an FEL below the otherwise applicable standard. Calculate negative emission credits for an engine family that has an FEL above the otherwise applicable standard. (b) For each participating engine family, calculate positive or negative emission credits relative to the otherwise applicable emission standard. Round calculated emission credits to the nearest kilogram (kg), using consistent units throughout the following equation: Emission credits (kg) = (Std - FEL) × (Volume) × (AvgPR) × (UL) × (10-3) Where: Std = the emission standard, in grams per kilowatt-hour, that applies under subpart B of this part for engines not participating in the ABT program of this subpart (the “otherwise applicable standard”). FEL = the family emission limit for the engine family, in grams per kilowatt-hour. Volume = the number of engines eligible to participate in the averaging, banking, and trading program within the given engine family during the model year, as described in paragraph (c) of this section. AvgPR = the average maximum engine power of all the engine configurations within an engine family, calculated on a sales-weighted basis, in kilowatts. UL = the useful life for the given engine family, in hours. (c) In your application for certification, base your showing of compliance on projected production volumes for engines whose point of first retail sale is in the United States. As described in §1039.730, compliance with the requirements of this subpart is determined at the end of the model year based on actual production volumes for engines whose point of first retail sale is in the United States. Do not include any of the following engines to calculate emission credits: (1) Engines exempted under subpart G of this part or under 40 CFR part 1068. (2) Exported engines. (3) Engines not subject to the requirements of this part, such as those excluded under §1039.5. (4) [Reserved] (5) Any other engines, where we indicate elsewhere in this part 1039 that they are not to be included in the calculations of this subpart. § 1039.710 How do I average emission credits? top (a) Averaging is the exchange of emission credits among your engine families. You may average emission credits only within the same averaging set. (b) You may certify one or more engine families to an FEL above the applicable standard, subject to the FEL caps and other provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero. (c) If you certify an engine family to an FEL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the engine family's deficit by the due date for the final report required in §1039.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year, from emission credits you have banked, or from emission credits you obtain through trading. § 1039.715 How do I bank emission credits? top (a) Banking is the retention of emission credits by the manufacturer generating the emission credits for use in averaging or trading in future model years. You may use banked emission credits only within the averaging set in which they were generated. (b) In your application for certification, designate any emission credits you intend to bank. These emission credits will be considered reserved credits. During the model year and before the due date for the final report, you may redesignate these emission credits for averaging or trading. (c) You may use banked emission credits from the previous model year for averaging or trading before we verify them, but we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records. (d) Reserved credits become actual emission credits only when we verify them in reviewing your final report. § 1039.720 How do I trade emission credits? top (a) Trading is the exchange of emission credits between manufacturers. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits may be used only within the averaging set in which they were generated. (b) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. (c) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See §1039.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer having a negative balance of emission credits. See §1039.745. § 1039.725 What must I include in my application for certification? top (a) You must declare in your application for certification your intent to use the provisions of this subpart for each engine family that will be certified using the ABT program. You must also declare the FELs you select for the engine family for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps. FELs must be expressed to the same number of decimal places as the applicable standards. (b) Include the following in your application for certification: (1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year. (2) Detailed calculations of projected emission credits (positive or negative) based on projected production volumes. If your engine family will generate positive emission credits, state specifically where the emission credits will be applied (for example, to which engine family they will be applied in averaging, whether they will be traded, or whether they will be reserved for banking). If you have projected negative emission credits for an engine family, state the source of positive emission credits to offset the negative emission credits. Describe whether the emission credits are actual or reserved and whether they will come from averaging, banking, trading, or a combination of these. Identify from which of your engine families or from which manufacturer the emission credits will come. § 1039.730 What ABT reports must I send to EPA? top (a) If any of your engine families are certified using the ABT provisions of this subpart, you must send an end-of-year report within 90 days after the end of the model year and a final report within 270 days after the end of the model year. We may waive the requirement to send the end-of year report, as long as you send the final report on time. (b) Your end-of-year and final reports must include the following information for each engine family participating in the ABT program: (1) Engine-family designation. (2) The emission standards that would otherwise apply to the engine family. (3) The FEL for each pollutant. If you changed an FEL during the model year, identify each FEL you used and calculate the positive or negative emission credits under each FEL. Also, describe how the applicable FEL can be identified for each engine you produced. For example, you might keep a list of engine identification numbers that correspond with certain FEL values. (4) The projected and actual production volumes for the model year with a point of retail sale in the United States. If you changed an FEL during the model year, identify the actual production volume associated with each FEL. (5) Maximum engine power for each engine configuration, and the sales-weighted average engine power for the engine family. (6) Useful life. (7) Calculated positive or negative emission credits for the whole engine family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section. (c) Your end-of-year and final reports must include the following additional information: (1) Show that your net balance of emission credits from all your engine families in each averaging set in the applicable model year is not negative. (2) State whether you will reserve any emission credits for banking. (3) State that the report's contents are accurate. (d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows: (1) As the seller, you must include the following information in your report: (i) The corporate names of the buyer and any brokers. (ii) A copy of any contracts related to the trade. (iii) The engine families that generated emission credits for the trade, including the number of emission credits from each family. (2) As the buyer, you must include the following information in your report: (i) The corporate names of the seller and any brokers. (ii) A copy of any contracts related to the trade. (iii) How you intend to use the emission credits, including the number of emission credits you intend to apply to each engine family (if known). (e) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver. (f) Correct errors in your end-of-year report or final report as follows: (1) You may correct any errors in your end-of-year report when you prepare the final report, as long as you send us the final report by the time it is due. (2) If you or we determine within 270 days after the end of the model year that errors mistakenly decrease your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. You may not make these corrections for errors that are determined more than 270 days after the end of the model year. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(2). (3) If you or we determine anytime that errors mistakenly increase your balance of emission credits, you must correct the errors and recalculate the balance of emission credits. § 1039.735 What records must I keep? top (a) You must organize and maintain your records as described in this section. We may review your records at any time. (b) Keep the records required by this section for eight years after the due date for the end-of-year report. You may use any appropriate storage formats or media, including paper, microfilm, or computer diskettes. (c) Keep a copy of the reports we require in §1039.725 and §1039.730. (d) Keep the following additional records for each engine you produce that generates or uses emission credits under the ABT program: (1) Engine family designation. (2) Engine identification number. (3) FEL and useful life. (4) Maximum engine power. (5) Build date and assembly plant. (6) Purchaser and destination. (e) We may require you to keep additional records or to send us relevant information not required by this section. § 1039.740 What restrictions apply for using emission credits? top The following restrictions apply for using emission credits: (a) Averaging sets. Emission credits may be exchanged only within an averaging set. For Tier 4 engines, there are two averaging sets—one for engines at or below 560 kW and another for engines above 560 kW. (b) Emission credits from earlier tiers of standards. (1) For purposes of ABT under this subpart, you may not use emission credits generated from engines subject to emission standards under 40 CFR part 89, except as specified in §1039.102(d)(1) or the following table: ------------------------------------------------------------------------ And it was Then you may use If the maximum power of the certified to the those banked credit-generating engine is . . following credits for the . standards under 40 following Tier 4 CFR part 89 . . . engines . . . ------------------------------------------------------------------------ (i) kW < 19................. Tier 2............ kW < 19 (ii) 19 [le] kW < 37........ Tier 2............ kW >= 19 (iii) 37 [le] kW [le] 560...... Tier 3............ kW >= 19 (iv) kW > 560............... Tier 2............ kW >= 19 ------------------------------------------------------------------------ (2) Emission credits generated from marine engines certified under the provisions of 40 CFR part 89 may not be used under this part. (3) See 40 CFR part 89 for other restrictions that may apply for using emission credits generated under that part. (4) If the maximum power of an engine generating credits under the Tier 2 standards in 40 CFR part 89 is at or above 37 kW and below 75 kW, you may use those credits for certifying engines under the Option #1 standards in §1039.102. (c) NOX and NOX+NMHC emission credits. You may use NOX emission credits without adjustment to show compliance with NOX+NMHC standards. You may use NOX+NMHC emission credits to show compliance with NOX standards, but you must adjust the NOX+NMHC emission credits downward by twenty percent when you use them, as shown in the following equation: NOX emission credits = (0.8) × (NOX+NMHC emission credits). (d) Other restrictions. Other sections of this part specify additional restrictions for using emission credits under certain special provisions. [69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005] § 1039.745 What can happen if I do not comply with the provisions of this subpart? top (a) For each engine family participating in the ABT program, the certificate of conformity is conditional upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for an engine family if you fail to comply with any provisions of this subpart. (b) You may certify your engine family to an FEL above an applicable standard based on a projection that you will have enough emission credits to offset the deficit for the engine family. However, we may void the certificate of conformity if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in an engine family. (c) We may void the certificate of conformity for an engine family if you fail to keep records, send reports, or give us information we request. (d) You may ask for a hearing if we void your certificate under this section (see §1039.820). Subpart I—Definitions and Other Reference Information top § 1039.801 What definitions apply to this part? top The following definitions apply to this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow: Act means the Clean Air Act, as amended, 42 U.S.C. 7401–7671q. Adjustable parameter means any device, system, or element of design that someone can adjust (including those which are difficult to access) and that, if adjusted, may affect emissions or engine performance during emission testing or normal in-use operation. This includes, but is not limited to, parameters related to injection timing and fueling rate. You may ask us to exclude a parameter that is difficult to access if it cannot be adjusted to affect emissions without significantly degrading engine performance, or if you otherwise show us that it will not be adjusted in a way that affects emissions during in-use operation. Aftertreatment means relating to a catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the engine exhaust before it is exhausted to the environment. Exhaust-gas recirculation (EGR) and turbochargers are not aftertreatment. Aircraft means any vehicle capable of sustained air travel above treetop heights. Amphibious vehicle means a vehicle with wheels or tracks that is designed primarily for operation