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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
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§ 1039.1 Does this part apply for my engines?
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(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?
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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?
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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?
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(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?
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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
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§ 1039.101 What exhaust emission standards must my engines meet after the 2014 model year?
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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?
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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
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Model years
Maximum engine power Phase-in option \1\ PM NOX NOX+NMHC
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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?
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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: (continued)