[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2010 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
40
Parts 87 to 99
Revised as of July 1, 2010
Protection of Environment
________________________
Containing a codification of documents of general
applicability and future effect
As of July 1, 2010
With Ancillaries
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency
(Continued) 3
Finding Aids:
Table of CFR Titles and Chapters........................ 1277
Alphabetical List of Agencies Appearing in the CFR...... 1297
List of CFR Sections Affected........................... 1307
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 87.1 refers
to title 40, part 87,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
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parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
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collection request.
[[Page vi]]
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[[Page vii]]
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Office of the Federal Register.
July 1, 2010.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of thirty-two
volumes. The parts in these volumes are arranged in the following order:
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-end
of part 52), parts 53-59, part 60 (60.1-end of part 60, sections), part
60 (Appendices), parts 61-62, part 63 (63.1-63.599), part 63 (63.600-
63.1199), part 63 (63.1200-63.1439), part 63 (63.1440-63.6175), part 63
(63.6580-63.8830), part 63 (63.8980-end of part 63) parts 64-71, parts
72-80, parts 81-84, part 85-Sec. 86.599-99, part 86 (86.600-1-end of
part 86), parts 87-99, parts 100-135, parts 136-149, parts 150-189,
parts 190-259, parts 260-265, parts 266-299, parts 300-399, parts 400-
424, parts 425-699, parts 700-789, parts 790-999, and part 1000 to end.
The contents of these volumes represent all current regulations codified
under this title of the CFR as of July 1, 2010.
Chapter I--Environmental Protection Agency appears in all thirty-two
volumes. Regulations issued by the Council on Environmental Quality,
including an Index to Parts 1500 through 1508, appear in the volume
containing part 1000 to end. The OMB control numbers for title 40 appear
in Sec. 9.1 of this chapter.
For this volume, Susannah C. Hurley was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Michael L. White, assisted by Ann Worley.
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 87 to 99)
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Part
chapter i--Environmental Protection Agency (Continued)...... 87
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
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Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001; and 69 FR
18803, Apr. 9, 2004.
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part Page
87 Control of air pollution from aircraft and
aircraft engines........................ 5
88 Clean-fuel vehicles......................... 12
89 Control of emissions from new and in-use
nonroad compression-ignition engines.... 39
90 Control of emissions from nonroad spark-
ignition engines at or below 19
kilowatts............................... 171
91 Control of emissions from marine spark-
ignition engines........................ 301
92 Control of air pollution from locomotives
and locomotive engines.................. 409
93 Determining conformity of Federal actions to
State or Federal implementation plans... 554
94 Control of air pollution from marine
compression-ignition engines............ 615
95 Mandatory patent licenses................... 700
96 NOX Budget Trading Program and
Cair NOX and SO2
Trading Programs for State
implementation plans.................... 703
97 Federal NOX Budget Trading
Program and CAIR NOX and
SO2 Trading Programs......... 868
98 Mandatory greenhouse gas reporting.......... 1056
99 [Reserved]
[[Page 5]]
SUBCHAPTER C_AIR PROGRAMS (CONTINUED)
PART 87_CONTROL OF AIR POLLUTION FROM AIRCRAFT AND AIRCRAFT ENGINES--Table of
Contents
Subpart A_General Provisions
Sec.
87.1 Definitions.
87.2 Acronyms and abbreviations.
87.3 General requirements.
87.4 [Reserved]
87.5 Special test procedures.
87.6 Aircraft safety.
87.7 Exemptions.
87.8 Incorporation by reference.
Subpart B_Engine Fuel Venting Emissions (New and In-Use Aircraft Gas
Turbine Engines)
87.10 Applicability.
87.11 Standard for fuel venting emissions.
Subpart C_Exhaust Emissions (New Aircraft Gas Turbine Engines)
87.20 Applicability.
87.21 Standards for exhaust emissions.
Subpart D_Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)
87.30 Applicability.
87.31 Standards for exhaust emissions.
Subparts E-F [Reserved]
Subpart G_Test Procedures for Engine Exhaust Gaseous Emissions (Aircraft
and Aircraft Gas Turbine Engines)
87.60 Introduction.
87.61 Turbine fuel specifications.
87.62 Test procedure (propulsion engines).
87.63 [Reserved]
87.64 Sampling and analytical procedures for measuring gaseous exhaust
emissions.
87.65-87.70 [Reserved]
87.71 Compliance with gaseous emission standards.
Subpart H_Test Procedures for Engine Smoke Emissions (Aircraft Gas
Turbine Engines)
87.80 Introduction.
87.81 Fuel specifications.
87.82 Sampling and analytical procedures for measuring smoke exhaust
emissions.
87.83-87.88 [Reserved]
87.89 Compliance with smoke emission standards.
Authority: 42 U.S.C. 7401-7671q.
Source: 47 FR 58470, Dec. 30, 1982, unless otherwise noted.
Subpart A_General Provisions
Sec. 87.1 Definitions.
(a) As used in this part, all terms not defined herein shall have
the meaning given them in the Act:
Act means the Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
Administrator means the Administrator of the Environmental
Protection Agency and any other officer or employee of the Environmental
Protection Agency to whom authority involved may be delegated.
Aircraft means any airplane for which a U.S. standard airworthiness
certificate or equivalent foreign airworthiness certificate is issued.
Aircraft engine means a propulsion engine which is installed in or
which is manufactured for installation in an aircraft.
Aircraft gas turbine engine means a turboprop, turbofan, or turbojet
aircraft engine.
Class TP means all aircraft turboprop engines.
Class TF means all turbofan or turbojet aircraft engines or aircraft
engines designed for applications that otherwise would have been
fulfilled by turbojet and turbofan engines except engines of class T3,
T8, and TSS.
Class T3 means all aircraft gas turbine engines of the JT3D model
family.
Class T8 means all aircraft gas turbine engines of the JT8D model
family.
Class TSS means all aircraft gas turbine engines employed for
propulsion of aircraft designed to operate at supersonic flight speeds.
Commercial aircraft engine means any aircraft engine used or
intended for use by an ``air carrier,'' (including those engaged in
``intrastate air transportation'') or a ``commercial operator''
(including those engaged in ``intrastate air transportation'') as these
terms are
[[Page 6]]
defined in the Federal Aviation Act and the Federal Aviation
Regulations.
Commercial aircraft gas turbine engine means a turboprop, turbofan,
or turbojet commercial aircraft engine.
Emission measurement system means all of the equipment necessary to
transport and measure the level of emissions. This includes the sample
system and the instrumentation system.
Engine Model means all commercial aircraft turbine engines which are
of the same general series, displacement, and design characteristics and
are usually approved under the same type certificate.
Exhaust emissions means substances emitted to the atmosphere from
the exhaust discharge nozzle of an aircraft or aircraft engine.
Fuel venting emissions means raw fuel, exclusive of hydrocarbons in
the exhaust emissions, discharged from aircraft gas turbine engines
during all normal ground and flight operations.
In-use aircraft gas turbine engine means an aircraft gas turbine
engine which is in service.
New aircraft turbine engine means an aircraft gas turbine engine
which has never been in service.
Power setting means the power or thrust output of an engine in terms
of kilonewtons thrust for turbojet and turbofan engines and shaft power
in terms of kilowatts for turboprop engines.
Rated output (rO) means the maximum power/thrust available for
takeoff at standard day conditions as approved for the engine by the
Federal Aviation Administration, including reheat contribution where
applicable, but excluding any contribution due to water injection.
Rated pressure ratio (rPR) means the ratio between the combustor
inlet pressure and the engine inlet pressure achieved by an engine
operating at rated output.
Sample system means the system which provides for the transportation
of the gaseous emission sample from the sample probe to the inlet of the
instrumentation system.
Secretary means the Secretary of Transportation and any other
officer or employee of the Department of Transportation to whom the
authority involved may be delegated.
Shaft power means only the measured shaft power output of a
turboprop engine.
Smoke means the matter in exhaust emissions which obscures the
transmission of light.
Smoke number (SN) means the dimensionless term quantifying smoke
emissions.
Standard day conditions means standard ambient conditions as
described in the United States Standard Atmosphere, 1976, (i.e.,
Temperature =15 [deg]C, specific humidity =0.00 kg/ H2 O/kg
dry air, and pressure =101325 Pa.)
Taxi/idle (in) means those aircraft operations involving taxi and
idle between the time of landing roll-out and final shutdown of all
propulsion engines.
Taxi/idle (out) means those aircraft operations involving taxi and
idle between the time of initial starting of the propulsion engine(s)
used for the taxi and turn on to duty runway.
[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62
FR 25365, May 8, 1997]
Sec. 87.2 Acronyms and abbreviations.
The abbreviations used in this part have the following meanings in
both upper and lower case:
CO Carbon Monoxide
CO2 Carbon dioxide.
FAA Federal Aviation Administration, Department of Transportation
HC Hydrocarbon(s)
hr. Hour(s)
LTO Landing takeoff
min. Minute(s)
NOX Oxides of nitrogen
rO Rated output
rPR Rated pressure ratio
sec. Seconds
SP Shaft power
SN Smoke number
T Temperature, degrees Kelvin
TIM Time in mode
W Watt(s)
[deg] Degree
% Percent
[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62
FR 25365, May 8, 1997; 74 FR 56374, Oct. 30, 2009]
[[Page 7]]
Sec. 87.3 General requirements.
(a) This part provides for the approval or acceptance by the
Administrator or the Secretary of testing and sampling methods,
analytical, techniques, and related equipment not identical to those
specified in this part. Before either approves or accepts any such
alternate, equivalent, or otherwise nonidentical procedures or
equipment, the Administrator or the Secretary shall consult with the
other in determining whether or not the action requires rulemaking under
sections 231 and 232 of the Clean Air Act, as amended, consistent with
the Administrator's and the Secretary's responsibilities under sections
231 and 232 of the Act. (42 U.S.C. 7571, 7572).
(b) Under section 232 of the Act, the Secretary issues regulations
to insure compliance with this part.
(c) With respect to aircraft of foreign registry, these regulations
shall apply in a manner consistent with any obligation assumed by the
United States in any treaty, convention or agreement between the United
States and any foreign country or foreign countries.
Sec. 87.4 [Reserved]
Sec. 87.5 Special test procedures.
The Administrator or the Secretary may, upon written application by
a manufacturer or operator of aircraft or aircraft engines, approve test
procedures for any aircraft or aircraft engine that is not susceptible
to satisfactory testing by the procedures set forth herein. Prior to
taking action on any such application, the Administrator or the
Secretary shall consult with the other.
Sec. 87.6 Aircraft safety.
The provisions of this part will be revised if at any time the
Secretary determines that an emission standard cannot be met within the
specified time without creating a safety hazard.
Sec. 87.7 Exemptions.
(a) Exemptions based on flights for short durations at infrequent
intervals. The emission standards of this part do not apply to engines
which power aircraft operated in the United States for short durations
at infrequent intervals. Such operations are limited to:
(1) Flights of an aircraft for the purpose of export to a foreign
country, including any flights essential to demonstrate the integrity of
an aircraft prior to its flight to a point outside the United States.
(2) Flights to a base where repairs, alterations or maintenance are
to be performed, or to a point of storage, and flights for the purpose
of returning an aircraft to service.
(3) Official visits by representatives of foreign governments.
(4) Other flights the Secretary determines, after consultation with
the Administrator, to be for short durations at infrequent intervals. A
request for such a determination shall be made before the flight takes
place.
(b) Exemptions for very low production models. The emissions
standards of this part do not apply to engines of very low total
production after the date of applicability. For the purpose of this
part, ``very low production'' is limited to a maximum total production
for United States civil aviation applications of no more than 200 units
covered by the same type certificate after January 1, 1984.
(c) Exemptions for New Engines in Other Categories. The emissions
standards of this part do not apply to engines for which the Secretary
determines, with the concurrence of the Administrator, that application
of any standard under Sec. 87.21 is not justified, based upon
consideration of:
(1) Adverse economic impact on the manufacturer.
(2) Adverse economic impact on the aircraft and airline industries
at large.
(3) Equity in administering the standards among all economically
competing parties.
(4) Public health and welfare effects.
(5) Other factors which the Secretary, after consultation with the
Administrator, may deem relevant to the case in question.
(d) Time Limited Exemptions for In Use Engines. The emissions
standards of this part do not apply to aircraft or aircraft engines for
time periods which the Secretary determines, with the concurrence of the
Administrator, that any applicable standard under Sec. 87.11(a),
[[Page 8]]
Sec. 87.31(a), or Sec. 87.31(c), should not be applied based upon
consideration of the following:
(1) Documentation demonstrating that all good faith efforts to
achieve compliance with such standard have been made.
(2) Documentation demonstrating that the inability to comply with
such standard is due to circumstances beyond the control of the owner or
operator of the aircraft.
(3) A plan in which the owner or operator of the aircraft shows that
he will achieve compliance in the shortest time which is feasible.
(4) Applications for a determination that any requirements of Sec.
87.11(a), Sec. 87.31(a) or Sec. 87.31(c) do not apply shall be
submitted in duplicate to the Secretary in accordance with procedures
established by the Secretary.
(e) The Secretary shall publish in the Federal Register the name of
the organization to whom exemptions are granted and the period of such
exemptions.
(f) No state or political subdivision thereof may attempt to enforce
a standard respecting emissions from an aircraft or engine if such
aircraft or engine has been exempted from such standard under this part.
[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 49
FR 41002, Oct. 18, 1984; 70 FR 69686, Nov. 17, 2005]
Sec. 87.8 Incorporation by reference.
We have incorporated by reference the documents listed in this
section. The Director of the Federal Register approved the incorporation
by reference as prescribed in 5 U.S.C. 552(a) and 1 CFR part 51. Anyone
may inspect copies at the U.S. EPA, Air and Radiation Docket and
Information Center, 1301 Constitution Ave., NW., Room B102, EPA West
Building, Washington, DC 20460 or at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
(a) ICAO material. Table 1 of Sec. 87.8 lists material from the
International Civil Aviation Organization that we have incorporated by
reference. The first column lists the number and name of the material.
The second column lists the sections of this part where we reference it.
Anyone may purchase copies of these materials from the International
Civil Aviation Organization, Document Sales Unit, 999 University Street,
Montreal, Quebec, Canada H3C 5H7. Table 1 follows:
Table 1 of Sec. 87.8--ICAO Materials
------------------------------------------------------------------------
Document number and name Part 87 reference
------------------------------------------------------------------------
International Civil Aviation Organization 87.8, 87.64, 87.71, 87.82,
Annex 16, Environmental Protection, 87.89.
Volume II, Aircraft Engine Emissions,
Second Edition, July 1993, Including
Amendment 3 of March 20, 1997 (as
indicated in footnoted pages.).
------------------------------------------------------------------------
(b) [Reserved]
[70 FR 69686, Nov. 17, 2005]
Subpart B_Engine Fuel Venting Emissions (New and In-Use Aircraft Gas
Turbine Engines)
Sec. 87.10 Applicability.
(a) The provisions of this subpart are applicable to all new
aircraft gas turbines of classes T3, T8, TSS and TF equal to or greater
than 36 kilonewton rated output, manufactured on or after January 1,
1974, and to all in-use aircraft gas turbine engines of classes T3, T8,
TSS and TF equal to or greater than 36 kilonewton rated output
manufactured after February 1, 1974.
(b) The provisions of this subpart are also applicable to all new
aircraft gas turbines of class TF less than 36 kilonewton rated output
and class TP manufactured on or after January 1, 1975 and to all in-use
aircraft gas turbines of class TF less than 36 kilonewton rated output
and class TP manufactured after January 1, 1975.
[49 FR 41002, Oct. 18, 1984]
Sec. 87.11 Standard for fuel venting emissions.
(a) No fuel venting emissions shall be discharged into the
atmosphere from any new or in-use aircraft gas turbine engine subject to
the subpart. This paragraph is directed at the elimination of
intentional discharge to the atmosphere of fuel drained from fuel
[[Page 9]]
nozzle manifolds after engines are shut down and does not apply to
normal fuel seepage from shaft seals, joints, and fittings.
(b) Conformity with the standard set forth in paragraph (a) of this
section shall be determined by inspection of the method designed to
eliminate these emissions.
Subpart C_Exhaust Emissions (New Aircraft Gas Turbine Engines)
Sec. 87.20 Applicability.
The provisions of this subpart are applicable to all aircraft gas
turbine engines of the classes specified beginning on the dates
specified.
Sec. 87.21 Standards for exhaust emissions.
(a) Exhaust emissions of smoke from each new aircraft gas turbine
engine of class T8 manufactured on or after February 1, 1974, shall not
exceed: Smoke number of 30.
(b) Exhaust emissions of smoke from each new aircraft gas turbine
engine of class TF and of rated output of 129 kilonewtons thrust or
greater, manufactured on or after January 1, 1976, shall not exceed:
SN=83.6(r0)-0.274 (r0 is in kilonewtons).
(c) Exhaust emission of smoke from each new aircraft gas turbine
engine of class T3 manufactured on or after January 1, 1978, shall not
exceed: Smoke number of 25.
(d) Gaseous exhaust emissions from each new commercial aircraft gas
turbine engine shall not exceed:
(1) Classes TF, T3, T8 engines greater than 26.7 kilonewtons rated
output:
(i) Engines manufactured on or after January 1, 1984:
Hydrocarbons: 19.6 grams/kilonewton rO.
(ii) Engines manufactured on or after July 7, 1997.
Carbon Monoxide: 118 grams/kilonewton rO.
(iii) Engines of a type or model of which the date of manufacture of
the first individual production model was on or before December 31, 1995
and for which the date of manufacture of the individual engine was on or
before December 31, 1999.
Oxides of Nitrogen: (40 + 2(rPR)) grams/kilonewtons rO.
(iv) Engines of a type or model of which the date of manufacture of
the first individual production model was after December 31, 1995 or for
which the date of manufacture of the individual engine was after
December 31, 1999:
Oxides of Nitrogen: (32 + 1.6(rPR)) grams/kilonewtons rO.
(v) The emission standards prescribed in paragraphs (d)(1) (iii) and
(iv) of this section apply as prescribed beginning July 7, 1997.
(vi) Engines of a type or model of which the date of manufacture of
the first individual production model was after December 31, 2003:
(A) Engines with a rated pressure ratio of 30 or less:
(1) Engines with a maximum rated output greater than 89 kilonewtons:
Oxides of Nitrogen: (19 + 1.6(rPR)) grams/kilonewtons rO.
(2) Engines with a maximum rated output greater than 26.7
kilonewtons but not greater than 89 kilonewtons:
Oxides of Nitrogen: (37.572 + 1.6(rPR) - 0.2087(rO)) grams/
kilonewtons rO.
(B) Engines with a rated pressure ratio greater than 30 but less
than 62.5:
(1) Engines with a maximum rated output greater than 89 kilonewtons:
Oxides of Nitrogen: (7 + 2(rPR)) grams/kilonewtons rO.
(2) Engines with a maximum rated output greater than 26.7
kilonewtons but not greater than 89 kilonewtons:
Oxides of Nitrogen: (42.71 + 1.4286(rPR) - 0.4013(rO) + 0.00642(rPR
x rO)) grams/kilonewtons rO.
(C) Engines with a rated pressure ratio of 62.5 or more:
Oxides of Nitrogen: (32 + 1.6(rPR)) grams/kilonewtons rO.
(vii) The emission standards prescribed in paragraph (d)(1)(vi) of
this section shall apply as prescribed beginning December 19, 2005.
(2) Class TSS: Engines manufactured on or after January 1, 1984:
Hydrocarbons=140(0.92)\rPR\ grams/kilonewtons rO.
[[Page 10]]
(e) Smoke exhaust emissions from each gas turbine engine of the
classes specified below shall not exceed:
(1) Class TF of rated output less than 26.7 kilonewtons manufactured
on or after (one year from date of publication):
SN=83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a
maximum of SN=50.
(2) Classes T3, T8, TSS and TF of rated output equal to or greater
than 26.7 kilonewtons manufactured on or after January 1, 1984:
SN=83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a
maximum of SN=50.
(3) Class TP of rated output equal to or greater than 1,000
kilowatts manufactured on or after January 1, 1984:
SN=187(ro) -0.168 (ro is in kilowatts)
(f) The standards set forth in paragraphs (a), (b), (c), (d), and
(e) of this section refer to a composite gaseous emission sample
representing the operating cycles set forth in the applicable sections
of subpart G of this part, and exhaust smoke emissions emitted during
operations of the engine as specified in the applicable sections of
subpart H of this part, measured and calculated in accordance with the
procedures set forth in those subparts.
[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62
FR 25365, May 8, 1997; 70 FR 69686, Nov. 17, 2005]
Subpart D_Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)
Sec. 87.30 Applicability.
The provisions of this subpart are applicable to all in-use aircraft
gas turbine engines certified for operation within the United States of
the classes specified beginning on the dates specified.
Sec. 87.31 Standards for exhaust emissions.
(a) Exhaust emissions of smoke from each in-use aircraft gas turbine
engine of Class T8, beginning February 1, 1974, shall not exceed: Smoke
number of 30.
(b) Exhaust emissions of smoke from each in-use aircraft gas turbine
engine of class TF and of rated output of 129 kilonewtons thrust or
greater, beginning January 1, 1976, shall not exceed:
SN=83.6(r0)-0.274(r0 is in kilonewtons).
(c) The standards set forth in paragraphs (a) and (b) of this
section refer to exhaust smoke emissions emitted during operations of
the engine as specified in the applicable section of subpart H of this
part, and measured and calculated in accordance with the procedures set
forth in this subpart.
[47 FR 58470, Dec. 30, 1982, as amended at 48 FR 2718, Jan. 20, 1983]
Subparts E-F [Reserved]
Subpart G_Test Procedures for Engine Exhaust Gaseous Emissions (Aircraft
and Aircraft Gas Turbine Engines)
Sec. 87.60 Introduction.
(a) Except as provided under Sec. 87.5, the procedures described in
this subpart shall be the test program to determine the conformity of
new aircraft gas turbine engines with the applicable standards set forth
in this part.
(b) The test consists of operating the engine at prescribed power
settings on an engine dynamometer (for engines producing primarily shaft
power) or thrust measuring test stand (for engines producing primarily
thrust). The exhaust gases generated during engine operation are sampled
continuously for specific component analysis through the analytical
train.
(c) The exhaust emission test is designed to measure hydrocarbons,
carbon monoxide, carbon dioxide, and oxides of nitrogen concentrations,
and to determine mass emissions through calculations during a simulated
aircraft landing-takeoff cycle (LTO). The LTO cycle is based on time in
mode data during high activity periods at major airports. The test for
propulsion engines consists of at least the following four modes of
engine operation: taxi/idle, takeoff, climbout, and approach. The mass
emission for the modes are combined to yield the reported values.
(d) When an engine is tested for exhaust emissions on an engine
dynamometer or test stand, the complete
[[Page 11]]
engine shall be used with all accessories which might reasonably be
expected to influence emissions to the atmosphere installed and
functioning, if not otherwise prohibited by Sec. 87.62(a)(2). Use of
service air bleed and shaft power extraction to power auxiliary gearbox-
mounted components required to drive aircraft systems is not permitted.
(e) Other gaseous emissions measurement systems may be used if shown
to yield equivalent results and if approved in advance by the
Administrator or the Secretary.
[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62
FR 25366, May 8, 1997]
Sec. 87.61 Turbine fuel specifications.
For exhaust emission testing, fuel meeting the specifications listed
in this section shall be used. Additives used for the purpose of smoke
suppression (such as organometallic compounds) shall not be present.
Property and Allowable Range of Values
Density kg/m\3\ at 15 [deg]C: 780-820.
Distillation temperature, [deg]C: 10% boiling point, 155-201; final
boiling point, 235-285.
Net heat of combustion, MJ/kg: 42.86-43.50.
Aromatics, volume %: 15-23.
Naphthalenes, volume %: 1.0-3.5.
Smoke point, mm: 20-28.
Hydrogen, mass %: 13.4-14.1.
Sulfur, mass %: less than 0.3%.
Kinematic viscosity at -20 [deg]C, mm\2\/s: 2.5-6.5.
[62 FR 25366, May 8, 1997]
Sec. 87.62 Test procedure (propulsion engines).
(a)(1) The engine shall be tested in each of the following engine
operating modes which simulate aircraft operation to determine its mass
emission rates. The actual power setting, when corrected to standard day
conditions, should correspond to the following percentages of rated
output. Analytical correction for variations from reference day
conditions and minor variations in actual power setting should be
specified and/or approved by the Secretary:
------------------------------------------------------------------------
Class
--------------------------
Mode TF, T3,
TP T8 TSS
------------------------------------------------------------------------
Taxi/idle.................................... (\1\ ) (\1\ ) (\1\ )
Takeoff...................................... 100 100 100
Climbout..................................... 90 85 65
Descent...................................... NA NA 15
Approach..................................... 30 30 34
------------------------------------------------------------------------
\1\ See paragraph (a)(2) of this section.
(2) The taxi/idle operating modes shall be carried out at a power
setting of 7% rated thrust unless the Secretary determines that the
unique characteristics of an engine model undergoing certification
testing at 7% would result in substantially different HC and CO
emissions than if the engine model were tested at the manufacturers
recommended idle power setting. In such cases the Secretary shall
specify an alternative test condition.
(3) The times in mode (TIM) shall be as specified below:
------------------------------------------------------------------------
Class
--------------------------
Mode TF, T3
TP or T8 TSS
------------------------------------------------------------------------
Taxi/idle (minutes).......................... 26.0 26.0 26.0
Takeoff...................................... 0.5 0.7 1.2
Climbout..................................... 2.5 2.2 2.0
Descent...................................... N/A N/A 1.2
Approach..................................... 4.5 4.0 2.3
------------------------------------------------------------------------
(b) Emissions testing shall be conducted on warmed-up engines which
have achieved a steady operating temperature.
[47 FR 58470, Dec. 30, 1982, as amended at 62 FR 25366, May 8, 1997]
Sec. 87.63 [Reserved]
Sec. 87.64 Sampling and analytical procedures for measuring gaseous exhaust
emissions.
(a) The system and procedures for sampling and measurement of
gaseous emissions shall be as specified by Appendices 3 and 5 to ICAO
Annex 16 (incorporated by reference in Sec. 87.8).
(b) Starting January 1, 2011, report CO2 values along
with your emission levels of regulated NOX to the
Administrator for engines of a type or model of which the date of
manufacture of the first individual production model was on or after
January 1, 2011. By January 1, 2011, report CO2 values along
with your emission levels of regulated NOX to the
Administrator for engines currently in production and of a type or
[[Page 12]]
model for which the date of manufacture of the individual engine was
before January 1, 2011. Round CO2 to the nearest 1 g/
kilonewton rO.
(c) Report CO2 by calculation from fuel mass flow rate
measurements in Appendices 3 and 5 to ICAO Annex 16, volume II or
alternatively, according to the measurement criteria of CO2
in Appendices 3 and 5 to ICAO Annex 16, volume II.
[74 FR 56374, Oct. 30, 2009]
Sec. Sec. 87.65-87.70 [Reserved]
Sec. 87.71 Compliance with gaseous emission standards.
Compliance with each gaseous emission standard by an aircraft engine
shall be determined by comparing the pollutant level in grams/
kilonewton/thrust/cycle or grams/kilowatt/cycle as calculated in Sec.
87.64 with the applicable emission standard under this part. An
acceptable alternative to testing every engine is described in Appendix
6 to ICAO Annex 16 (incorporated by reference in Sec. 87.8). Other
methods of demonstrating compliance may be approved by the Secretary
with the concurrence of the Administrator.
[70 FR 69686, Nov. 17, 2005]
Subpart H_Test Procedures for Engine Smoke Emissions (Aircraft Gas
Turbine Engines)
Sec. 87.80 Introduction.
Except as provided under Sec. 87.5, the procedures described in
this subpart shall be the test program to determine the conformity of
new and in-use gas turbine engines with the applicable standards set
forth in this part. The test is essentially the same as that described
in Sec. Sec. 87.60 through 87.62, except that the test is designed to
determine the smoke emission level at various operating points
representative of engine usage in aircraft. Other smoke measurement
systems may be used if shown to yield equivalent results and if approved
in advance by the Administrator or the Secretary.
Sec. 87.81 Fuel specifications.
Fuel having specifications as provided in Sec. 87.61 shall be used
in smoke emission testing.
Sec. 87.82 Sampling and analytical procedures for measuring smoke exhaust
emissions.
The system and procedures for sampling and measurement of smoke
emissions shall be as specified by Appendix 2 to ICAO Annex 16
(incorporated by reference in Sec. 87.8).
[70 FR 69687, Nov. 17, 2005]
Sec. Sec. 87.83-87.88 [Reserved]
Sec. 87.89 Compliance with smoke emission standards.
Compliance with each smoke emission standard shall be determined by
comparing the plot of SN as a function of power setting with the
applicable emission standard under this part. The SN at every power
setting must be such that there is a high degree of confidence that the
standard will not be exceeded by any engine of the model being tested.
An acceptable alternative to testing every engine is described in
Appendix 6 to ICAO Annex 16 (incorporated by reference in Sec. 87.8).
[70 FR 69687, Nov. 17, 2005]
PART 88_CLEAN-FUEL VEHICLES--Table of Contents
Subpart A_Emission Standards for Clean-Fuel Vehicles
Sec.
88.101-94 General applicability.
88.102-94 Definitions.
88.103-94 Abbreviations.
88.104-94 Clean-fuel vehicle tailpipe emission standards for light-duty
vehicles and light-duty trucks.
88.105-94 Clean-fuel fleet emission standards for heavy-duty engines.
Subpart B_California Pilot Test Program
88.201-94 Scope.
88.202-94 Definitions.
88.203-94 Abbreviations.
88.204-94 Sales requirements for the California Pilot Test Program.
88.205-94 California Pilot Test Program Credits Program.
88.206-94 State opt-in for the California Pilot Test Program.
Tables to Subpart B of Part 88
[[Page 13]]
Subpart C_Clean-Fuel Fleet Program
88.301-93 General applicability.
88.302-93 Definitions.
88.302-94 Definitions.
88.303-93 Abbreviations.
88.304-94 Clean-fuel Fleet Vehicle Credit Program.
88.305-94 Clean-fuel fleet vehicle labeling requirements for heavy-duty
vehicles.
88.306-94 Requirements for a converted vehicle to qualify as a clean-
fuel fleet vehicle.
88.307-94 Exemption from temporal transporation control measures for
CFFVs.
88.308-94 Programmatic requirements for clean-fuel fleet vehicles.
88.309 [Reserved]
88.310-94 Applicability to covered Federal fleets.
88.311-93 Emissions standards for Inherently Low-Emission Vehicles.
88.311-98 Emissions standards for Inherently Low-Emission Vehicles.
88.312-93 Inherently Low-Emission Vehicle labeling.
88.313-93 Incentives for the purchase of Inherently Low-Emission
Vehicles.
Tables to Subpart C of Part 88
Authority: 42 U.S.C. 7410, 7418, 7581, 7582, 7583, 7584, 7586, 7588,
7589, 7601(a).
Source: 57 FR 60046, Dec. 17, 1992, unless otherwise noted.
Subpart A_Emission Standards for Clean-Fuel Vehicles
Sec. 88.101-94 General applicability.
The clean-fuel vehicle standards and provisions of this subpart are
applicable to vehicles used in subpart B of this part (the Clean Fuel
Fleet Program) and subpart C of this part (the California Pilot Test
Program).
[59 FR 50074, Sept. 30, 1994]
Sec. 88.102-94 Definitions.
Any terms defined in 40 CFR part 86 and not defined in this part
shall have the meaning given them in 40 CFR part 86, subpart A.
Adjusted Loaded Vehicle Weight is defined as the numerical average
of the vehicle curb weight and the GVWR.
Dual Fuel Vehicle (or Engine) means any motor vehicle (or motor
vehicle engine) engineered and designed to be operated on two different
fuels, but not on a mixture of the fuels.
Flexible Fuel Vehicle (or Engine) means any motor vehicle (or motor
vehicle engine) engineered and designed to be operated on any mixture of
two or more different fuels.
Heavy Light-Duty Truck means any light-duty truck rated greater than
6000 lbs. GVWR.
Light Light-Duty Truck means any light-duty truck rated through 6000
lbs GVWR.
Loaded Vehicle Weight is defined as the curb weight plus 300 lbs.
Low-Emission Vehicle means any light-duty vehicle or light-duty
truck conforming to the applicable Low-Emission Vehicle standard, or any
heavy-duty vehicle with an engine conforming to the applicable Low-
Emission Vehicle standard.
Non-methane Hydrocarbon Equivalent means the sum of the carbon mass
emissions of non-oxygenated non-methane hydrocarbons plus the carbon
mass emissions of alcohols, aldehydes, or other organic compounds which
are separately measured in accordance with the applicable test
procedures of 40 CFR part 86, expressed as gasoline-fueled vehicle non-
methane hydrocarbons. In the case of exhaust emissions, the hydrogen-to-
carbon ratio of the equivalent hydrocarbon is 1.85:1. In the case of
diurnal and hot soak emissions, the hydrogen-to-carbon ratios of the
equivalent hydrocarbons are 2.33:1 and 2.2:1 respectively.
Non-methane Organic Gas is defined as in section 241(3) Clean Air
Act as amended (42 U.S.C. 7581(3)).