on land and secondarily for operation in water. Auxiliary emission-control device means any element of design that senses temperature, motive speed, engine RPM, transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission-control system. Brake power means the usable power output of the engine, not including power required to fuel, lubricate, or heat the engine, circulate coolant to the engine, or to operate aftertreatment devices. Calibration means the set of specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range. Certification means obtaining a certificate of conformity for an engine family that complies with the emission standards and requirements in this part. Certified emission level means the highest deteriorated emission level in an engine family for a given pollutant from either transient or steady-state testing. Compression-ignition means relating to a type of reciprocating, internal-combustion engine that is not a spark-ignition engine. Constant-speed engine means an engine whose certification is limited to constant-speed operation. Engines whose constant-speed governor function is removed or disabled are no longer constant-speed engines. Constant-speed operation means engine operation with a governor that controls the operator input to maintain an engine at a reference speed, even under changing load. For example, an isochronous governor changes reference speed temporarily during a load change, then returns the engine to its original reference speed after the engine stabilizes. Isochronous governors typically allow speed changes up to 1.0%. Another example is a speed-droop governor, which has a fixed reference speed at zero load and allows the reference speed to decrease as load increases. With speed-droop governors, speed typically decreases (3 to 10)% below the reference speed at zero load, such that the minimum reference speed occurs near the engine's point of maximum power. Crankcase emissions means airborne substances emitted to the atmosphere from any part of the engine crankcase's ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts. Critical emission-related component means any of the following components: (1) Electronic control units, aftertreatment devices, fuel-metering components, EGR-system components, crankcase-ventilation valves, all components related to charge-air compression and cooling, and all sensors and actuators associated with any of these components. (2) Any other component whose primary purpose is to reduce emissions. Designated Compliance Officer means the Manager, Engine Programs Group (6405–J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460. Designated Enforcement Officer means the Director, Air Enforcement Division (2242A), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., NW.,Washington, DC 20460. Deteriorated emission level means the emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data engine. Deterioration factor means the relationship between emissions at the end of useful life and emissions at the low-hour test point, expressed in one of the following ways: (1) For multiplicative deterioration factors, the ratio of emissions at the end of useful life to emissions at the low-hour test point. (2) For additive deterioration factors, the difference between emissions at the end of useful life and emissions at the low-hour test point. Discrete-mode means relating to the discrete-mode type of steady-state test described in §1039.505. Emission-control system means any device, system, or element of design that controls or reduces the regulated emissions from an engine. Emission-data engine means an engine that is tested for certification. This includes engines tested to establish deterioration factors. Emission-related maintenance means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration. Engine configuration means a unique combination of engine hardware and calibration within an engine family. Engines within a single engine configuration differ only with respect to normal production variability. Engine family has the meaning given in §1039.230. Engine manufacturer means the manufacturer of the engine. See the definition of “manufacturer” in this section. Engine used in a locomotive means either an engine placed in the locomotive to move other equipment, freight, or passenger traffic; or an engine mounted on the locomotive to provide auxiliary power. Equipment manufacturer means a manufacturer of nonroad equipment. All nonroad equipment manufacturing entities under the control of the same person are considered to be a single nonroad equipment manufacturer. (Note: In §1039.626, the term “equipment manufacturer” has a narrower meaning, which applies only to that section.) Excluded means relating to an engine that either: (1) Has been determined not to be a nonroad engine, as specified in 40 CFR 1068.30; or (2) Is a nonroad engine that, according to §1039.5, is not subject to this part 1039. Exempted has the meaning we give in 40 CFR 1068.30. Exhaust-gas recirculation means a technology that reduces emissions by routing exhaust gases that had been exhausted from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion. The use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion is not considered exhaust-gas recirculation for the purposes of this part. Family emission limit (FEL) means an emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard under the ABT program in subpart H of this part. The family emission limit must be expressed to the same number of decimal places as the emission standard it replaces. The family emission limit serves as the emission standard for the engine family with respect to all required testing. Fuel system means all components involved in transporting, metering, and mixing the fuel from the fuel tank to the combustion chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel filters, fuel lines, carburetor or fuel-injection components, and all fuel-system vents. Fuel type means a general category of fuels such as diesel fuel or natural gas. There can be multiple grades within a single fuel type, such as high-sulfur or low-sulfur diesel fuel. Generator-set engine means an engine used primarily to operate an electrical generator or alternator to produce electric power for other applications. Good engineering judgment has the meaning we give in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment. High-sulfur diesel fuel means one of the following: (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel with a maximum sulfur concentration greater than 500 parts per million. (2) For testing, high-sulfur diesel fuel has the meaning we give in 40 CFR part 1065. Hydrocarbon (HC) means the hydrocarbon group on which the emission standards are based for each fuel type. For alcohol-fueled engines, HC means total hydrocarbon equivalent (THCE). For all other engines, HC means nonmethane hydrocarbon (NMHC). Identification number means a unique specification (for example, a model number/serial number combination) that allows someone to distinguish a particular engine from other similar engines. Intermediate test speed has the meaning we give in 40 CFR 1065.515. Low-hour means relating to an engine with stabilized emissions and represents the undeteriorated emission level. This would generally involve less than 300 hours of operation. Low-sulfur diesel fuel means one of the following: (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel with a maximum sulfur concentration of 500 parts per million. (2) For testing, low-sulfur diesel fuel has the meaning we give in 40 CFR part 1065. Manufacture means the physical and engineering process of designing, constructing, and assembling a nonroad engine or a piece of nonroad equipment. Manufacturer has the meaning given in section 216(1) of the Act. In general, this term includes any person who manufactures an engine, vehicle, or piece of equipment for sale in the United States or otherwise introduces a new nonroad engine into commerce in the United States. This includes importers who import engines, equipment, or vehicles for resale. (Note: In §1039.626, the term “equipment manufacturer” has a narrower meaning, which applies only to that section.) Marine engine means a nonroad engine that is installed or intended to be installed on a marine vessel. This includes a portable auxiliary marine engine only if its fueling, cooling, or exhaust system is an integral part of the vessel. There are two kinds of marine engines: (1) Propulsion marine engine means a marine engine that moves a vessel through the water or directs the vessel's movement. (2) Auxiliary marine engine means a marine engine not used for propulsion. Marine vessel has the meaning given in 1 U.S.C. 3, except that it does not include amphibious vehicles. The definition in 1 U.S.C. 3 very broadly includes every craft capable of being used as a means of transportation on water. Maximum engine power has the meaning given in §1039.140. Note that §1039.230 generally disallows grouping engines from different power categories in the same engine family. Maximum test speed has the meaning we give in 40 CFR 1065.1001. Maximum test torque has the meaning we give in 40 CFR 1065.1001. Model year means one of the following things: (1) For freshly manufactured equipment and engines (see definition of “new nonroad engine,” paragraph (1)), model year means one of the following: (i) Calendar year. (ii) Your annual new model production period if it is different than the calendar year. This must include January 1 of the calendar year for which the model year is named. It may not begin before January 2 of the previous calendar year and it must end by December 31 of the named calendar year. (2) For an engine that is converted to a nonroad engine after being placed into service as a motor-vehicle engine or a stationary engine, model year means the calendar year in which the engine was originally produced (see definition of “new nonroad engine,” paragraph (2)). (3) For a nonroad engine excluded under §1039.5 that is later converted to operate in an application that is not excluded, model year means the calendar year in which the engine was originally produced (see definition of “new nonroad engine,” paragraph (3)). (4) For engines that are not freshly manufactured but are installed in new nonroad equipment, model year means the calendar year in which the engine is installed in the new nonroad equipment (see definition of “new nonroad engine,” paragraph (4)). (5) For imported engines: (i) For imported engines described in paragraph (5)(i) of the definition of “new nonroad engine,” model year has the meaning given in paragraphs (1) through (4) of this definition. (ii) For imported engines described in paragraph (5)(ii) of the definition of “new nonroad engine,” model year has the meaning given in 40 CFR 89.602 for independent commercial importers. Motor vehicle has the meaning we give in 40 CFR 85.1703(a). New nonroad engine means any of the following things: (1) A freshly manufactured nonroad engine for which the ultimate purchaser has never received the equitable or legal title. This kind of engine might commonly be thought of as “brand new.” In the case of this paragraph (1), the engine becomes new when it is fully assembled for the first time. The engine is no longer new when the ultimate purchaser receives the title or the product is placed into service, whichever comes first. (2) An engine originally manufactured as a motor-vehicle engine or a stationary engine that is later intended to be used in a piece of nonroad equipment. In this case, the engine is no longer a motor-vehicle or stationary engine and becomes a “new nonroad engine”. The engine is no longer new when it is placed into nonroad service. (3) A nonroad engine that has been previously placed into service in an application we exclude under §1039.5, where that engine is installed in a piece of equipment that is covered by this part 1039. The engine is no longer new when it is placed into nonroad service covered by this part 1039. For example, this would apply to a marine diesel engine that is no longer used in a marine vessel. (4) An engine not covered by paragraphs (1) through (3) of this definition that is intended to be installed in new nonroad equipment. The engine is no longer new when the ultimate purchaser receives a title for the equipment or the product is placed into service, whichever comes first. This generally includes installation of used engines in new equipment. (5) An imported nonroad engine, subject to the following provisions: (i) An imported nonroad engine covered by a certificate of conformity issued under this part that meets the criteria of one or more of paragraphs (1) through (4) of this definition, where the original engine manufacturer holds the certificate, is new as defined by those applicable paragraphs. (ii) An imported nonroad engine covered by a certificate of conformity issued under this part, where someone other than the original engine manufacturer holds the certificate (such as when the engine is modified after its initial assembly), becomes new when it is imported. It is no longer new when the ultimate purchaser receives a title for the engine or it is placed into service, whichever comes first. (iii) An imported nonroad engine that is not covered by a certificate of conformity issued under this part at the time of importation is new, but only if it was produced on or after the dates shown in the following table. This addresses uncertified engines and equipment initially placed into service that someone seeks to import into the United States. Importation of this kind of new nonroad engine (or equipment containing such an engine) is generally prohibited by 40 CFR part 1068. Applicability of Emission Standards for Nonroad Diesel Engines ------------------------------------------------------------------------ Initial date of emission Maximum engine power standards ------------------------------------------------------------------------ kW < 19............................ January 1, 2000. 19 [le] kW < 37.................... January 1, 1999. 37 [le] kW < 75.................... January 1, 1998. 75 [le] kW < 130................... January 1, 1997. 