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(continued)
(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?
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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?
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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?
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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?
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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?
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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]
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§ 1039.655 What special provisions apply to engines sold in Guam, American Samoa, or the Commonwealth of the Northern Mariana Islands?
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(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?
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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
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§ 1039.701 General provisions.
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(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?
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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?
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(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?
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(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?
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(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?
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(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?
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(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?
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(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?
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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?
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(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
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§ 1039.801 What definitions apply to this part?
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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 tobe 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. (continued)