Test Weight is defined as the average of the curb weight and the
GVWR.
Transitional Low-Emission Vehicle means any light-duty vehicle or
light-duty truck conforming to the applicable Transitional Low-Emission
Vehicle standard.
Ultra Low-Emission Vehicle means any light-duty vehicle or light-
duty truck conforming to the applicable Ultra Low-Emission Vehicle
standard, or any heavy-duty vehicle with an engine conforming to the
applicable Ultra Low-Emission Vehicle standard.
Zero-Emission Vehicle means any light-duty vehicle or light-
dutytruck conforming to the applicable Zero-Emission Vehicle standard,
or any heavy-duty vehicle conforming to the
[[Page 14]]
applicable Zero-Emission Vehicle standard.
[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074,
Sept. 30, 1994]
Sec. 88.103-94 Abbreviations.
The abbreviations of part 86 also apply to this subpart. The
abbreviations in this section apply to all of part 88.
ALVW--Adjusted Loaded Vehicle Weight
CO--Carbon Monoxide
HCHO--Formaldehyde
HC--Hydrocarbon
HDV--Heavy-Duty Vehicle
LDT--Light-Duty Truck
LDV--Light-Duty Vehicle
NMHC--Non-Methane Hydrocarbon
NMHCE--Non-Methane Hydrocarbon Equivalent
NMOG--Non-Methane Organic Gas
NOx--Nitrogen Oxides
PM--Particulate Matter
GVWR--Gross Vehicle Weight Rating
LVW--Loaded Vehicle Weight
TW--Test Weight
TLEV--Transitional Low-Emission Vehicle
LEV--Low-Emission Vehicle
ULEV--Ultra Low-Emission Vehicle
ZEV--Zero-Emission Vehicle
[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074,
Sept. 30, 1994]
Sec. 88.104-94 Clean-fuel vehicle tailpipe emission standards for light-duty
vehicles and light-duty trucks.
(a) A light-duty vehicle or light-duty truck will be considered as a
TLEV, LEV, ULEV, or ZEV if it meets the applicable requirements of this
section.
(b) Light-duty vehicles certified to the exhaust emission standards
for TLEVs, LEVs, and ULEVs in Tables A104-1 and A104-2 shall be
considered as meeting the requirements of this section for that
particular vehicle emission category for model years 1994-2000 for the
California Pilot Program.
(c) Light-duty vehicles certified to the exhaust emission standards
for LEVs and ULEVs in Tables A104-1 and A104-2 shall be considered as
meeting the requirements of this section for that particular vehicle
emission category for model years 2001 and later for the California
Pilot Program, and for model years 1998 and later for the Clean Fuel
Fleet Program.
(d) Light light-duty trucks certified to the exhaust emission
standards for a specific weight category for TLEVs, LEVs, and ULEVs in
Tables A104-3 and A104-4 shall be considered as meeting the requirements
of this section for that particular vehicle emission category. For model
years 1994-2000 for the California Pilot Program.
(e) Light Light-duty trucks certified to the exhaust emission
standards for a specific weight category for LEVs and ULEVs in Tables
A104-3 and A104-4 shall be considered as meeting the requirements of
this section for that particular vehicle emission category. For model
years 2001 and later for the California Pilot Program, and for model
years 1998 and later for the Clean Fuel Fleet Program.
(f) Heavy light-duty trucks certified to the exhaust emission
standards for a specific weight category of LEVs and ULEVs in Tables
A104-5 and A104-6 for model years 1998 and later shall be considered as
meeting the requirements of this section for that particular vehicle
emission category.
(g) A light-duty vehicle or light-duty truck shall be certified as a
ZEV if it is determined by engineering analysis that the vehicle
satisfies the following conditions:
(1) The vehicle fuel system(s) must not contain either carbon or
nitrogen compounds (including air) which, when burned, form any of the
pollutants listed in Table A104-1 as exhaust emissions.
(2) All primary and auxiliary equipment and engines must have no
emissions of any of the pollutants listed in Table A104-1.
(3) The vehicle fuel system(s) and any auxiliary engine(s) must have
no evaporative emissions in use.
(4) Any auxiliary heater must not operate at ambient temperatures
above 40 degrees Fahrenheit.
(h) NMOG standards for flexible- and dual-fueled vehicles when
operating on clean alternative fuel--(1) Light-duty vehicles, and light
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996
model year and later shall meet all standards in Table A104-7 for
vehicles of the applicable model year, loaded vehicle weight, and
vehicle emission category.
(2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs above 6,000 lbs. GVWR of 1998 model
[[Page 15]]
year and later shall meet all standards in Table A104-8 for vehicles of
the applicable test weight and vehicle emission category.
(i) NMOG standards for flexible- and dual-fueled vehicles when
operating on conventional fuel--(1) Light-duty vehicles, and light
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996
model year and later shall meet all standards in Table A104-9 for
vehicles of the applicable model year, loaded vehicle weight, and
vehicle emission category.
(2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs of 1998 model year and later shall meet all standards in
Table A104-10 for vehicles of the applicable test weight and vehicle
emission category.
(j) Other standards for flexible- and dual-fueled vehicles. When
operating on clean alternative fuel, flexible- and dual- fueled light-
duty vehicles and light light-duty trucks must also meet the appropriate
standards for carbon monoxide, oxides of nitrogen, formaldehyde, and
particulate matter as designated in paragraphs (a) through (f) of this
section as well as all other applicable standards and requirements. When
operating on conventional fuel, flexible- and dual-fueled vehicles must
also meet all other applicable standards and requirements in 40 CFR part
86.
(k) Motor vehicles subject to standards and requirements of this
section shall also comply with all applicable standards and requirements
of 40 CFR part 86, except that any exhaust emission standards in 40 CFR
part 86 pertaining to pollutants for which standards are established in
this section shall not apply. For converted vehicles, the applicable
standards and requirements of 40 CFR part 86 and this part 88 shall
apply based on the model year in which the conversion is performed,
regardless of the model year in which the base vehicle was originally
manufactured prior to conversion.
(1) Gaseous-fueled, diesel-fueled, and electric clean-fuel vehicles
are waived from cold CO test requirements of subpart C of this part if
compliance is demonstrated by engineering analysis or test data.
(2) The standards in this section shall be administered and enforced
in accordance with the California Regulatory Requirements Applicable to
the Clean Fuel Fleet and California Pilot Programs, April 1, 1994, which
are incorporated by reference.
(i) This incorporation by reference was approved by the Director of
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part
51.
(ii) Copies may be inspected at U.S. EPA, OAR, 401 M St., SW.,
Washington, DC 20460, or at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
Copies of these materials may be obtained from Barclay's Law Publishers,
400 Oyster Point Boulevard, P.O. Box 3066, South San Francisco, CA
94080, phone (415) 244-6611.
Tables to Sec. 88.104-94
Table A104-1--Intermediate Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission category NMOG CO NOX HCHO PM \1\
----------------------------------------------------------------------------------------------------------------
TLEV.............................. 0.125 3.4 0.4 0.015 ...........
LEV............................... \2\ .075 \2\ 3.4 .2 \2\ .015 ...........
ULEV.............................. .040 1.7 \2\ .2 .008 ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
[[Page 16]]
Table A104-2--Full Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission category NMOG CO NOX HCHO PM \1\
----------------------------------------------------------------------------------------------------------------
TLEV.............................. 0.156 4.2 0.6 0.018 0.08
LEV............................... \2\ 0.090 \2\ 4.2 .3 \2\ .018 \2\ .08
ULEV.............................. .055 2.1 \2\ .3 .011 .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-3--Intermediate Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX. HCHO, and
PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
LVW (lbs) category NMOG CO NOX HCHO PM \1\
----------------------------------------------------------------------------------------------------------------
0-3750................. TLEV.................. .125 3.4 .4 .015 ...........
LEV................... \2\ .075 \2\ 3.4 .2 \2\ .015 ...........
ULEV.................. .040 1.7 \2\ .2 .008 ...........
3751-5750.............. TLEV.................. 0.160 4.4 .7 .018 ...........
LEV................... \2\ .100 \2\ 4.4 .4 \2\ .018 ...........
ULEV.................. .050 2.2 \2\ .4 .009 ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-4--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
LVW (lbs) category NMOG CO NOX HCHO PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................. TLEV.................. 0.156 4.2 0.6 0.018 0.08
LEV................... \2\ 0.090 \2\ 4.2 0.3 \2\.018 \2\.08
ULEV.................. .055 2.1 \2\.3 .011 .04
3751-5750.............. TLEV.................. .200 5.5 .9 .023 .08
LEV................... \2\.130 \2\5.5 .5 \2\.023 \2\.08
ULEV.................. .070 2.8 \2\.5 .013 .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-5--Intermediate Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX. HCHO, and
PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
ALVW (lbs) category NMOG CO NOX\2\ HCHO PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................. LEV................... \3\ 0.125 \3\ 3.4 0.4 \3\ 0.015
ULEV.................. .075 1.7 \3\.2 .008
3751-5750.............. LEV................... \3\.160 \3\ 4.4 .7 \3\.018
ULEV.................. .100 2.2 \3\.4 .009
5751-.................. LEV................... \3\.195 \3\ 5.0 1.1 \3\.022
ULEV.................. .117 2.5 \3\.6 .011
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Does not apply to diesel vehicles.
\3\ Applies to ILEVs.
Table A104-6--Full Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
ALVW (lbs) category NMOG CO NOX HCHO PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................. LEV................... \2\ 0.180 \2\ 5.0 0.6 \2\ 0.022 \2\ 0.08
ULEV.................. .107 2.5 \2\.3 .012 .04
3751-5750.............. LEV................... \2\.230 \2\ 6.4 1.0 \2\.027 \2\.10
ULEV.................. .143 3.2 \2\.5 .013 .05
5751-.................. LEV................... \2\.280 \2\ 7.3 1.5 \2\.032 \2\.12
ULEV.................. .167 3.7 \2\.8 .016 .06
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
[[Page 17]]
Table A104-7--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Clean Alternative Fuel for Light Light-Duty
Trucks and Light-Duty Vehicles
------------------------------------------------------------------------
50,000 mile 100,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
MY 1996 and later:
LDTs (0-3,750 lbs. LVW) and LDVs.......... 0.125 0.156
LDTs (3,751-5,750 lbs. LVW)............... .160 .200
Beginning MY 2001:
LDTs (0-3,750 lbs. LVW) and LDVs.......... .075 .090
LDTs (3,751-5,750 lbs. LVW)............... .100 .130
------------------------------------------------------------------------
Table A104-8--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Clean Alternative Fuel for Heavy Light-Duty
Trucks
------------------------------------------------------------------------
50,000 mile 120,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
Beginning MY 1998:
LDTs (0-3,750 lbs. ALVW).................. 0.125 0.180
LDTs (3,751-5,750 lbs. ALVW).............. .160 .230
LDTs (5,751-8,500 lbs. ALVW).............. .195 .280
------------------------------------------------------------------------
Table A104-9--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
and Light-Duty Vehicles
------------------------------------------------------------------------
50,000 mile 100,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
Beginning MY 1996:
LDTs (0-3,750 lbs. LVW) and LDVs.......... 0.25 0.31
LDTs (3,751-5,750 lbs. LVW)............... .32 .40
Beginning MY 2001:
LDTs (0-3,750 lbs. LVW) and LDVs.......... .125 .156
LDTs (3,751-5,750 lbs. LVW)............... .160 .200
------------------------------------------------------------------------
Table A104-10--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
------------------------------------------------------------------------
50,000 mile 120,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
Beginning MY 1998:
LDTs (0-3,750 lbs. ALVW).................. 0.25 0.36
LDTs (3,751-5,750 lbs. ALVW).............. .32 .46
LDTs (5,751-8,500 lbs. ALVW).............. .39 .56
------------------------------------------------------------------------
[59 FR 50074, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]
Sec. 88.105-94 Clean-fuel fleet emission standards for heavy-duty engines.
(a) Exhaust emissions from engines used in heavy-duty low emission
vehicles shall meet one of the following standards:
(1) Combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.8
grams per brake horsepower-hour.
(2) Combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.5
grams per brake horsepower-hour when tested (certified) on fuel meeting
the specifications of California certification fuel.
(b) Exhaust emissions from engines used in heavy-duty low emission
vehicles shall meet conventional vehicle standards set forth in Part 86
for total
[[Page 18]]
hydrocarbon, carbon monoxide, particulate, and organic material
hydrocarbon equivalent.
(c) Exhaust emissions from engines used in ultra-low emission heavy-
duty vehicles shall meet each of the following standards:
(1) The combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5
grams per brake horsepower-hour.
(2) Carbon monoxide emissions shall not exceed 7.2 grams per brake
horsepower-hour.
(3) Particulate emissions shall not exceed 0.05 grams per brake
horsepower-hour.
(4) Formaldehyde emissions shall not exceed 0.025 grams per brake
horsepower-hour.
(d) Exhaust emissions from engines used in inherently-low emission
heavy-duty vehicles shall meet each of the following standards:
(1) The combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5
grams per brake horsepower-hour.
(2) Carbon monoxide emissions shall not exceed 14.4 grams per brake
horsepower-hour.
(3) Particulate emissions shall not exceed 0.10 grams per brake
horsepower-hour.
(4) Formaldehyde emissions shall not exceed 0.05 grams per brake
horsepower-hour.
(e) The standards set forth in paragraphs (a), (b), (c), and (d) of
this section refer to the exhaust emitted while the vehicle is being
tested in accordance with the applicable test procedures set forth in 40
CFR part 86, subpart N.
(f)(1) A heavy-duty zero-emission vehicle (ZEV) has a standard of
zero emissions for nonmethane hydrocarbons, oxides of nitrogen, carbon
monoxide, formaldehyde, and particulates.
(2) A heavy-duty vehicle shall be certified as a ZEV if it is
determined by engineering analysis that the vehicle satisfies the
following conditions:
(i) The vehicle fuel system(s) must not contain either carbon or
nitrogen compounds (including air) which, when burned, form nonmethane
hydrocarbons, oxides of nitrogen, carbon monoxide, formaldehyde, or
particulates as exhaust emissions.
(ii) All primary and auxiliary equipment and engines must have no
emissions of nonmethane hydrocarbons, oxides of nitrogen, carbon
monoxide, formaldehyde, and particulates.
(iii) The vehicle fuel system(s) and any auxiliary engine(s) must
have no evaporative emissions.
(iv) Any auxiliary heater must not operate at ambient temperatures
above 40 degrees Fahrenheit.
(g) All heavy-duty engines used in low emission, ultra-low emission,
or zero emission vehicles shall also comply with all applicable
standards and requirements of 40 CFR part 86, except that any exhaust
emission standards in 40 CFR part 86 pertaining to pollutants for which
standards are established in this section shall not apply.
[59 FR 50077, Sept. 30, 1994]
Subpart B_California Pilot Test Program
Sec. 88.201-94 Scope.
Applicability. The requirements of this subpart shall apply to the
following:
(a) State Implementation Plan revisions for the State of California
and other states pursuant to compliance with section 249 of the Clean
Air Act, as amended in 1990.
(b) Vehicle manufacturers with sales in the State of California.
[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 50077, Sept. 30, 1994]
Sec. 88.202-94 Definitions.
(a) The definitions in subpart A also apply to this subpart.
(b) The definitions in this subpart shall apply beginning with the
1992 model year.
Averaging for clean-fuel vehicles means the sale of clean-fuel
vehicles that meet more stringent standards than required, which allows
the manufacturer to sell fewer clean-fuel vehicles than would otherwise
be required.
Banking means the retention of credits, by the manufacturer
generating the emissions credits, for use in future
[[Page 19]]
model-year certification as permitted by regulation.
Sales means vehicles that are produced, sold, and distributed (in
accordance with normal business practices and applicable franchise
agreements) in the State of California, including owners of covered
fleets under subpart C of part 86 of this chapter. The manufacturer can
choose at their option from one of the following three methods for
determining sales:
(i) Sales is defined as sales to the ultimate purchaser.
(ii) Sales is defined as vehicle sales by a manufacturer to a
dealer, distributer, fleet operator, broker, or any other entity which
comprises the first point of sale.
(iii) Sales is defined as equivalent to the production of vehicles
for the state of California. This option can be revoked if it is
determined that the production and actual sales numbers do not exhibit a
functional equivalence per the language of Sec. 86.708-94(b)(1) of this
chapter.
Trading means the exchange of credits between manufacturers.
Sec. 88.203-94 Abbreviations.
The abbreviations in subpart A of this part and in 40 CFR part 86
apply to this subpart.
Sec. 88.204-94 Sales requirements for the California Pilot Test Program.
(a) The total annual required minimum sales volume of new clean fuel
vehicles in California for this program shall correspond to Table B204.
(b) (1) When manufacturers of vehicles subject to the regulations of
this section file a report pursuant to 40 CFR 86.085-37(b), such report
shall include the following information: the number of light-duty
vehicles and light-duty trucks sold only in California, and the number
of clean-fuel vehicles sold for the Pilot program beginning with model
year 1996.
(2) For model years 1996 and 1997, manufacturers may exclude heavy
light-duty trucks from the reporting required by this section.
(c) (1) Except as provided in paragraph (d) of this section, each
vehicle manufacturer must sell clean-fuel vehicles in California in an
amount equal to the required annual sales volume calculated in paragraph
(c)(2) of this section.
(2) The required annual clean fuel vehicle sales volume for a given
manufacturer is expressed in the following equation rounded to the
nearest whole number:
[GRAPHIC] [TIFF OMITTED] TR03JA96.003
Where:
RMS = a manufacturer's required sales in a given model year.
MS = the average of a manufacturer's total LDV and light LDT sales in
California three and four model years earlier than year in question (for
MY 1996 and 1997 RMS calculations).
= the average of a manufacturer's total LDV and LDT sales in California
three and four model years earlier than year in question (for MY 1998
and later RMS calculations).
TS = the average of total LDV and light LDT sales in California of all
manufacturers three and four model years earlier than the year in
question (for MY 1996 and 1997 RMS calculations). Sales of manufacturers
which meet the criteria of (d) of this paragraph will not be included.
= the average of total LDV and LDT sales in California of all
manufacturers three and four model years earlier than the year in
question (for MY 1998 and later RMS calculations). Sales of
manufacturers which meet the criteria of (d) of this paragraph will not
be included.
TCPPS = Pilot program annual CFV sales requirement (either 150,000 or
300,000) for the model year in question.
(i) A manufacturer's share of required annual sales for model years
1996 and 1997 will be based on LDV and light LDT sales only. Once the
heavy LDT standards are effective beginning with model year 1998, a
manufacturer's required sales share will be based on all LDV and LDT
sales.
(ii) A manufacturer certifying for the first time in California
shall calculate annual required sales share based on projected
California sales for the model year in question. In the second year, the
manufacturer shall use actual sales from the previous year. In the third
year, the manufacturer will use sales from two model years prior to the
year in question. In the fourth year, the manufacturer will use sales
from three years prior to the year in question. In
[[Page 20]]
the fifth year and subsequent years, the manufacturer will use average
sales from three and four years prior to the year in question.
(d) (1) Small volume manufacturer is defined in the Pilot program as
one whose average annual LDV and LDT sales in California are less than
or equal to 3,000 units during a consecutive three-year period beginning
no earlier than model year 1993.
(i) A manufacturer with less than three consecutive years of sales
in California shall use a single year of sales or, if available, the
average of two years of sales in California to determine whether they
fall at or below the threshold of 3,000 units.
(ii) A manufacturer certifying for the first time in California
shall be considered a small volume manufacturer if their projected
California sales level is at or below 3,000 units for a given year. Once
the manufacturer has actual sales data for one year, this actual sales
data shall be used to determine whether the manufacturer qualifies as a
small volume manufacturer.
(iii) A manufacturer which does not qualify as a small volume
manufacturer in model year 1996 but whose average annual LDV and LDT
sales fall to or below the 3,000 unit threshold between 1996 and 2001
shall be treated as a small volume manufacturer and shall be subject to
requirements for small volume manufacturers as specified in paragraph
(d)(2) of this section beginning with the next model year.
(2) A manufacturer which qualifies as a small volume manufacturer
prior to model year 2001 is not required to comply with the sales
requirements of this section until model year 2001.
Table B204--Pilot Program Vehicle Sales Schedule
------------------------------------------------------------------------
Required
Model years Vehicle types annual
sales
------------------------------------------------------------------------
1996 and 1997....................... LDTs (<6000 GVWR and 150,000
<=5750 LVW); and LDVs.
1998................................ All Applicable Vehicle 150,000
Types.
1999+............................... All Applicable Vehicle 300,000
Types.
------------------------------------------------------------------------
[59 FR 50078, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]
Sec. 88.205-94 California Pilot Test Program Credits Program.
(a) General. (1) The Administrator shall administer this credit
program to enable vehicle manufacturers who are required to participate
in the California Pilot Test Program to meet the clean-fuel vehicle
sales requirements through the use of credits. Participation in this
credit program is voluntary.
(2) All credit-generating vehicles must meet the applicable emission
standards and other requirements contained in subpart A of this part.
(b) Credit generation. (1) Credits may be generated by any of the
following means:
(i) Sale of qualifying clean-fuel vehicles earlier than required.
Manufacturers may earn these credits starting with the 1992 model year,
contingent upon the requirements of paragraph (g) of this section.
(ii) Sale of a greater number of qualifying clean-fuel vehicles than
required.
(iii) Sale of qualifying clean-fuel vehicles that meet more
stringent emission standards than those required.
(2) For light-duty vehicles and light-duty trucks, credit values
shall be determined in accordance with the following:
(i) For model-years through 2000, credit values shall be determined
in accordance with table B-1 of this subpart.
(ii) For the 2001 and subsequent model-years, credit values shall be
determined according to table B-2 of this subpart. The sale of light-
duty vehicles classified as Transitional Low-Emission Vehicles shall not
receive credits starting in model year 2001.
(iii) For the calculation of credits for the sale of more clean-fuel
vehicles than required, the manufacturer shall designate which sold
vehicles count toward compliance with the sales requirement. The
remaining balance of vehicles will be considered as sold beyond the
sales requirement for credit calculations.
(3) Vehicles greater than 8500 lbs gvwr may not generate credits.
(c) Credit use. (1) All credits generated in accordance with these
provisions may be freely averaged, traded, or banked for later use.
Credits may
[[Page 21]]
not be used to remedy any nonconformity determined by enforcement
testing.
(2) There is one averaging and trading group containing all light-
duty vehicles and light-duty trucks.
(3) A vehicle manufacturer desiring to demonstrate full or partial
compliance with the sales requirements by the redemption of credits,
shall surrender sufficient credits, as established in this paragraph
(c). In lieu of selling a clean-fuel vehicle, a manufacturer shall
surrender credits equal to the credit value for the corresponding
vehicle class and model year found in table B-1.3 or table B-2.3 of this
subpart.
(d) Participation in the credit program. (1) During certification,
the manufacturer shall calculate the projected credits, if any, based on
required sales projections.
(2) Based on information from paragraph (d)(1) of this section, each
manufacturer's certification application under this section must
demonstrate:
(i) That at the end of the model-year production, there is a net
vehicle credit balance of zero or more with any credits obtained from
averaging, trading, or banking.
(ii) It is recommended but not required that the source of the
credits to be used to comply with the minimum sales requirements be
stated. All such reports should include all credits involved in
averaging, trading, or banking.
(3) During the model year, manufacturers must:
(i) Monitor projected versus actual production to be certain that
compliance with the sales requirement is achieved at the end of the
model year.
(ii) Provide the end of model year reports required under this
subpart.
(iii) Maintain the records required under this subpart.
(4) Projected credits based on information supplied in the
certification application may be used to obtain a certificate of
conformity. However, any such credits may be revoked based on review of
end-of-model year reports, follow-up audits, and any other verification
steps deemed appropriate by the Administrator.
(5) Compliance under averaging, banking, and trading will be
determined at the end of the model year.
(6) If EPA or the manufacturer determines that a reporting error
occurred on an end-of-year report previously submitted to EPA under this
section, the manufacturer's credits and credit calculations will be
recalculated.
(i) If EPA review of a manufacturer's end-of-year report indicates
an inadvertent credit shortfall, the manufacturer will be permitted to
purchase the necessary credits to bring the credit balance to zero.
(ii) If within 90 days of receipt of the manufacturer's end-of-year
report, EPA review determines a reporting error in the manufacturer's
favor (i.e., resulting in a positive credit balance) or if the
manufacturer discovers such an error within 90 days of EPA receipt of
the end-of-year report, the credits will be restored for use by the
manufacturer.
(e) Averaging. Averaging will only be allowed between clean-fuel
vehicles under 8500 lbs gvwr.
(f) Banking--(1) Credit deposits. (i) Under this program, credits
can be banked starting in the 1992 model year.
(ii) A manufacturer may bank credits only after the end of the model
year and after EPA has reviewed its end-of-year report. During the model
year and before submittal of the end-of-year report, credits originally
designated in the certification process for banking will be considered
reserved and may be redesignated for trading or averaging.
(2) Credit withdraws. (i) After being generated, banked/reserved
credits shall be available for use and shall maintain their original
value for an infinite period of time.
(ii) A manufacturer withdrawing banked credits shall indicate so
during certification and in its credit reports.
(3) Banked credits may be used in averaging, trading, or in any
combination thereof, during the certification period. Credits declared
for banking from the previous model year but unreviewed by EPA may also
be used. However, they may be revoked at a later time following EPA
review of the end-of-year report or any subsequent audit actions.
[[Page 22]]
(g) Early credits. Beginning in model year 1992 appropriate credits,
as determined from the given credit table, will be given for the sale of
vehicles certified to the clean-fuel vehicle standards for TLEVs, LEVs,
ULEVs, and ZEVs, where appropriate. For LDVs and light LDTs (<6000 lbs
GVWR), early credits can be earned from model year 1992 to the beginning
of the Pilot Program sales requirements in 1996. For heavy LDTs
(6000 lbs GVWR), early credits can be earned from model years
1992 through 1997. The actual calculation of early credits shall not
begin until model year 1996.
[57 FR 60046, Dec. 17, 1992, as amended at 61 FR 127, Jan. 3, 1996]
Sec. 88.206-94 State opt-in for the California Pilot Test Program.
(a) A state may opt into the Pilot program if it contains all or
part of an ozone nonattainment area classified as serious, severe, or
extreme under subpart D of Title I.
(b) A state may opt into the program by submitting SIP revisions
that meet the requirements of this section.
(c) For a state that chooses to opt in, SIP provisions can not take
effect until one year after the state has provided notice to of such
provisions to motor vehicle manufacturers and fuel suppliers.
(d) A state that chooses to opt into the program can not require a
sales or production mandate for CFVs or clean alternative fuels. States
may not subject fuel or vehicle suppliers to penalties or sanctions for
failing to produce or sell CFVs or clean alternative fuels.
(e) (1) A state's SIP may include incentives for the sale or use in
such state of CFVs required in California by the Clean Fuel Fleet
Program, and the use of clean alternative fuels required to be made
available in California by the California Pilot Program.
(2) Incentives may include:
(i) A registration fee on non-CFVs of at least 1 percent of the
total cost of the vehicle. These fees shall be used to:
(A) Provide financial incentives to purchasers of CFVs and vehicle
dealers who sell high volumes or high percentages of CFVs.
(B) Defray administrative costs of the incentive program.
(ii) Exemptions for CFVs from high occupancy vehicle or trip
reduction requirements.
(iii) Preferences for CFVs in the use of existing parking places.
[59 FR 50078, Sept. 30, 1994]
Sec. Tables to Subpart B of Part 88
Table B-1--Credit Table for Phase I Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table B-1.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
[Phase I: Effective Through 2000 Model-Year]
----------------------------------------------------------------------------------------------------------------
LDT <=6000
LDV & LDT LDT <=6000 LDT <=6000 gvwr 3750 alvw gvwr 3750 lvw <=3750 alvw <=5750 alvw eq>5750 alvw
<=5750 lvw
----------------------------------------------------------------------------------------------------------------
TLEV............................... 1.00 1.28 (\1\) (\1\) (\1\)
LEV................................ 1.40 1.76 1.00 1.28 1.56
ULEV............................... 1.68 2.16 1.40 1.76 2.18
ZEV................................ 2.00 2.56 2.00 2.56 3.12
----------------------------------------------------------------------------------------------------------------
Table B-1.2--Credit Generation: Selling More Stringent Clean Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr LDT <=6000
Vehicle emission category <=6000 gvwr gvwr gvwr <=3750 alvw gvwr
<=3750 lvw <=3750 lvw <=3750 alvw <=5750 alvw <=5750 alvw
<=5750 lvw
----------------------------------------------------------------------------------------------------------------
TLEV....................................... 0.00 0.00 (\1\) (\1\) (\1\)
LEV........................................ .40 .48 0.00 0.00 0.00
ULEV....................................... .68 .88 .40 .48 .62
ZEV........................................ 1.00 1.28 1.00 1.28 1.56
----------------------------------------------------------------------------------------------------------------
[[Page 23]]
Table B-1.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicle
----------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr LDT 6000 gvwr 3750 eq>6000 gvwr
Vehicle emission category <=6000 gvwr <=3750 lvw <=3750 alvw alvw <=5750 5750
<=3750 lvw <=5750 lvw alvw alvw
----------------------------------------------------------------------------------------------------------------
TLEV............................... 1.00 1.28 (\1\) (\1\) (\1\)
LEV................................ ........... ........... 1.00 1.28 1.56
----------------------------------------------------------------------------------------------------------------
\1\ There is no TLEV category for this vehicle class.
Table B-2--Credit Table for Phase II: Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table B-2.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
[Phase II: effective 2001 and subsequent model-years]
----------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr LDT 6000 gvwr
<=3750 lvw <=3750 lvw <=3750 alvw <=5750 alvw <=5750 alvw
<=5750 lvw
----------------------------------------------------------------------------------------------------------------
LEV.................................... 1.00 1.26 0.71 0.91 1.11
ULEV................................... 1.20 1.54 1.00 1.26 1.56
ZEV.................................... 1.43 1.83 1.43 1.83 2.23
----------------------------------------------------------------------------------------------------------------
Table B-2.2--Credit Generation: Selling More Stringent Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr eq>6000 gvwr
Vehicle emission category <=6000 gvwr gvwr gvwr <=3750 alvw 5750
<=3750 lvw <=3750 lvw <=3750 alvw <=5750 alvw alvw
<=5750 lvw
----------------------------------------------------------------------------------------------------------------
LEV.................................... 0.00 0.00 0.00 0.00 0.00
ULEV................................... .20 .28 .29 .34 .45
ZEV.................................... .43 .57 .71 .91 1.11
----------------------------------------------------------------------------------------------------------------
Table B-2.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr LDT 6000 gvwr 3750 eq>6000 gvwr
Vehicle emission category <=6000 gvwr eq>3750 lvw <=3750 alvw alvw <=5750 5750
<=3750 lvw <=5750 lvw alvw alvw
----------------------------------------------------------------------------------------------------------------
LEV............................ 1.00 1.26 0.71 0.91 1.11
----------------------------------------------------------------------------------------------------------------
[59 FR 50079, Sept. 30, 1994]
Subpart C_Clean-Fuel Fleet Program
Source: 58 FR 11901, Mar. 1, 1993, unless otherwise noted.
Sec. 88.301-93 General applicability.
(a) The requirements of this subpart apply to the following:
(1) State Implementation Plan revisions at 40 CFR part 52 made
pursuant to sections 110 and 246 of the CAA (42 U.S.C. 7410 and 7586)
hereafter referred to as the ``SIP revision''.
(2) All agencies, departments and instrumentalities of the United
States that are subject to the fleet programs established by a state's
SIP revision.
(b) The requirements of Sec. Sec. 88.302-93, 88.303-93, 88.311-93,
88.312-93, and 88.313-93 of this part apply to fleets which voluntarily
purchase and operate Inherently Low-Emission Vehicles (ILEVs).
(c) References in this subpart to engine families and emission
control systems shall be deemed to refer to durability groups and test
groups as applicable for manufacturers certifying new light-duty
vehicles and light-duty trucks under the provisions of 40 CFR part 86,
subpart S.
[58 FR 11901, Mar. 1, 1993, as amended at 64 FR 23973, May 4, 1999]
[[Page 24]]
Sec. 88.302-93 Definitions.
The definitions in 40 CFR part 86 of this chapter also apply to this
subpart. The definitions in this section apply to this subpart.
Combination heavy-duty vehicle means a vehicle with a GVWR greater
than 8,500 pounds (3,900 kilograms) which is comprised of a truck-
tractor and one or more pieces of trailered equipment. The truck-tractor
is a self-propelled motor vehicle built on one chassis which encompasses
the engine, passenger compartment, and a means of coupling to a cargo
carrying trailer(s). The truck-tractor itself is not designed to carry
cargo.
Inherently Low-Emission Vehicle means any LDV or LDT conforming to
the applicable Inherently Low-Emission Vehicle standard, or any HDV with
an engine conforming to the applicable Inherently Low-Emission Vehicle
standard. No dual-fuel or flexible-fuel vehicles shall be considered
Inherently Low-Emission Vehicles unless they are certified to the
applicable standard(s) on all fuel types for which they are designed to
operate.
Partially-Covered Fleet pertains to a vehicle fleet in a covered
area which contains both covered fleet vehicles and non-covered fleet
vehicles, i.e., exempt from covered fleet purchase requirements.