130 [le] kW [le] 560.................. January 1, 1996. kW > 560........................... January 1, 2000. ------------------------------------------------------------------------ New nonroad equipment means either of the following things: (1) A nonroad piece of equipment for which the ultimate purchaser has never received the equitable or legal title. The product is no longer new when the ultimate purchaser receives this title or the product is placed into service, whichever comes first. (2) An imported nonroad piece of equipment with an engine not covered by a certificate of conformity issued under this part at the time of importation and manufactured after the requirements of this part start to apply (see §1039.1). Noncommercial fuel means a combustible product that is not marketed as a commercial fuel, but is used as a fuel for nonroad engines. For example, this includes methane that is produced and released from landfills or oil wells, or similar unprocessed fuels that are not intended to meet any otherwise applicable fuel specifications. See §1039.615 for provisions related to engines designed to burn noncommercial fuels. Noncompliant engine means an engine that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate. Nonconforming engine means an engine not covered by a certificate of conformity that would otherwise be subject to emission standards. Nonmethane hydrocarbon means the difference between the emitted mass of total hydrocarbons and the emitted mass of methane. Nonroad means relating to nonroad engines or equipment that includes nonroad engines. Nonroad engine has the meaning we give in 40 CFR 1068.30. In general this means all internal-combustion engines except motor vehicle engines, stationary engines, engines used solely for competition, or engines used in aircraft. This part does not apply to all nonroad engines (see §1039.5). Nonroad equipment means a piece of equipment that is powered by one or more nonroad engines. Official emission result means the measured emission rate for an emission-data engine on a given duty cycle before the application of any deterioration factor, but after the applicability of regeneration adjustment factors. Opacity means the fraction of a beam of light, expressed in percent, which fails to penetrate a plume of smoke, as measured by the procedure specified in §1039.501. Oxides of nitrogen has the meaning we give in 40 CFR part 1065. Particulate trap means a filtering device that is designed to physically trap all particulate matter above a certain size. Piece of equipment means any vehicle, vessel, or other type of equipment using engines to which this part applies. Placed into service means put into initial use for its intended purpose. Point of first retail sale means the location at which the initial retail sale occurs. This generally means an equipment dealership, but may also include an engine seller or distributor in cases where loose engines are sold to the general public for uses such as replacement engines. Power category means a specific range of maximum engine power that defines the applicability of standards. For example, references to the 56–130 kW power category and 56 = kW < 130 include all engines with maximum engine power at or above 56 kW but below 130 kW. Also references to 56–560 kW power categories or 56 = kW = 560 include all engines with maximum engine power at or above 56 kW but at or below 560 kW, even though these engines span multiple power categories. Note that in some cases, FEL caps are based on a subset of a power category. The power categories are defined as follows: (1) Engines with maximum power below 19 kW. (2) Engines with maximum power at or above 19 kW but below 56 kW. (3) Engines with maximum power at or above 56 kW but below 130 kW. (4) Engines with maximum power at or above 130 kW but at or below 560 kW. (5) Engines with maximum power above 560 kW. Ramped-modal means relating to the ramped-modal type of steady-state test described in §1039.505. Rated speed means the maximum full-load governed speed for governed engines and the speed of maximum power for ungoverned engines. Revoke has the meaning we give in 40 CFR 1068.30. Round means to round numbers according to NIST Special Publication 811(incorporated by reference in §1039.810), unless otherwise specified. Scheduled maintenance means adjusting, repairing, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, malfunctioning, or wearing prematurely. It also may mean actions you expect are necessary to correct an overt indication of failure or malfunction for which periodic maintenance is not appropriate. Small-volume engine manufacturer means a small business engine manufacturer that had engine families certified to meet the requirements of 40 CFR part 89 before 2003 (40 CFR part 89, revised as of July 1, 2002), had annual U.S.-directed production of no more than 2,500 units in 2002 and all earlier calendar years, and has 1000 or fewer employees. For manufacturers owned by a parent company, the production limit applies to the production of the parent company and all its subsidiaries and the employee limit applies to the total number of employees of the parent company and all its subsidiaries. Spark-ignition means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation. Steady-state means relating to emission tests in which engine speed and load are held at a finite set of essentially constant values. Steady-state tests are either discrete-mode tests or ramped-modal tests. Sulfur-sensitive technology means an emission-control technology that experiences a significant drop in emission-control performance or emission-system durability when an engine is operated on low-sulfur fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm) as compared to when it is operated on ultra low-sulfur fuel (i.e., fuel with a sulfur concentration less than 15 ppm). Exhaust-gas recirculation is not a sulfur-sensitive technology. Suspend has the meaning we give in 40 CFR 1068.30. Test engine means an engine in a test sample. Test sample means the collection of engines selected from the population of an engine family for emission testing. This may include testing for certification, production-line testing, or in-use testing. Tier 1 means relating to the Tier 1 emission standards, as shown in 40 CFR 89.112. Tier 2 means relating to the Tier 2 emission standards, as shown in 40 CFR 89.112. Tier 3 means relating to the Tier 3 emission standards, as shown in 40 CFR 89.112. Tier 4 means relating to the Tier 4 emission standards, as shown in §1039.101 and §1039.102. This includes the emission standards that are shown in §1039.101 and §1039.102 that are unchanged from Tier 2 or Tier 3 emission standards. Total hydrocarbon means the combined mass of organic compounds measured by the specified procedure for measuring total hydrocarbon, expressed as a hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1. Total hydrocarbon equivalent means the sum of the carbon mass contributions of non-oxygenated hydrocarbons, alcohols and aldehydes, or other organic compounds that are measured separately as contained in a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled engines. The hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1. Ultimate purchaser means, with respect to any new nonroad equipment or new nonroad engine, the first person who in good faith purchases such new nonroad equipment or new nonroad engine for purposes other than resale. Ultra low-sulfur diesel fuel means one of the following: (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel fuel with a maximum sulfur concentration of 15 parts per million. (2) For testing, ultra low-sulfur diesel fuel has the meaning we give in 40 CFR part 1065. United States has the meaning we give in 40 CFR 1068.30. Upcoming model year means for an engine family the model year after the one currently in production. U.S.-directed production volume means the number of engine units, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States. Useful life means the period during which the engine is designed to properly function in terms of reliability and fuel consumption, without being remanufactured, specified as a number of hours of operation or calendar years, whichever comes first. It is the period during which a new nonroad engine is required to comply with all applicable emission standards. See §1039.101(g). Variable-speed engine means an engine that is not a constant-speed engine. Void has the meaning we give in 40 CFR 1068.30. Volatile liquid fuel means any fuel other than diesel or biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor Pressure higher than 2.0 pounds per square inch. We (us, our) means the Administrator of the Environmental Protection Agency and any authorized representatives. [69 FR 39213, June 29, 2004, as amended at 70 FR 40464, July 13, 2005] § 1039.805 What symbols, acronyms, and abbreviations does this part use? top The following symbols, acronyms, and abbreviations apply to this part: CFR Code of Federal Regulations. CO carbon monoxide. CO2 carbon dioxide. EPA Environmental Protection Agency. FEL Family Emission Limit. g/kW-hr grams per kilowatt-hour. HC hydrocarbon. kW kilowatts. NIST National Institute of Standards and Technology. NMHC nonmethane hydrocarbons. NOX oxides of nitrogen (NO and NO2). NTE not-to-exceed PM particulate matter. rpm revolutions per minute. SAE Society of Automotive Engineers. SEA Selective enforcement audit. THC total hydrocarbon. THCE total hydrocarbon equivalent. TRU transportation refrigeration unit. U.S.C. United States Code. § 1039.810 What materials does this part reference? top Documents listed in this section have been incorporated by reference into this part. The Director of the Federal Register approved the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and Radiation Docket and Information Center, 1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, DC 20460 or at the National Archives and Records Administration (NARA). For information on the availability of this material at NARA, call 202–741–6030, or go to: http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html. (a) NIST material. Table 1 of this section lists material from the National Institute of Standards and Technology that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may purchase copies of these materials from the Government Printing Office, Washington, DC 20402 or download them from the Internet at http://physics.nist.gov/Pubs/SP811/. Table 1 follows: Table 1 of § 1039.810_NIST Materials ------------------------------------------------------------------------ Part 1039 Document number and name reference ------------------------------------------------------------------------ NIST Special Publication 811, Guide for the Use of the 1039.801 International System of Units (SI), 1995 Edition....... ------------------------------------------------------------------------ (b) SAE material. Table 2 of this section lists material from the Society of Automotive Engineering that we have incorporated by reference. The first column lists the number and name of the material. The second column lists the sections of this part where we reference it. Anyone may purchase copies of these materials from the Society of Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096. Table 2 follows: Table 2 of § 1039.810_SAE Materials ------------------------------------------------------------------------ Part 1039 Document number and name reference ------------------------------------------------------------------------ SAE J1930, Electrical/Electronic Systems Diagnostic 1039.135 Terms, Definitions, Abbreviations, and Acronyms, revised May 1998....................................... ------------------------------------------------------------------------ § 1039.815 What provisions apply to confidential information? top (a) Clearly show what you consider confidential by marking, circling, bracketing, stamping, or some other method. (b) We will store your confidential information as described in 40 CFR part 2. Also, we will disclose it only as specified in 40 CFR part 2. This applies both to any information you send us and to any information we collect from inspections, audits, or other site visits. (c) If you send us a second copy without the confidential information, we will assume it contains nothing confidential whenever we need to release information from it. (d) If you send us information without claiming it is confidential, we may make it available to the public without further notice to you, as described in 40 CFR 2.204. § 1039.820 How do I request a hearing? top (a) You may request a hearing under certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision. (b) For a hearing you request under the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue. (c) If we agree to hold a hearing, we will use the procedures specified in 40 CFR part 1068, subpart G. Appendix I to Part 1039 [Reserved] top Appendix II to Part 1039—Steady-State Duty Cycles for Constant-Speed Engines top (a) The following duty cycle applies for discrete-mode testing of constant-speed engines: ------------------------------------------------------------------------ Torque Weighting D2 mode number Engine speed \1\ (percent) \2\ factors ------------------------------------------------------------------------ 1..................... Maximum test 100 0.05 speed. 2..................... Maximum test 75 0.25 speed. 3..................... Maximum test 50 0.30 speed. 4..................... Maximum test 25 0.30 speed. 5..................... Maximum test 10 0.10 speed. ------------------------------------------------------------------------ \1\ Maximum test speed is defined in 40 CFR part 1065. \2\ Except as noted in § 1039.505, the percent torque is relative to maximum test torque. (b) The following duty cycle applies for ramped-modal testing of constant-speed engines: ---------------------------------------------------------------------------------------------------------------- Time in RMC mode mode Engine speed Torque (percent) \1,2\ (seconds) ---------------------------------------------------------------------------------------------------------------- 1a Steady-state..................... 53 Engine Governed........ 100. 1b Transition....................... 20 Engine Governed........ Linear transition. 2a Steady-state..................... 101 Engine Governed........ 10. 2b Transition....................... 20 Engine Governed........ Linear transition. 3a Steady-state..................... 277 Engine Governed........ 75. 3b Transition....................... 20 Engine Governed........ Linear transition. 4a Steady-state..................... 339 Engine Governed........ 25. 4b Transition....................... 20 Engine Governed........ Linear transition. 5 Steady-state...................... 350 Engine Governed........ 50. ---------------------------------------------------------------------------------------------------------------- \1\ The percent torque is relative to maximum test torque. \2\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the torque setting of the current mode to the torque setting of the next mode. Appendix III to Part 1039—Steady-State Duty Cycles for Variable-Speed Engines With Maximum Power Below 19 kW top (a) The following duty cycle applies for discrete-mode testing of variable-speed engines with maximum power below 19 kW: ------------------------------------------------------------------------ Observed G2 mode number Engine speed \1\ torque Weighting (percent) \2\ factors ------------------------------------------------------------------------ 1..................... Maximum test 100 0.09 speed. 2..................... Maximum test 75 0.20 speed. 3..................... Maximum test 50 0.29 speed. 4..................... Maximum test 25 0.30 speed. 5..................... Maximum test 10 0.07 speed. 6..................... Idle............ 0 0.05 ------------------------------------------------------------------------ \1\ Speed terms are defined in 40 CFR part 1065. \2\ The percent torque is relative to the maximum torque at the commanded test speed. (b) The following duty cycle applies for ramped-modal testing of variable-speed engines with maximum power below 19 kW: ---------------------------------------------------------------------------------------------------------------- Time in RMC mode mode Engine speed \1,3\ Torque (percent) \2,3\ (seconds) ---------------------------------------------------------------------------------------------------------------- 1a Steady-state..................... 41 Warm Idle.............. 0. 1b Transition....................... 20 Linear transition...... Linear transition. 2a Steady-state..................... 135 Maximum Test Speed..... 100. 2b Transition....................... 20 Maximum Test Speed..... Linear transition. 3a Steady-state..................... 112 Maximum Test Speed..... 10. 3b Transition....................... 20 Maximum Test Speed..... Linear transition. 4a Steady-state..................... 337 Maximum Test Speed..... 75. 4b Transition....................... 20 Maximum Test Speed..... Linear transition. 5a Steady-state..................... 518 Maximum Test Speed..... 25. 5b Transition....................... 20 Maximum Test Speed..... Linear transition. 6a Steady-state..................... 494 Maximum Test Speed..... 50. 6b Transition....................... 20 Linear transition...... Linear transition. 7 Steady-state...................... 43 Warm Idle.............. 0. ---------------------------------------------------------------------------------------------------------------- \1\ Speed terms are defined in 40 CFR part 1065. \2\ The percent torque is relative to the maximum torque at the commanded engine speed. \3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine speed if there is a change in speed setting. Appendix IV to Part 1039—Steady-State Duty Cycles for Variable-Speed Engines With Maximum Power at or Above 19 kW top (a) The following duty cycle applies for discrete-mode testing of variable-speed engines with maximum power at or above 19 kW: ------------------------------------------------------------------------ Observed C1 mode number Engine speed \1\ torque Weighting (percent) \2\ factors ------------------------------------------------------------------------ 1..................... Maximum test 100 0.15 speed. 2..................... Maximum test 75 0.15 speed. 3..................... Maximum test 50 0.15 speed. 4..................... Maximum test 10 0.10 speed. 5..................... Intermediate 100 0.10 test speed. 6..................... Intermediate 75 0.10 test speed. 7..................... Intermediate 50 0.10 test speed. 8..................... Idle............ 0 0.15 ------------------------------------------------------------------------ \1\ Speed terms are defined in 40 CFR part 1065. \2\ The percent torque is relative to the maximum torque at the commanded test speed. (b) The following duty cycle applies for ramped-modal testing of variable-speed engines with maximum power at or above 19 kW: ---------------------------------------------------------------------------------------------------------------- Time in RMC Mode mode Engine speed \1,3\ Torque (percent) \2,3\ (seconds) ---------------------------------------------------------------------------------------------------------------- 1a Steady-state..................... 126 Warm Idle.............. 0. 1b Transition....................... 20 Linear Transition \2\.. Linear Transition. 2a Steady-state..................... 159 Intermediate Speed..... 100. 2b Transition....................... 20 Intermediate Speed..... Linear Transition. 3a Steady-state..................... 160 Intermediate Speed..... 50. 3b Transition....................... 20 Intermediate Speed..... Linear Transition. 4a Steady-state..................... 162 Intermediate Speed..... 75. 4b Transition....................... 20 Linear Transition...... Linear Transition. 5a Steady-state..................... 246 Maximum Test Speed..... 100. 5b Transition....................... 20 Maximum Test Speed..... Linear Transition. 6a Steady-state..................... 164 Maximum Test Speed..... 10. 6b Transition....................... 20 Maximum Test Speed..... Linear Transition. 7a Steady-state..................... 248 Maximum Test Speed..... 75. 7b Transition....................... 20 Maximum Test Speed..... Linear Transition. 8a Steady-state..................... 247 Maximum Test Speed..... 50. 8b Transition....................... 20 Linear Transition...... Linear Transition. 9 Steady-state...................... 128 Warm Idle.............. 0. ---------------------------------------------------------------------------------------------------------------- \1\ Speed terms are defined in 40 CFR part 1065. \2\ The percent torque is relative to the maximum torque at the commanded engine speed. \3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine speed if there is a change in speed setting. Appendix V to Part 1039 [Reserved] top Appendix VI to Part 1039—Nonroad Compression-ignition Composite Transient Cycle top ------------------------------------------------------------------------ Normalized Normalized Time(s) speed torque (percent) (percent)\1\ ------------------------------------------------------------------------ 1............................................ 0 0 2............................................ 0 0 3............................................ 0 0 4............................................ 0 0 5............................................ 0 0 6............................................ 0 0 7............................................ 0 0 8............................................ 0 0 9............................................ 0 0 10........................................... 0 0 11........................................... 0 0 12........................................... 0 0 13........................................... 0 0 14........................................... 0 0 15........................................... 0 0 16........................................... 0 0 17........................................... 0 0 18........................................... 0 0 19........................................... 0 0 20........................................... 0 0 21........................................... 0 0 22........................................... 0 0 23........................................... 0 0 24........................................... 1 3 25........................................... 1 3 26........................................... 1 3 27........................................... 1 3 28........................................... 1 3 29........................................... 1 3 30........................................... 1 6 31........................................... 1 6 32........................................... 2 1 33........................................... 4 13 34........................................... 7 18 35........................................... 9 21 36........................................... 17 20 37........................................... 33 42 38........................................... 57 46 39........................................... 44 33 40........................................... 31 0 41........................................... 22 27 42........................................... 33 43 43........................................... 80 49 44........................................... 105 47 45........................................... 98 70 46........................................... 104 36 47........................................... 104 65 48........................................... 96 71 49........................................... 101 62 50........................................... 102 51 51........................................... 102 50 52........................................... 102 46 53........................................... 102 41 54........................................... 102 31 55........................................... 89 2 56........................................... 82 0 57........................................... 47 1 58........................................... 23 1 59........................................... 1 3 60........................................... 1 8 61........................................... 1 3 62........................................... 1 5 63........................................... 1 6 64........................................... 1 4 65........................................... 1 4 66........................................... 0 6 67........................................... 1 4 68........................................... 9 21 69........................................... 25 56 70........................................... 64 26 71........................................... 60 31 72........................................... 63 20 73........................................... 62 24 74........................................... 64 8 75........................................... 58 44 76........................................... 65 10 77........................................... 65 12 78........................................... 68 23 79........................................... 69 30 80........................................... 71 30 81........................................... 74 15 82........................................... 71 23 83........................................... 73 20 84........................................... 73 21 85........................................... 73 19 86........................................... 70 33 87........................................... 70 34 88........................................... 65 47 89........................................... 66 47 90........................................... 64 53 91........................................... 65 45 92........................................... 66 38 93........................................... 67 49 94........................................... 69 39 95........................................... 69 39 96........................................... 66 42 97........................................... 71 29 98........................................... 75 29 99........................................... 72 23 100.......................................... 74 22 101.......................................... 75 24 102.......................................... 73 30 103.......................................... 74 24 104.......................................... 77 6 105.......................................... 76 12 106.......................................... 74 39 107.......................................... 72 30 108.......................................... 75 22 109.......................................... 78 64 110.......................................... 102 34 111.......................................... 103 28 112.......................................... 103 28 113.......................................... 103 19 114.......................................... 103 32 115.......................................... 104 25 116.......................................... 103 38 117.......................................... 103 39 118.......................................... 103 34 119.......................................... 102 44 120.......................................... 103 38 121.......................................... 102 43 122.......................................... 103 34 123.......................................... 102 41 124.......................................... 103 44 125.......................................... 103 37 126.......................................... 103 27 127.......................................... 104 13 128.......................................... 104 30 129.......................................... 104 19 130.......................................... 103 28 131.......................................... 104 40 132.......................................... 104 32 133.......................................... 101 63 134.......................................... 102 54 135.......................................... 102 52 136.......................................... 102 51 137.......................................... 103 40 138.......................................... 104 34 139.......................................... 