Single-unit heavy-duty vehicle means a self-propelled motor vehicle
with a GVWR greater than 8,500 pounds (3,900 kilograms) built on one
chassis which encompasses the engine, passenger compartment, and cargo
carrying function, and not coupled to trailered equipment. All buses,
whether or not they are articulated, are considered single-unit
vehicles.
Sec. 88.302-94 Definitions.
The definitions in Sec. 88.302-93 and 40 CFR part 86 also apply to
this part. All terms used in this part, but not defined in this section
or in Sec. 88.302-93 and 40 CFR part 86 shall have the meaning assigned
to them in the Clean Air Act.
Can be centrally fueled means the sum of those vehicles that are
centrally fueled and those vehicles that are capable of being centrally
fueled.
(1) Capable of being centrally fueled means a fleet, or that part of
a fleet, consisting of vehicles that could be refueled 100 percent of
the time at a location that is owned, operated, or controlled by the
covered fleet operator, or is under contract with the covered fleet
operator. The fact that one or more vehicles in a fleet is/are not
capable of being centrally fueled does not exempt an entire fleet from
the program.
(2) Centrally fueled means a fleet, or that part of a fleet,
consisting of vehicles that are fueled 100 percent of the time at a
location that is owned, operated, or controlled by the covered fleet
operator, or is under contract with the covered fleet operator. Any
vehicle that is under normal operations garaged at home at night but
that is, in fact, centrally fueled 100 percent of the time shall be
considered to be centrally fueled for the purpose of this definition.
The fact that one or more vehicles in a fleet is/are not centrally
fueled does not exempt an entire fleet from the program. The fact that a
vehicle is not centrally fueled does not mean it could not be centrally
fueled in accordance with the definition of ``capable of being centrally
fueled.''
(3) Location means any building, structure, facility, or
installation which; is owned or operated by a person, or is under the
control of a person; is located on one or more contiguous properties and
contains or could contain a fueling pump or pumps for the use of the
vehicles owned or controlled by that person.
Clean-fuel vehicle aftermarket conversion certifier means the
business or entity that obtains a certificate of conformity with the
clean-fuel vehicle standards and requirements for a vehicle/engine
conversion configuration pursuant to the requirements of 40 CFR part 86
and this part 88.
Control means: (1) When it is used to join all entities under common
management, means any one or a combination of the following:
(i) A third person or firm has equity ownership of 51 percent or
more in each of two or more firms;
(ii) Two or more firms have common corporate officers, in whole or
in substantial part, who are responsible for the day-to-day operation of
the companies.
[[Page 25]]
(iii) One firm leases, operates, supervises, or in 51 percent or
greater part owns equipment and/or facilities used by another person or
firm, or has equity ownership of 51 percent or more of another firm.
(2) When it is used to refer to the management of vehicles, means a
person has the authority to decide who can operate a particular vehicle,
and the purposes for which the vehicle can be operated.
(3) When it is used to refer to the management of people, means a
person has the authority to direct the activities of another person or
employee in a precise situation, such as at the workplace.
Conversion configuration means any combination of vehicle/engine
conversion hardware and a base vehicle of a specific engine family.
Covered fleet operator means a person who operates a fleet of at
least ten covered fleet vehicles (as defined in section 241(6) of the
Act) and that fleet is operated in a single covered area (even if the
covered fleet vehicles are garaged outside of it). For purposes of this
definition, the vehicle types described in the definition of covered
fleet (section 241(5) of the Act) as exempt from the program will not be
counted toward the ten-vehicle criterion.
Dealer demonstration vehicle means any vehicle that is operated by a
motor vehicle dealer (as defined in section 216(4) of the Act) solely
for the purpose of promoting motor vehicle sales, either on the sales
lot or through other marketing or sales promotions, or for permitting
potential purchasers to drive the vehicle for pre-purchase or pre-lease
evaluation.
Emergency vehicle means any vehicle that is legally authorized by a
governmental authority to exceed the speed limit to transport people and
equipment to and from situations in which speed is required to save
lives or property, such as a rescue vehicle, fire truck, or ambulance.
Law enforcement vehicle means any vehicle which is primarily
operated by a civilian or military police officer or sheriff, or by
personnel of the Federal Bureau of Investigation, the Drug Enforcement
Administration, or other agencies of the federal government, or by state
highway patrols, municipal law enforcement, or other similar law
enforcement agencies, and which is used for the purpose of law
enforcement activities including, but not limited to, chase,
apprehension, surveillance, or patrol of people engaged in or
potentially engaged in unlawful activities. For federal law enforcement
vehicles, the definition contained in Executive Order 12759, Section 11:
Alternative Fueled Vehicle for the Federal Fleet, Guidance Document for
Federal Agencies, shall apply.
Model year, as it applies to the clean fuel vehicle fleet purchase
requirements, means September 1 through August 31.
Motor vehicles held for lease or rental to the general public means
a vehicle that is owned or controlled primarily for the purpose of
short-term rental or extended-term leasing (with or without
maintenance), without a driver, pursuant to a contract.
New covered fleet vehicle means a vehicle that has not been
previously controlled by the current purchaser, regardless of the model
year, except as follows: Vehicles that were manufactured before the
start of the fleet program for such vehicle's weight class, vehicles
transferred due to the purchase of a company not previously controlled
by the purchaser or due to a consolidation of business operations,
vehicles transferred as part of an employee transfer, or vehicles
transferred for seasonal requirements (i.e., for less than 120 days) are
not considered new. States are permitted to discontinue the use of the
fourth exception for fleet operators who abuse the discretion afforded
them. This definition of new covered fleet vehicle is distinct from the
definition of new vehicle as it applies to manufacturer certification,
including the certification of vehicles to the clean fuel standards.
Owned or operated, leased or otherwise controlled by such person
means either of the following:
(1) Such person holds the beneficial title to such vehicle; or
(2) Such person uses the vehicle for transportation purposes
pursuant to a contract or similar arrangement, the term of such contract
or similar arrangement is for a period of 120 days or
[[Page 26]]
more, and such person has control over the vehicle pursuant to the
definition of control of this section.
Person includes an individual, corporation, partnership,
association, State, municipality, political subdivision of a State, and
any agency, department, or instrumentality of the United States and any
officer, agent, or employee thereof.
Under normal circumstances garaged at personal residence means a
vehicle that, when it is not in use, is normally parked at the personal
residence of the individual who usually operates it, rather than at a
central refueling, maintenance, and/or business location. Such vehicles
are not considered to be capable of being central fueled (as defined in
this subpart) and are exempt from the program unless they are, in fact,
centrally fueled.
Vehicle used for motor vehicle manufacturer product evaluations and
tests means a vehicle that is owned and operated by a motor vehicle
manufacturer (as defined in section 216(1) of the Act), or motor vehicle
component manufacturer, or owned or held by a university research
department, independent testing laboratory, or other such evaluation
facility, solely for the purpose of evaluating the performance of such
vehicle for engineering, research and development, or quality control
reasons.
[58 FR 64691, Dec. 9, 1993, as amended at 59 FR 50080, Sept. 30, 1994]
Sec. 88.303-93 Abbreviations.
The abbreviations in subpart A of this part and in 40 CFR part 86
apply to this subpart. The abbreviations in this section apply to this
subpart.
ILEV--Inherently Low-Emission Vehicle.
Sec. 88.304-94 Clean-fuel Fleet Vehicle Credit Program.
(a) General. (1) The SIP revision shall provide for a CFFV credit
program to enable covered fleet owners/operators to meet the fleet
vehicle purchase requirements of the CAA both by purchasing clean-fuel
vehicles (CFVs) directly and by trading and banking CFFV credits for
vehicle purchases.
(2) All credit-generating vehicles must meet the applicable emission
standards and other requirements contained in 40 CFR part 88, subpart A.
(b) Program administration. (1)(i) Each state in which there is all
or part of a covered area, as defined in CAA section 246(a)(2), shall
promulgate regulations as necessary for implementing this requirement.
(ii) The state shall submit a SIP revision before May 15, 1994 to
the Administrator stipulating the specific mechanism by which the CFFV
program is to be administered and enforced. The credit program shall
commence upon EPA approval of the SIP in accordance with CAA section
246(f)(5).
(2) A fleet owner who purchases/leases a CFFV only to generate CFFV
credit shall be subject to the same requirements of the state's CFFV
program as a covered fleet owner who purchases/leases a CFFV to
demonstrate compliance with covered fleet purchase requirements.
(3) While in the covered area, a dual-fuel/flexible-fuel vehicle
which a fleet owner purchases to comply with covered fleet purchase
requirements must be operated at all times on the fuel(s) on which it
was certified as a CFFV. If the fleet owner receives credit for a dual-
fuel/flexible-fuel vehicle purchase, the vehicle must be operated at the
same emission level for which the vehicle generated CFFV credit.
(c) Credit generation. (1) States shall grant CFFV credits to a
covered fleet owner for any of the following qualifying CFFV purchases:
(i) Purchase of a CFFV during any period subsequent to the approval
of the SIP revision but prior to the effective date for commencement of
a state's CFFV purchase requirement if the purchase meets all other CFFV
requirements applicable to such purchases, including the statutory
requirement to use only the fuel on which the vehicle was certified as a
CFFV;
(ii) Purchase of a greater number of CFFVs than is required under
the SIP revision;
(iii) Purchase of a CFFV which meets more stringent emission
standards than required under the SIP revision; or
(iv) Purchase of a CFFV in an exempt or non-covered vehicle category
by the
[[Page 27]]
owner/operator of a covered or partially-covered fleet.
(2) A state may retroactively grant CFFV credit(s) to a fleet owner
for the purchase of a CFFV prior to the approval of the state's SIP
revision if the purchase met all CFFV credit program requirements
applicable to such purchases, including:
(i) The vehicle purchased would have to have been certified to CFFV
emission standards;
(ii) The vehicle purchased would have to have been a dedicated-fuel
vehicle;
(iii) If the vehicle purchased was not a dedicated-fuel vehicle,
then the fleet owner would have to show that the vehicle had been
operated only on the clean alternative fuel on which the vehicle had
been certified as a CFFV.
(3) For LDVs and LDTs, credit values shall be determined in
accordance with Table C94-1. The state shall use Table C94-1 exclusively
in determining LDV and LDT CFFV credit values. Table C94-1.1 applies to
paragraphs (c)(1) (i), (ii) and (iv) of this section; Table C94-1.2
applies to paragraph (c)(1)(iii) of this section.
(4) In lieu of determining credit values in accordance with Table
C94-1, a state may specify in its SIP revision that Table C94-2 will be
used to determine LDV and LDT CFFV credit values in one or more affected
nonattainment areas. Any state choosing to do so must provide adequate
justification, based on air quality benefits, at the time the SIP
revision is submitted. If the use of Table C94-2 is approved by EPA, the
State shall use Table C94-2 exclusively in determining LDV and LDT CFFV
credit values for vehicles in the subject area or areas. Table C94-2.1
applies to paragraphs (b)(1) (i), (ii) and (iv) of this section; Table
C94-2.2 applies to paragraph (b)(1)(iii) of this section.
(5) In lieu of determining credit values in accordance with Table
C94-1, a state containing a carbon monoxide nonattainment area(s) having
a design value above 16.0 parts per million may specify in its SIP
revision that Table C94-3 will be used to determine LDV and LDT CFFV
credit values in one or more affected nonattainment areas. Any state
choosing to do so must provide adequate justification, based on air
quality benefits, at the time the SIP revision is submitted. If the use
of Table C94-3 is approved by EPA, the state shall use Table C94-3
exclusively in determining LDV and LDT CFFV credit values for vehicles
in the subject area or areas. Table C94-3.1 applies to paragraphs (b)(1)
(i), (ii) and (iv) of this section; Table C94-3.2 applies to paragraph
(b)(1)(iii) of this section.
(6) For HDVs, credit values shall be determined in accordance with
Table C94-4. The state shall use Table C94-4 exclusively in determining
heavy-duty vehicle CFFV credit values. Table C94-4.1 applies to
paragraphs (c)(1) (i), (ii) and (iv) of this section, and Table C94-4.2
applies to paragraph (c)(1)(iii) of this section.
(7) In lieu of determining credit values in accordance with Table
C94-4, a state containing a carbon monoxide nonattainment area(s) having
a design value above 16 parts per million may specify in its SIP
revision that Table C94-5 will be used to determine heavy-duty vehicle
CFFV credit values in one or more affected nonattainment areas. Any
state choosing to do so must provide adequate justification, based on
air quality benefits, at the time the SIP revision is submitted. If the
use of Table C94-5 is approved by EPA, the State shall use Table C94-5
exclusively in determining heavy-duty vehicle CFFV credit values for
vehicles in the subject area or areas. Table C94-5.1 applies to
paragraphs (b)(1) (i), (ii) and (iv) of this section; Table C94-5.2
applies to paragraph (b)(1)(iii) of this section.
(8) Credit values shall be rounded to two decimal places.
(9) Heavy heavy-duty vehicles. (i) States must allow purchase of any
clean-fuel single-unit or combination HDV with a GVWR greater than
26,000 pounds (11,800 kilograms) to generate CFFV credit for the fleet
vehicle purchaser.
(ii) States must exclude from generating CFFV credit the purchase of
any combination HDV with a GVWR greater than 26,000 pounds (11,800
kilograms) which pays all or a portion of its fuel taxes, as evidenced
by fuel tax stickers on the combination HDV, to a state(s) which is not
part of that covered nonattainment area.
[[Page 28]]
(10) Light-duty CFFV credits. Credits generated by the purchase of a
qualifying clean-fuel fleet LDV or a LDT shall be designated at the time
of issuance as light-duty CFFV credits.
(11) Heavy-duty CFFV credits. Credits generated by the purchase of a
qualifying clean-fuel fleet HDV shall be designated at the time of
issuance as heavy-duty CFFV credits. Further, credits generated by the
purchase of a light heavy-duty or a medium heavy-duty qualifying CFFV
shall be designated at the time of issuance as light heavy-duty and
medium heavy-duty CFFV credits, respectively.
(d) Credit use. (1) All credits generated in accordance with these
provisions may be freely traded or banked for later use, subject to the
provisions contained in this subpart, without discount or depreciation
of such credits.
(2) A covered fleet owner or operator desiring to demonstrate full
or partial compliance with covered fleet purchase requirements by the
redemption of credits shall surrender sufficient credits as established
in this paragraph. In lieu of purchasing a CFFV, a fleet owner or
operator shall surrender credits equal to the credit value for the
corresponding vehicle class and credit calculation method used in that
area from either Table C94-1.3, C94-2.3, C94-3.3, C94-4.3, or C94-5.3 of
this subpart.
(3) Credits earned within the boundaries of a covered nonattainment
area may be traded within those boundaries whether or not that area
encompasses parts of more than one state.
(4) Credits issued as a result of CFFV purchase requirements in one
nonattainment area may not be used to demonstrate compliance in another
nonattainment area, even if a state contains more than one covered
nonattainment area.
(5) Credit allocation. (i) Credits generated by the purchase of LDVs
and LDTs of 8,500 pounds (3,900 kilograms) GVWR or less may be used to
demonstrate compliance with covered fleet purchase requirements
applicable to LDVs or LDTs of 8,500 pounds (3,900 kilograms) GVWR or
less.
(ii) Credits generated by the purchase of vehicles of more than
8,500 pounds (3,900 kilograms) GVWR may not be used to demonstrate
compliance with the covered fleet purchase requirements for vehicles
weighing 8,500 pounds (3,900 kilograms) GVWR or less.
(iii) Credits generated by the purchase of vehicles of 8,500 pounds
(3,900 kilograms) GVWR or less may not be used to demonstrate compliance
with requirements for vehicles of more than 8,500 pounds (3,900
kilograms) GVWR.
(iv) Credits generated by the purchase of a HDV of a particular
weight subclass may be used to demonstrate compliance with required
heavy-duty vehicle purchases for the same or lighter weight subclasses.
These credits may not be used to demonstrate compliance with required
HDV purchases for vehicles of heavier weight subclasses than the weight
subclass of the vehicle which generated the credits.
Sec. 88.305-94 Clean-fuel fleet vehicle labeling requirements for heavy-duty
vehicles.
(a) All clean-fuel heavy-duty engines and vehicles used as LEVs,
ULEVs, and ZEVs that are also regulated under 40 CFR part 86 shall
comply with the labeling requirements of 40 CFR 86.095-35 (or later
applicable sections), and shall also include an unconditional statement
on the label indicating that the engine or vehicle is a LEV, ULEV, or
ZEV, and meets all of the applicable requirements of this part 88.
(b) All heavy-duty clean-fuel fleet vehicles not regulated under 40
CFR part 86 shall have a permanent legible label affixed to the engine
or vehicle in a readily visible location, which contains the following
information:
(1) The label heading: vehicle emissions classification information
(e.g., ``This is a Low Emission Vehicle'');
(2) Full corporate name and trademark of the manufacturer;
(3) A statement that this engine or vehicle meets all applicable
requirements of the U.S. Environmental Protection Agency clean-fuel
fleet vehicle program, as described in this part 88, but not necessarily
those requirements found in 40 CFR part 86.
[59 FR 50080, Sept. 30, 1994]
[[Page 29]]
Sec. 88.306-94 Requirements for a converted vehicle to qualify as a clean-
fuel fleet vehicle.
(a) For purposes of meeting the requirements of section 246 of the
Clean Air Act or the SIP revisions, conversions of engines or vehicles
which satisfy the requirements of this section shall be treated as a
purchase of a clean-fuel vehicle under subpart C of this part.
(b) The engine or vehicle must be converted using a conversion
configuration which has been certified according to the provisions of 40
CFR part 86 using applicable emission standards and other provisions
from part 88 for clean-fuel engines and vehicles. The following
requirements will also apply:
(1) If the installation of the certified conversion configuration is
performed by an entity other than aftermarket conversion certifier, the
aftermarket conversion certifier shall submit a list of such installers
to the Administrator. Additional installers must be added to this list
and the revised list submitted to the Administrator within 5 working
days from the time they are authorized to perform conversion
installations by the clean-fuel vehicle aftermarket conversion
certifier.
(2) If the installation of the certified conversion configuration is
performed by an entity other than the certificate holder, the
certificate holder shall provide instructions for installation of the
aftermarket conversion system to installers listed on the certificate,
and ensure that the systems are properly installed.
(3) For the purpose of determining whether certification under the
Small-Volume Manufacturers Certification Program pursuant to the
requirements of 40 CFR 86.094-14 is permitted, the 10,000 sales volume
limit in 40 CFR 86.094-14(b)(1) is waived for a certifier of a clean-
fuel vehicle aftermarket conversion.
(4) Clean-fuel vehicle aftermarket conversion certifiers that are
subject to the post-installation emissions testing requirements in
paragraph (c) of this section and who will satisfy these requirements by
using the two speed idle test procedure detailed in paragraph (c)(2)(ii)
of this section must conduct the following testing at the time of
certification in order to generate the required certification CO
emissions reference values. The certification CO emissions reference
values generated must be submitted to the Administrator at the time of
application for certification.
(i) For dual and flexible fuel vehicles, certification reference
values must be generated for each certification test fuel required for
exhaust emissions testing pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
(ii) For light-duty vehicles and light-duty trucks the test fuels
used during the emissions testing required by paragraph (b)(3) of this
section must comply with the fuel specifications for exhaust emissions
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels
used during the emissions testing required by paragraph (b)(3) of this
section must comply with the fuel specifications for exhaust emissions
testing found in 40 CFR 86.1313.
(iii) Single, consecutive idle mode and high-speed mode segments of
the two speed idle test must be conducted pursuant to the requirements
of 40 CFR 85.2215 and as modified by the provisions of paragraph
(c)(4)(ii)(D) of this section and this paragraph to determine the
required certification CO emission reference values.
(A) The certification CO emission reference value for the idle mode
of the test will be the simple average of all emissions measurements
taken during an idle mode of 90 seconds duration pursuant to the
requirements in 40 CFR 85.2215(a).
(B) The certification CO emission reference value for the high-speed
mode of the test will be the simple average of all emissions
measurements taken during a high-speed mode of 180 seconds duration
pursuant to the requirements in 40 CFR 85.2215(a).
(c) Except as provided in paragraph (c)(1) of this section, each
converted vehicle manufactured by a clean-fuel vehicle aftermarket
conversion certifier with aggregate sales of less than 10,000 converted
vehicles within a given calendar year must satisfy the post-installation
emissions testing requirements of paragraph (c)(2) of this section. If a
vehicle fails to satisfy the emissions testing requirements such
[[Page 30]]
vehicle may not be considered a clean- fuel vehicle until such
noncompliance is rectified and compliance is demonstrated.
(1) A clean-fuel vehicle aftermarket conversion certifier with
estimated sales of 300 or fewer engines and vehicles in a calendar year
and which sells or converts vehicles outside of a non-attainment area
(as classified under subpart D of Title I) which has an inspection and
maintenance program that includes a test of carbon monoxide emissions
may submit a request to the Administrator for an exemption from the
post-installation emission test requirements of paragraph (c) of this
section. If granted, such an exemption would apply to converted vehicles
that have the conversion installation performed outside of a
nonattainment area which has an inspection and maintenance program that
includes a test of carbon monoxide emissions.
(i) The request for exemption submitted to the Administrator must
include the following:
(A) The estimated number of engines and vehicles that will be
converted in the calendar year.
(B) Sufficient information to demonstrate that complying with the
post-installation emission test requirement represents a severe
financial hardship.
(C) A description of any emission related quality control procedures
used.
(ii) Within 120 days of receipt of the application for exemption,
the Administrator will notify the applicant either that an exemption is
granted or that sufficient cause for an exemption has not been
demonstrated and that all of the clean-fuel vehicle aftermarket
conversion certifier's vehicles are subject to the post-installation
test requirement of paragraph (c)(2) of this section.
(iii) If the clean-fuel vehicle aftermarket conversion certifier
granted an exemption originally estimates that 300 or fewer conversions
would be performed in the calendar year, and then later revises the
estimate to more than 300 for the year, the certifier shall inform the
Administrator of such revision. A post-installation emissions test for
each conversion performed after the estimate is revised is required
pursuant to the requirements of paragraph (c)(2) of this section. The
estimated number of conversions from such a clean-fuel vehicle
aftermarket conversion certifier must be greater than 300 in the
following calendar year.
(2) A clean-fuel vehicle aftermarket conversion certifier with
aggregate sales less than 10,000 converted vehicles within a given
calendar year shall conduct post-installation emissions testing using
either of the following test methods:
(i) The carbon monoxide (CO) emissions of the converted vehicle must
be determined in the manner in which CO emissions are determined
according to the inspection and maintenance requirements applicable in
the area in which the vehicle is converted or is expected to be
operated.
(A) For dual-fuel vehicles, a separate test is required for each
fuel on which the vehicle is capable of operating. For flexible fuel
vehicles, a single test is required on a fuel that falls within the
range of fuel mixtures for which the vehicle was designed. The test
fuel(s) used must be commercially available.
(B) A converted vehicle shall be considered to meet the requirements
of this paragraph if the vehicle's measured exhaust CO concentration(s)
is lower than the cutpoint(s) used to determine CO pass/fail under the
inspection and maintenance program in the area in which the conversion
is expected to be operated.
(1) If CO pass/fail criteria are not available for a vehicle fuel
type then pass/fail criteria specific to gasoline use are to be used for
vehicles of that fuel type.
(2) [Reserved]
(ii) The carbon monoxide (CO) emissions of the converted vehicle
must be determined in the manner specified in the two speed idle test-
EPA 91 found in 40 CFR 85.2215. All provisions in the two speed idle
test must be observed except as detailed in paragraph (c)(2)(ii)(D) of
this section.
(A) For dual and flexible fuel vehicles, a separate test is required
for each certification test fuel required for exhaust emissions testing
pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
(B) For light-duty vehicles and light-duty trucks the test fuels
used during
[[Page 31]]
the emissions testing required by paragraph (c)(4) of this section must
comply with the fuel specifications for exhaust emissions testing found
in 40 CFR 86.113. For heavy-duty engines the test fuels used during the
emissions testing required by paragraph (c)(2) of this section must
comply with the fuel specifications for exhaust emissions testing found
in 40 CFR 86.1313.
(C) A converted vehicle shall be considered to meet the requirements
of this paragraph if the following criteria are satisfied:
(1) The vehicle's measured idle mode exhaust CO concentration(s)
must be lower than the sum of 0.4 percent CO plus the idle mode
certification CO emissions reference value as determined according to
the requirements of paragraph (b)(3) of this section.
(2) The vehicle's measured high-speed mode exhaust CO
concentration(s) must be lower than the sum of 0.4 percent CO plus the
high-speed certification CO emissions reference value as determined
according to the requirements of paragraph (b)(3) of this section.
(D) For the purposes of the post-installation emissions testing
required by paragraph (c) of this section, the following adjustments to
the two speed idle test-EPA 91 in 40 CFR 85.2215 are necessary.
(1) Testing of hydrocarbon emissions and equipment associated solely
with hydrocarbon emissions testing is not required.
(2) The CO emissions pass/fail criteria in 40 CFR 85.2215(a)(2),
(c)(1)(ii)(A), (c)(2)(ii)(A)(1), (c)(2)(iii)(A)(1), and (d)(3)(i) are to
be replaced with the pass/fail criteria detailed in paragraph
(c)(2)(ii)(C) of this section. All HC pass/fail criteria in 40 CFR
85.2215 do not apply.
(3) The void test criteria in 40 CFR 85.2215(a)(3) and (b)(2)(iv)
associated with maintaining the measured concentration of CO plus
CO2 above six percent does not apply. However, the
Administrator may reconsider requiring that the void test criteria in 40
CFR 85.2215(a)(3) and (b)(2)(iv) be applied, and may issue an advisory
memorandum to this effect in the future.
(4) The ambient temperature levels encountered by the vehicle during
testing must comply with the specifications in 40 CFR 86.130 or 40 CFR
86.1330.
(d) The clean-fuel vehicle aftermarket conversion certifier shall be
considered a manufacturer for purposes of Clean Air Act sections 206 and
207 and related enforcement provisions, and must accept liability for
in-use performance of all the vehicles produced under the certificate of
conformity as outlined in 40 CFR part 85.
(1) The useful life period for the purposes of determining the in-
use liability of the clean-fuel vehicle aftermarket conversion certifier
shall be the original useful life of the vehicle prior to conversion.
(2) [Reserved]
(e) Tampering. (1) The conversion from an engine or vehicle capable
of operating on gasoline or diesel fuel only to a clean-fuel engine or
vehicle shall not be considered a violation of the tampering provisions
of Clean Air Act section 203(a)(3), if such conversion is done pursuant
to a conversion configuration certificate by the aftermarket conversion
certifier or by an installer listed on the certificate.
(2) In order to comply with the provisions of this subpart, an
aftermarket conversion installer must:
(i) Install a certified aftermarket conversion system for which the
installer is listed by the certifier; and
(ii) Perform such installation according to instructions provided by
the aftermarket conversion certifier.
(f) Data collection. The clean-fuel vehicle aftermarket conversion
certifier is responsible for maintaining records of each engine and
vehicle converted for use in the Clean Fuel Fleets program for a period
of 5 years. The records are to include the engine or vehicle make,
engine or vehicle model, engine or vehicle model year, and engine or
vehicle identification number of converted engines and vehicles; the
certification number of the conversion configuration; the brand names
and part numbers of the parts included in the conversion configuration;
the date of the conversion and the facility at which the conversion was
performed; and the results of post-installation
[[Page 32]]
emissions testing if required pursuant to paragraph (c) of this section.
[59 FR 50080, Sept. 30, 1994, as amended at 61 FR 129, Jan. 3, 1996]
Sec. 88.307-94 Exemption from temporal transportation control measures for
CFFVs.
(a) States with covered areas shall exempt any CFFV required by law
to participate in the clean-fuel fleet program or any vehicle generating
credits under Sec. 88.304-94(c) from transportation control measures
(TCMs) existing wholly or partially for air quality reasons included in
an approved state implementation plan which restrict vehicle usage based
primarily on temporal considerations, such as time-of-day and day-of-
week exemptions. However, CFFVs shall not qualify for TCMs where the
temporal element is secondary to some other control element and, in no
case, shall such exemptions apply if they create a clear and direct
safety hazard. This exemption does not include access to high occupancy
vehicle (HOV) lanes, except as provided in Sec. 88.313-93.
(b) States shall also grant temporal TCM exemptions to qualifying
CFFVs being operated after SIP approval, but prior to the effective date
for commencement of a state's CFFV credit program.
(c) Temporal TCM exemptions provided for in paragraph (a) of this
section are not effective outside of the areas for which states can be
required to establish CFFV credit programs.
(1) Such exemptions shall remain effective only while the subject
vehicle remains in compliance with applicable CFFV emissions standards
and other CFFV credit program requirements.
(2) CFFV TCM exemptions shall not be transferred between vehicles
within the same fleet nor shall they be sold or traded.
Sec. 88.308-94 Programmatic requirements for clean-fuel fleet vehicles.
(a) Multi-State nonattainment areas. The states comprising a multi-
State nonattainment area shall, to the greatest extent possible,
promulgate consistent clean-fuel fleet vehicle programs.
(b) Program start date. The SIP revision shall provide that the
clean fuel vehicle purchase requirements begin to apply no later than
model year 1999.
[59 FR 50082, Sept. 30, 1994, as amended at 63 FR 20107, Apr. 23, 1998]
Sec. 88.309 [Reserved]
Sec. 88.310-94 Applicability to covered Federal fleets.
(a) Compliance by Federal vehicles. As per section 258(a) of the
Act, fleets owned or operated by any agency, department, or
instrumentality of the United States shall comply with the applicable
state regulations concerning CFFVs established in the SIP revision. Such
fleets shall be treated in the same manner as private or other
government fleets under the applicable state regulations.
(1) Federal agencies shall obtain CFFVs from original equipment
manufacturers, to the extent possible, as required under section 248 of
the CAA.
(2) The Secretary of Defense may exempt any vehicle(s) from the
provisions of any CFFV credit program established in the SIP revision by
certifying to the Administrator in writing that inclusion of the
specified vehicle(s) in such a program could have an adverse impact on
the national security. The Secretary of Defense shall also provide a
copy of this statement of exemption to the state agency administering
the CFFV credit program in the covered area in which the specified
vehicle(s) is registered/operated.
(b) [Reserved]
Sec. 88.311-93 Emissions standards for Inherently Low-Emission Vehicles.
(a) Certification. (1) Emissions Testing Procedures. A vehicle shall
be certified as an ILEV if that vehicle satisfies the following
conditions:
(i) The vehicle shall be certified under the appropriate exhaust
emissions standards from paragraph (c) or (d) of this section depending
on the vehicle's weight classification.
(ii) The vehicle shall be certified as having fuel vapor emissions
which are five or less total grams per test as measured by the current
Federal Test Procedure (FTP), modified for ILEV
[[Page 33]]
certification, from 40 CFR part 86, subpart B for LDVs and LDTs and from
40 CFR part 86, subpart M for HDVs.
(A) After disabling any and all auxiliary emission control devices
(canister, purge system, etc.) related to control of evaporative
emissions, the fuel vapor emissions shall be measured using the FTP
regulations in effect at the time the vehicle is to be certified as an
ILEV. For purposes of this section, the vehicle's fuel vapor emissions
shall consist of the total grams of diurnal, hot soak, running loss, and
resting loss emissions, as appropriate, for the particular fuel/vehicle/
engine combination to be tested. In determining ILEV evaporative
emissions, the diurnal emissions measurement procedure shall consist of
a single diurnal heat build using an ambient or fuel temperature range
of 72[deg]-96 [deg]F (22[deg]-36 [deg]C), as appropriate for the
applicable FTP regulations (40 CFR part 86).
(B) Conventional Federal Test Procedure. A vehicle with no
evaporative emissions control system components may have its evaporative
emissions certified for its particular GVWR weight class/subclass if it
passes the conventional evaporative emissions FTP from 40 CFR part 86,
subpart B for LDVs and LDTs or from 40 CFR part 86, subpart M for HDVs,
as applicable.
(iii) The vehicle must meet other special requirements applicable to
conventional or clean-fuel vehicles and their fuels as described in any
other parts of this chapter, including 40 CFR parts 86 and 88.
(2) Vehicles which have a closed or sealed fuel system may be
certified at the administrator's option by engineering evaluation in
lieu of testing. These vehicles will be certified as ILEVs only if a
leak in the fuel system would result in the vehicle becoming inoperative
due to loss of fuel supply, or if half the fuel escapes within 24 hours.
(b) Identification. In the application for a vehicle's certification
as an ILEV, the manufacturer or the manufacturer's agent shall provide
for positive identification of the vehicle's status as an ILEV in the
vehicle's Vehicle Emission Control Information (VECI) label in
accordance with 40 CFR 86.094-35 and 86.095-35. The label shall contain
a highlighted statement (e.g., underscored or boldface letters) that the
vehicle is certified to applicable emission standards for ILEV exhaust
and evaporative emission standards.