102 36 140.......................................... 104 44 141.......................................... 103 44 142.......................................... 104 33 143.......................................... 102 27 144.......................................... 103 26 145.......................................... 79 53 146.......................................... 51 37 147.......................................... 24 23 148.......................................... 13 33 149.......................................... 19 55 150.......................................... 45 30 151.......................................... 34 7 152.......................................... 14 4 153.......................................... 8 16 154.......................................... 15 6 155.......................................... 39 47 156.......................................... 39 4 157.......................................... 35 26 158.......................................... 27 38 159.......................................... 43 40 160.......................................... 14 23 161.......................................... 10 10 162.......................................... 15 33 163.......................................... 35 72 164.......................................... 60 39 165.......................................... 55 31 166.......................................... 47 30 167.......................................... 16 7 168.......................................... 0 6 169.......................................... 0 8 170.......................................... 0 8 171.......................................... 0 2 172.......................................... 2 17 173.......................................... 10 28 174.......................................... 28 31 175.......................................... 33 30 176.......................................... 36 0 177.......................................... 19 10 178.......................................... 1 18 179.......................................... 0 16 180.......................................... 1 3 181.......................................... 1 4 182.......................................... 1 5 183.......................................... 1 6 184.......................................... 1 5 185.......................................... 1 3 186.......................................... 1 4 187.......................................... 1 4 188.......................................... 1 6 189.......................................... 8 18 190.......................................... 20 51 191.......................................... 49 19 192.......................................... 41 13 193.......................................... 31 16 194.......................................... 28 21 195.......................................... 21 17 196.......................................... 31 21 197.......................................... 21 8 198.......................................... 0 14 199.......................................... 0 12 200.......................................... 3 8 201.......................................... 3 22 202.......................................... 12 20 203.......................................... 14 20 204.......................................... 16 17 205.......................................... 20 18 206.......................................... 27 34 207.......................................... 32 33 208.......................................... 41 31 209.......................................... 43 31 210.......................................... 37 33 211.......................................... 26 18 212.......................................... 18 29 213.......................................... 14 51 214.......................................... 13 11 215.......................................... 12 9 216.......................................... 15 33 217.......................................... 20 25 218.......................................... 25 17 219.......................................... 31 29 220.......................................... 36 66 221.......................................... 66 40 222.......................................... 50 13 223.......................................... 16 24 224.......................................... 26 50 225.......................................... 64 23 226.......................................... 81 20 227.......................................... 83 11 228.......................................... 79 23 229.......................................... 76 31 230.......................................... 68 24 231.......................................... 59 33 232.......................................... 59 3 233.......................................... 25 7 234.......................................... 21 10 235.......................................... 20 19 236.......................................... 4 10 237.......................................... 5 7 238.......................................... 4 5 239.......................................... 4 6 240.......................................... 4 6 241.......................................... 4 5 242.......................................... 7 5 243.......................................... 16 28 244.......................................... 28 25 245.......................................... 52 53 246.......................................... 50 8 247.......................................... 26 40 248.......................................... 48 29 249.......................................... 54 39 250.......................................... 60 42 251.......................................... 48 18 252.......................................... 54 51 253.......................................... 88 90 254.......................................... 103 84 255.......................................... 103 85 256.......................................... 102 84 257.......................................... 58 66 258.......................................... 64 97 259.......................................... 56 80 260.......................................... 51 67 261.......................................... 52 96 262.......................................... 63 62 263.......................................... 71 6 264.......................................... 33 16 265.......................................... 47 45 266.......................................... 43 56 267.......................................... 42 27 268.......................................... 42 64 269.......................................... 75 74 270.......................................... 68 96 271.......................................... 86 61 272.......................................... 66 0 273.......................................... 37 0 274.......................................... 45 37 275.......................................... 68 96 276.......................................... 80 97 277.......................................... 92 96 278.......................................... 90 97 279.......................................... 82 96 280.......................................... 94 81 281.......................................... 90 85 282.......................................... 96 65 283.......................................... 70 96 284.......................................... 55 95 285.......................................... 70 96 286.......................................... 79 96 287.......................................... 81 71 288.......................................... 71 60 289.......................................... 92 65 290.......................................... 82 63 291.......................................... 61 47 292.......................................... 52 37 293.......................................... 24 0 294.......................................... 20 7 295.......................................... 39 48 296.......................................... 39 54 297.......................................... 63 58 298.......................................... 53 31 299.......................................... 51 24 300.......................................... 48 40 301.......................................... 39 0 302.......................................... 35 18 303.......................................... 36 16 304.......................................... 29 17 305.......................................... 28 21 306.......................................... 31 15 307.......................................... 31 10 308.......................................... 43 19 309.......................................... 49 63 310.......................................... 78 61 311.......................................... 78 46 312.......................................... 66 65 313.......................................... 78 97 314.......................................... 84 63 315.......................................... 57 26 316.......................................... 36 22 317.......................................... 20 34 318.......................................... 19 8 319.......................................... 9 10 320.......................................... 5 5 321.......................................... 7 11 322.......................................... 15 15 323.......................................... 12 9 324.......................................... 13 27 325.......................................... 15 28 326.......................................... 16 28 327.......................................... 16 31 328.......................................... 15 20 329.......................................... 17 0 330.......................................... 20 34 331.......................................... 21 25 332.......................................... 20 0 333.......................................... 23 25 334.......................................... 30 58 335.......................................... 63 96 336.......................................... 83 60 337.......................................... 61 0 338.......................................... 26 0 339.......................................... 29 44 340.......................................... 68 97 341.......................................... 80 97 342.......................................... 88 97 343.......................................... 99 88 344.......................................... 102 86 345.......................................... 100 82 346.......................................... 74 79 347.......................................... 57 79 348.......................................... 76 97 349.......................................... 84 97 350.......................................... 86 97 351.......................................... 81 98 352.......................................... 83 83 353.......................................... 65 96 354.......................................... 93 72 355.......................................... 63 60 356.......................................... 72 49 357.......................................... 56 27 358.......................................... 29 0 359.......................................... 18 13 360.......................................... 25 11 361.......................................... 28 24 362.......................................... 34 53 363.......................................... 65 83 364.......................................... 80 44 365.......................................... 77 46 366.......................................... 76 50 367.......................................... 45 52 368.......................................... 61 98 369.......................................... 61 69 370.......................................... 63 49 371.......................................... 32 0 372.......................................... 10 8 373.......................................... 17 7 374.......................................... 16 13 375.......................................... 11 6 376.......................................... 9 5 377.......................................... 9 12 378.......................................... 12 46 379.......................................... 15 30 380.......................................... 26 28 381.......................................... 13 9 382.......................................... 16 21 383.......................................... 24 4 384.......................................... 36 43 385.......................................... 65 85 386.......................................... 78 66 387.......................................... 63 39 388.......................................... 32 34 389.......................................... 46 55 390.......................................... 47 42 391.......................................... 42 39 392.......................................... 27 0 393.......................................... 14 5 394.......................................... 14 14 395.......................................... 24 54 396.......................................... 60 90 397.......................................... 53 66 398.......................................... 70 48 399.......................................... 77 93 400.......................................... 79 67 401.......................................... 46 65 402.......................................... 69 98 403.......................................... 80 97 404.......................................... 74 97 405.......................................... 75 98 406.......................................... 56 61 407.......................................... 42 0 408.......................................... 36 32 409.......................................... 34 43 410.......................................... 68 83 411.......................................... 102 48 412.......................................... 62 0 413.......................................... 41 39 414.......................................... 71 86 415.......................................... 91 52 416.......................................... 89 55 417.......................................... 89 56 418.......................................... 88 58 419.......................................... 78 69 420.......................................... 98 39 421.......................................... 64 61 422.......................................... 90 34 423.......................................... 88 38 424.......................................... 97 62 425.......................................... 100 53 426.......................................... 81 58 427.......................................... 74 51 428.......................................... 76 57 429.......................................... 76 72 430.......................................... 85 72 431.......................................... 84 60 432.......................................... 83 72 433.......................................... 83 72 434.......................................... 86 72 435.......................................... 89 72 436.......................................... 86 72 437.......................................... 87 72 438.......................................... 88 72 439.......................................... 88 71 440.......................................... 87 72 441.......................................... 85 71 442.......................................... 88 72 443.......................................... 88 72 444.......................................... 84 72 445.......................................... 83 73 446.......................................... 77 73 447.......................................... 74 73 448.......................................... 76 72 449.......................................... 46 77 450.......................................... 78 62 451.......................................... 79 35 452.......................................... 82 38 453.......................................... 81 41 454.......................................... 79 37 455.......................................... 78 35 456.......................................... 78 38 457.......................................... 78 46 458.......................................... 75 49 459.......................................... 73 50 460.......................................... 79 58 461.......................................... 79 71 462.......................................... 83 44 463.......................................... 53 48 464.......................................... 40 48 465.......................................... 51 75 466.......................................... 75 72 467.......................................... 89 67 468.......................................... 93 60 469.......................................... 89 73 470.......................................... 86 73 471.......................................... 81 73 472.......................................... 78 73 473.......................................... 78 73 474.......................................... 76 73 475.......................................... 79 73 476.......................................... 82 73 477.......................................... 86 73 478.......................................... 88 72 479.......................................... 92 71 480.......................................... 97 54 481.......................................... 73 43 482.......................................... 36 64 483.......................................... 63 31 484.......................................... 78 1 485.......................................... 69 27 486.......................................... 67 28 487.......................................... 72 9 488.......................................... 71 9 489.......................................... 78 36 490.......................................... 81 56 491.......................................... 75 53 492.......................................... 60 45 493.......................................... 50 37 494.......................................... 66 41 495.......................................... 51 61 496.......................................... 68 47 497.......................................... 29 42 498.......................................... 24 73 499.......................................... 64 71 500.......................................... 90 71 501.......................................... 100 61 502.......................................... 94 73 503.......................................... 84 73 504.......................................... 79 73 505.......................................... 75 72 506.......................................... 78 73 507.......................................... 80 73 508.......................................... 81 73 509.......................................... 81 73 510.......................................... 83 73 511.......................................... 85 73 512.......................................... 84 73 513.......................................... 85 73 514.......................................... 86 73 515.......................................... 85 73 516.......................................... 85 73 517.......................................... 85 72 518.......................................... 85 73 519.......................................... 83 73 520.......................................... 79 73 521.......................................... 78 73 522.......................................... 81 73 523.......................................... 82 72 524.......................................... 94 56 525.......................................... 66 48 526.......................................... 35 71 527.......................................... 51 44 528.......................................... 60 23 529.......................................... 64 10 530.......................................... 63 14 531.......................................... 70 37 532.......................................... 76 45 533.......................................... 78 18 534.......................................... 76 51 535.......................................... 75 33 536.......................................... 81 17 537.......................................... 76 45 538.......................................... 76 30 539.......................................... 80 14 540.......................................... 71 18 541.......................................... 71 14 542.......................................... 71 11 543.......................................... 65 2 544.......................................... 31 26 545.......................................... 24 72 546.......................................... 64 70 547.......................................... 77 62 548.......................................... 80 68 549.......................................... 83 53 550.......................................... 83 50 551.......................................... 83 50 552.......................................... 85 43 553.......................................... 86 45 554.......................................... 89 35 555.......................................... 82 61 556.......................................... 87 50 557.......................................... 85 55 558.......................................... 89 49 559.......................................... 87 70 560.......................................... 91 39 561.......................................... 72 3 562.......................................... 43 25 563.......................................... 30 60 564.......................................... 40 45 565.......................................... 37 32 566.......................................... 37 32 567.......................................... 43 70 568.......................................... 70 54 569.......................................... 77 47 570.......................................... 79 66 571.......................................... 85 53 572.......................................... 83 57 573.......................................... 86 52 574.......................................... 85 51 575.......................................... 70 39 576.......................................... 50 5 577.......................................... 38 36 578.......................................... 30 71 579.......................................... 75 53 580.......................................... 84 40 581.......................................... 85 42 582.......................................... 86 49 583.......................................... 86 57 584.......................................... 89 68 585.......................................... 99 61 586.......................................... 77 29 587.......................................... 81 72 588.......................................... 89 69 589.......................................... 49 56 590.......................................... 79 70 591.......................................... 104 59 592.......................................... 103 54 593.......................................... 102 56 594.......................................... 102 56 595.......................................... 103 61 596.......................................... 102 64 597.......................................... 103 60 598.......................................... 93 72 599.......................................... 86 73 600.......................................... 76 73 601.......................................... 59 49 602.......................................... 46 22 603.......................................... 40 65 604.......................................... 72 31 605.......................................... 72 27 606.......................................... 67 44 607.......................................... 68 37 608.......................................... 67 42 609.......................................... 68 50 610.......................................... 77 43 611.......................................... 58 4 612.......................................... 22 37 613.......................................... 57 69 614.......................................... 68 38 615.......................................... 73 2 616.......................................... 40 14 617.......................................... 42 38 618.......................................... 64 69 619.......................................... 64 74 620.......................................... 67 73 621.......................................... 65 73 622.......................................... 68 73 623.......................................... 65 49 624.......................................... 81 0 625.......................................... 37 25 626.......................................... 24 69 627.......................................... 68 71 628.......................................... 70 71 629.......................................... 76 70 630.......................................... 71 72 631.......................................... 73 69 632.......................................... 76 70 633.......................................... 77 72 634.......................................... 77 72 635.......................................... 77 72 636.......................................... 77 70 637.......................................... 76 71 638.......................................... 76 71 639.......................................... 77 71 640.......................................... 77 71 641.......................................... 78 70 642.......................................... 77 70 643.......................................... 77 71 644.......................................... 79 72 645.......................................... 78 70 646.......................................... 80 70 647.......................................... 82 71 648.......................................... 84 71 649.......................................... 83 71 650.......................................... 83 73 651.......................................... 81 70 652.......................................... 80 71 653.......................................... 78 71 654.......................................... 76 70 655.......................................... 76 70 656.......................................... 76 71 657.......................................... 79 71 658.......................................... 78 71 659.......................................... 81 70 660.......................................... 83 72 661.......................................... 84 71 662.......................................... 86 71 663.......................................... 87 71 664.......................................... 92 72 665.......................................... 91 72 666.......................................... 90 71 667.......................................... 90 71 668.......................................... 91 71 669.......................................... 90 70 670.......................................... 90 72 671.......................................... 91 71 672.......................................... 90 71 673.......................................... 90 71 674.......................................... 92 72 675.......................................... 93 69 676.......................................... 90 70 677.......................................... 93 72 678.......................................... 91 70 679.......................................... 89 71 680.......................................... 91 71 681.......................................... 90 71 682.......................................... 90 71 683.......................................... 92 71 684.......................................... 91 71 685.......................................... 93 71 686.......................................... 93 68 687.......................................... 98 68 688.......................................... 98 67 689.......................................... 100 69 690.......................................... 99 68 691.......................................... 100 71 692.......................................... 