(c) Light-duty vehicles and light-duty trucks. ILEVs in LDV and LDT
classes shall have exhaust emissions which do not exceed the LEV exhaust
emission standards for NMOG, CO, HCHO, and PM and the ULEV exhaust
emission standards for NOX listed in Tables A104-1 through
A104-6 for light-duty CFVs. Exhaust emissions shall be measured in
accordance with the test procedures specified in Sec. 88.104-94(k). An
ILEV must be able to operate on only one fuel, or must be certified as
an ILEV on all fuels on which it can operate. These vehicles shall also
comply with all requirements of 40 CFR part 86 which are applicable to
conventional gasoline-fueled, methanol-fueled, diesel-fueled, natural
gas-fueled or liquified petroleum gas-fueled LDVs/LDTs of the same
vehicle class and model year.
(d) Heavy-duty vehicles. ILEVs in the HDV class shall have exhaust
emissions which do not exceed the exhaust emission standards in grams
per brake horsepower-hour listed in Sec. 88.105-94(d). Exhaust
emissions shall be measured in accordance with the test procedures
specified in Sec. 88.105-94(e). An ILEV must be able to operate on only
one fuel, or must be certified as an ILEV on all fuels on which it can
operate. These vehicles shall also comply with all requirements of 40
CFR part 86 which are applicable in the case of conventional gasoline-
fueled, methanol-fueled, diesel-fueled, natural gas-fueled or liquified
petroleum gas-fueled HDVs of the same weight class and model year.
(e) Applicability. State actions to opt out of the clean-fuel fleet
program under section 182(c) of the Act do not affect the applicability
of the ILEV program in the affected states.
[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 48536, Sept. 21, 1994;
59 FR 50082, Sept. 30, 1994, 61 FR 127, Jan. 3, 1996]
Sec. 88.311-98 Emissions standards for Inherently Low-Emission Vehicles.
Section 88.311-98 includes text that specifies requirements that
differ from Sec. 88.311-93. Where a paragraph in Sec. 88.311-93 is
identical and applicable to
[[Page 34]]
Sec. 88.311-98, this may be indicated by specifying the corresponding
paragraph and the statement ``[Reserved]. For guidance see Sec. 88.311-
93.''
(a) heading through (a)(1)(ii) [Reserved]. For guidance see Sec.
88.311-93.
(iii) The vehicle must meet other special requirements applicable to
conventional or clean-fuel vehicles and their fuels as described in any
other regulations in 40 CFR chapter I, subchapter C, including 40 CFR
parts 86 and 88 (e.g., onboard refueling provisions).
(b)-(e) [Reserved]. For guidance see Sec. 88.311-93.
[59 FR 16309, Apr. 6, 1994]
Effective Date Note: The new information collection requirements for
Sec. 88.311-98 published in the Federal Register at 59 FR 16309, Apr.
6, 1994, which apply to 1998 and later model year vehicles, have not
been approved by the Office of Management and Budget (OMB) and are not
effective.
Sec. 88.312-93 Inherently Low-Emission Vehicle labeling.
(a) Label design. (1) Label design shall consist of either of the
following specifications:
(i) The label shall consist of a white rectangular background,
approximately 12 inches (30 centimeters) high by 18 inches (45
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting
block capital letters at least 4.3 inches (10.6 centimeters) tall and
1.8 inches (4.4 centimeters) wide with a stroke width not less than 0.5
inches (1.3 centimeters). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering no smaller than 1 inch
(2.5 centimeters) high. Nothing shall be added to the label which
impairs readability. Labels shall include a serialized identification
number; or
(ii) The label shall consist of a white truncated-circular
background, approximately 10 inches (25 centimeters) in diameter by 7
inches (17.5 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 2 inches (5 centimeters) from
the center. The acronym ``ILEV'' shall be printed on the label in
contrasting block capital letters at least 2 inches (5 centimeters) tall
and 1.5 inches (3.8 centimeters) wide with a stroke width not less than
0.4 inches (1.0 centimeter). In addition, the words ``CLEAN AIR
VEHICLE'' must be present in lettering no smaller than 0.8 inches (2.0
centimeters) high. Nothing shall be added to the label which impairs
readability. Labels shall include a serialized identification number.
(2) The ILEV label shall be fabricated or affixed to a vehicle in
such a manner that its removal from the vehicle cannot be accomplished
without defacing or destroying the label in whole or in part.
(3) Along with the manufacturer's application to certify a
particular ILEV engine class, the manufacturer or the manufacturer's
agent shall submit to EPA ILEV labels or reasonable facsimiles of the
types which may be mounted on a certified ILEV vehicle of that class.
(b) Eligibility. Vehicle manufacturers or their agents must install
ILEV labels on a certified ILEV vehicle at the time of its sale to an
eligible fleet owner if the vehicle is to be eligible for expanded TCM
exemptions. An eligible fleet owner is one who is in a covered area and
owns a total of at least ten motor vehicles (including the ILEV(s) being
purchased) which operate in the owner's fleet. All of the following
shall be provided to demonstrate eligibility: Photocopies of no less
than nine motor vehicle registrations indicating registration in the
ILEV purchaser's name, a signed statement by the ILEV purchaser that
these vehicles are operational in the purchaser's fleet and that the
ILEV being purchased will also be operated in this fleet, and a signed
statement by the ILEV purchaser that the ILEV labels will be removed and
disposed of when the vehicle is sold, given, leased (except as part of a
daily rental fleet), or offered for long-term loan to someone who has
not demonstrated eligibility for expanded TCMs available to ILEVs
according to these criteria.
(c) ILEV Label installation. (1) Except as provided for in this
paragraph (c), no person shall attach an ILEV label or any facsimile of
an ILEV label to any vehicle.
(2)(i) The manufacturer or the manufacturer's agent shall attach
three labels on the vehicle in plain sight: One
[[Page 35]]
on the rear of the vehicle and one on each of two sides of the vehicle.
Each label shall conform to the specifications of paragraph (a) of this
section.
(ii) In the case that an ILEV label of the proportions specified in
paragraph (a)(1) of this section cannot be attached to the rear of the
ILEV, the manufacturer or the manufacturer's agent shall attach to the
rear of the vehicle an ILEV label of either of the following
proportions:
(A) The label shall consist of a white rectangular background,
approximately 4 inches (10 centimeters) high by 24 inches (60
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting
block capital letters at least 2.8 inches (7 centimeters) tall and 1.3
inches (3.3 centimeters) wide with a stroke width not less than 0.3
inches (0.8 centimeter). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering no smaller than 0.6
inches (1.5 centimeters) high. Nothing shall be added to the label which
impairs readability. Labels shall include a serialized identification
number; or
(B) The label shall consist of a white truncated-circular
background, approximately 5 inches (12.5 centimeters) in diameter by 3.5
inches (8.8 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 1 inch (2.5 centimeters) from
the center. The acronym ``ILEV'' shall be printed on the label in
contrasting block capital letters at least 1 inch (2.5 centimeters) tall
and 0.8 inches (2.0 centimeters) wide with a stroke width not less than
0.3 inches (0.8 centimeters). In addition, the words ``CLEAN AIR
VEHICLE'' must be present in lettering no smaller than 0.4 inches (1.0
centimeter) high. Nothing shall be added to the label which impairs
readability. Labels shall include a serialized identification number.
(d) Label removal. Fleet ILEV owners shall remove and dispose of the
ILEV labels on a vehicle before selling or transferring ownership of an
ILEV or offering it for lease (unless the ILEV is part of a daily rental
fleet) or long-term loan. This provision shall not apply if the person
who is receiving the vehicle demonstrates eligibility for expanded TCM
exemptions under the federal ILEV program as described in paragraph (b)
of this section, or is otherwise qualified under state regulations which
expressly expand ILEV label eligibility.
(e) Label replacement. (1) The manufacturer shall make replacement
ILEV labels available to the fleet owner of a qualifying ILEV to replace
any ILEV label which has been lost or removed due to vehicle damage,
repair, sale, or lease. The fleet owner's request shall include proof of
ownership of the ILEV in question and proof of the fleet owner's
eligibility for ILEV TCM exemptions, as outlined in paragraph (c) of
this section. Each label shall be imprinted with the same serial number
as initially assigned to the damaged/missing ILEV label(s) for that
vehicle. Any portion of a damaged label remaining on the ILEV shall be
removed from the vehicle and submitted with the request as proof of
loss.
(2) Upon receipt of the replacement ILEV label(s), the fleet owner
shall attach the new ILEV label(s) only to the vehicle for which
replacement ILEV label(s) were requested.
[58 FR 11901, Mar. 1, 1993, as amended at 61 FR 128, Jan. 3, 1996]
Sec. 88.313-93 Incentives for the purchase of Inherently Low-Emission
Vehicles.
(a) Administration. (1) The incentives granted to ILEVs provided in
this section are not effective outside of nonattainment areas for which
states are required to establish CFFV programs under section 246 of the
CAA, unless specifically added by states for qualifying vehicles.
(2) Incentives for purchasing ILEVs shall not be transferred between
vehicles within the same fleet nor shall they be sold or traded.
(3) No vehicle over 26,000 pounds (11,800 kilograms) GVWR shall be
eligible for the following ILEV incentives.
(b) Exemption from temporal TCMs. A fleet vehicle which has been
certified and labeled as an ILEV according to the provisions of this
section and which continues to be in compliance with applicable
emissions standards and other ILEV program requirements shall be
exempted from TCMs existing
[[Page 36]]
for air quality reasons included in approved state implementation plans
which restrict vehicle usage based primarily on temporal considerations,
such as time-of-day and day-of-week exemptions.
(c) Exemption from high-occupancy vehicle lane restrictions. (1) A
fleet vehicle which has been certified and labeled as an ILEV according
to the provisions of Sec. Sec. 88.311 and 88.312 and which continues to
be in compliance with applicable emissions standards and other ILEV
program requirements shall be exempt from TCMs which restrict a
vehicle's access to certain roadway lanes based on the number of
occupants in that vehicle, usually known as high-occupancy vehicle (HOV)
lanes. These exemptions shall not apply if they would create a clear and
direct safety hazard.
(2) In a state containing a covered area, or areas, the governor may
petition the Administrator for a waiver from the exemption from HOV lane
restrictions for ILEVs for any section of HOV lane in the covered
area(s) that can be shown to be congested primarily due to the operation
or projected operation of ILEVs. The waiver application shall
demonstrate the infeasibility of other means of alleviating HOV/CAV lane
congestion, such as adding an additional HOV/CAV lane, further
increasing vehicle occupancy requirements and reducing the use of the
lane by noneligible vehicles.
Sec. Tables to Subpart C of Part 88
Table C94-1--Fleet Credit Table Based on Reduction in NMOG. Vehicle Equivalents for Light-Duty Vehicles and
Light-Duty Trucks
Table C94-1.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
NMOG GVWR, eq>3750 LVW <=3750 ALVW ALVW <=5750 5750
<=3750 LVW <=5750 LVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 1.00 1.26 0.71 0.91 1.11
ULEV........................... 1.20 1.54 1.00 1.26 1.56
ZEV............................ 1.43 1.83 1.43 1.83 2.23
----------------------------------------------------------------------------------------------------------------
Table C94-1.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
NMOG GVWR, eq>3750 LVW <=3750 ALVW ALVW, <=5750 5750
<=3750 LVW <=5750 LVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 0.00 0.00 0.00 0.00 0.00
ULEV........................... 0.20 0.29 0.29 0.34 0.45
ZEV............................ 0.43 0.57 0.71 0.91 1.11
----------------------------------------------------------------------------------------------------------------
Table C94-1.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
NMOG GVWR, eq>3750 LVW <=3750 ALVW ALVW <=5750 <=5750 ALVW
<=3750 LVW <=5750 LVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 1.00 1.26 0.71 0.91 1.11
----------------------------------------------------------------------------------------------------------------
[[Page 37]]
Table C94-2--Fleet Credit Table Based on Reduction in NMOG+NOX. Vehicle Equivalents for Light-Duty Vehicles and
Light-Duty Trucks
Table C94-2.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
NMOG+NOX GVWR, eq>3750 LVW <=3750 ALVW ALVW <=5750 5750
<=3750 LVW <=5750 LVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 1.00 1.39 0.33 0.43 0.52
ULEV........................... 1.09 1.52 1.00 1.39 2.06
ZEV............................ 1.73 2.72 1.73 2.72 3.97
----------------------------------------------------------------------------------------------------------------
Table C94-2.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
NMOG+NOX GVWR, eq>3750 LVW <=3750 ALVW ALVW <=5750 5750
<=3750 LVW <=5750 LVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 0.00 0.00 0.00 0.00 0.00
ULEV........................... 0.09 0.13 0.67 0.96 1.54
ZEV............................ 0.73 1.34 1.40 2.29 3.45
----------------------------------------------------------------------------------------------------------------
Table C94-2.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 3750 eq>6000 GVWR,
NMOG+NOX GVWR, eq>3750 LVW GVWR, ALVW <=5750 5750
<=3750 LVW <=5750 LVW <=3750 ALVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV................................ 1.00 1.39 0.33 0.43 0.52
----------------------------------------------------------------------------------------------------------------
Table C94-3--Fleet Credit Table Based on Reduction in Carbon Monoxide. Vehicle Equivalents for Light-Duty
Vehicles and Light-Duty Trucks
Table C94-3.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 3750 eq>6000 GVWR,
CO GVWR, eq>3750 LVW GVWR, ALVW <=5750 5750
<=3750 LVW <=5750 LVW <=3750 ALVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV................................ 1.00 1.00 1.00 1.00 1.00
ULEV............................... 2.00 2.29 2.00 2.29 2.47
ZEV................................ 3.00 3.59 3.00 3.59 3.94
----------------------------------------------------------------------------------------------------------------
Table C94-3.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
CO GVWR, eq>3750 LVW <=3750 ALVW ALVW <=5750 5750
<=3750 LVW <=5750 LVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 0.00 0.00 0.00 0.00 0.00
ULEV........................... 1.00 1.00 1.00 1.00 1.00
[[Page 38]]
ZEV............................ 2.00 2.29 2.00 2.29 2.47
----------------------------------------------------------------------------------------------------------------
Table C94-3.3--Credit Needed in Lieu of Purchasing a LEV To Meet The Mandate
----------------------------------------------------------------------------------------------------------------
LDT 6000 GVWR, LDT 6000 GVWR, 3750 eq>6000 GVWR,
CO GVWR, eq>3750 LVW <=3750 ALVW ALVW <=5750 5750
<=3750 LVW <=5750 LVW ALVW ALVW
----------------------------------------------------------------------------------------------------------------
LEV............................ 1.00 1.00 1.00 1.00 1.00
----------------------------------------------------------------------------------------------------------------
Table C94-4--Fleet Credit Table Based on Reduction in NMHC+NOX. Vehicle
Equivalents for Heavy-Duty Vehicles--Table C94-4.1--Credit Generation:
Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
Light Medium Heavy
NMHC+NOX HDV HDV HDV
------------------------------------------------------------------------
LEV....................................... 1.00 1.00 1.00
ULEV...................................... 1.87 1.87 1.87
ZEV....................................... 3.53 3.53 3.53
------------------------------------------------------------------------
Table C94-4.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
NMHC+NOX HDV HDV
------------------------------------------------------------------------
LEV................................................. 0.00 0.00
ULEV................................................ 0.87 0.87
ZEV................................................. 2.53 2.53
------------------------------------------------------------------------
Table C94-4.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
NMHC+NOX HDV HDV
------------------------------------------------------------------------
LEV................................................. 1.00 1.00
------------------------------------------------------------------------
Table C94-5--Fleet Credit Table Based on Reduction in Co. Vehicle
Equivalents for Heavy-Duty Vehicles--Table C94-5.1--Credit Generation:
Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
Light Medium Heavy
CO HDV HDV HDV
------------------------------------------------------------------------
LEV....................................... 1.00 1.00 1.00
ULEV...................................... 2.00 2.00 2.00
ZEV....................................... 3.00 3.00 3.00
------------------------------------------------------------------------
Table C94-5.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
CO HDV HDV
------------------------------------------------------------------------
LEV................................................. 0.00 0.00
ULEV................................................ 1.00 1.00
ZEV................................................. 2.00 2.00
------------------------------------------------------------------------
Table C94-5.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
CO HDV HDV
------------------------------------------------------------------------
LEV................................................. 1.00 1.00
------------------------------------------------------------------------
[58 FR 11901, Mar. 1, 1993, as amended at 59 FR 50082, Sept. 30, 1994,
61 FR 128, Jan. 3, 1996]
[[Page 39]]
PART 89_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION-IGNITION
ENGINES--Table of Contents
Subpart A_General
Sec.
89.1 Applicability.
89.2 Definitions.
89.3 Acronyms and abbreviations.
89.4 [Reserved]
89.5 Table and figure numbering; position.
89.6 Reference materials.
89.7 Treatment of confidential information.
Appendix A to Subpart A--State Regulation of Nonroad Internal Combustion
Engines
Subpart B_Emission Standards and Certification Provisions
89.101 Applicability.
89.102 Effective dates, optional inclusion, flexibility for equipment
manufacturers.
89.103 Definitions.
89.104 Useful life, recall, and warranty periods.
89.105 Certificate of conformity.
89.106 Prohibited controls.
89.107 Defeat devices.
89.108 Adjustable parameters, requirements.
89.109 Maintenance instructions and minimum allowable maintenance
intervals.
89.110 Emission control information label.
89.111 Averaging, banking, and trading of exhaust emissions.
89.112 Oxides of nitrogen, carbon monoxide, hydrocarbon, and particulate
matter exhaust emission standards.
89.113 Smoke emission standard.
89.114 Special and alternate test procedures.
89.115 Application for certificate.
89.116 Engine families.
89.117 Test fleet selection.
89.118 Deterioration factors and service accumulation.
89.119 Emission tests.
89.120 Compliance with emission standards.
89.121 Certificate of conformity effective dates.
89.122 Certification.
89.123 Amending the application and certificate of conformity.
89.124 Record retention, maintenance, and submission.
89.125 Production engines, annual report.
89.126 Denial, revocation of certificate of conformity.
89.127 Request for hearing.
89.128 Hearing procedures.
89.129 Right of entry.
89.130 Rebuild practices.
Subpart C_Averaging, Banking, and Trading Provisions
89.201 Applicability.
89.202 Definitions.
89.203 General provisions.
89.204 Averaging.
89.205 Banking.
89.206 Trading.
89.207 Credit calculation.
89.208 Labeling.
89.209 Certification.
89.210 Maintenance of records.
89.211 End-of-year and final reports.
89.212 Notice of opportunity for hearing.
Subpart D_Emission Test Equipment Provisions
89.301 Scope; applicability.
89.302 Definitions.
89.303 Symbols/abbreviations.
89.304 Equipment required for gaseous emissions; overview.
89.305 Equipment measurement accuracy/calibration frequency.
89.306 Dynamometer specifications and calibration weights.
89.307 Dynamometer calibration.
89.308 Sampling system requirements for gaseous emissions.
89.309 Analyzers required for gaseous emissions.
89.310 Analyzer accuracy and specifications.
89.311 Analyzer calibration frequency.
89.312 Analytical gases.
89.313 Initial calibration of analyzers.
89.314 Pre- and post-test calibration of analyzers.
89.315 Analyzer bench checks.
89.316 Analyzer leakage and response time.
89.317 NOX converter check.
89.318 Analyzer interference checks.
89.319 Hydrocarbon analyzer calibration.
89.320 Carbon monoxide analyzer calibration.
89.321 Oxides of nitrogen analyzer calibration.
89.322 Carbon dioxide analyzer calibration.
89.323 NDIR analyzer calibration.
89.324 Calibration of other equipment.
89.325 Engine intake air temperature measurement.
89.326 Engine intake air humidity measurement.
89.327 Charge cooling.
89.328 Inlet and exhaust restrictions.
89.329 Engine cooling system.
89.330 Lubricating oil and test fuels.
89.331 Test conditions.
Appendix A to Subpart D--Tables
Appendix B to Subpart D--Figures
Subpart E_Exhaust Emission Test Procedures
89.401 Scope; applicability.
[[Page 40]]
89.402 Definitions.
89.403 Symbols/abbreviations.
89.404 Test procedure overview.
89.405 Recorded information.
89.406 Pre-test procedures.
89.407 Engine dynamometer test run.
89.408 Post-test procedures.
89.409 Data logging.
89.410 Engine test cycle.
89.411 Exhaust sample procedure--gaseous components.
89.412 Raw gaseous exhaust sampling and analytical system description.
89.413 Raw sampling procedures.
89.414 Air flow measurement specifications.
89.415 Fuel flow measurement specifications.
89.416 Raw exhaust gas flow.
89.417 Data evaluation for gaseous emissions.
89.418 Raw emission sampling calculations.
89.419 Dilute gaseous exhaust sampling and analytical system
description.
89.420 Background sample.
89.421 Exhaust gas analytical system; CVS bag sample.
89.422 Dilute sampling procedures--CVS calibration.
89.423 [Reserved]
89.424 Dilute emission sampling calculations.
89.425 [Reserved]
Appendix A to Subpart E--Figures
Appendix B to Subpart E--Tables 1
Subpart F_Selective Enforcement Auditing
89.501 Applicability.
89.502 Definitions.
89.503 Test orders.
89.504 Testing by the Administrator.
89.505 Maintenance of records; submittal of information.
89.506 Right of entry and access.
89.507 Sample selection.
89.508 Test procedures.
89.509 Calculation and reporting of test results.
89.510 Compliance with acceptable quality level and passing and failing
criteria for selective enforcement audits.
89.511 Suspension and revocation of certificates of conformity.
89.512 Request for public hearing.
89.513 Administrative procedures for public hearing.
89.514 Hearing procedures.
89.515 Appeal of hearing decision.
89.516 Treatment of confidential information.
Appendix A to Subpart F--Sampling Plans for Selective Enforcement
Auditing of Nonroad Engines
Subpart G_Importation of Nonconforming Nonroad Engines
89.601 Applicability.
89.602 Definitions.
89.603 General requirements for importation of nonconforming nonroad
engines.
89.604 Conditional admission.
89.605 Final admission of certified nonroad engines.
89.606 Inspection and testing of imported nonroad engines.
89.607 Maintenance of independent commercial importer's records.
89.608 ``In Use'' inspections and recall requirements.
89.609 Final admission of modification nonroad engines and test nonroad
engines.
89.610 Maintenance instructions, warranties, emission labeling.
89.611 Exemptions and exclusions.
89.612 Prohibited acts; penalties.
89.613 Treatment of confidential information.
Subpart H_Recall Regulations
89.701 Applicability.
89.702 Definitions.
89.703 Applicability of part 85, subpart S.
Subpart I_Emission Defect Reporting Requirements
89.801 Applicability.
89.802 Definitions.
89.803 Applicability of part 85, subpart T.
Subpart J_Exemption Provisions
89.901 Applicability.
89.902 Definitions.
89.903 Application of section 216(10) of the Act.
89.904 Who may request an exemption.
89.905 Testing exemption.
89.906 Manufacturer-owned exemption and precertification exemption.
89.907 Display exemption.
89.908 National security exemption.
89.909 Export exemptions.
89.910 Granting of exemptions.
89.911 Submission of exemption requests.
89.912 Treatment of confidential information.
89.913 What provisions apply to engines certified under the motor-
vehicle program?
89.914 What provisions apply to vehicles certified under the motor-
vehicle program?
89.915 Staged-assembly exemption.
89.916 Emergency-vessel exemption for marine engines below 37 kW.
Subpart K_General Enforcement Provisions and Prohibited Acts
89.1001 Applicability.
[[Page 41]]
89.1002 Definitions.
89.1003 Prohibited acts.
89.1004 General enforcement provisions.
89.1005 Injunction proceedings for prohibited acts.
89.1006 Penalties.
89.1007 Warranty provisions.
89.1008 In-use compliance provisions.
89.1009 What special provisions apply to branded engines?
Authority: 42 U.S.C. 7401-7671q.
Source: 59 FR 31335, June 17, 1994, unless otherwise noted.
Subpart A_General
Sec. 89.1 Applicability.
(a) This part applies for all compression-ignition nonroad engines
(see definition of ``nonroad engine'' in Sec. 89.2) except those
specified in paragraph (b) of this section. This means that the engines
for which this part applies include but are not limited to the
following:
(1) Compression-ignition engines exempted from the requirements of
40 CFR Part 92 by 40 CFR 92.907;
(2) Compression-ignition engines exempted from the requirements of
40 CFR Part 94 by 40 CFR 94.907;
(3) Portable compression-ignition engines that are used in but not
installed in marine vessels (as defined in the General Provisions of the
United States Code, 1 U.S.C. 3);
(4) Non-propulsion compression-ignition engines used in locomotives;
and
(5) Compression-ignition marine engines with rated power under 37
kW.
(b) (1) Aircraft engines. This part does not apply for engines used
in aircraft (as defined in 40 CFR 87.1).
(2) Mining engines. This part does not apply for engines used in
underground mining equipment and regulated by the Mining Safety and
Health Administration (MSHA) in 30 CFR parts 7, 31, 32, 36, 56, 57, 70,
and 75.
(3) Locomotive engines. This part does not apply for engines that:
(i) Are subject to the standards of 40 CFR part 92; or
(ii) Are exempted from the requirements of 40 CFR part 92 by
exemption provisions of 40 CFR part 92 other than those specified in 40
CFR 92.907.
(4) Marine engines. This part does not apply for engines that:
(i) Are subject to the standards of 40 CFR part 94;
(ii) Are exempted from the requirements of 40 CFR part 94 by
exemption provisions of 40 CFR part 94 other than those specified in 40
CFR 94.907 or 94.912.
(iii) Are marine engines (as defined in 40 CFR part 94) with rated
power at or above 37kW that are manufactured in calendar years in which
the standards of 40 CFR part 94 are not yet applicable.
(5) Hobby engines. This part does not apply for engines installed in
reduced-scale models of vehicles that are not capable of transporting a
person.
(6) Tier 4 engines. This part does not apply to engines that are
subject to emission standards under 40 CFR part 1039. See 40 CFR 1039.1
to determine when that part 1039 applies. Note that certain requirements
and prohibitions apply to engines built on or after January 1, 2006 if
they are installed in stationary applications or in equipment that will
be used solely for competition, as described in 40 CFR 1039.1 and 40 CFR
1068.1; those provisions apply instead of the provisions of this part
89.
(c) In certain cases, the regulations in this part 89 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.
(d) This part applies as specified in 40 CFR part 60 subpart IIII,
to compression-ignition engines subject to the standards of 40 CFR part
60, subpart IIII.
[64 FR 73330, Dec. 29, 1999, as amended at 69 FR 39212, June 29, 2004;
70 FR 40444, July 13, 2005; 71 FR 39184, July 11, 2006; 72 FR 53126,
Sept. 18, 2007; 74 FR 8423, Feb. 24, 2009]
Sec. 89.2 Definitions.
The following definitions apply to part 89. All terms not defined
herein have the meaning given them in the Act.
Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
Adjustable parameter means any device, system, or element of design
which is physically capable of being adjusted (including those which are
difficult to access) and which, if adjusted,
[[Page 42]]
may affect emissions or engine performance during emission testing.
Administrator means the Administrator of the Environmental
Protection Agency or his or her authorized representative.
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 (AECD) means any element of design
that senses temperature, vehicle 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.
Auxiliary marine diesel engine means a marine diesel engine that is
not a propulsion marine diesel engine.
Blue Sky Series engine means a nonroad engine meeting the
requirements of Sec. 89.112(f).
Certification means, with respect to new nonroad engines, obtaining
a certificate of conformity for an engine family complying with the
nonroad engine emission standards and requirements specified in this
part.
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 that is governed to operate
only at rated speed.
Crankcase emissions means airborne substances emitted to the
atmosphere from any portion of the engine crankcase ventilation or
lubrication systems.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW.,Washington, DC 20460.
Emission control system means any device, system, or element of
design which controls or reduces the emission of substances from an
engine.
Engine, as used in this part, refers to nonroad engine.
Engine manufacturer means any person engaged in the manufacturing or
assembling of new nonroad engines or importing such engines for resale,
or who acts for and is under the control of any such person in
connection with the distribution of such engines. Engine manufacturer
does not include any dealer with respect to new nonroad engines received
by such person in commerce.
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.
EPA enforcement officer means any officer or employee of the
Environmental Protection Agency so designated in writing by the
Administrator (or by his or her designee).
Exhaust gas recirculation means an emission control 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 prior to 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 prior to or during combustion is not considered
to be exhaust gas recirculation for the purposes of this part.
Family emission limit (FEL) means an emission level that is declared
by the manufacturer to serve in lieu of an emission standard for
certification purposes and for the averaging, banking, and trading
program. A FEL must be expressed to the same number of decimal places as
the applicable emission standard.
Full load governed speed is the maximum full load speed as specified
by the manufacturer in the sales and service literature and
certification application. This speed is the highest engine speed with
an advertised power greater than zero.
Gross power means the power measured at the crankshaft or its
equivalent, the engine being equipped only with the standard accessories
(such as oil pumps, coolant pumps, and so forth) necessary for its
operation on the test bed. Alternators must be used, if necessary, to
run the engine. Fans, air conditioners, and other accessories may be
used at the discretion of the
[[Page 43]]
manufacturer, but no power adjustments for these accessories may be
made.
Identification number means a specification (for example, model
number/serial number combination) which allows a particular nonroad
engine to be distinguished from other similar engines.
Intermediate speed means peak torque speed if peak torque speed
occurs from 60 to 75 percent of rated speed. If peak torque speed is
less than 60 percent of rated speed, intermediate speed means 60 percent
of rated speed. If peak torque speed is greater than 75 percent of rated
speed, intermediate speed means 75 percent of rated speed.
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.
Model year (MY) means the manufacturer's annual new model production
period which includes January 1 of the calendar year, ends no later than
December 31 of the calendar year, and does not begin earlier than
January 2 of the previous calendar year. Where a manufacturer has no
annual new model production period, model year means calendar year.
New for purposes of this part, means a nonroad engine, nonroad
vehicle, or nonroad equipment the equitable or legal title to which has
never been transferred to an ultimate purchaser. Where the equitable or
legal title to the engine, vehicle, or equipment is not transferred to
an ultimate purchaser until after the engine, vehicle, or equipment is
placed into service, then the engine, vehicle, or equipment will no
longer be new after it is placed into service. A nonroad engine,
vehicle, or equipment is placed into service when it is used for its
functional purposes. With respect to imported nonroad engines, nonroad
vehicles, or nonroad equipment, the term new means an engine, vehicle,
or piece of equipment that is not covered by a certificate of conformity
issued under this part at the time of importation, and that is
manufactured after the effective date of a regulation issued under this
part which is applicable to such engine, vehicle, or equipment (or which
would be applicable to such engine, vehicle, or equipment had it been
manufactured for importation into the United States).
Nonroad engine means:
(1) Except as discussed in paragraph (2) of this definition, a
nonroad engine is any internal combustion engine:
(i) In or on a piece of equipment that is self-propelled or serves a
dual purpose by both propelling itself and performing another function
(such as garden tractors, off-highway mobile cranes and bulldozers); or
(ii) In or on a piece of equipment that is intended to be propelled
while performing its function (such as lawnmowers and string trimmers);
or
(iii) That, by itself or in or on a piece of equipment, is portable
or transportable, meaning designed to be and capable of being carried or
moved from one location to another. Indicia of transportability include,
but are not limited to, wheels, skids, carrying handles, dolly, trailer,
or platform.
(2) An internal combustion engine is not a nonroad engine if:
(i) the engine is used to propel a motor vehicle or a vehicle used
solely for competition, or is subject to standards promulgated under
section 202 of the Act; or
(ii) the engine is regulated by a federal New Source Performance
Standard promulgated under section 111 of the Act; or
(iii) the engine otherwise included in paragraph (1)(iii) of this
definition remains or will remain at a location for more than 12
consecutive months or a shorter period of time for an engine located at
a seasonal source. A location
[[Page 44]]
is any single site at a building, structure, facility, or installation.
Any engine (or engines) that replaces an engine at a location and that
is intended to perform the same or similar function as the engine
replaced will be included in calculating the consecutive time period. An
engine located at a seasonal source is an engine that remains at a
seasonal source during the full annual operating period of the seasonal
source. A seasonal source is a stationary source that remains in a
single location on a permanent basis (i.e., at least two years) and that
operates at that single location approximately three months (or more)
each year. This paragraph does not apply to an engine after the engine
is removed from the location.
Nonroad equipment means equipment that is powered by nonroad
engines.
Nonroad vehicle means a vehicle that is powered by a nonroad engine
as defined in this section and that is not a motor vehicle or a vehicle
used solely for competition.
Nonroad vehicle or nonroad equipment manufacturer means any person
engaged in the manufacturing or assembling of new nonroad vehicles or
equipment or importing such vehicles or equipment for resale, or who
acts for and is under the control of any such person in connection with
the distribution of such vehicles or equipment. A nonroad vehicle or
equipment manufacturer does not include any dealer with respect to new
nonroad vehicles or equipment received by such person in commerce. A
nonroad vehicle or equipment manufacturer does not include any person
engaged in the manufacturing or assembling of new nonroad vehicles or
equipment who does not install an engine as part of that manufacturing
or assembling process. All nonroad vehicle or equipment manufacturing
entities that are under the control of the same person are considered to
be a single nonroad vehicle or nonroad equipment manufacturer.
Opacity means the fraction of a beam of light, expressed in percent,
which fails to penetrate a plume of smoke.
Operating hours means:
(1) For engine storage areas or facilities, all times during which
personnel other than custodial personnel are at work in the vicinity of
the storage area or facility and have access to it.
(2) For all other areas or facilities, all times during which an
assembly line is in operation or all times during which testing,
maintenance, service accumulation, production or compilation of records,
or any other procedure or activity related to certification testing, to
translation of designs from the test stage to the production stage, or
to engine manufacture or assembly is being carried out in a facility.
Post-manufacture marinizer means a person who produces a marine
diesel engine by substantially modifying a certified or uncertified
complete or partially complete engine, and is not controlled by the
manufacturer of the base engine or by an entity that also controls the
manufacturer of the base engine. For the purpose of this definition,
``substantially modify'' means changing an engine in a way that could
change engine emission characteristics.
Presentation of credentials means the display of the document
designating a person as an EPA enforcement officer or EPA authorized
representative.
Propulsion marine diesel engine means a marine diesel engine that is
intended to move a vessel through the water or direct the movement of a
vessel.
Rated speed is the maximum full load governed speed for governed
engines and the speed of maximum horsepower for ungoverned engines.
Spark-ignition means relating to a gasoline-fueled engine or other
engines with a spark plug (or other sparking device) and with operating
characteristics significantly similar to the theoretical Otto combustion
cycle. Spark-ignition engines usually use a throttle to regulate intake
air flow to control power during normal operation.
Specific emissions means emissions expressed on the basis of
observed brake power, using units of g/kW-hr. Observed brake power
measurement includes accessories on the engine if these accessories are
required for running an emission test (except for the cooling fan). When
it is not possible to test the engine in the gross conditions, for
example, if the engine and transmission form a single integral unit, the
engine may be tested in the net condition.
[[Page 45]]
Power corrections from net to gross conditions will be allowed with
prior approval of the Administrator.
Sulfur-sensitive technology means an emission-control technology
that experiences a significant drop in emission-control performance or
emission-system durability when an engine is operated on low-sulfur fuel
(i.e., fuel with a sulfur concentration up to 500 ppm) as compared to
when it is operated on ultra low-sulfur fuel (i.e., fuel with a sulfur
concentration less than 15 ppm). Exhaust-gas recirculation is not a
sulfur-sensitive technology.
Test fleet means the engine or group of engines that a manufacturer
uses during certification to determine compliance with emission
standards.
Tier 1 engine means an engine subject to the Tier 1 emission
standards listed in Sec. 89.112(a).
Tier 2 engine means an engine subject to the Tier 2 emission
standards listed in Sec. 89.112(a).
Tier 3 engine means an engine subject to the Tier 3 emission
standards listed in Sec. 89.112(a).
Ultimate purchaser means, with respect to any new nonroad engine,
new nonroad vehicle, or new nonroad equipment, the first person who in
good faith purchases such new nonroad engine, nonroad vehicle, or
nonroad equipment for purposes other than resale.
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
Used solely for competition means exhibiting features that are not
easily removed and that would render its use other than in competition
unsafe, impractical, or highly unlikely.
U.S.-directed production volume means the number of nonroad
equipment, vehicle, or marine diesel engine units produced by a
manufacturer for which the manufacturer has reasonable assurance that
sale was or will be made to ultimate purchasers in the United States.
[59 FR 31335, June 17, 1994, as amended at 61 FR 52102, Oct. 4, 1996; 63
FR 18998, Apr. 16, 1998; 63 FR 56996, Oct. 23, 1998; 65 FR 73331, Dec.
29, 1999; 67 FR 68339, Nov. 8, 2002; 69 FR 39212, June 29, 2004; 70 FR
40444, July 13, 2005; 72 FR 53126, Sept. 18, 2007]
Sec. 89.3 Acronyms and abbreviations.
The following acronyms and abbreviations apply to part 89.
AECD Auxiliary emission control device
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
CAA Clean Air Act
CAAA Clean Air Act Amendments of 1990
CI Compression-ignition
CO Carbon monoxide
CO2 Carbon dioxide
EGR Exhaust gas recirculation
EPA Environmental Protection Agency
FEL Family emission limit
FTP Federal Test Procedure
g/kW-hr Grams per kilowatt hour
HC Hydrocarbons
ICI Independent Commercial Importer
kW Kilowatt
NIST National Institute for Standards and Testing
NMHC Nonmethane hydrocarbon
NTIS National Technical Information Service
NO Nitric oxide
NO2 Nitrogen dioxide
NOX Oxides of nitrogen
O2 Oxygen
OEM Original equipment manufacturer
PM Particulate matter
SAE Society of Automotive Engineers
SEA Selective Enforcement Auditing
SI Spark-ignition
THC Total hydrocarbon
U.S.C. United States Code
VOC Volatile organic compounds
[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]
Sec. 89.4 [Reserved]
Sec. 89.5 Table and figure numbering; position.
(a) Tables for each subpart appear in an appendix at the end of the
subpart. Tables are numbered consecutively by order of appearance in the
appendix. The table title will indicate the model year (if applicable)
and the topic.
(b) Figures for each subpart appear in an appendix at the end of the
subpart. Figures are numbered consecutively by
[[Page 46]]
order of appearance in the appendix. The figure title will indicate the
model year (if applicable) and the topic.
Sec. 89.6 Reference materials.
(a) Incorporation by reference. The documents in paragraph (b) of
this section have been incorporated by reference. The incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be
inspected at US EPA, OAR, 1200 Pennsylvania Ave., NW., Washington, DC
20460, or at the National Archives and Records Administration (NARA).
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
(b) The following paragraphs and tables set forth the material that
has been incorporated by reference in this part.
(1) ASTM material. The following table sets forth material from the
American Society for Testing and Materials which has been incorporated
by reference. The first column lists the number and name of the
material. The second column lists the section(s) of this part, other
than Sec. 89.6, in which the matter is referenced. The second column is
presented for information only and may not be all inclusive. Copies of
these materials may be obtained from American Society for Testing and
Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.
------------------------------------------------------------------------
Document number and name 40 CFR part 89 reference
------------------------------------------------------------------------
ASTM D86-97:
``Standard Test Method for Distillation Appendix A to Subpart D.
of Petroleum Products at Atmospheric
Pressure''.
ASTM D93-97:
``Standard Test Methods for Flash Point Appendix A to Subpart D.
by Pensky-Martens Closed Cup Tester''.
ASTM D129-95:
``Standard Test Method for Sulfur in Appendix A to Subpart D.
Petroleum Products (General Bomb
Method)''.
ASTM D287-92:
``Standard Test Method for API Gravity of Appendix A to Subpart D
Crude Petroleum and Petroleum Products''
(Hydrometer Method).
ASTM D445-97:
``Standard Test Method for Kinematic Appendix A to Subpart D.
Viscosity of Transparent and Opaque
Liquids (the Calculation of Dynamic
Viscosity)''.
ASTM D613-95:
``Standard Test Method for Cetane Number Appendix A to Subpart D.
of Diesel Fuel Oil''.
ASTM D1319-98:
``Standard Test Method for Hydrocarbon Appendix A to Subpart D.
Types in Liquid Petroleum Products by
Fluorescent Indicator Adsorption''.
ASTM D2622-98:
``Standard Test Method for Sulfur in Appendix A to Subpart D.
Petroleum Products by Wavelength
Dispersive X-ray Fluorescence
Spectrometry''.
ASTM D5186-96:
``Standard Test Method for Appendix A to Subpart D.
``Determination of the Aromatic Content
and Polynuclear Aromatic Content of
Diesel Fuels and Aviation Tubine Fuels
By Supercritical Fluid Chromatography''.
ASTM E29-93a:
``Standard Practice for Using Significant 89.120; 89.207; 89.509.
Digits in Test Data to Determine
Conformance with Specifications''.
------------------------------------------------------------------------
(2) SAE material. The following table sets forth material from the
Society of Automotive Engineers which has been incorporated by
reference. The first column lists the number and name of the material.
The second column lists the section(s) of this part, other than Sec.
89.6, in which the matter is referenced. The second column is presented
for information only and may not be all inclusive. Copies of these
materials may be obtained from Society of Automotive Engineers
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.
------------------------------------------------------------------------
40 CFR part 89
Document number and name reference
------------------------------------------------------------------------
SAE J244 June 83:
[[Page 47]]
Recommended Practice for Measurement of Intake Air 89.416-96
or Exhaust Gas Flow of Diesel Engines..............
SAE J1937 November 89:
Recommended Practice for Engine Testing with Low 89.327-96
Temperature Charge Air Cooler Systems in a
Dynamometer Test Cell..............................
SAE Paper 770141:
Optimization of a Flame Ionization Detector for 89.319-96
Determination of Hydrocarbon in Diluted Automotive
Exhausts, Glenn D. Reschke.........................
------------------------------------------------------------------------
(3) California Air Resources Board Test Procedure. The following
table sets forth material from the Title 13, California Code of
Regulations, Sections 2420-2427, as amended by California Air Resources
Board Resolution 92-2 and published in California Air Resources Board
mail out 93-42, September 1, 1993) which has been incorporated
by reference. The first column lists the number and name of the
material. The second column lists the section(s) of this part, other
than Sec. 89.6, in which the matter is referenced. The second column is
presented for information only and may not be all inclusive. Copies of
these materials may be obtained from California Air Resources Board,
Haagen-Smit Laboratory, 9528 Telstar Avenue, El Monte, CA 91731-2990.
------------------------------------------------------------------------
40 CFR part 89
Document number and name reference
------------------------------------------------------------------------
California Regulations for New 1996 and Later Heavy-Duty 89.112-96
Off-Road Diesel Cycle Engines.......................... 89.119-96
89.508-96
------------------------------------------------------------------------
[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]
Sec. 89.7 Treatment of confidential information.
(a) Any manufacturer may assert that some or all of the information
submitted pursuant to this part is entitled to confidential treatment as
provided by part 2, subpart B of this chapter.
(b) Any claim of confidentiality must accompany the information at
the time it is submitted to EPA.
(c) To assert that information submitted pursuant to this part is
confidential, a manufacturer must indicate clearly the items of
information claimed confidential by marking, circling, bracketing,
stamping, or otherwise specifying the confidential information.
Furthermore, EPA requests, but does not require, that the submitter also
provide a second copy of its submittal from which all confidential
information has been deleted. If a need arises to publicly release
nonconfidential information, EPA will assume that the submitter has
accurately deleted the confidential information from this second copy.
(d) If a claim is made that some or all of the information submitted
pursuant to this part is entitled to confidential treatment, the
information covered by that confidentiality claim will be disclosed by
the Administrator only to the extent and by means of the procedures set
forth in part 2, subpart B of this chapter.
(e) Information provided without a claim of confidentiality at the
time of submission may be made available to the public by EPA without
further notice to the submitter, in accordance with Sec.
2.204(c)(2)(i)(A) of this chapter.
Sec. Appendix A to Subpart A of Part 89--State Regulation of Nonroad
Internal Combustion Engines
This appendix sets forth the Environmental Protection Agency's
(EPA's) interpretation of the Clean Air Act regarding the authority of
states to regulate the use and operation of nonroad engines.
EPA believes that states are not precluded under section 209 from
regulating the use and operation of nonroad engines, such as regulations
on hours of usage, daily mass emission limits, or sulfur limits on fuel;
nor
[[Page 48]]
are permits regulating such operations precluded, once the engine is no
longer new. EPA believes that states are precluded from requiring
retrofitting of used nonroad engines except that states are permitted to
adopt and enforce any such retrofitting requirements identical to
California requirements which have been authorized by EPA under section
209 of the Clean Air Act.
[62 FR 67736, Dec. 30, 1997]
Subpart B_Emission Standards and Certification Provisions
Sec. 89.101 Applicability.
(a) The requirements of subpart B of this part are applicable to all
new nonroad compression-ignition engines subject to the provisions of
subpart A of this part 89, pursuant to the schedule delineated in Sec.
89.102.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting, and recordkeeping
specified in 40 CFR part 1039 or 1068 instead of the comparable
procedures specified in this part 89. We will approve the request as
long as it does not prevent us from ensuring that you fully comply with
the intent of this part.
[72 FR 53127, Sept. 18, 2007]
Sec. 89.102 Effective dates, optional inclusion, flexibility for equipment
manufacturers.
(a) This subpart applies to all engines described in Sec. 89.101
with the following power rating and manufactured after the following
dates:
(1) Less than 19 kW and manufactured on or after January 1, 2000;
(2) Greater than or equal to 19 kW but less than 37 kW and
manufactured on or after January 1, 1999;
(3) Greater than or equal to 37 kW but less than 75 kW and
manufactured on or after January 1, 1998;
(4) Greater than or equal to 75 kW but less than 130 kW and
manufactured on or after January 1, 1997;
(5) Greater than or equal to 130 kW but less than or equal to 560 kW
and manufactured on or after January 1, 1996;
(6) Greater than 560 kW and manufactured on or after January 1,
2000.
(b) A manufacturer can optionally certify engines manufactured up to
one calendar year prior to the effective date of mandatory certification
to earn emission credits under the averaging, banking, and trading
program. Such optionally certified engines are subject to all provisions
relating to mandatory certification and enforcement described in this
part.
(c) Engines meeting the voluntary standards described in Sec.
89.112(f) may be designated as Blue Sky Series engines through the 2004
model year.
(d) Implementation flexibility for equipment and vehicle
manufacturers and post-manufacture marinizers. Nonroad equipment and
vehicle manufacturers and post-manufacture marinizers may take any of
the otherwise prohibited actions identified in Sec. 89.1003(a)(1) and
(b)(4) with respect to nonroad equipment and vehicles and marine diesel
engines, subject to the requirements of paragraph (e) of this section.
The following allowances apply separately to each engine power category
subject to standards under Sec. 89.112:
(1) Percent-of-production allowances. (i) Equipment rated at or
above 37 kW. For nonroad equipment and vehicles with engines rated at or
above 37 kW, a manufacturer may take any of the actions identified in
Sec. 89.1003(a)(1) for a portion of its U.S.-directed production volume
of such equipment and vehicles during the seven years immediately
following the date on which Tier 2 engine standards first apply to
engines used in such equipment and vehicles, provided that the seven-
year sum of these portions in each year, as expressed as a percentage
for each year, does not exceed 80, and provided that all such equipment
and vehicles or equipment contain Tier 1 or Tier 2 engines;
(ii) Equipment rated under 37 kW. For nonroad equipment and vehicles
and marine diesel engines with engines rated under 37 kW, a manufacturer
may take any of the actions identified in Sec. 89.1003(a)(1) for a
portion of its U.S.-directed production volume of such equipment and
vehicles during the seven years immediately following the date on which
Tier 1 engine standards first apply to engines used in such equipment
and vehicles, provided that the seven-year sum of these portions in
[[Page 49]]
each year, as expressed as a percentage for each year, does not exceed
80.
(2) Small volume allowances. A nonroad equipment or vehicle
manufacturer or post-manufacture marinizer may exceed the production
percentages in paragraph (d)(1) of this section, provided that in each
regulated power category the manufacturer's total of excepted nonroad
equipment and vehicles and marine diesel engines:
(i) Over the years in which the percent-of-production allowance
applies does not exceed 100 units times the number of years in which the
percent-of-production allowance applies; and
(ii) Does not exceed 200 units in any year; and
(iii) Does not use engines from more than one engine family, or, for
excepted equipment vehicles, and marine diesel engines using engines not
belonging to any engine family, from more than one engine manufacturer.
For purposes of this paragraph (d)(2)(iii), engine family refers to
engines that have common characteristics as described in Sec. 89.116.
(3) Inclusion of previous-tier engines. Nonroad equipment and
vehicles and marine diesel engines built with previous tier or
noncertified engines under the existing inventory provisions of Sec.
89.1003(b)(4) need not be included in determining compliance with
paragraphs (d)(1) and (d)(2) of this section.
(e) Recordkeeping and calculation to verify compliance. The
following shall apply to nonroad equipment or vehicle manufacturers and
post-manufacture marinizers who produce excepted equipment or vehicles
or marine diesel engines under the provisions of paragraph (d) of this
section:
(1) For each power category in which excepted nonroad equipment or
vehicles or marine diesel engines are produced, a calculation to verify
compliance with the requirements of paragraph (d) of this section shall
be made by the nonroad equipment or vehicle manufacturer or post-
manufacture marinizer. This calculation shall be made no later than
December 31 of the year following the last year in which allowances are
used, and shall be based on actual production information from the
subject years. If both the percent-of-production and small volume
allowances have been exceeded, then the manufacturer is in violation of
section 203 of the Act and Sec. 89.1003, except as provided under
paragraphs (f) and (h) of this section.
(2) A nonroad equipment or vehicle manufacturer or post-manufacture
marinizer shall keep records of all nonroad equipment and vehicles and
marine diesel engines excepted under the provisions of paragraph (d) of
this section, for each power category in which exceptions are taken.
These records shall include equipment and engine model numbers, serial
numbers, and dates of manufacture, and engine rated power. In addition,
the manufacturer shall keep records sufficient to demonstrate the
verifications of compliance required in paragraph (e)(1) of this
section. All records shall be kept until at least two full years after
the final year in which allowances are available for each power
category, and shall be made available to EPA upon request.
(f) Hardship relief. Nonroad equipment and vehicle manufacturers and
post-manufacture marinizers may take any of the otherwise prohibited
actions identified in Sec. 89.1003(a)(1) if approved by the
Administrator, and subject to the following requirements:
(1) Application for relief must be submitted to the Engine Programs
and Compliance Division of the EPA in writing prior to the earliest date
in which the applying manufacturer would be in violation of Sec.
89.1003. The manufacturer must submit evidence showing that the
requirements for approval have been met.
(2) The applying manufacturer must not be the manufacturer of the
engines used in the equipment for which relief is sought. This
requirement does not apply to post-manufacture marinizers.
(3) The conditions causing the impending violation must not be
substantially the fault of the applying manufacturer.
(4) The conditions causing the impending violation must be such that
the applying manufacturer will experience serious economic hardship if
relief is not granted.
(5) The applying manufacturer must demonstrate that no allowances
under paragraph (d) of this section will be
[[Page 50]]
available to avoid the impending violation.
(6) Any relief granted must begin within one year after the
implementation date of the standard applying to the engines being used
in the equipment, or to the marine diesel engines, for which relief is
requested, and may not exceed one year in duration.
(7) The Administrator may impose other conditions on the granting of
relief including provisions to recover the lost environmental benefit.
(g) Allowance for the production of engines. Engine manufacturers
may take any of the otherwise prohibited actions identified in Sec.
89.1003(a)(1) with regard to uncertified engines, Tier 1 engines, or
Tier 2 engines, as appropriate, if the engine manufacturer has received
written assurance from the equipment manufacturer that the engine is
required to meet the demand for engines created under paragraph (d),
(f), or (h) of this section.
(h) Alternative Flexibility for Post-Manufacture Marinizers. Post-
manufacture marinizers may elect to delay the effective date of the Tier
1 standards in Sec. 89.112 for marine diesel engines rated under 37 kW
by one year, instead of using the provisions of paragraphs (d) and (f)
of this section. Post-manufacture marinizers wishing to take advantage
of this provision must inform the Director of the Engine Programs and
Compliance Division of their intent to do so in writing before the date
that the standards would otherwise take effect.
(i) Additional exemptions for technical or engineering hardship. You
may request additional engine allowances under paragraph (d)(1) of this
section for 56-560 kW power categories or, if you are a small equipment
manufacturer, under paragraph (d)(2) of this section for engines at or
above 37 and below 75 kW. However, you may use these extra allowances
only for those equipment models for which you, or an affiliated company,
do not also produce the engine. After considering the circumstances, we
may permit you to introduce into U.S. commerce equipment with such
engines that do not comply with Tier 3 emission standards, as follows:
(1) We may approve additional exemptions if extreme and unusual
circumstances that are clearly outside your control and that could not
have been avoided with reasonable discretion have resulted in technical
or engineering problems that prevent you from meeting the requirements
of this part. You must show that you exercised prudent planning and have
taken all reasonable steps to minimize the scope of your request for
additional allowances.
(2) To apply for exemptions under this paragraph (i), send the
Designated Compliance Officer and the Designated Enforcement Officer a
written request as soon as possible before you are in violation. In your
request, include the following information:
(i) Describe your process for designing equipment.
(ii) Describe how you normally work cooperatively or concurrently
with your engine supplier to design products.
(iii) Describe the engineering or technical problems causing you to
request the exemption and explain why you have not been able to solve
them. Describe the extreme and unusual circumstances that led to these
problems and explain how they were unavoidable.
(iv) Describe any information or products you received from your
engine supplier related to equipment design--such as written
specifications, performance data, or prototype engines--and when you
received it.
(v) Compare the design processes of the equipment model for which
you need additional exemptions and that for other models for which you
do not need additional exemptions. Explain the technical differences
that justify your request.
(vi) Describe your efforts to find and use other compliant engines,
or otherwise explain why none is available.
(vii) Describe the steps you have taken to minimize the scope of
your request.
(viii) Include other relevant information. You must give us other
relevant information if we ask for it.
(ix) Estimate the increased percent of production you need for each
equipment model covered by your request,
[[Page 51]]
as described in paragraph (i)(3) of this section. Estimate the increased
number of allowances you need for each equipment model covered by your
request, as described in paragraph (i)(4) of this section.
(3) We may approve your request to increase the allowances under
paragraph (d)(1) of this section, subject to the following limitations:
(i) The additional allowances will not exceed 50 percent for each
power category.
(ii) You must use up the allowances under paragraph (d)(1) of this
section before using any additional allowance under this paragraph (i).
(iii) Any allowances we approve under this paragraph (i)(3) expire
24 months after the provisions of this section start for a given power
category. You may use these allowances only for the specific equipment
models covered by your request.
(4) We may approve your request to increase the allowances for the
37-75 kW power category under paragraph (d)(2) of this section, subject
to the following limitations:
(i) You are eligible for additional allowances under this paragraph
(i)(4) only if you are a small equipment manufacturer and you do not use
the provisions of paragraph (i)(3) of this section to obtain additional
allowances for the 37-75 kW power category.
(ii) You must use up all the available allowances for the 37-75 kW
power category under paragraph (d)(2) of this section in a given year
before using any additional allowances under this paragraph (i)(4).
(iii) Base your request only on equipment you produce with engines
at or above 37 kW and below 75 kW. You may use any additional allowances
only for equipment you produce with engines at or above 37 kW and below
75 kW.
(iv) Any allowances we approve under this paragraph (i)(4) expire 24
months after the provisions of this section start for this power
category. These additional allowances are not subject to the annual
limits specified in paragraph (d)(2) of this section. You may use these
allowances only for the specific equipment models covered by your
request.
(v) The total allowances under paragraph (d)(2) of this section for
the 37-75 kW power category will not exceed 700 units. The total
allowances under this paragraph (i)(4) follow the requirements under
paragraph (d)(2) of this section for the 37-75 kW power category and
will not exceed 200 units. Therefore, the total maximum allowances for
the 37-75 kW power category will not exceed 900 units.
(5) For purposes of this paragraph (i), small equipment manufacturer
means an equipment manufacturer that had annual U.S.-directed production
volume of equipment using nonroad diesel engines between 37 and 75 kW of
no more than 3,000 units in 2002 and all earlier calendar years, and has
750 or fewer employees (500 or fewer employees for nonroad equipment
manufacturers that produce no construction equipment or industrial
trucks). For manufacturers owned by a parent company, the production
limit applies to the production of the parent company and all its
subsidiaries and the employee limit applies to the total number of
employees of the parent company and all its subsidiaries.
(6) The following provisions for adjusted flexibilities for Tier 4
engines apply to equipment manufacturers that are granted additional
exemptions for technical or engineering hardship:
(i) If you use the additional allowance under this paragraph (i) you
shall forfeit percent of production flexibility plus technical or
engineering hardship exemptions available for Tier 4 engines in the
amounts shown in Table 1 of this section.
(ii) Table 1 of this section shows the percent of production
flexibility and technical or engineering hardship exemptions that you
must forfeit for Tier 4 engines. The amount of Tier 4 flexibility
forfeited by each equipment manufacturer depends on the percent of
production flexibility used for Tier 2 engines and the technical or
engineering hardship exemptions granted for Tier 3 engines in the
proportions shown in Table 1. For example, if you used 45 percent of
your production flexibility for Tier 2 engines, you must forfeit 2
percent of your production flexibility for Tier 4 engines for every 1
percent of
[[Page 52]]
technical or engineering hardship flexibility granted for Tier 3
engines. In addition you must also forfeit 1 percent of any technical or
engineering hardship exemptions available for Tier 4 engines for every 1
percent technical or engineering hardship exemptions available for Tier
3 engines. If you use the Tier 3 technical or engineering hardship
allowances for 5 percent of your equipment in each of two different
years, you have used a total allowance of 10 percent. Therefore you must
forfeit a total of 20 percent of production flexibility for Tier 4
engines plus 10 percent of any technical or engineering hardship
exemptions available for Tier 4 engines.
Table 1 of Sec. 89.102--Adjustments to Tier 4 Flexibilities
------------------------------------------------------------------------
Percent of Percent of
forfeit forfeit
Percent of use Tier 2 production flexibility Tier 4 Tier 4
production tech./eng.
flexibility exemption
------------------------------------------------------------------------
Greater than 0% and up to 20%................. 0 1
Greater than 20% and up to 40%................ 1 1
Greater than 40% and up to 60%................ 2 1
Greater than 60% and up to 80%................ 3 1
------------------------------------------------------------------------
(iii) Because the Tier 3 and Tier 4 rules have different power
category ranges, the availability of technical relief will be further
adjusted based on the sales volume by power category. Table 2 of this
section shows the applicable power categories for Tier 3 and Tier 4. The
Tier 3 power categories of 37kW to 75kW and 75kW to 130kW correspond to
the Tier 4 power category of 56kW to 130kW. For the Tier 3 equipment in
the 37 to 75kW category, you must only use the sales volume for
equipment that uses engines with a rated power greater than 56kW. For
example, if you have a Tier 3 piece of equipment that uses a 40 kW
engine, the sales of the equipment are counted in the Tier 4 power
category of 19kW to 56kW. If you have a Tier 3 piece of equipment that
uses a 60kW engine, the sales of the equipment are counted in the Tier 4
power category of 56kW to 130kW. The Tier 3 power categories of 130kW to
225kW, 225kW to 450kW and 450kW to 560kW correspond to the Tier 4 power
category of 130kW to 560kW. You will need to sum the sales of the Tier 3
power categories that correspond to the Tier 4 power category during
each calendar year in which Tier 3 technical relief is used. The sum of
all the Tier 3 units that are produced and exempted by the technical
relief divided by the sum of all the Tier 3 units sold in the
corresponding Tier 4 power category will determine the percentage of
Tier 4 flexibility affected. For example, if you produce 50 units using
Tier 3 technical relief in the range of 130kW to 225kW, and you produce
50 units using Tier 3 technical relief in the range of 225 to 450kW, and
no units are produced in the 450kW to 560kW range, and your overall
sales volume for the power ranges of 130kW to 560kW in Tier 3 is 400
units, the amount of Tier 3 technical relief used is 100/400 or 25
percent. Because you forfeit 1 percent of your Tier 4 technical relief
for every 1 percent of Tier 3 technical relief used, then you will lose
25 percent of your Tier 4 technical relief in the 130kW to 560kW power
range category. If you used 45 percent of your production flexibility
for Tier 2 engines, you must forfeit 2 percent of production flexibility
for Tier 4 engines for every 1 percent of Tier 3 technical relief.
Therefore, you will forfeit 50 percent of your Tier 4 production
allowance in the 130kW to 560kW power range category.
Table 2 of Sec. 89.102--Corresponding Tier 3 and Tier 4 Power
Categories
------------------------------------------------------------------------
Tier 3 power categories Tier 4 power categories
------------------------------------------------------------------------
37<=kW<75\*\.............................. 19<=kW<56
37<=kW<75\**\, 75<=kW<130................. 56<=kW<130
130<=kW<225, 225<=kW<450, 450<=kW<560..... 130<=kW<=560
------------------------------------------------------------------------
\*\ Applies only to use of engines rated between 37kW and 56kW by small
volume equipment manufacturers.
\**\ Includes only equipment that uses engines with a rated power
greater than 56kw.
(iv) Manufacturers using allowances under this paragraph (i) must
comply with the notification and reporting requirements specified in
paragraph (i)(7) of this section.
(7) Notification and reporting. You must notify us of your intent to
use the technical relief provisions of this paragraph (i) and send us an
annual report to verify that you are not exceeding the allowances, as
follows:
[[Page 53]]
(i) Before the first year you intend to use the provisions of this
section, send the Designated Compliance Officer and the Designated
Enforcement Officer a written notice of your intent, including:
(A) Your company's name and address, and your parent company's name
and address, if applicable.
(B) Whom to contact for more information.
(C) The calendar years in which you expect to use the exemption
provisions of this section.
(D) The name and address of the company that produces the engines
you will be using for the equipment exempted under this section.
(E) Your best estimate of the number of units in each power category
you will produce under this section and whether you intend to comply
under paragraph (d)(1) or (d)(2) of this section.
(F) The number of units in each power category you have sold in
previous calendar years under paragraph (d) of this section.
(ii) For each year that you use the provisions of this section, send
the Designated Compliance Officer and the Designated Enforcement Officer
a written report by March 31 of the following year. Include in your
report the total number of engines you sold in the preceding year for
each power category, based on actual U.S.-directed production
information. Also identify the percentages of U.S.-directed production
that correspond to the number of units in each power category and the
cumulative numbers and percentages of units for all the units you have
sold under this section for each power category. You may omit the
percentage figures if you include in the report a statement that you
will not be using the percent-of-production allowances in paragraph (d)
of this section.
(8) Recordkeeping. Keep the following records of all equipment with
exempted engines you produce under this paragraph (i) for at least five
full years after the final year in which allowances are available for
each power category:
(i) The model number, serial number, and the date of manufacture for
each engine and piece of equipment.
(ii) The maximum power of each engine.
(iii) The total number or percentage of equipment with exempted
engines, as described in paragraph (d) of this section and all
documentation supporting your calculation.
(iv) The notifications and reports we require under paragraph (i)(7)
of this section.
(9) Equipment Labeling. Any engine produced under this paragraph (i)
must meet the labeling requirements of 40 CFR 89.110, but add the
following statement instead of the compliance statement in 40 CFR 89.110
(b)(10): THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR
89.102. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR
THE EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 89.102 MAY BE A VIOLATION
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(10) Enforcement. Producing more exempted engines or equipment than
we allow under this paragraph (i) or installing engines that do not meet
the applicable Tier 1 emission standards described in Sec. 89.112
violates the prohibitions in Sec. 89.1003(a)(1). You must give us the
records we require under this paragraph (i) if we ask for them (see
Sec. 89.1003(a)(2)).
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
56997, Oct. 23, 1998; 70 FR 40444, July 13, 2005; 72 FR 53127, Sept. 18,
2007; 72 FR 72956, Dec. 26, 2007]
Sec. 89.103 Definitions.
The definitions in subpart A of part 89 apply to this subpart. All
terms not defined herein or in subpart A have the meaning given them in
the Act.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.104 Useful life, recall, and warranty periods.
(a) The useful life is based on the rated power and rated speed of
the engine.
(1) For all engines rated under 19 kW, and for constant speed
engines rated under 37 kW with rated speeds greater than or equal to
3,000 rpm, the useful life is a period of 3,000 hours or five years of
use, whichever first occurs.
[[Page 54]]
(2) For all other engines rated at or above 19 kW and under 37 kW,
the useful life is a period of 5,000 hours or seven years of use,
whichever first occurs.
(3) For all engines rated at or above 37 kW, the useful life is a
period of 8,000 hours of operation or ten years of use, whichever first
occurs.
(b) Engines are subject to recall testing for a period based on the
rated power and rated speed of the engines. However, in a recall,
engines in the subject class or category would be subject to recall
regardless of actual years or hours of operation.
(1) For all engines rated under 19 kW, and for constant speed
engines rated under 37 kW with rated speeds greater than or equal to
3,000 rpm, the engines are subject to recall testing for a period of
2,250 hours or four years of use, whichever first occurs.
(2) For all other engines rated at or above 19 kW and under 37 kW,
the engines are subject to recall for a period of 3,750 hours or five
years of use, whichever first occurs.
(3) For all engines rated at or above 37 kW, the engines are subject
to recall for a period of 6,000 hours of operation or seven years of
use, whichever first occurs.
(c) The warranty periods for warranties imposed by the Clean Air Act
and Sec. 89.1007 for all engines rated under 19 kW, and for constant
speed engines rated under 37 kW with rated speeds greater than or equal
to 3,000 rpm, are 1,500 hours of operation or two years of use,
whichever first occurs. For all other engines, the warranty periods for
warranties imposed by the Clean Air Act and Sec. 89.1007 are 3,000
hours of operation or five years of use, whichever first occurs.
(d) Manufacturers may apply to the Administrator for approval for a
shorter useful life period for engines that are subject to severe
service in seasonal equipment, or are designed specifically for lower
useful life hours to match equipment life. Such an application must be
made prior to certification.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
56998, Oct. 23, 1998]
Sec. 89.105 Certificate of conformity.
Every manufacturer of a new nonroad compression-ignition engine must
obtain a certificate of conformity covering the engine family, as
described in Sec. 89.116. The certificate of conformity must be
obtained from the Administrator prior to selling, offering for sale,
introducing into commerce, or importing into the United States the new
nonroad compression-ignition engine for each model year.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.106 Prohibited controls.