99 68 693.......................................... 100 69 694.......................................... 102 72 695.......................................... 101 69 696.......................................... 100 69 697.......................................... 102 71 698.......................................... 102 71 699.......................................... 102 69 700.......................................... 102 71 701.......................................... 102 68 702.......................................... 100 69 703.......................................... 102 70 704.......................................... 102 68 705.......................................... 102 70 706.......................................... 102 72 707.......................................... 102 68 708.......................................... 102 69 709.......................................... 100 68 710.......................................... 102 71 711.......................................... 101 64 712.......................................... 102 69 713.......................................... 102 69 714.......................................... 101 69 715.......................................... 102 64 716.......................................... 102 69 717.......................................... 102 68 718.......................................... 102 70 719.......................................... 102 69 720.......................................... 102 70 721.......................................... 102 70 722.......................................... 102 62 723.......................................... 104 38 724.......................................... 104 15 725.......................................... 102 24 726.......................................... 102 45 727.......................................... 102 47 728.......................................... 104 40 729.......................................... 101 52 730.......................................... 103 32 731.......................................... 102 50 732.......................................... 103 30 733.......................................... 103 44 734.......................................... 102 40 735.......................................... 103 43 736.......................................... 103 41 737.......................................... 102 46 738.......................................... 103 39 739.......................................... 102 41 740.......................................... 103 41 741.......................................... 102 38 742.......................................... 103 39 743.......................................... 102 46 744.......................................... 104 46 745.......................................... 103 49 746.......................................... 102 45 747.......................................... 103 42 748.......................................... 103 46 749.......................................... 103 38 750.......................................... 102 48 751.......................................... 103 35 752.......................................... 102 48 753.......................................... 103 49 754.......................................... 102 48 755.......................................... 102 46 756.......................................... 103 47 757.......................................... 102 49 758.......................................... 102 42 759.......................................... 102 52 760.......................................... 102 57 761.......................................... 102 55 762.......................................... 102 61 763.......................................... 102 61 764.......................................... 102 58 765.......................................... 103 58 766.......................................... 102 59 767.......................................... 102 54 768.......................................... 102 63 769.......................................... 102 61 770.......................................... 103 55 771.......................................... 102 60 772.......................................... 102 72 773.......................................... 103 56 774.......................................... 102 55 775.......................................... 102 67 776.......................................... 103 56 777.......................................... 84 42 778.......................................... 48 7 779.......................................... 48 6 780.......................................... 48 6 781.......................................... 48 7 782.......................................... 48 6 783.......................................... 48 7 784.......................................... 67 21 785.......................................... 105 59 786.......................................... 105 96 787.......................................... 105 74 788.......................................... 105 66 789.......................................... 105 62 790.......................................... 105 66 791.......................................... 89 41 792.......................................... 52 5 793.......................................... 48 5 794.......................................... 48 7 795.......................................... 48 5 796.......................................... 48 6 797.......................................... 48 4 798.......................................... 52 6 799.......................................... 51 5 800.......................................... 51 6 801.......................................... 51 6 802.......................................... 52 5 803.......................................... 52 5 804.......................................... 57 44 805.......................................... 98 90 806.......................................... 105 94 807.......................................... 105 100 808.......................................... 105 98 809.......................................... 105 95 810.......................................... 105 96 811.......................................... 105 92 812.......................................... 104 97 813.......................................... 100 85 814.......................................... 94 74 815.......................................... 87 62 816.......................................... 81 50 817.......................................... 81 46 818.......................................... 80 39 819.......................................... 80 32 820.......................................... 81 28 821.......................................... 80 26 822.......................................... 80 23 823.......................................... 80 23 824.......................................... 80 20 825.......................................... 81 19 826.......................................... 80 18 827.......................................... 81 17 828.......................................... 80 20 829.......................................... 81 24 830.......................................... 81 21 831.......................................... 80 26 832.......................................... 80 24 833.......................................... 80 23 834.......................................... 80 22 835.......................................... 81 21 836.......................................... 81 24 837.......................................... 81 24 838.......................................... 81 22 839.......................................... 81 22 840.......................................... 81 21 841.......................................... 81 31 842.......................................... 81 27 843.......................................... 80 26 844.......................................... 80 26 845.......................................... 81 25 846.......................................... 80 21 847.......................................... 81 20 848.......................................... 83 21 849.......................................... 83 15 850.......................................... 83 12 851.......................................... 83 9 852.......................................... 83 8 853.......................................... 83 7 854.......................................... 83 6 855.......................................... 83 6 856.......................................... 83 6 857.......................................... 83 6 858.......................................... 83 6 859.......................................... 76 5 860.......................................... 49 8 861.......................................... 51 7 862.......................................... 51 20 863.......................................... 78 52 864.......................................... 80 38 865.......................................... 81 33 866.......................................... 83 29 867.......................................... 83 22 868.......................................... 83 16 869.......................................... 83 12 870.......................................... 83 9 871.......................................... 83 8 872.......................................... 83 7 873.......................................... 83 6 874.......................................... 83 6 875.......................................... 83 6 876.......................................... 83 6 877.......................................... 83 6 878.......................................... 59 4 879.......................................... 50 5 880.......................................... 51 5 881.......................................... 51 5 882.......................................... 51 5 883.......................................... 50 5 884.......................................... 50 5 885.......................................... 50 5 886.......................................... 50 5 887.......................................... 50 5 888.......................................... 51 5 889.......................................... 51 5 890.......................................... 51 5 891.......................................... 63 50 892.......................................... 81 34 893.......................................... 81 25 894.......................................... 81 29 895.......................................... 81 23 896.......................................... 80 24 897.......................................... 81 24 898.......................................... 81 28 899.......................................... 81 27 900.......................................... 81 22 901.......................................... 81 19 902.......................................... 81 17 903.......................................... 81 17 904.......................................... 81 17 905.......................................... 81 15 906.......................................... 80 15 907.......................................... 80 28 908.......................................... 81 22 909.......................................... 81 24 910.......................................... 81 19 911.......................................... 81 21 912.......................................... 81 20 913.......................................... 83 26 914.......................................... 80 63 915.......................................... 80 59 916.......................................... 83 100 917.......................................... 81 73 918.......................................... 83 53 919.......................................... 80 76 920.......................................... 81 61 921.......................................... 80 50 922.......................................... 81 37 923.......................................... 82 49 924.......................................... 83 37 925.......................................... 83 25 926.......................................... 83 17 927.......................................... 83 13 928.......................................... 83 10 929.......................................... 83 8 930.......................................... 83 7 931.......................................... 83 7 932.......................................... 83 6 933.......................................... 83 6 934.......................................... 83 6 935.......................................... 71 5 936.......................................... 49 24 937.......................................... 69 64 938.......................................... 81 50 939.......................................... 81 43 940.......................................... 81 42 941.......................................... 81 31 942.......................................... 81 30 943.......................................... 81 35 944.......................................... 81 28 945.......................................... 81 27 946.......................................... 80 27 947.......................................... 81 31 948.......................................... 81 41 949.......................................... 81 41 950.......................................... 81 37 951.......................................... 81 43 952.......................................... 81 34 953.......................................... 81 31 954.......................................... 81 26 955.......................................... 81 23 956.......................................... 81 27 957.......................................... 81 38 958.......................................... 81 40 959.......................................... 81 39 960.......................................... 81 27 961.......................................... 81 33 962.......................................... 80 28 963.......................................... 81 34 964.......................................... 83 72 965.......................................... 81 49 966.......................................... 81 51 967.......................................... 