(a) An engine may not be equipped with an emission control system
for the purpose of complying with emission standards if such system will
cause or contribute to an unreasonable risk to public health, welfare,
or safety in its operation or function.
(b) You may not design your engines with emission-control devices,
systems, or elements of design that cause or contribute to an
unreasonable risk to public health, welfare, or safety while operating.
For example, this would apply if the engine emits a noxious or toxic
substance it would otherwise not emit that contributes to such an
unreasonable risk.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998;
67 FR 68339, Nov. 8, 2002]
Sec. 89.107 Defeat devices.
(a) An engine may not be equipped with a defeat device.
(b) For purposes of this section, ``defeat device'' means any
device, system, or element of design which senses operation outside
normal emission test conditions and reduces emission control
effectiveness.
(1) Defeat device includes any auxiliary emission control device
(AECD) that reduces the effectiveness of the emission control system
under conditions which may reasonably be expected to be encountered in
normal operation and use unless such conditions are included in the test
procedure.
(2) Defeat device does not include such items which either operate
only during engine starting or are necessary to protect the engine (or
equipment in
[[Page 55]]
which it is installed) against damage or accident during its operation.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.108 Adjustable parameters, requirements.
(a) Nonroad engines equipped with adjustable parameters must comply
with all requirements of this subpart for any adjustment in the
physically adjustable range.
(b) An operating parameter is not considered adjustable if it is
permanently sealed or otherwise not normally accessible using ordinary
tools.
(c) The Administrator may require that adjustable parameters be set
to any specification within its adjustable range for certification,
selective enforcement audit, or in-use testing to determine compliance
with the requirements of this subpart.
(d) For engines that use noncommercial fuels significantly different
than the specified test fuel of the same type, the manufacturer may ask
to use the parameter-adjustment provisions of 40 CFR 1039.615 instead of
those in this section. Engines certified under this paragraph (d) must
be in a separate engine family. See 40 CFR 1039.801 for the definition
of ``noncommercial fuels''.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998,
as amended at 72 FR 53129, Sept. 18, 2007]
Sec. 89.109 Maintenance instructions and minimum allowable maintenance
intervals.
(a) The manufacturer must furnish or cause to be furnished to the
ultimate purchaser of each new nonroad engine subject to standards under
this part written instructions for the maintenance needed to ensure
proper functioning of the emission control system. Paragraphs (b)
through (h) of this section do not apply to Tier 1 engines with rated
power at or above 37 kW.
(b) Maintenance performed on equipment, engines, subsystems or
components used to determine exhaust emission deterioration factors is
classified as either emission-related or nonemission-related and each of
these can be classified as either scheduled or unscheduled. Further,
some emission-related maintenance is also classified as critical
emission-related maintenance.
(c) This paragraph (c) specifies emission-related scheduled
maintenance for purposes of obtaining durability data for nonroad
engines. The maintenance intervals specified below are minimum
intervals:
(1) All emission-related scheduled maintenance for purposes of
obtaining durability data must occur at the same or longer hours of use
intervals as those specified in the manufacturer's maintenance
instructions furnished to the ultimate purchaser of the engine under
paragraph (a) of this section. This maintenance schedule may be updated
as necessary throughout the testing of the engine, provided that no
maintenance operation is deleted from the maintenance schedule after the
operation has been performed on the test equipment or engine.
(2) Any emission-related maintenance which is performed on
equipment, engines, subsystems, or components must be technologically
necessary to ensure in-use compliance with the emission standards. The
manufacturer must submit data which demonstrate to the Administrator
that all of the emission-related scheduled maintenance which is to be
performed is technologically necessary. Scheduled maintenance must be
approved by the Administrator prior to being performed or being included
in the maintenance instructions provided to the purchasers under
paragraph (a) of this section.
(i) The Administrator may require longer maintenance intervals than
those listed in paragraphs (c)(3) and (c)(4) of this section where the
listed intervals are not technologically necessary.
(ii) The Administrator may allow manufacturers to specify shorter
maintenance intervals than those listed in paragraphs (c)(3) and (c)(4)
of this section where technologically necessary for engines rated under
19 kW, or for constant speed engines rated under 37 kW with rated speeds
greater than or equal to 3,000 rpm.
(3) The adjustment, cleaning, repair, or replacement of items listed
in paragraphs (c)(3)(i) through (c)(3)(iii) of this section shall occur
at 1,500 hours of use and at 1,500-hour intervals thereafter.
[[Page 56]]
(i) Exhaust gas recirculation system-related filters and coolers.
(ii) Positive crankcase ventilation valve.
(iii) Fuel injector tips (cleaning only).
(4) The adjustment, cleaning and repair of items in paragraphs
(c)(4)(i) through (c)(4)(vii) of this section shall occur at 3,000 hours
of use and at 3,000-hour intervals thereafter for nonroad compression-
ignition engines rated under 130 kW, or at 4,500-hour intervals
thereafter for nonroad compression-ignition engines rated at or above
130 kW.
(i) Fuel injectors.
(ii) Turbocharger.
(iii) Electronic engine control unit and its associated sensors and
actuators.
(iv) Particulate trap or trap-oxidizer system (including related
components).
(v) Exhaust gas recirculation system (including all related control
valves and tubing) except as otherwise provided in paragraph (c)(3)(i)
of this section.
(vi) Catalytic convertor.
(vii) Any other add-on emission-related component (i.e., a component
whose sole or primary purpose is to reduce emissions or whose failure
will significantly degrade emission control and whose function is not
integral to the design and performance of the engine).
(d) Scheduled maintenance not related to emissions which is
reasonable and technologically necessary (e.g., oil change, oil filter
change, fuel filter change, air filter change, cooling system
maintenance, adjustment of idle speed, governor, engine bolt torque,
valve lash, injector lash, timing, lubrication of the exhaust manifold
heat control valve, etc.) may be performed on durability vehicles at the
least frequent intervals recommended by the manufacturer to the ultimate
purchaser, (e.g., not the intervals recommended for severe service).
(e) Adjustment of engine idle speed on emission data engines may be
performed once before the low-hour emission test point. Any other
engine, emission control system, or fuel system adjustment, repair,
removal, disassembly, cleaning, or replacement on emission data vehicles
shall be performed only with advance approval of the Administrator.
(f) Equipment, instruments, or tools may not be used to identify
malfunctioning, maladjusted, or defective engine components unless the
same or equivalent equipment, instruments, or tools will be available to
dealerships and other service outlets and:
(1) Are used in conjunction with scheduled maintenance on such
components; or
(2) Are used subsequent to the identification of a vehicle or engine
malfunction, as provided in paragraph (e) of this section for emission
data engines; or
(3) Specifically authorized by the Administrator.
(g) All test data, maintenance reports, and required engineering
reports shall be compiled and provided to the Administrator in
accordance with Sec. 89.124.
(h)(1) The components listed in paragraphs (h)(1)(i) through
(h)(1)(vi) of this section are defined as critical emission-related
components.
(i) Catalytic converter.
(ii) Electronic engine control unit and its associated sensors and
actuators.
(iii) Exhaust gas recirculation system (including all related
filters, coolers, control valves, and tubing).
(iv) Positive crankcase ventilation valve.
(v) Particulate trap or trap-oxidizer system.
(vi) Any other add-on emission-related component (i.e., a component
whose sole or primary purpose is to reduce emissions or whose failure
will significantly degrade emission control and whose function is not
integral to the design and performance of the engine).
(2) All critical emission-related scheduled maintenance must have a
reasonable likelihood of being performed in use. The manufacturer must
show the reasonable likelihood of such maintenance being performed in-
use. Critical emission-related scheduled maintenance items which satisfy
one of the conditions defined in paragraphs
[[Page 57]]
(h)(2)(i) through (h)(2)(vi) of this section will be accepted as having
a reasonable likelihood of being performed in use.
(i) Data are presented which establish for the Administrator a
connection between emissions and vehicle performance such that as
emissions increase due to lack of maintenance, vehicle performance will
simultaneously deteriorate to a point unacceptable for typical
operation.
(ii) Survey data are submitted which adequately demonstrate to the
Administrator with an 80 percent confidence level that 80 percent of
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
(iii) A clearly displayed visible signal system approved by the
Administrator is installed to alert the equipment operator that
maintenance is due. A signal bearing the message ``maintenance needed''
or ``check engine,'' or a similar message approved by the Administrator,
shall be actuated at the appropriate usage point or by component
failure. This signal must be continuous while the engine is in operation
and not be easily eliminated without performance of the required
maintenance. Resetting the signal shall be a required step in the
maintenance operation. The method for resetting the signal system shall
be approved by the Administrator. The system must not be designed to
deactivate upon the end of the useful life of the engine or thereafter.
(iv) A manufacturer may desire to demonstrate through a survey that
a critical maintenance item is likely to be performed without a visible
signal on a maintenance item for which there is no prior in-use
experience without the signal. To that end, the manufacturer may in a
given model year market up to 200 randomly selected vehicles per
critical emission-related maintenance item without such visible signals,
and monitor the performance of the critical maintenance item by the
owners to show compliance with paragraph (h)(2)(ii) of this section.
This option is restricted to two consecutive model years and may not be
repeated until any previous survey has been completed. If the critical
maintenance involves more than one engine family, the sample will be
sales weighted to ensure that it is representative of all the families
in question.
(v) The manufacturer provides the maintenance free of charge, and
clearly informs the customer that the maintenance is free in the
instructions provided under paragraph (a) of this section.
(vi) The manufacturer uses any other method which the Administrator
approves as establishing a reasonable likelihood that the critical
maintenance will be performed in-use.
(3) Visible signal systems used under paragraph (h)(2)(iii) of this
section are considered an element of design of the emission control
system. Therefore, disabling, resetting, or otherwise rendering such
signals inoperative without also performing the indicated maintenance
procedure is a prohibited act.
[63 FR 56999, Oct. 23, 1998]
Sec. 89.110 Emission control information label.
(a) The manufacturer must affix at the time of manufacture a
permanent and legible label identifying each nonroad engine. The label
must meet the following requirements:
(1) Be attached in such a manner that it cannot be removed without
destroying or defacing the label;
(2) Be durable and readable for the entire engine life;
(3) Be secured to an engine part necessary for normal engine
operation and not normally requiring replacement during engine life;
(4) Be written in English; and
(5) Be located so as to be readily visible to the average person
after the engine is installed in the equipment. A supplemental label
meeting all the requirements of this section may be attached to a
location other than the engine, in cases where the required label must
be obscured after the engine is installed in the equipment.
(b) The label must contain the following information:
(1) The heading ``Important Engine Information;''
(2) The full corporate name and trademark of the manufacturer;
though the label may identify another company and use its trademark
instead
[[Page 58]]
of the manufacturer's if the provisions of Sec. 89.1009 are met.
(3) EPA standardized engine family designation;
(4) Engine displacement;
(5) Advertised power;
(6) Engine tuneup specifications and adjustments. These should
indicate the proper transmission position during tuneup, and accessories
(for example, air conditioner), if any, that should be in operation;
(7) Fuel requirements;
(8) Date of manufacture (month and year). The manufacturer may, in
lieu of including the date of manufacture on the engine label, maintain
a record of the engine manufacture dates. The manufacturer shall provide
the date of manufacture records to the Administrator upon request;
(9) Family emission limits (FELs) if applicable;
(10) The statement: ``This engine conforms to [model year] U.S. EPA
regulations large nonroad compression- ignition engines;''
(11) Engines belonging to an engine family that has been certified
as a constant-speed engine using the test cycle specified in Table 2 of
appendix B to subpart E of this part must contain the statement on the
label: ``constant-speed only''; and
(12) Engines meeting the voluntary standards described in Sec.
89.112(f)(1) to be designated as Blue Sky Series engines must contain
the statement on the label: ``Blue Sky Series''.
(c) Other information concerning proper maintenance and use or
indicating compliance or noncompliance with other standards may be
indicated on the label.
(d) Each engine must have a legible unique engine identification
number permanently affixed to or engraved on the engine.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57000, Oct. 23, 1998; 70 FR 40444, July 13, 2005]
Sec. 89.111 Averaging, banking, and trading of exhaust emissions.
Regulations regarding the availability of an averaging, banking, and
trading program along with applicable record- keeping requirements are
found in subpart C of this part. Participation in the averaging,
banking, and trading program is optional.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.112 Oxides of nitrogen, carbon monoxide, hydrocarbon, and particulate
matter exhaust emission standards.
(a) Exhaust emission from nonroad engines to which this subpart is
applicable shall not exceed the applicable exhaust emission standards
contained in Table 1, as follows:
[[Page 59]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.001
(b) Exhaust emissions of oxides of nitrogen, carbon monoxide,
hydrocarbon, and nonmethane hydrocarbon are measured using the
procedures set forth in subpart E of this part.
[[Page 60]]
(c) Exhaust emission of particulate matter is measured using the
California Regulations for New 1996 and Later Heavy-Duty Off-Road Diesel
Cycle Engines. This procedure is incorporated by reference. See Sec.
89.6.
(d) In lieu of the NOX standards, NMHC + NOX
standards, and PM standards specified in paragraph (a) of this section,
manufacturers may elect to include engine families in the averaging,
banking, and trading program, the provisions of which are specified in
subpart C of this part. The manufacturer must set a family emission
limit (FEL) not to exceed the levels contained in Table 2. The FEL
established by the manufacturer serves as the standard for that engine
family. Table 2 follows:
[[Page 61]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.002
(e) Naturally aspirated nonroad engines to which this subpart is
applicable shall not discharge crankcase emissions into the ambient
atmosphere, unless such crankcase emissions are permanently routed into
the exhaust and included in all exhaust emission measurements. This
provision applies to all
[[Page 62]]
Tier 2 engines and later models. This provision does not apply to
engines using turbochargers, pumps, blowers, or superchargers for air
induction.
(f) The following paragraphs define the requirements for low-
emitting Blue Sky Series engines:
(1) Voluntary standards. Engines may be designated ``Blue Sky
Series'' engines by meeting the voluntary standards listed in Table 3,
which apply to all certification and in-use testing, as follows:
Table 3--Voluntary Emission Standards (g/kW-hr)
------------------------------------------------------------------------
Rated Brake Power (kW) NMHC+NOX PM
------------------------------------------------------------------------
kW<8.............................................. 4.6 0.48
8<=kW<19.......................................... 4.5 0.48
19<=kW<37......................................... 4.5 0.36
37<=kW<75......................................... 4.7 0.24
75<=kW<130........................................ 4.0 0.18
130<=kW<=560...................................... 4.0 0.12
kW560.................................. 3.8 0.12
------------------------------------------------------------------------
(2) Additional standards. Blue Sky Series engines are subject to all
provisions that would otherwise apply under this part, except as
specified in paragraph (f)(3) of this section.
(3) Test procedures. NOX, NMHC, and PM emissions are
measured using the procedures set forth in 40 CFR part 1065, in lieu of
the procedures set forth in subpart E of this part. CO emissions may be
measured using the procedures set forth either in 40 CFR part 1065 or in
subpart E of this part. Manufacturers may use an alternate procedure to
demonstrate the desired level of emission control if approved in advance
by the Administrator. Engines meeting the requirements to qualify as
Blue Sky Series engines must be capable of maintaining a comparable
level of emission control when tested using the procedures set forth in
paragraph (c) of this section and subpart E of this part. The numerical
emission levels measured using the procedures from subpart E of this
part may be up to 20 percent higher than those measured using the
procedures from 40 CFR part 1065 and still be considered comparable.
(g) Manufacturers of engines at or above 37 kW and below 56 kW from
model years 2008 through 2012 that are subject to the standards of this
section under 40 CFR 1039.102 must take the following additional steps:
(1) State the applicable PM standard on the emission control
information label.
(2) Add information to the emission-related installation
instructions to clarify the equipment manufacturer's obligations under
40 CFR 1039.104(f).
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57000, Oct. 23, 1998; 69 FR 39212, June 29, 2004; 70 FR 40444, July 13,
2005]
Sec. 89.113 Smoke emission standard.
(a) Exhaust opacity from compression-ignition nonroad engines for
which this subpart is applicable must not exceed:
(1) 20 percent during the acceleration mode;
(2) 15 percent during the lugging mode; and
(3) 50 percent during the peaks in either the acceleration or
lugging modes.
(b) Opacity levels are to be measured and calculated as set forth in
40 CFR part 86, subpart I. Notwithstanding the provisions of 40 CFR part
86, subpart I, two-cylinder nonroad engines may be tested using an
exhaust muffler that is representative of exhaust mufflers used with the
engines in use.
(c) The following engines are exempt from the requirements of this
section:
(1) Single-cylinder engines;
(2) Propulsion marine diesel engines; and
(3) Constant-speed engines.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.114 Special and alternate test procedures.
(a) Special test procedures. The Administrator may, on the basis of
written application by a manufacturer, establish special test procedures
other than those set forth in this part, for any nonroad engine that the
Administrator determines is not susceptible to satisfactory testing
under the specified test procedures set forth in subpart E of this part
or 40 CFR part 86, subpart I.
(b) Alternate test procedures. (1) A manufacturer may elect to use
an alternate test procedure provided that it yields equivalent results
to the specified procedures, its use is approved in
[[Page 63]]
advance by the Administrator, and the basis for equivalent results with
the specified test procedures is fully described in the manufacturer's
application.
(2) The Administrator may reject data generated under alternate test
procedures which do not correlate with data generated under the
specified procedures.
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without advance approval by the
Administrator. The manufacturer must identify in its application for
certification that the engines were tested using the procedures in 40
CFR part 1065. For any EPA testing with Tier 2 or Tier 3 engines, EPA
will use the manufacturer's selected procedures for mapping engines,
generating duty cycles, and applying cycle-validation criteria. For any
other parameters, EPA may conduct testing using either of the specified
procedures.
(4) Where we specify mandatory compliance with the procedures of 40
CFR part 1065, such as in Sec. 89.419, manufacturers may elect to use
the procedures specified in 40 CFR part 86, subpart N, as an alternate
test procedure without advance approval by the Administrator.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998; 69 FR 39212, June 29, 2004; 70 FR 40445, July 13,
2005]
Sec. 89.115 Application for certificate.
(a) For each engine family that complies with all applicable
standards and requirements, the engine manufacturer must submit to the
Administrator a completed application for a certificate of conformity.
(b) The application must be approved and signed by the authorized
representative of the manufacturer.
(c) The application will be updated and corrected by amendment as
provided for in Sec. 89.123 to accurately reflect the manufacturer's
production.
(d) Required content. Each application must include the following
information:
(1) A description of the basic engine design including, but not
limited to, the engine family specifications, the provisions of which
are contained in Sec. 89.116;
(2) An explanation of how the emission control system operates,
including a detailed description of all emission control system
components, each auxiliary emission control device (AECD), and all fuel
system components to be installed on any production or test engine(s);
(3) Proposed test fleet selection and the rationale for the test
fleet selection;
(4) Special or alternate test procedures, if applicable;
(5) The period of operation necessary to accumulate service hours on
test engines and stabilize emission levels;
(6) A description of all adjustable operating parameters (including,
but not limited to, injection timing and fuel rate), including the
following:
(i) The nominal or recommended setting and the associated production
tolerances;
(ii) The intended physically adjustable range;
(iii) The limits or stops used to establish adjustable ranges;
(iv) Production tolerances of the limits or stops used to establish
each physically adjustable range; and
(v) Information relating to why the physical limits or stops used to
establish the physically adjustable range of each parameter, or any
other means used to inhibit adjustment, are effective in preventing
adjustment of parameters to settings outside the manufacturer's intended
physically adjustable ranges on in-use engines;
(7) For families participating in the averaging, banking, and
trading program, the information specified in subpart C of this part;
(8) A description of the test equipment and fuel proposed to be
used;
(9) All test data obtained by the manufacturer on each test engine,
including CO2 as specified in Sec. 89.407(d)(1);
(10) An unconditional statement certifying that all engines in the
engine family comply with all requirements of this part and the Clean
Air Act.
(11) A statement indicating whether the engine family contains only
nonroad engines, only stationary engines, or both.
[[Page 64]]
(e) At the Administrator's request, the manufacturer must supply
such additional information as may be required to evaluate the
application including, but not limited to, projected nonroad engine
production.
(f)(1) The Administrator may modify the information submission
requirements of paragraph (d) of this section, provided that all of the
information specified therein is maintained by the engine manufacturer
as required by Sec. 89.124, and amended, updated, or corrected as
necessary.
(2) For the purposes of this paragraph, Sec. 89.124(a)(1) includes
all information specified in paragraph (d) of this section whether or
not such information is actually submitted to the Administrator for any
particular model year.
(3) The Administrator may review an engine manufacturer's records at
any time. At the Administrator's discretion, this review may take place
either at the manufacturer's facility or at another facility designated
by the Administrator.
(g) The manufacturer must name an agent for service located in the
United States. Service on this agent constitutes service on the
manufacturer or any of its officers or employees for any action by EPA
or otherwise by the United States related to the requirements of this
part.
[59 FR 31335, June 17, 1994, as amended at 61 FR 20741, May 8, 1996.
Redesignated at 63 FR 56995, Oct. 23, 1998, as amended at 71 FR 39184,
July 11, 2006; 72 FR 53129, Sept. 18, 2007; 74 FR 56374, Oct. 30, 2009]
Sec. 89.116 Engine families.
(a) A manufacturer's product line is divided into engine families
that are comprised of engines expected to have similar emission
characteristics throughout their useful life periods.
(b) The following characteristics distinguish engine families:
(1) Fuel;
(2) Cooling medium;
(3) Method of air aspiration;
(4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap);
(5) Combustion chamber design;
(6) Bore;
(7) Stroke;
(8) Number of cylinders, (engines with aftertreatment devices only);
and
(9) Cylinder arrangement (engines with aftertreatment devices only).
(c) Upon a showing by the manufacturer that the useful life period
emission characteristics are expected to be similar, engines differing
in one or more of the characteristics in paragraph (b) of this section
may be grouped in the same engine family.
(d) Upon a showing by the manufacturer that the expected useful life
period emission characteristics will be different, engines identical in
all the characteristics of paragraph (b) of this section may be divided
into separate engine families.
(e)(1) This paragraph (e) applies only to the placement of Tier 1
engines with power ratings under 37 kW into engine families. The
provisions of paragraphs (a) through (d) of this section also apply to
these engines. The power categories referred to in this paragraph (e)
are those for which separate standards or implementation dates are
described in Sec. 89.112.
(2) A manufacturer may place engines with power ratings in one power
category into an engine family comprised of engines with power ratings
in another power category, and consider all engines in the engine family
as being in the latter power category for the purpose of determining
compliance with the standards and other requirements of this part,
subject to approval in advance by the Administrator and the following
restrictions:
(i) The engines that have power ratings outside the engine family's
power category must constitute less than half of the engine family's
sales in each model year for which the engine family grouping is made;
and
(ii) The engines that have power ratings outside the engine family's
power category must have power ratings that are within ten percent of
either of the two power levels that define the engine family's power
category.
(3) The restrictions described in paragraphs (e)(2)(i) and
(e)(2)(ii) of this section do not apply if the emissions standards and
other requirements of this part are at least as stringent for the engine
family's power category as those of the other power categories
[[Page 65]]
containing engines in the engine family.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.117 Test fleet selection.
(a) The manufacturer must select for testing, from each engine
family, the engine with the most fuel injected per stroke of an
injector, primarily at the speed of maximum torque and secondarily at
rated speed.
(b) Each engine in the test fleet must be constructed to be
representative of production engines.
(c) After review of the manufacturer's test fleet, the Administrator
may select from the available fleet one additional test engine from each
engine family.
(d) For establishing deterioration factors, the manufacturer shall
select the engines, subsystems, or components to be used to determine
exhaust emission deterioration factors for each engine-family control
system combination. Engines, subsystems, or components shall be selected
so that their emission deterioration characteristics are expected to
represent those of in-use engines, based on good engineering judgment.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.118 Deterioration factors and service accumulation.
This section applies to service accumulation used to determine
deterioration factors and service accumulation used to condition test
engines. Paragraphs (a) and (b) of this section apply only for service
accumulation used to condition test engines. Paragraph (e) of this
section applies only for service accumulation used to determine
deterioration factors. Paragraphs (c) and (d) of this section apply for
all service accumulation required by this part.
(a)(1) Each test engine in the test fleet must be operated with all
emission control systems operating properly for a period sufficient to
stabilize emissions.
(2) A manufacturer may elect to consider as stabilized emission
levels from engines with no more than 125 hours of service.
(b) No maintenance, other than recommended lubrication and filter
changes, may be performed during service accumulation without the
Administrator's approval.
(c) Service accumulation should be performed in a manner using good
engineering judgment to ensure that emissions are representative of in-
use engines.
(d) The manufacturer must maintain, and provide to the Administrator
if requested, records stating the rationale for selecting the service
accumulation period and records describing the method used to accumulate
service hours on the test engine(s).
(e) This paragraph (e) describes service accumulation and
alternative requirements for the purpose of developing deterioration
factor.
(1) Service accumulation on engines, subsystems, or components
selected by the manufacturer under Sec. 89.117(d). The manufacturer
shall describe the form and extent of this service accumulation in the
application for certification.
(2) Determination of exhaust emission deterioration factors. The
manufacturer shall determine the deterioration factors in accordance
with the applicable provisions of this part based on service
accumulation and related testing, according to the manufacturer's
procedures, except as provided in paragraph (e)(3) of this section.
(3) Alternatives to service accumulation and testing for the
determination of a deterioration factor. A written explanation of the
appropriateness of using an alternative must be included in the
application for certification.
(i) Carryover and carryacross of durability emission data. In lieu
of testing an emission data or durability data engine selected under
Sec. 89.117(d), a manufacturer may, with Administrator approval, use
exhaust emission deterioration data on a similar engine for which
certification to the same standard has previously been obtained or for
which all applicable data required under Sec. 89.124 has previously
been submitted. This data must be submitted in the application for
certification.
(ii) Use of on-highway deterioration data. In the case where a
manufacturer produces a certified on-highway engine that is similar to
the nonroad engine
[[Page 66]]
to be certified, deterioration data from the on-highway engine may be
applied to the nonroad engine. This application of deterioration data
from an on-highway engine to a nonroad engine is subject to
Administrator approval, and the determination of whether the engines are
similar must be based on good engineering judgment.
(iii) Engineering analysis for established technologies. (A) In the
case where an engine family uses established technology, an analysis
based on good engineering practices may be used in lieu of testing to
determine a deterioration factor for that engine family, subject to
Administrator approval.
(B) Engines for which the certification levels are not at or below
the Tier 3 NMHC+NOX standards described in Sec. 89.112 are
considered established technology, except as provided in paragraph
(e)(3)(iii)(D) of this section.
(C) Manufacturers may petition the Administrator to consider an
engine with a certification level below the Tier 3 +NOX
standards as established technology. This petition must be based on
proof that the technology used is not significantly different than that
used on engines that have certification levels that are not below the
Tier 3 NMHC+NOX levels.
(D) Engines using exhaust gas recirculation or aftertreatment are
excluded from the provision set forth in paragraphs (e)(3)(iii)(A)
through (e)(3)(iii)(C) of this section.
(E) The manufacturer shall provide a written statement to the
Administrator that all data, analyses, test procedures, evaluations, and
other documents, on which the deterioration factor is based, are
available to the Administrator upon request.
(iv) Interim provision for engines rated under 37 kW. For model year
1999 and 2000 engines rated under 37 kW, manufacturers may determine
deterioration factors based on good engineering judgement and reasonably
available information. The manufacturer must maintain and provide to the
Administrator, if requested, all information used to determine
deterioration factors for these engines.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.119 Emission tests.
(a) Manufacturer testing. (1) Upon completion of service
accumulation, the manufacturer must test each test engine using the
specified test procedures, except as provided in Sec. 89.114. The
procedures to be used are set forth in:
(i) Subpart E of this part;
(ii) The California Regulations for New 1996 and Later Heavy-Duty
Off-Road Diesel Cycle Engines. This procedure has been incorporated by
reference. See Sec. 89.6; and
(iii) Part 86, subpart I of this chapter.
(2) Each test engine must be configured to be representative of
actual in-use operation. The Administrator may specify the adjustment of
any adjustable parameter. All test results must be reported to the
Administrator.
(b) Confirmatory testing. The Administrator may conduct confirmatory
testing or other testing on any test engine. The manufacturer must
deliver test engines as directed by the Administrator. When the
Administrator conducts confirmatory testing or other testing, those test
results are used to determine compliance with emission standards.
(c) Use of carryover test data. In lieu of testing to certify an
engine family for a given model year, the manufacturer may submit, with
the Administrator's approval, emission test data used to certify that
engine family in previous years. This ``carryover'' data is only
allowable if the submitted test data show that the test engine would
comply with the emission standard(s) for the model year for which
certification is being sought.
(d) The provisions of this paragraph (d) apply only to Tier 1
nonroad engines without exhaust aftertreatment rated at or above 37 kW.
(1) Particulate emission measurements from Tier 1 nonroad engines
without exhaust aftertreatment rated at or above 37 kW may be adjusted
to a sulfur content of 0.05 weight percent.
(2) Adjustments to the particulate measurement shall be made using
the following equation:
PMadj=PM-[BSFC x 0.0917 x (FSF-0.0005)]
Where:
[[Page 67]]
PMadj=adjusted measured PM level [g/Kw-hr].
PM=measured weighted PM level [g/Kw-hr].
BSFC=measured brake specific fuel consumption [G/Kw-hr].
FSF=fuel sulfur weight fraction.
(3) Where a manufacturer certifies using test fuel with a sulfur
content less than or equal to 0.050 weight percent, EPA shall not use
emission data collected using test fuel with a sulfur content greater
than 0.050 weight percent to determine compliance with the Tier 1 PM
standards.
(4) Where a manufacturer certifies using test fuel with a sulfur
content greater than 0.050 weight percent, EPA shall not use emission
data collected using test fuel with a sulfur content greater than 0.050
weight percent to determine compliance with the Tier 1 PM standards,
unless EPA adjusts the PM measurement using the equation specified in
paragraph (d)(2) of this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57004, Oct. 23, 1998]
Sec. 89.120 Compliance with emission standards.
(a) If all test engines representing an engine family have emissions
less than or equal to each emission standard, that family complies with
the emission standards.
(b) If any test engine representing an engine family has emissions
greater than each emission standard, that family will be deemed not in
compliance with the emission standard(s).
(c) For each nonroad engine family, except Tier 1 engine families
with rated power at or above 37 kW that do not employ aftertreatment, a
deterioration factor must be determined and applied.
(1) The applicable exhaust emission standards (or family emission
limits, as appropriate) for nonroad compression-ignition engines apply
to the emissions of engines for their useful life.
(2) [Reserved]
(3)(i) This paragraph (c)(3) describes the procedure for determining
compliance of an engine with emission standards (or family emission
limits, as appropriate), based on deterioration factors supplied by the
manufacturer. The NMHC + NOX deterioration factors shall be
established based on the sum of the pollutants, except as provided in
paragraph (c)(3)(iv) of this section. When establishing deterioration
factors for NMHC + NOX. a negative deterioration (emissions
decrease from the official emissions test result) for one pollutant may
not offset deterioration of the other pollutant.
(ii) Separate emission deterioration factors, determined by the
manufacturer according to the requirements of Sec. 89.118, shall be
provided in the certification application for each engine-system
combination. Separate deterioration factors shall be established for
each regulated pollutant, except that a combined NMHC + NOX
deterioration factor shall be established for compression-ignition
nonroad engines not utilizing aftertreatment technology. For smoke
testing, separate deterioration factors shall also be established for
the acceleration mode (designated as ``A''), the lugging mode
(designated as ``B''), and peak opacity (designated as ``C'').
(iii) Compression-ignition nonroad engines not utilizing
aftertreatment technology (e.g., particulate traps). For CO, NMHC +
NOX. and particulate, the official exhaust emission results
for each emission data engine at the selected test point shall be
adjusted by addition of the appropriate deterioration factor. However,
if the deterioration factor supplied by the manufacturer is less than
zero, it shall be zero for the purposes of this paragraph (c)(3)(iii).
(iv) Compression-ignition nonroad engines utilizing aftertreatment
technology (e.g., particulate traps). For CO, NMHC + NOX. and
particulate, the official exhaust emission results for each emission
data engine at the selected test point shall be adjusted by
multiplication by the appropriate deterioration factor. Separate NMHC
and NOX deterioration factors shall be applied to the results
for these pollutants prior to combining the results. If the
deterioration factor supplied by the manufacturer is less than one, it
shall be one for the purposes of this paragraph (c)(3)(iv).
(v) For acceleration smoke (``A''), lugging smoke (``B''), and peak
opacity (``C''), the official exhaust emission results for each emission
data engine at
[[Page 68]]
the selected test point shall be adjusted by the addition of the
appropriate deterioration factor. However if the deterioration supplied
by the manufacturer is less than zero, it shall be zero for the purposes
of this paragraph (c)(3)(v).
(vi) The emission values to compare with the standards (or family
emission limits, as appropriate) shall be the adjusted emission values
of paragraphs (c)(3)(iii) through (v) of this section, rounded to the
same number of significant figures as contained in the applicable
standard in accordance with ASTM E29-93a, for each emission data engine.
This procedure has been incorporated by reference at Sec. 89.6.
(4) Every test engine of an engine family must comply with all
applicable standards (or family emission limits, as appropriate), as
determined in paragraph (c)(3)(vi) of this section, before any engine in
that family will be certified.
(d) For engine families included in the averaging, banking, and
trading program, the families' emission limits (FELs) are used in lieu
of the applicable federal emission standard.
(e) For the purposes of setting an NMHC + NOX
certification level or FEL, one of the following options shall be used
for the determination of NMHC for an engine family. The manufacturer
must declare which option is used in its application for certification
of that engine family.
(1) The manufacturer may assume that up to two percent of the
measured THC is methane (NMHC = 0.98 x THC).
(2) The manufacturer may measure NMHC emissions using a method
approved by the Administrator prior to the start of testing. This option
allows the determination of NMHC emissions by subtracting measured
methane emissions from measured THC emissions.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57004, Oct. 23, 1998]
Sec. 89.121 Certificate of conformity effective dates.
The certificate of conformity is valid from the date of issuance by
EPA until 31 December of the model year or calendar year for which it is
issued.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.122 Certification.
(a) If, after a review of the manufacturer's application, request
for certificate, information obtained from any inspection, and such
other information as the Administrator may require, the Administrator
determines that the application is complete and that the engine family
meets the requirements of this part and the Clean Air Act, the
Administrator shall issue a certificate of conformity.
(b) If, after a review of the information described in paragraph (a)
of this section, the Administrator determines that the requirements of
this part and the Clean Air Act have not been met, the Administrator
will deny certification. The Administrator must give a written
explanation when certification is denied. The manufacturer may request a
hearing on a denial.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.123 Amending the application and certificate of conformity.
(a) The manufacturer of nonroad compression-ignition engines must
notify the Administrator when changes to information required to be
described in the application for certification are to be made to a
product line covered by a certificate of conformity. This notification
must include a request to amend the application or the existing
certificate of conformity. Except as provided in paragraph (e) of this
section, the manufacturer shall not make said changes or produce said
engines prior to receiving approval from EPA.
(b) A manufacturer's request to amend the application or the
existing certificate of conformity shall include the following
information:
(1) A full description of the change to be made in production or of
the engine to be added;
(2) Engineering evaluations or data showing that engines as modified
or added will comply with all applicable emission standards; and
[[Page 69]]
(3) A determination whether the manufacturer's original test fleet
selection is still appropriate, and if the original test fleet selection
is determined not to be appropriate, proposed test fleet selection(s)
representing the engines changed or added which would have been required
if the engines had been included in the original application for
certification.
(c) The Administrator may require the manufacturer to perform tests
on the engine representing the engine to be added or changed.
(d) Decision by Administrator. (1) Based on the description of the
proposed amendment and data derived from such testing as the
Administrator may require or conduct, the Administrator will determine
whether the proposed change or addition would still be covered by the
certificate of conformity then in effect.
(2) If the Administrator determines that the change or new engine(s)
meets the requirements of this subpart and the Act, the appropriate
certificate of conformity is amended.
(3) If the Administrator determines that the changed or new
engine(s) does not meet the requirements of this subpart and the Act,
the certificate of conformity will not be amended. The Administrator
shall provide a written explanation to the manufacturer of the decision
not to amend the certificate. The manufacturer may request a hearing on
a denial.
(e) A manufacturer may make changes in or additions to production
engines concurrently with notifying the Administrator as required by
paragraph (a) of this section, if the manufacturer complies with the
following requirements:
(1) In addition to the information required in paragraph (b) of this
section, the manufacturer must supply supporting documentation, test
data, and engineering evaluations as appropriate to demonstrate that all
affected engines will still meet applicable emission standards.
(2) If, after a review, the Administrator determines additional
testing is required, the manufacturer must provide required test data
within 30 days or cease production of the affected engines.
(3) If the Administrator determines that the affected engines do not
meet applicable requirements, the Administrator will notify the
manufacturer to cease production of the affected engines and to recall
and correct at no expense to the owner all affected engines previously
produced.
(4) Election to produce engines under this paragraph will be deemed
to be a consent to recall all engines which the Administrator determines
do not meet applicable standards and to cause such nonconformity to be
remedied at no expense to the owner.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.124 Record retention, maintenance, and submission.
(a) The manufacturer of any nonroad compression-ignition engine must
maintain the following adequately organized records:
(1) Copies of all applications filed with the Administrator.
(2) A detailed history of each test engine used for certification
including the following:
(i) A description of the test engine's construction, including a
general description of the origin and buildup of the engine, steps taken
to ensure that it is representative of production engines, description
of components specially built for the test engine, and the origin and
description of all emission-related components;
(ii) A description of the method used for service accumulation,
including date(s) and the number of hours accumulated;
(iii) A description of all maintenance, including modifications,
parts changes, and other servicing performed, and the date(s) and
reason(s) for such maintenance;
(iv) A description of all emission tests performed (except tests
performed by the EPA directly) including routine and standard test
documentation, as specified in subpart E of this part, date(s) and the
purpose of each test;
(v) A description of all tests performed to diagnose engine or
emission control performance, giving the date and time of each and the
reason(s) for the test; and
[[Page 70]]
(vi) A description of any significant event(s) affecting the engine
during the period covered by the history of the test engine but not
described by an entry under one of the previous paragraphs of this
section.
(3) Information required to be kept by the manufacturer in Sec.
89.118(e)(3) for alternatives to service accumulation and testing for
the determination of a deterioration factor.
(b) Routine emission test data, such as those reporting test cell
temperature and relative humidity at start and finish of test and raw
emission results from each mode or test phase, must be retained for a
period of one year after issuance of all certificates of conformity to
which they relate. All other information specified in paragraph (a) of
this section must be retained for a period of eight years after issuance
of all certificates of conformity to which they relate.
(c) Records may be kept in any format and on any media, provided
that at the Administrator's request, organized, written records in
English are promptly supplied by the manufacturer.
(d) The manufacturer must supply, at the Administrator's request,
copies of any engine maintenance instructions or explanations issued by
the manufacturer.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57005, Oct. 23, 1998]
Sec. 89.125 Production engines, annual report.
(a) Upon the Administrator's request, the manufacturer must supply a
reasonable number of production engines for testing and evaluation.
These engines must be representative of typical production and must be
supplied for testing at such time and place and for such reasonable
periods as the Administrator may require.
(b) The manufacturer must annually, within 30 days after the end of
the model year, notify the Administrator of the number of engines
produced by engine family, by gross power, by displacement, by fuel
system, and, for engines produced under the provision of Sec.
89.102(g), by engine model and purchaser (or shipping destination for
engines used by the engine manufacturer), or by other categories as the
Administrator may require.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57005, Oct. 23, 1998]
Sec. 89.126 Denial, revocation of certificate of conformity.
(a) If, after review of the manufacturer's application, request for
certification, information obtained from any inspection, and any other
information the Administrator may require, the Administrator determines
that one or more test engines do not meet applicable standards (or
family emission limits, as appropriate), then the Administrator will
notify the manufacturer in writing, setting forth the basis for this
determination.
(b) Notwithstanding the fact that engines described in the
application may comply with all other requirements of this subpart, the
Administrator may deny the issuance of, suspend, or revoke a previously
issued certificate of conformity if the Administrator finds any one of
the following infractions to be substantial:
(1) The manufacturer submits false or incomplete information;
(2) The manufacturer denies an EPA enforcement officer or EPA
authorized representative the opportunity to conduct authorized
inspections;
(3) The manufacturer fails to supply requested information or amend
its application to include all engines being produced;
(4) The manufacturer renders inaccurate any test data which it
submits or otherwise circumvents the intent of the Act or this part;
(5) The manufacturer denies an EPA enforcement officer or EPA
authorized representative reasonable assistance (as defined in Sec.
89.129(e)).
(c) If a manufacturer knowingly commits an infraction specified in
paragraph (b)(1) or (b)(4) of this section, knowingly commits any other
fraudulent act which results in the issuance of a certificate of
conformity, or fails to comply with the conditions specified in Sec.
89.203(d), Sec. 89.206(c), Sec. 89.209(c) or Sec. 89.210(g), the
Administrator may deem such certificate void ab initio.
(d) When the Administrator denies, suspends, revokes, or voids ab
initio a
[[Page 71]]
certificate of conformity the manufacturer will be provided a written
determination. The manufacturer may request a hearing under Sec. 89.127
on the Administrator's decision.
(e) Any suspension or revocation of a certificate of conformity
shall extend no further than to forbid the introduction into commerce of
engines previously covered by the certification which are still in the
hands of the manufacturer, except in cases of such fraud or other
misconduct that makes the certification invalid ab initio.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57005, Oct. 23, 1998]
Sec. 89.127 Request for hearing.
(a) A manufacturer may request a hearing on the Administrator's
denial, suspension, voiding ab initio or revocation of a certificate of
conformity.
(b) The manufacturer's request must be filed within 30 days of the
Administrator's decision, be in writing, and set forth the
manufacturer's objections to the Administrator's decision and data to
support the objections.
(c) If, after review of the request and supporting data, the
Administrator finds that the request raises a substantial and factual
issue, the Administrator will grant the manufacturer's request for a
hearing.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.128 Hearing procedures.
(a)(1) After granting a request for a hearing the Administrator
shall designate a Presiding Officer for the hearing.
(2) The hearing will be held as soon as practicable at a time and
place determined by the Administrator or by the Presiding Officer.
(3) The Administrator may, at his or her discretion, direct that all
argument and presentation of evidence be concluded within a specified
period established by the Administrator. Said period may be no less than
30 days from the date that the first written offer of a hearing is made
to the manufacturer. To expedite proceedings, the Administrator may
direct that the decision of the Presiding Officer (who may, but need
not, be the Administrator) shall be the final EPA decision.
(b)(1) Upon appointment pursuant to paragraph (a) of this section,
the Presiding Officer will establish a hearing file. The file shall
consist of the following:
(i) The determination issued by the Administrator under Sec.
89.126(d);
(ii) The request for a hearing and the supporting data submitted
therewith;
(iii) All documents relating to the request for certification and
all documents submitted therewith; and
(iv) Correspondence and other data material to the hearing.
(2) The hearing file will be available for inspection by the
applicant at the office of the Presiding Officer.
(c) An applicant may appear in person or may be represented by
counsel or by any other duly authorized representative.
(d)(1) The Presiding Officer, upon the request of any party or at
his or her discretion, may arrange for a prehearing conference at a time
and place he/she specifies. Such prehearing conference will consider the
following:
(i) Simplification of the issues;
(ii) Stipulations, admissions of fact, and the introduction of
documents;
(iii) Limitation of the number of expert witnesses;
(iv) Possibility of agreement disposing of any or all of the issues
in dispute; and
(v) Such other matters as may aid in the disposition of the hearing,
including such additional tests as may be agreed upon by the parties.
(2) The results of the conference shall be reduced to writing by the
Presiding Officer and made part of the record.
(e)(1) Hearings shall be conducted by the Presiding Officer in an
informal but orderly and expeditious manner. The parties may offer oral
or written evidence, subject to the exclusion by the Presiding Officer
of irrelevant, immaterial, and repetitious evidence.
(2) Witnesses will not be required to testify under oath. However,
the Presiding Officer shall call to the attention of witnesses that
their statements may be subject to the provisions of 18 U.S.C. 1001
which imposes penalties for knowingly making false statements or
[[Page 72]]
representations or using false documents in any matter within the
jurisdiction of any department or agency of the United States.
(3) Any witness may be examined or cross-examined by the Presiding
Officer, the parties, or their representatives.
(4) Hearings shall be reported verbatim. Copies of transcripts of
proceedings may be purchased by the applicant from the reporter.
(5) All written statements, charts, tabulations, and similar data
offered in evidence at the hearings shall, upon a showing satisfactory
to the Presiding Officer of their authenticity, relevancy, and
materiality, be received in evidence and shall constitute a part of the
record.
(6) Oral argument may be permitted at the discretion of the
Presiding Officer and shall be reported as part of the record unless
otherwise ordered by the Presiding Officer.
(f)(1) The Presiding Officer shall make an initial decision which
shall include written findings and conclusions and the reasons or basis
regarding all the material issues of fact, law, or discretion presented
on the record. The findings, conclusions, and written decision shall be
provided to the parties and made a part of the record. The initial
decision shall become the decision of the Administrator without further
proceedings, unless there is an appeal to the Administrator or motion
for review by the Administrator within 20 days of the date the initial
decision was filed. If the Administrator has determined under paragraph
(a) of this section that the decision of the Presiding Officer is final,
there is no right of appeal to the Administrator.
(2) On appeal from or review of the initial decision, the
Administrator shall have all the powers which he or she would have in
making the initial decision, including the discretion to require or
allow briefs, oral argument, the taking of additional evidence, or the
remanding to the Presiding Officer for additional proceedings. The
decision by the Administrator may adopt the original decision or shall
include written findings and conclusions and the reasons or basis
therefor on all the material issues of fact, law, or discretion
presented on the appeal or considered in the review.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.129 Right of entry.
(a) Any manufacturer who has applied for certification of a new
engine or engine family subject to certification testing under this
subpart shall admit or cause to be admitted to any of the following
facilities during operating hours any EPA enforcement officer or EPA
authorized representative on presentation of credentials.
(1) Any facility where any such certification testing or any
procedures or activities connected with such certification testing are
or were performed;
(2) Any facility where any new engine which is being, was, or is to
be tested is present;
(3) Any facility where any construction process or assembly process
used in the modification or buildup of such an engine into a
certification engine is taking place or has taken place; and
(4) Any facility where any record or other document relating to any
of the above is located.
(b) Upon admission to any facility referred to in paragraph (a)(1)
of this section, any EPA enforcement officer or EPA authorized
representative shall be allowed:
(1) To inspect and monitor any part or aspect of such procedures,
activities, and testing facilities, including, but not limited to,
monitoring engine preconditioning, emission tests and service
accumulation, maintenance, and engine storage procedures, and to verify
correlation or calibration of test equipment;
(2) To inspect and make copies of any such records, designs, or
other documents; and
(3) To inspect and photograph any part or aspect of any such
certification engine and any components to be used in the construction
thereof.
(c) To allow the Administrator to determine whether production
engines conform in all material respects to the design specifications
applicable to those engines, as described in the application for
certification for which a certificate of conformity has been issued, any
manufacturer shall admit any EPA
[[Page 73]]
enforcement officer or EPA authorized representative on presentation of
credentials to:
(1) Any facility where any document, design, or procedure relating
to the translation of the design and construction of engines and
emission-related components described in the application for
certification or used for certification testing into production engines
is located or carried on; and
(2) Any facility where any engines to be introduced into commerce
are manufactured or assembled.
(d) On admission to any such facility referred to in paragraph (c)
of this section, any EPA enforcement officer or EPA authorized
representative shall be allowed:
(1) To inspect and monitor any aspects of such manufacture or
assembly and other procedures;
(2) To inspect and make copies of any such records, documents or
designs; and
(3) To inspect and photograph any part or aspect of any such new
engines and any component used in the assembly thereof that are
reasonably related to the purpose of his or her entry.
(e) Any EPA enforcement officer or EPA authorized representative
shall be furnished by those in charge of a facility being inspected with
such reasonable assistance as he or she may request to help the
enforcement officer or authorized representative discharge any function
listed in this paragraph. Each applicant for or recipient of
certification is required to cause those in charge of a facility
operated for its benefit to furnish such reasonable assistance without
charge to EPA whether or not the applicant controls the facility.
(1) Reasonable assistance includes, but is not limited to, clerical,
copying, interpretation and translation services; the making available
on request of personnel of the facility being inspected during their
working hours to inform the EPA enforcement officer or EPA authorized
representative of how the facility operates and to answer the officer's
questions; and the performance on request of emission tests on any
engine which is being, has been, or will be used for certification
testing. Such tests shall be nondestructive, but may require appropriate
service accumulation.
(2) A manufacturer may be compelled to cause any employee at a
facility being inspected to appear before an EPA enforcement officer or
EPA authorized representative. The request for the employee's appearance
shall be in writing, signed by the Assistant Administrator for Air and
Radiation, and served on the manufacturer. Any employee who has been
instructed by the manufacturer to appear will be entitled to be
accompanied, represented, and advised by counsel.
(f) The duty to admit or cause to be admitted any EPA enforcement
officer or EPA authorized representative applies whether or not the
applicant owns or controls the facility in question and applies both to
domestic and to foreign manufacturers and facilities. EPA will not
attempt to make any inspections which it has been informed that local
law forbids. However, if local law makes it impossible to do what is
necessary to ensure the accuracy of data generated at a facility, no
informed judgment that an engine is certifiable or is covered by a
certificate can properly be based on those data. It is the
responsibility of the manufacturer to locate its testing and
manufacturing facilities in jurisdictions where this situation will not
arise.
(g) Any entry without 24 hours prior written or oral notification to
the affected manufacturer shall be authorized in writing by the
Assistant Administrator for Enforcement.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.130 Rebuild practices.
The provisions of 40 CFR 1068.120 apply to rebuilding of engines
subject to the requirements of this part 89, except Tier 1 engines rated
at or above 37 kW.
[70 FR 40445, July 13, 2005]
[[Page 74]]
Subpart C_Averaging, Banking, and Trading Provisions
Sec. 89.201 Applicability.
Nonroad compression-ignition engines subject to the provisions of
subpart A of this part are eligible to participate in the averaging,
banking, and trading program described in this subpart. To the extent
specified in 40 CFR part 60, subpart IIII, stationary engines certified
under this part and subject to the standards of 40 CFR part 60, subpart
IIII, may participate in the averaging, banking, and trading program
described in this subpart.
[71 FR 39184, July 11, 2006]
Sec. 89.202 Definitions.
The definitions in subpart A of this part apply to this subpart. The
following definitions also apply to this subpart:
Averaging for nonroad engines means the exchange of emission credits
among engine families within a given manufacturer's product line.
Banking means the retention of nonroad engine emission credits by
the manufacturer generating the emission credits for use in future model
year averaging or trading as permitted by these regulations.
Emission credits represent the amount of emission reduction or
exceedance, by a nonroad engine family, below or above the emission
standard, respectively. Emission reductions below the standard are
considered as ``positive credits,'' while emission exceedances above the
standard are considered as ``negative credits.'' In addition,
``projected credits'' refer to emission credits based on the projected
applicable production/sales volume of the engine family. ``Reserved
credits'' are emission credits generated within a model year waiting to
be reported to EPA at the end of the model year. ``Actual credits''
refer to emission credits based on actual applicable production/sales
volume as contained in the end-of-year reports submitted to EPA. Some or
all of these credits may be revoked if EPA review of the end-of-year
reports or any subsequent audit action(s) uncovers problems or errors.
Trading means the exchange of nonroad engine emission credits
between manufacturers.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.203 General provisions.
(a) The averaging, banking, and trading programs for NOX.
NMHC+NOX. and PM emissions from eligible nonroad engines are
described in this subpart. Participation in these programs is voluntary.
(b) Requirements for Tier 1 engines rated at or above 37 kW. (1) A
nonroad engine family is eligible to participate in the averaging,
banking, and trading program for NOX emissions and the
banking and trading program for PM emissions if it is subject to
regulation under subpart B of this part with certain exceptions
specified in paragraph (b)(2) of this section. No averaging, banking,
and trading program is available for meeting the Tier 1 HC, CO, or smoke
emission standards specified in subpart B of this part. No averaging
program is available for meeting the Tier 1 PM emission standards
specified in subpart B of this part.
(2) Nonroad engines may not participate in the averaging, banking,
and trading programs if they are exported or are sold as Blue Sky Series
engines as described in Sec. 89.112(f). Nonroad engines certified on a
special test procedure under Sec. 89.114(a), may not participate in the
averaging, banking and trading programs unless the manufacturer has
requested that the engines be included in the averaging, banking, and
trading programs at the time the request for the special test procedure
is made and has been granted approval by the Administrator for inclusion
in the averaging, banking, and trading programs.
(3) A manufacturer may certify one or more nonroad engine families
at NOX family emission limits (FELs) above or below the Tier
1 NOX emission standard, provided the summation of the
manufacturer's projected balance of all NOX credit
transactions in a given model year is greater than or equal to zero, as
determined under Sec. 89.207(a). A manufacturer may certify one or more
nonroad engine families at PM FELs below the Tier 2 PM emission
[[Page 75]]
standard that will be applicable to those engine families.
(i) FELs for NOX may not exceed the Tier 1 upper limit
specified in Sec. 89.112(d).
(ii) An engine family certified to an FEL is subject to all
provisions specified in this part, except that the applicable FEL
replaces the emission standard for the family participating in the
averaging, banking, and trading program.
(iii) A manufacturer of an engine family with a NOX FEL
exceeding the Tier 1 NOX emission standard must obtain
NOX emission credits sufficient to address the associated
credit shortfall via averaging, banking, or trading.
(iv) An engine family with a NOX FEL below the applicable
Tier 1 standard may generate emission credits for averaging, banking,
trading, or a combination thereof. An engine family with a PM FEL below
the Tier 2 standard that will be applicable to that engine family may
generate emission credits for banking, trading, or a combination
thereof. Emission credits may not be used to offset an engine family's
emissions that exceed its applicable FEL. Credits may not be used to
remedy nonconformity determined by a Selective Enforcement Audit (SEA)
or by recall (in-use) testing. However, in the case of an SEA failure,
credits may be used to allow subsequent production of engines for the
family in question if the manufacturer elects to recertify to a higher
FEL.
(4) NOX credits generated in a given model year may be
used to address credit shortfalls with other engines during that model
year or in any subsequent model year except as noted under paragraph
(b)(5)(ii) of this section. PM credits may be used to address credit
shortfalls with Tier 2 and later engines greater than or equal to 37 kW
and Tier 1 and later engines less than 37 kW and greater than or equal
to 19 kW. Credits generated in one model year may not be used for prior
model years.
(5) The following provisions apply to the use of Tier 1
NOX credits for showing compliance with the Tier 2 or Tier 3
NMHC+NOX standards.
(i) A manufacturer may use NOX credits from engines
subject to the Tier 1 NOX standard to address
NMHC+NOX credit shortfalls with engines in the same averaging
set subject to Tier 1 NMHC+NOX or Tier 2 NMHC+NOX
emission standards.
(ii) A manufacturer may not use NOX credits from engines
subject to the Tier 1 standards to address NMHC+NOX credit
shortfalls with engines subject to the Tier 3 NMHC+NOX
emission standards.
(c) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine
family is eligible to participate in the averaging, banking, and trading
programs for NMHC+NOX emissions and PM emissions if it is
subject to regulation under subpart B of this part with certain
exceptions specified in paragraph (c)(2) of this section. No averaging,
banking, and trading program is available for meeting the CO or smoke
emission standards specified in subpart B of this part.
(2) Nonroad engines may not participate in the averaging, banking,
and trading programs if they are exported or are sold as Blue Sky Series
engines as described in Sec. 89.112(f). Nonroad engines certified on a
special test procedure under Sec. 89.114(a), may not participate in the
averaging, banking and trading programs unless the manufacturer has
requested that the engines be included in the averaging, banking, and
trading programs at the time the request for the special test procedure
is made and has been granted approval by the Administrator for inclusion
in the averaging, banking, and trading programs.
(3)(i) A manufacturer may certify one or more nonroad engine
families at FELs above or below the applicable NMHC+NOX
emission standard and PM emission standard, provided the summation of
the manufacturer's projected balance of all NMHC+NOX credit
transactions and the summation of the manufacturer's projected balance
of all PM credit transactions in a given model year in a given averaging
set is greater than or equal to zero, as determined under Sec.
89.207(b).
(A) FELs for NMHC+NOX and FELs for PM may not exceed the
upper limits specified in Sec. 89.112(d).
[[Page 76]]
(B) An engine family certified to an FEL is subject to all
provisions specified in this part, except that the applicable FEL
replaces the emission standard for the family participating in the
averaging, banking, and trading program.
(C) A manufacturer of an engine family with an FEL exceeding the
applicable emission standard must obtain emission credits sufficient to
address the associated credit shortfall via averaging, banking, or
trading, within the restrictions described in Sec. 89.204(c) and Sec.
89.206(b)(4).
(D) An engine family with an FEL below the applicable standard may
generate emission credits for averaging, banking, trading, or a
combination thereof. Emission credits may not be used to offset an
engine family's emissions that exceed its applicable FEL. Credits may
not be used to remedy nonconformity determined by a Selective
Enforcement Audit (SEA) or by recall (in-use) testing. However, in the
case of an SEA failure, credits may be used to allow subsequent
production of engines for the family in question if the manufacturer
elects to recertify to a higher FEL.
(ii)(A) In lieu of generating credits under paragraph (c)(3)(i) of
this section, a manufacturer may certify one or more nonroad engine
families rated under 37 kW at family emission limits (FELs) above or
below the applicable NMHC+NOX emission standard and PM
emission standard. The summation of the manufacturer's projected balance
of all NMHC+NOX credit transactions and the summation of the
manufacturer's projected balance of all PM credit transactions in a
given model year, as determined under Sec. 89.207(b), are each allowed
to be less than zero. Separate calculations shall be required for the
following two categories of engines: engines rated under 19 kW and
engines rated at or above 19 kW and under 37 kW.
(B) For each calendar year a negative credit balance exists as of
December 31, a penalty equal to ten percent of the negative credit
balance as of December 31 of the calendar year shall be added to the
negative credit balance. The resulting negative credit balance shall be
carried into the next calendar year.
(C) For engines rated under 19 kW, a manufacturer will be allowed to
carry over a negative credit balance until December 31, 2003. For
engines rated at or above 19 kW and under 37 kW, a manufacturer will be
allowed to carry over a negative credit balance until December 31, 2002.
As of these dates, the summation of the manufacturer's projected balance
of all NMHC+NOX credit transactions and the summation of the
manufacturer's projected balance of all PM credit transactions must each
be greater than or equal to zero.
(D) FELs for NMHC+NOX and FELs for PM may not exceed the
upper limits specified in Sec. 89.112(d).
(E) An engine family certified to an FEL is subject to all
provisions specified in this part, except that the applicable
NMHC+NOX FEL or PM FEL replaces the NMHC+NOX
emission standard or PM emission standard for the family participating
in the averaging and banking program.
(F) A manufacturer of an engine family with an FEL exceeding the
applicable emission standard must obtain emission credits sufficient to
address the associated credit shortfall via averaging or banking. The
exchange of emission credits generated under this program with other
nonroad engine manufacturers in trading is not allowed.
(G) An engine family with an FEL below the applicable standard may
generate emission credits for averaging, banking, or a combination
thereof. Emission credits may not be used to offset an engine family's
emissions that exceed its applicable FEL. Credits may not be used to
remedy nonconformity determined by a Selective Enforcement Audit (SEA)
or by recall (in-use) testing. However, in the case of an SEA failure,
credits may be used to allow subsequent production of engines for the
family in question if the manufacturer elects to recertify to a higher
FEL.
(4)(i) Except as noted in paragraphs (c)(4)(ii), (c)(4)(iii), and
(c)(4)(iv) of this section, credits generated in a given model year may
be used during that model year or used in any subsequent model year.
Except as allowed under paragraph (c)(3)(ii) of this section,
[[Page 77]]
credits generated in one model year may not be used for prior model
years.
(ii) Credits generated from engines rated under 19 kW prior to the
implementation date of the applicable Tier 2 standards, shall expire on
December 31, 2007.
(iii) Credits generated from engines rated under 19 kW under the
provisions of paragraph (c)(3)(ii) shall expire on December 31, 2003.
(iv) Credits generated from engines rated at or above 19 kW and
under 37 kW under the provisions of paragraph (c)(3)(ii) of this section
shall expire on December 31, 2002.
(5) Except as provided in paragraph (b)(3) of this section, engine
families may not generate credits for one pollutant while also using
credits for another pollutant in the same model year.
(6) Model year 2008 and 2009 engines rated under 8 kW that are
allowed to certify under this part because they meet the criteria in 40
CFR 1039.101(c) may not generate emission credits.
(d) Manufacturers must demonstrate compliance under the averaging,
banking, and trading programs for a particular model year within 270
days of the end of the model year. Except as allowed under paragraph
(c)(3)(ii) of this section, manufacturers that have certified engine
families to FELs above the applicable emission standards and do not have
sufficient emission credits to offset the difference between the
emission standards and the FEL for such engine families will be in
violation of the conditions of the certificate of conformity for such
engine families. The certificates of conformity may be voided ab initio
under Sec. 89.126(c) for those engine families.
[63 FR 57006, Oct. 23, 1998, as amended at 69 FR 39213, June 29, 2004]
Sec. 89.204 Averaging.
(a) Requirements for Tier 1 engines rated at or above 37 kW. A
manufacturer may use averaging to offset an emission exceedance of a
nonroad engine family caused by a NOX FEL above the
applicable emission standard. NOX credits used in averaging
may be obtained from credits generated by another engine family in the
same model year, credits banked in a previous model year, or credits
obtained through trading.
(b) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. A manufacturer may
use averaging to offset an emission exceedance of a nonroad engine
family caused by an NMHC+;NOX FEL or a PM FEL above the
applicable emission standard. Credits used in averaging may be obtained
from credits generated by another engine family in the same model year,
credits banked in previous model years that have not expired, or credits
obtained through trading. The use of credits shall be within the
restrictions described in paragraph (c) of this section, Sec.
89.206(b)(4) and Sec. 89.203(b)(5)(ii).
(c) Averaging sets for emission credits. The averaging and trading
of NOX emission credits, NMHC + NOX emission
credits, and PM emissions credits will only be allowed between engine
families in the same averaging set. The averaging sets for the averaging
and trading of NOX emission credits, NMHC + NOX
emission credits, and PM emission credits for nonroad engines are
defined as follows:
(1) Eligible engines rated at or above 19 kW, other than marine
diesel engines, constitute an averaging set.
(2) Eligible engines rated under 19 kW, other than marine diesel
engines, constitute an averaging set.
(3) Marine diesel engines rated at or above 19 kW constitute an
averaging set. Emission credits generated from marine diesel engines
rated at or above 19 kW may be used to address credit shortfalls for
eligible engines rated at or above 19 kW other than marine diesel
engines.
(4) Marine diesel engines rated under 19 kW constitute an averaging
set. Emission credits generated from marine diesel engines rated under
19 kW may be used to address credit shortfalls for eligible engines
rated under 19 kW other than marine diesel engines.
[63 FR 57007, Oct. 23, 1998]
Sec. 89.205 Banking.
(a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A
manufacturer of a nonroad engine family with a NOX FEL below
the applicable standard
[[Page 78]]
for a given model year may bank credits in that model year for use in
averaging and trading in any subsequent model year.
(2) A manufacturer of a nonroad engine family may bank
NOX credits up to one calendar year prior to the effective
date of mandatory certification. Such engines must meet the requirements
of subparts A, B, D, E, F, G, H, I, J, and K of this part.
(3)(i) A manufacturer of a nonroad engine family may bank PM credits
from Tier 1 engines under the provisions specified in Sec. 89.207(b)
for use in averaging and trading in the Tier 2 or later timeframe. These
credits are considered to be Tier 2 credits.
(ii) Such engine families are subject to all provisions specified in
subparts A, B, D, E, F, G, H, I, J, and K of this part, except that the
applicable PM FEL replaces the PM emission standard for the family
participating in the banking and trading program.
(b) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. (1) A manufacturer of
a nonroad engine family with an NMHC + NOX FEL or a PM FEL
below the applicable standard for a given model year may bank credits in
that model year for use in averaging and trading in any following model
year.
(2) For engine rated under 37 kW, a manufacturer of a nonroad engine
family may bank credits prior to the effective date of mandatory
certification. Such engines must meet the requirements of subparts A, B,
D, E, F, G, H, I, J, and K of this part.
(c) A manufacturer may bank actual credits only after the end of the
model year and after EPA has reviewed the manufacturer's end-of-year
reports. During the model year and before submittal of the end-of-year
report, credits originally designated in the certification process for
banking will be considered reserved and may be redesignated for trading
or averaging in the end-of-year report and final report.
(d) Credits declared for banking from the previous model year that
have not been reviewed by EPA may be used in averaging or trading
transactions. However, such credits may be revoked at a later time
following EPA review of the end-of-year report or any subsequent audit
actions.
[63 FR 57008, Oct. 23, 1998, as amended at 72 FR 53129, Sept. 18, 2007]
Sec. 89.206 Trading.
(a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A
nonroad engine manufacturer may exchange emission credits with other
nonroad engine manufacturers within the same averaging set in trading.
(2) Credits for trading can be obtained from credits banked in a
previous model year or credits generated during the model year of the
trading transaction.
(3) Traded credits can be used for averaging, banking, or further
trading transactions within the restrictions described in Sec.
89.204(c).
(b) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine
manufacturer may exchange emission credits with other nonroad engine
manufacturers within the same averaging set in trading.
(2) Credits for trading can be obtained from credits banked in
previous model years that have not expired or credits generated during
the model year of the trading transaction.
(3) Traded credits can be used for averaging, banking, or further
trading transactions within the restrictions described in Sec.
89.204(c) and paragraph (b)(4) of this section.
(4) Emission credits generated from engines rated at or above 19 kW
utilizing indirect fuel injection may not be traded to other
manufacturers.
(c) In the event of a negative credit balance resulting from a
transaction, both the buyer and the seller are liable, except in cases
deemed involving fraud. Certificates of all engine families
participating in a negative trade may be voided ab initio under Sec.