80 55 968.......................................... 81 48 969.......................................... 81 36 970.......................................... 81 39 971.......................................... 81 38 972.......................................... 80 41 973.......................................... 81 30 974.......................................... 81 23 975.......................................... 81 19 976.......................................... 81 25 977.......................................... 81 29 978.......................................... 83 47 979.......................................... 81 90 980.......................................... 81 75 981.......................................... 80 60 982.......................................... 81 48 983.......................................... 81 41 984.......................................... 81 30 985.......................................... 80 24 986.......................................... 81 20 987.......................................... 81 21 988.......................................... 81 29 989.......................................... 81 29 990.......................................... 81 27 991.......................................... 81 23 992.......................................... 81 25 993.......................................... 81 26 994.......................................... 81 22 995.......................................... 81 20 996.......................................... 81 17 997.......................................... 81 23 998.......................................... 83 65 999.......................................... 81 54 1000......................................... 81 50 1001......................................... 81 41 1002......................................... 81 35 1003......................................... 81 37 1004......................................... 81 29 1005......................................... 81 28 1006......................................... 81 24 1007......................................... 81 19 1008......................................... 81 16 1009......................................... 80 16 1010......................................... 83 23 1011......................................... 83 17 1012......................................... 83 13 1013......................................... 83 27 1014......................................... 81 58 1015......................................... 81 60 1016......................................... 81 46 1017......................................... 80 41 1018......................................... 80 36 1019......................................... 81 26 1020......................................... 86 18 1021......................................... 82 35 1022......................................... 79 53 1023......................................... 82 30 1024......................................... 83 29 1025......................................... 83 32 1026......................................... 83 28 1027......................................... 76 60 1028......................................... 79 51 1029......................................... 86 26 1030......................................... 82 34 1031......................................... 84 25 1032......................................... 86 23 1033......................................... 85 22 1034......................................... 83 26 1035......................................... 83 25 1036......................................... 83 37 1037......................................... 84 14 1038......................................... 83 39 1039......................................... 76 70 1040......................................... 78 81 1041......................................... 75 71 1042......................................... 86 47 1043......................................... 83 35 1044......................................... 81 43 1045......................................... 81 41 1046......................................... 79 46 1047......................................... 80 44 1048......................................... 84 20 1049......................................... 79 31 1050......................................... 87 29 1051......................................... 82 49 1052......................................... 84 21 1053......................................... 82 56 1054......................................... 81 30 1055......................................... 85 21 1056......................................... 86 16 1057......................................... 79 52 1058......................................... 78 60 1059......................................... 74 55 1060......................................... 78 84 1061......................................... 80 54 1062......................................... 80 35 1063......................................... 82 24 1064......................................... 83 43 1065......................................... 79 49 1066......................................... 83 50 1067......................................... 86 12 1068......................................... 64 14 1069......................................... 24 14 1070......................................... 49 21 1071......................................... 77 48 1072......................................... 103 11 1073......................................... 98 48 1074......................................... 101 34 1075......................................... 99 39 1076......................................... 103 11 1077......................................... 103 19 1078......................................... 103 7 1079......................................... 103 13 1080......................................... 103 10 1081......................................... 102 13 1082......................................... 101 29 1083......................................... 102 25 1084......................................... 102 20 1085......................................... 96 60 1086......................................... 99 38 1087......................................... 102 24 1088......................................... 100 31 1089......................................... 100 28 1090......................................... 98 3 1091......................................... 102 26 1092......................................... 95 64 1093......................................... 102 23 1094......................................... 102 25 1095......................................... 98 42 1096......................................... 93 68 1097......................................... 101 25 1098......................................... 95 64 1099......................................... 101 35 1100......................................... 94 59 1101......................................... 97 37 1102......................................... 97 60 1103......................................... 93 98 1104......................................... 98 53 1105......................................... 103 13 1106......................................... 103 11 1107......................................... 103 11 1108......................................... 103 13 1109......................................... 103 10 1110......................................... 103 10 1111......................................... 103 11 1112......................................... 103 10 1113......................................... 103 10 1114......................................... 102 18 1115......................................... 102 31 1116......................................... 101 24 1117......................................... 102 19 1118......................................... 103 10 1119......................................... 102 12 1120......................................... 99 56 1121......................................... 96 59 1122......................................... 74 28 1123......................................... 66 62 1124......................................... 74 29 1125......................................... 64 74 1126......................................... 69 40 1127......................................... 76 2 1128......................................... 72 29 1129......................................... 66 65 1130......................................... 54 69 1131......................................... 69 56 1132......................................... 69 40 1133......................................... 73 54 1134......................................... 63 92 1135......................................... 61 67 1136......................................... 72 42 1137......................................... 78 2 1138......................................... 76 34 1139......................................... 67 80 1140......................................... 70 67 1141......................................... 53 70 1142......................................... 72 65 1143......................................... 60 57 1144......................................... 74 29 1145......................................... 69 31 1146......................................... 76 1 1147......................................... 74 22 1148......................................... 72 52 1149......................................... 62 96 1150......................................... 54 72 1151......................................... 72 28 1152......................................... 72 35 1153......................................... 64 68 1154......................................... 74 27 1155......................................... 76 14 1156......................................... 69 38 1157......................................... 66 59 1158......................................... 64 99 1159......................................... 51 86 1160......................................... 70 53 1161......................................... 72 36 1162......................................... 71 47 1163......................................... 70 42 1164......................................... 67 34 1165......................................... 74 2 1166......................................... 75 21 1167......................................... 74 15 1168......................................... 75 13 1169......................................... 76 10 1170......................................... 75 13 1171......................................... 75 10 1172......................................... 75 7 1173......................................... 75 13 1174......................................... 76 8 1175......................................... 76 7 1176......................................... 67 45 1177......................................... 75 13 1178......................................... 75 12 1179......................................... 73 21 1180......................................... 68 46 1181......................................... 74 8 1182......................................... 76 11 1183......................................... 76 14 1184......................................... 74 11 1185......................................... 74 18 1186......................................... 73 22 1187......................................... 74 20 1188......................................... 74 19 1189......................................... 70 22 1190......................................... 71 23 1191......................................... 73 19 1192......................................... 73 19 1193......................................... 72 20 1194......................................... 64 60 1195......................................... 70 39 1196......................................... 66 56 1197......................................... 68 64 1198......................................... 30 68 1199......................................... 70 38 1200......................................... 66 47 1201......................................... 76 14 1202......................................... 74 18 1203......................................... 69 46 1204......................................... 68 62 1205......................................... 68 62 1206......................................... 68 62 1207......................................... 68 62 1208......................................... 68 62 1209......................................... 68 62 1210......................................... 54 50 1211......................................... 41 37 1212......................................... 27 25 1213......................................... 14 12 1214......................................... 0 0 1215......................................... 0 0 1216......................................... 0 0 1217......................................... 0 0 1218......................................... 0 0 1219......................................... 0 0 1220......................................... 0 0 1221......................................... 0 0 1222......................................... 0 0 1223......................................... 0 0 1224......................................... 0 0 1225......................................... 0 0 1226......................................... 0 0 1227......................................... 0 0 1228......................................... 0 0 1229......................................... 0 0 1230......................................... 0 0 1231......................................... 0 0 1232......................................... 0 0 1233......................................... 0 0 1234......................................... 0 0 1235......................................... 0 0 1236......................................... 0 0 1237......................................... 0 0 1238......................................... 0 0 ------------------------------------------------------------------------ \1\ The percent torque is relative to maximum torque at the commanded engine speed. [69 FR 39213, June 29, 2004, as amended at 70 FR 40465, July 13, 2005]