89.126(c).
[63 FR 57008, Oct. 23, 1998]
Sec. 89.207 Credit calculation.
(a) Requirements for calculating NOX credits from Tier 1
engines rated at or above 37 kW. (1) For each participating engine
family, emission credits (positive or negative) are to be calculated
[[Page 79]]
according to one of the following equations and rounded, in accordance
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This
ASTM procedure has been incorporated by reference (see Sec. 89.6).
Consistent units are to be used throughout the equation.
(i) For determining credit availability from all engine families
generating credits: Emission credits = (Std-FEL) x (Volume) x (AvgPR) x
(UL) x (Adjustment) x (10-6)
(ii) For determining credit usage for all engine families requiring
credits to offset emissions in excess of the standard:
Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x
(10-6)
Where:
Std = the applicable Tier 1 NOX nonroad engine emission
standard, in grams per kilowatt-hour.
FEL = the NOX family emission limit for the engine family in
grams per kilowatt-hour.
Volume = the number of nonroad engines eligible to participate in the
averaging, banking, and trading program within the given engine family
during the model year. Engines sold to equipment or vehicle
manufacturers under the provisions of Sec. 89.102(g) shall not be
included in this number. Quarterly production projections are used for
initial certification. Actual applicable production/sales volume is used
for end-of-year compliance determination.
AvgPR = the average power rating of all of the configurations within an
engine family, calculated on a sales-weighted basis, in kilowatts.
UL = the useful life for the engine family, in hours.
Adjustment = a one-time adjustment, as specified in paragraph (a)(2) of
this section, to be applied to Tier 1 NOX credits to be
banked or traded for determining compliance with the Tier 1
NOX standards or Tier 2 NOX+NMHC standards
specified in subpart B of this part. Banked credits traded in a
subsequent model year will not be subject to an additional adjustment.
Banked credits used in a subsequent model year's averaging program will
not have the adjustment restored.
(2) If an engine family is certified to a NOX FEL of 8.0
g/kW-hr or less, an Adjustment value of 1.0 shall be used in the credit
generation calculation described in paragraph (a)(1)(i) of this section.
If an engine family is certified to a NOX FEL above 8.0 g/kW-
hr, an Adjustment value of 0.65 shall be used in the credit generation
calculation described in paragraph (a)(1)(i) of this section. If the
credits are to be used by the credit-generating manufacturer for
averaging purposes in the same model year in which they are generated,
an Adjustment value of 1.0 shall be used for all engines regardless of
the level of the NOX FEL. If the credits are to be banked by
the credit-generating manufacturer and used in a subsequent model year
for another Tier 1 engine family, an Adjustment value of 1.0 shall be
used for all engines regardless of the level of the NOX FEL.
(b) Requirements for calculating NMHC + NOX Credits from
Tier 2 and later engines rated at or above 37 kW and Tier 1 and later
engines rated under 37 kW and PM credits from all engines. (1) For each
participating engine family, NOX + NMHC emission credits and
PM emission credits (positive or negative) are to be calculated
according to one of the following equations and rounded, in accordance
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This
procedure has been incorporated by reference (see Sec. 89.6).
Consistent units are to be used throughout the equation.
(i) For determining credit availability from all engine families
generating credits:
Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x
(10-6)
(ii) For determining credit usage for all engine families requiring
credits to offset emissions in excess of the standard:
Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x
(10-6)
Where:
Std = the current and applicable nonroad engine emission standard, in
grams per kilowatt-hour, except for PM calculations where it is the
applicable nonroad engine Tier 2 PM emission standard, and except for
engines rated under 19 kW where it is the applicable nonroad engine Tier
2 emission standard, in grams per kilowatt-hour. (Engines rated under 19
kW participating in the averaging and banking program provisions of
Sec. 89.203(c)(3)(ii) shall use the Tier 1 standard for credit
calculations.)
FEL = the family emission limit for the engine family in grams per
kilowatt-hour.
[[Page 80]]
Volume = the number of nonroad engines eligible to participate in the
averaging, banking, and trading program within the given engine family
during the model year. Engines sold to equipment or vehicle
manufacturers under the provisions of Sec. 89.102(g) shall not be
included in this number. Quarterly production projections are used for
initial certification. Actual applicable production/sales volume is used
for end-of-year compliance determination.
AvgPR = the average power rating of all of the configurations within an
engine family, calculated on a sales-weighted basis, in kilowatts.
UL = the useful life for the given engine family, in hours.
[63 FR 57008, Oct. 23, 1998]
Sec. 89.208 Labeling.
For all nonroad engines included in the averaging, banking, and
trading programs, the family emission limits to which the engine is
certified must be included on the label required in Sec. 89.110.
[63 FR 57009, Oct. 23, 1998]
Sec. 89.209 Certification.
(a) In the application for certification a manufacturer must:
(1) Declare its intent to include specific engine families in the
averaging, banking, and trading programs.
(2) Submit a statement that the engines for which certification is
requested will not, to the best of the manufacturer's belief, cause the
manufacturer to have a negative credit balance when all credits are
calculated for all the manufacturer's engine families participating in
the averaging, banking, and trading programs, except as allowed under
Sec. 89.203(c)(3)(ii).
(3) Declare the applicable FELs for each engine family participating
in averaging, banking, and trading.
(i) The FELs must be to the same number of significant digits as the
emission standard for the applicable pollutant.
(ii) In no case may the FEL exceed the upper limits prescribed in
Sec. 89.112(d).
(4) Indicate the projected number of credits generated/needed for
this family; the projected applicable production/sales volume, by
quarter; and the values required to calculate credits as given in Sec.
89.207.
(5) Submit calculations in accordance with Sec. 89.207 of projected
emission credits (positive or negative) based on quarterly production
projections for each participating family.
(6)(i) If the engine family is projected to have negative emission
credits, state specifically the source (manufacturer/engine family or
reserved) of the credits necessary to offset the credit deficit
according to quarterly projected production, or, if the engine family is
to be included in the provisions of Sec. 89.203(c)(3)(ii), state that
the engine family will be subject to those provisions.
(ii) If the engine family is projected to generate credits, state
specifically (manufacturer/engine family or reserved) where the
quarterly projected credits will be applied.
(b) All certificates issued are conditional upon manufacturer
compliance with the provisions of this subpart both during and after the
model year of production.
(c) Failure to comply with all provisions of this subpart will be
considered to be a failure to satisfy the conditions upon which the
certificate was issued, and the certificate may be deemed void ab
initio.
(d) The manufacturer bears the burden of establishing to the
satisfaction of the Administrator that the conditions upon which the
certificate was issued were satisfied or waived.
(e) Projected credits based on information supplied in the
certification application may be used to obtain a certificate of
conformity. However, any such credits may be revoked based on review of
end-of-year reports, follow-up audits, and any other verification steps
deemed appropriate by the Administrator.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57009, Oct. 23, 1998]
Sec. 89.210 Maintenance of records.
(a) The manufacturer of any nonroad engine that is certified under
the averaging, banking, and trading program must establish, maintain,
and retain the following adequately organized and indexed records for
each such engine produced:
(1) EPA engine family;
(2) Engine identification number;
[[Page 81]]
(3) Engine model year and build date,
(4) Power rating;
(5) Purchaser and destination; and
(6) Assembly plant.
(b) The manufacturer of any nonroad engine family that is certified
under the averaging, banking, and trading programs must establish,
maintain, and retain the following adequately organized and indexed
records for each such family:
(1) EPA engine family;
(2) Family emission limits (FEL);
(3) Power rating for each configuration tested;
(4) Projected applicable production/sales volume for the model year;
and
(5) Actual applicable production/sales volume for the model year.
(c) Any manufacturer producing an engine family participating in
trading reserved credits must maintain the following records on a
quarterly basis for each engine family in the trading program:
(1) The engine family;
(2) The actual quarterly and cumulative applicable production/sales
volume;
(3) The values required to calculate credits as given in Sec.
89.207;
(4) The resulting type and number of credits generated/required;
(5) How and where credit surpluses are dispersed; and
(6) How and through what means credit deficits are met.
(d) The manufacturer must retain all records required to be
maintained under this section for a period of eight years from the due
date for the end-of-model-year report. Records may be retained as hard
copy or reduced to microfilm, ADP diskettes, and so forth, depending on
the manufacturer's record retention procedure; provided, that in every
case all information contained in the hard copy is retained.
(e) Nothing in this section limits the Administrator's discretion in
requiring the manufacturer to retain additional records or submit
information not specifically required by this section.
(f) Pursuant to a request made by the Administrator, the
manufacturer must submit to the Administrator the information that the
manufacturer is required to retain.
(g) EPA may void ab initio under Sec. 89.126(c) a certificate of
conformity for an engine family for which the manufacturer fails to
retain the records required in this section or to provide such
information to the Administrator upon request.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57009, Oct. 23, 1998]
Sec. 89.211 End-of-year and final reports.
(a) End-of-year and final reports must indicate the engine family,
the actual applicable production/sales volume, the values required to
calculate credits as given in Sec. 89.207, and the number of credits
generated/required. Manufacturers must also submit how and where credit
surpluses were dispersed (or are to be banked) and/or how and through
what means credit deficits were met. Copies of contracts related to
credit trading must be included or supplied by the broker, if
applicable. The report shall include a calculation of credit balances to
show that the summation of the manufacturer's use of credits results in
a credit balance equal to or greater than zero, except as allowed under
Sec. 89.203(c)(3)(ii). Manufacturers participating under the program
described in Sec. 89.203(c)(3)(ii) shall include the NMHC +
NOX credit balance and the PM credit balance as of December
31 of that calendar year.
(b) The applicable production/sales volume for end-of-year and final
reports must be based on the location of the point of first retail sale
(for example, retail customer, dealer, secondary manufacturer) also
called the final product purchase location.
(c)(1) End-of-year reports must be submitted within 90 days of the
end of the model year to: Director, Engine Programs and Compliance
Division (6405-J), U.S. Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460.
(2) Final reports must be submitted within 270 days of the end of
the model year to: Director, Engine Programs and Compliance Division
(6405-J), U.S. Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460.
(d) Failure by a manufacturer participating in the averaging,
banking, or trading program to submit any end-of-year or final reports
in the specified
[[Page 82]]
time for all engines is a violation of sections 203(a)(1) and 213 of the
Clean Air Act for each engine.
(e) A manufacturer generating credits for deposit only who fails to
submit end-of-year reports in the applicable specified time period (90
days after the end of the model year) may not use the credits until such
reports are received and reviewed by EPA. Use of projected credits
pending EPA review is not permitted in these circumstances.
(f) Errors discovered by EPA or the manufacturer in the end-of-year
report, including errors in credit calculation, may be corrected in the
final report up to 270 days from the end of the model year.
(g) If EPA or the manufacturer determines that a reporting error
occurred on an end-of-year or final report previously submitted to EPA
under this section, the manufacturer's credits and credit calculations
will be recalculated. Erroneous positive credits will be void except as
provided in paragraph (h) of this section. Erroneous negative credit
balances may be adjusted by EPA.
(h) If within 270 days of the end of the model year, EPA review
determines a reporting error in the manufacturer's favor (that is,
resulting in an increased credit balance) or if the manufacturer
discovers such an error within 270 days of the end of the model year,
the credits shall be restored for use by the manufacturer.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57009, Oct. 23, 1998]
Sec. 89.212 Notice of opportunity for hearing.
Any voiding of the certificate under Sec. Sec. 89.203(d),
89.206(c), 89.209(c) or 89.210(g) will be made only after the
manufacturer concerned has been offered an opportunity for a hearing
conducted in accordance with Sec. Sec. 89.512 and 89.513 and, if a
manufacturer requests such a hearing, will be made only after an initial
decision by the Presiding Officer.
[63 FR 57010, Oct. 23, 1998]
Subpart D_Emission Test Equipment Provisions
Sec. 89.301 Scope; applicability.
(a) This subpart describes the equipment required in order to
perform exhaust emission tests on new nonroad compression-ignition
engines subject to the provisions of subpart B of part 89.
(b) Exhaust gases, either raw or dilute, are sampled while the test
engine is operated using an 8-mode test cycle on an engine dynamometer.
The exhaust gases receive specific component analysis determining
concentration of pollutant, exhaust volume, the fuel flow, and the power
output during each mode. Emission is reported as grams per kilowatt hour
(g/kw-hr). See subpart E of this part for a complete description of the
test procedure.
(c) General equipment and calibration requirements are given in
Sec. 89.304 through 89.324. Sections 89.325 through 89.331 set forth
general test specifications.
(d) Additional information about system design, calibration
methodologies, and so forth, for raw gas sampling can be found in 40 CFR
part 1065. Examples for system design, calibration methodologies, and so
forth, for dilute exhaust gas sampling can be found in 40 CFR part 1065.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998,
as amended at 70 FR 40445, July 13, 2005]
Sec. 89.302 Definitions.
The definitions in subpart A of this part apply to this subpart. For
terms not defined in this part, the definitions in 40 CFR part 86,
subparts A, D, I, and N, apply to this subpart.
[63 FR 57010, Oct. 23, 1998]
Sec. 89.303 Symbols/abbreviations.
(a) The abbreviations in Sec. 86.094-3 or part 89.3 of this chapter
apply to this subpart.
(b) The abbreviations in table 1 in appendix A of this subpart apply
to this subpart. Some abbreviations from Sec. 89.3 have been included
for the convenience of the reader.
[[Page 83]]
(c) The symbols in table 2 in appendix A of this subpart apply to
this subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.304 Equipment required for gaseous emissions; overview.
(a) All engines subject to this subpart are tested for exhaust
emissions. Engines are operated on dynamometers meeting the
specification given in Sec. 89.306.
(b) The exhaust is tested for gaseous emissions using a raw gas
sampling system as described in Sec. 89.412 or a constant volume
sampling (CVS) system as described in Sec. 89.419. Both systems require
analyzers (see paragraph (c) of this section) specific to the pollutant
being measured.
(c) Analyzers used are a non-dispersive infrared (NDIR) absorption
type for carbon monoxide and carbon dioxide analysis; a heated flame
ionization (HFID) type for hydrocarbon analysis; and a chemiluminescent
detector (CLD) or heated chemiluminescent detector (HCLD) for oxides of
nitrogen analysis. Sections 89.309 through 89.324 set forth a full
description of analyzer requirements and specifications.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.305 Equipment measurement accuracy/calibration frequency.
The accuracy of measurements must be such that the maximum
tolerances shown in Table 3 in appendix A of this subpart are not
exceeded. Calibrate all equipment and analyzers according to the
frequencies shown in Table 3 in appendix A of this subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.306 Dynamometer specifications and calibration weights.
(a) Dynamometer specifications. The dynamometer test stand and other
instruments for measurement of power output must meet the accuracy and
calibration frequency requirements shown in table 3 in appendix A of
this subpart. The dynamometer must be capable of performing the test
cycle described in Sec. 89.410.
(b) Dynamometer calibration weights. A minimum of six calibration
weights for each range used are required. The weights must be spaced to
reflect good engineering judgement such that they cover the range of
weights required and must be traceable to within 0.5 percent of NIST
weights. Laboratories located in foreign countries may certify
calibration weights to local government bureau standards.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.307 Dynamometer calibration.
(a) If necessary, follow the dynamometer manufacturer's instructions
for initial start-up and basic operating adjustments.
(b) Check the dynamometer torque measurement for each range used by
the following method:
(1) Warm up the dynamometer following the dynamometer manufacturer's
specifications.
(2) Determine the dynamometer calibration moment arm (a distance/
weight measurement). Dynamometer manufacturer's data, actual
measurement, or the value recorded from the previous calibration used
for this subpart may be used.
(3) When calibrating the engine flywheel torque transducer, any
lever arm used to convert a weight or a force through a distance into a
torque must be in a horizontal position (5
degrees).
(4) Calculate the indicated torque (IT) for each calibration weight
to be used by:
IT = calibration weight (N) x calibration moment arm (m)
(5) Attach each calibration weight specified in Sec. 89.306 to the
moment arm at the calibration distance determined in paragraph (b)(2) of
this section. Record the power measurement equipment response (N-m) to
each weight.
(6) For each calibration weight, compare the torque value measured
in paragraph (b)(5) of this section to the calculated torque determined
in paragraph (b)(4) of this section.
(7) The measured torque must be within either 2 percent of point or
1 percent of the engine maximum torque of the calculated torque.
[[Page 84]]
(8) If the measured torque is not within the above requirements,
adjust or repair the system. Repeat steps in paragraphs (b)(1) through
(b)(6) of this section with the adjusted or repaired system.
(c) Optional. A master load-cell or transfer standard may be used to
verify the torque measurement system.
(1) The master load-cell and read out system must be calibrated with
weights at each test weight specified in Sec. 89.306. The calibration
weights must be traceable to within 0.1 percent of applicable national
standards.
(2) Warm up the dynamometer following the equipment manufacturer's
specifications.
(3) Attach the master load-cell and loading system.
(4) Load the dynamometer to a minimum of 6 equally spaced torque
values as indicated by the master load-cell for each in-use range used.
(5) The in-use torque measurement must be within 2 percent of the
torque measured by the master system for each load used.
(6) If the in-use torque is not within 2 percent of the master
torque, adjust or repair the system. Repeat steps in paragraphs (c)(2)
through (c)(5) of this section with the adjusted or repaired system.
(d) Calibrated resistors may not be used for engine flywheel torque
transducer calibration, but may be used to span the transducer prior to
engine testing.
(e) Perform other engine dynamometer system calibrations as dictated
by good engineering practice.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.308 Sampling system requirements for gaseous emissions.
(a) For each component (pump, sample line section, filters, and so
forth) in the heated portion of the sampling system that has a separate
source of power or heating element, use engineering judgment to locate
the coolest portion of that component and monitor the temperature at
that location. If several components are within an oven, then only the
surface temperature of the component with the largest thermal mass and
the oven temperature need be measured.
(b) If water is removed by condensation, the sample gas temperature
shall be monitored within the water trap or the sample dewpoint shall be
monitored downstream. In either case, the indicated temperature shall
not exceed 7 [deg]C.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.309 Analyzers required for gaseous emissions.
(a) Analyzers. The following instruments are required for analyzing
the measured gases:
(1) Carbon Monoxide (CO) analysis. (i) The carbon monoxide analyzer
must be of the non-dispersive infrared (NDIR) absorption type.
(ii) The use of linearizing circuits is permitted.
(2) Carbon Dioxide (CO2) analysis. (i) The carbon dioxide
analyzer must be of the non-dispersive infrared (NDIR) absorption type.
(ii) The use of linearizing circuits is permitted.
(3) [Reserved]
(4) Hydrocarbon (HC) analysis. (i) The hydrocarbon analyzer must be
of the heated flame ionization (HFID) type.
(ii) If the temperature of the exhaust gas at the sample probe is
below 190 [deg]C, the temperature of the valves, pipework, and so forth,
must be controlled so as to maintain a wall temperature of 190 [deg]C
11 [deg]C. If the temperature of the exhaust gas
at the sample probe is above 190 [deg]C, the temperature of the valves,
pipework, and so forth, must be controlled so as to maintain a wall
temperature greater than 180 [deg]C.
(iii) The FID oven must be capable of maintaining temperature within
5.5 [deg]C of the set point.
(iv) Fuel and burner air must conform to the specifications in Sec.
89.312.
(v) The percent of oxygen interference must be less than 3 percent,
as specified in Sec. 89.319(d).
(5) Oxides of nitrogen (NOX) analysis. (i) This analysis
device must consist of the subsequent items, following the sample probe,
in the given order:
(A) Pipework, valves, and so forth, controlled so as to maintain a
wall temperature above 60 [deg]C.
[[Page 85]]
(B) A NO2 to NO converter. The NO2 to NO
converter efficiency must be at least 90 percent.
(C) For raw analysis, an ice bath or other cooling device located
after the NOX converter (optional for dilute analysis).
(D) A chemiluminescent detector (CLD or HCLD).
(ii) The quench interference must be less than 3.0 percent as
measured in Sec. 89.318.
(b) Other gas analyzers yielding equivalent results may be used with
advance approval of the Administrator.
(c) The following requirements must be incorporated in each system
used for testing under this subpart.
(1) Carbon monoxide and carbon dioxide measurements must be made on
a dry basis (for raw exhaust measurement only). Specific requirements
for the means of drying the sample can be found in Sec. 89.309(e).
(2) Calibration or span gases for the NOX measurement
system must pass through the NO2 to NO converter.
(d) The electromagnetic compatibility (EMC) of the equipment must be
on a level as to minimize additional errors.
(e) Gas drying. Chemical dryers are not an acceptable method of
removing water from the sample. Water removal by condensation is
acceptable. A water trap performing this function and meeting the
specifications in Sec. 89.308(b) is an acceptable method. Means other
than condensation may be used only with prior approval from the
Administrator.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.310 Analyzer accuracy and specifications.
(a) Measurement accuracy--general. The analyzers must have a
measuring range which allows them to measure the concentrations of the
exhaust gas sample pollutants with the accuracies shown in Table 3 in
Appendix A of this subpart.
(1) Response time. As necessary, measure and account for the
response time of the analyzer.
(2) Precision. The precision of the analyzer must be, at worst,
1 percent of full-scale concentration for each
range used at or above 100 ppm (or ppmC) or 2
percent for each range used below 100 ppm (or ppmC). The precision is
defined as 2.5 times the standard deviation(s) of 10 repetitive
responses to a given calibration or span gas.
(3) Noise. The analyzer peak-to-peak response to zero and
calibration or span gases over any 10-second period must not exceed 2
percent of full-scale chart deflection on all ranges used.
(4) Zero drift. The analyzer zero-response drift during a 1-hour
period must be less than 2 percent of full-scale chart deflection on the
lowest range used. The zero-response is defined as the mean response
including noise to a zero-gas during a 30-second time interval.
(5) Span drift. The analyzer span drift during a 1-hour period must
be less than 2 percent of full-scale chart deflection on the lowest
range used. The analyzer span is defined as the difference between the
span-response and the zero-response. The span-response is defined as the
mean response including noise to a span gas during a 30-second time
interval.
(b) Operating procedure for analyzers and sampling system. Follow
the start-up and operating instructions of the instrument manufacturer.
Adhere to the minimum requirements given in Sec. 89.314 to Sec.
89.323.
(c) Emission measurement accuracy--Bag sampling. (1) Good
engineering practice dictates that exhaust emission sample analyzer
readings below 15 percent of full-scale chart deflection should
generally not be used.
(2) Some high resolution read-out systems, such as computers, data
loggers, and so forth, can provide sufficient accuracy and resolution
below 15 percent of full scale. Such systems may be used provided that
additional calibrations of at least 4 non-zero nominally equally spaced
points, using good engineering judgement, below 15 percent of full scale
are made to ensure the accuracy of the calibration curves. If a gas
divider is used, the gas divider must conform to the accuracy
requirements specified in Sec. 89.312(c). The procedure in paragraph
(c)(3) of this section may be used for calibration below 15 percent of
full scale.
[[Page 86]]
(3) The following procedure shall be followed:
(i) Span the analyzer using a calibration gas meeting the accuracy
requirements of Sec. 89.312(c), within the operating range of the
analyzer, and at least 90% of full scale.
(ii) Generate a calibration over the full concentration range at a
minimum of 6, approximately equally spaced, points (e.g. 15, 30, 45, 60,
75, and 90 percent of the range of concentrations provided by the gas
divider). If a gas divider or blender is being used to calibrate the
analyzer and the requirements of paragraph (c)(2) of this section are
met, verify that a second calibration gas between 10 and 20 percent of
full scale can be named within 2 percent of its certified concentration.
(iii) If a gas divider or blender is being used to calibrate the
analyzer, input the value of a second calibration gas (a span gas may be
used for the CO2 analyzer) having a named concentration between 10 and
20 percent of full scale. This gas shall be included on the calibration
curve. Continue adding calibration points by dividing this gas until the
requirements of paragraph (c)(2) of this section are met.
(iv) Fit a calibration curve per Sec. 89.319 through Sec. 89.322
for the full scale range of the analyzer using the calibration data
obtained with both calibration gases.
(d) Emission measurement accuracy--continuous sampling. Analyzers
used for continuous analysis must be operated such that the measured
concentration falls between 15 and 100 percent of full-scale chart
deflection. Exceptions to these limits are:
(1) The analyzer's response may be less than 15 percent or more than
100 percent of full scale if automatic range change circuitry is used
and the limits for range changes are between 15 and 100 percent of full-
scale chart deflection;
(2) The analyzer's response may be less than 15 percent of full
scale if:
(i) Alternative (c)(2) of this section is used to ensure that the
accuracy of the calibration curve is maintained below 15 percent; or
(ii) The full-scale value of the range is 155 ppm (or ppmC) or less.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.311 Analyzer calibration frequency.
(a) Prior to initial use and after major repairs, bench check each
analyzer (see Sec. 89.315).
(b) Calibrations are performed as specified in Sec. Sec. 89.319
through 89.324.
(c) At least monthly, or after any maintenance which could alter
calibration, the following calibrations and checks are performed.
(1) Leak check the vacuum side of the system (see Sec. 89.316).
(2) Check that the analysis system response time has been measured
and accounted for.
(3) Verify that the automatic data collection system (if used) meets
the requirements found in Table 3 in appendix A of this subpart.
(4) Check the fuel flow measurement instrument to insure that the
specifications in Table 3 in appendix A of this subpart are met.
(d) Verify that all NDIR analyzers meet the water rejection ratio
and the CO2 rejection ratio as specified in Sec. 89.318.
(e) Verify that the dynamometer test stand and power output
instrumentation meet the specifications in Table 3 in appendix A of this
subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.312 Analytical gases.
(a) The shelf life of all calibration gases must not be exceeded.
The expiration date of the calibration gases stated by the gas
manufacturer shall be recorded.
(b) Pure gases. The required purity of the gases is defined by the
contamination limits given below. The following gases must be available
for operation:
(1) Purified nitrogen (Contamination <= 1 ppm C, <= 1 ppm CO, <= 400
ppm CO2, <= 0.1 ppm NO)
(2) [Reserved]
(3) Hydrogen-helium mixture (40 2 percent
hydrogen, balance helium) (Contamination <= 31 ppm C, <= 400 ppm CO)
[[Page 87]]
(4) Purified synthetic air (Contamination <= 1 ppm C, <= 1 ppm CO,
<= 400 ppm CO2, <= 0.1 ppm NO) (Oxygen content between 18-21
percent vol.)
(c) Calibration and span gases. (1) Calibration gas values are to be
derived from NIST Standard Reference Materials (SRM's) or other
standardized gas samples and are to be single blends as listed in the
following paragraph.
(2) Mixtures of gases having the following chemical compositions
shall be available:
(i) C3H8 and purified synthetic air ;
(ii) C3H8 and purified nitrogen (optional for
raw measurements);
(iii) CO and purified nitrogen;
(iv) NOX and purified nitrogen (the amount of
NO2 contained in this calibration gas must not exceed 5
percent of the NO content);
(v) CO2 and purified nitrogen.
(3) The true concentration of a span gas must be within 2 percent of the NIST gas standard. The true
concentration of a calibration gas must be within 1 percent of the NIST gas standard. The use of precision
blending devices (gas dividers) to obtain the required calibration gas
concentrations is acceptable, provided that the blended gases are
accurate to within 1.5 percent of NIST gas
standards, or other gas standards which have been approved by the
Administrator. This accuracy implies that primary gases used (or
blending) must be ``named'' to an accuracy of at least 1 percent, traceable to NIST or other approved gas
standards. All concentrations of calibration gas shall be given on a
volume basis (volume percent or volume ppm).
(4) The gas concentrations used for calibration and span may also be
obtained by means of a gas divider, either diluting with purified
N2 or diluting with purified synthetic air. The accuracy of
the mixing device must be such that the concentration of the diluted
gases may be determined to within 2 percent.
(d) Oxygen interference check gases shall contain propane with 350
ppmC 75 ppmC hydrocarbon. The three oxygen
interference gases shall contain 21% 1%
O2, 10% 1% O2, and 5%
1% O2. The concentration value shall
be determined to calibration gas tolerances by chromatographic analysis
of total hydrocarbons plus impurities or by dynamic blending. Nitrogen
shall be the predominant diluent with the balance oxygen.
(e) Fuel for the FID shall be a blend of 40 percent 2 percent hydrogen with the balance being helium. The
mixture shall contain less than 1 ppm equivalent carbon response; 98 to
100 percent hydrogen fuel may be used with advance approval of the
Administrator.
(f) Hydrocarbon analyzer burner air. The concentration of oxygen for
raw sampling must be within 1 mole percent of the oxygen concentration
of the burner air used in the latest oxygen interference check
(%O2I). If the difference in oxygen concentration is greater
than 1 mole percent, then the oxygen interference must be checked and,
if necessary, the analyzer adjusted to meet the %O2I
requirements. The burner air must contain less than 2 ppmC hydrocarbon.
(g) Gases for the methane analyzer shall be single blends of methane
using air as the diluent.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.313 Initial calibration of analyzers.
(a) Warming-up time. The warming-up time should be according to the
recommendations of the manufacturer. If not specified, a minimum of two
hours shall be allowed for warming up the analyzers.
(b) NDIR and HFID analyzer. The NDIR analyzer shall be tuned and
maintained according to the instrument manufacturer's instructions. The
combustion flame of the HFID analyzer shall be optimized in order to
meet the specifications in Sec. 89.319(b)(2).
(c) Zero setting and calibration. (1) Using purified synthetic air
(or nitrogen), the CO, CO2, NOX. and HC analyzers
shall be set at zero.
(2) Introduce the appropriate calibration gases to the analyzers and
the values recorded. The same gas flow rates shall be used as when
sampling exhaust.
[[Page 88]]
(d) Rechecking of zero setting. The zero setting shall be rechecked
and the procedure described in paragraph (c) of this section repeated,
if necessary.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.314 Pre- and post-test calibration of analyzers.
Each operating range used during the test shall be checked prior to
and after each test in accordance with the following procedure. (A
chronic need for parameter adjustment can indicate a need for instrument
maintenance.):
(a) The calibration is checked by using a zero gas and a span gas
whose nominal value is between 75 percent and 100 percent of full-scale,
inclusive, of the measuring range.
(b) After the end of the final mode, a zero gas and the same span
gas will be used for rechecking. As an option, the zero and span may be
rechecked at the end of each mode or each test segment. The analysis
will be considered acceptable if the difference between the two
measuring results is less than 2 percent of full scale.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998]
Sec. 89.315 Analyzer bench checks.
(a) Prior to initial use and after major repairs verify that each
analyzer complies with the specifications given in Table 3 in appendix A
of this subpart.
(b) If a stainless steel NO2 to NO converter is used,
condition all new or replacement converters. The conditioning consists
of either purging the converter with air for a minimum of 4 hours or
until the converter efficiency is greater than 90 percent. The converter
must be at operational temperature while purging. Do not use this
procedure prior to checking converter efficiency on in-use converters.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.316 Analyzer leakage and response time.
(a) Vacuum side leak check. (1) Any location within the analysis
system where a vacuum leak could affect the test results must be
checked.
(2) The maximum allowable leakage rate on the vacuum side is 0.5
percent of the in-use flow rate for the portion of the system being
checked. The analyzer flows and bypass flows may be used to estimate the
in-use flow rates.
(3) The sample probe and the connection between the sample probe and
valve V2 (see Figure 1 in appendix B of this subpart) may be excluded
from the leak check.
(b) [Reserved]
(c) The response time shall be accounted for in all emission
measurement and calculations.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998]
Sec. 89.317 NOX converter check.
(a) Prior to its introduction into service, and monthly thereafter,
the chemiluminescent oxides of nitrogen analyzer shall be checked for
NO2 to NO converter efficiency. Figure 2 in appendix B of
this subpart is a reference for the following paragraphs.
(b) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance.
(c) Zero the oxides of nitrogen analyzer with zero-grade air or
zero-grade nitrogen.
(d) Connect the outlet of the NOX generator to the sample
inlet of the oxides of nitrogen analyzer which has been set to the most
common operating range.
(e) Introduce into the NOX generator analyzer-system an
NO-in-nitrogen (N2) mixture with an NO concentration equal to
approximately 80 percent of the most common operating range. The
NO2 content of the gas mixture shall be less than 5 percent
of the NO concentration.
(f) With the oxides of nitrogen analyzer in the NO mode, record the
concentration of NO indicated by the analyzer.
(g) Turn on the NOX generator O2 (or air)
supply and adjust the O2 (or air) flow rate so that the NO
indicated by the analyzer is about 10 percent less than indicated in
paragraph (f) of this section. Record the concentration of NO in this
NO+O2 mixture.
[[Page 89]]
(h) Switch the NOX generator to the generation mode and
adjust the generation rate so that the NO measured on the analyzer is 20
percent of that measured in paragraph (f) of this section. There must be
at least 10 percent unreacted NO at this point. Record the concentration
of residual NO.
(i) Switch the oxides of nitrogen analyzer to the NOX
mode and measure total NOX. Record this value.
(j) Switch off the NOX generator but maintain gas flow
through the system. The oxides of nitrogen analyzer will indicate the
NOX in the NO+O2 mixture. Record this value.
(k) Turn off the NOX generator O2 (or air)
supply. The analyzer will now indicate the NOX in the
original NO-in-N2 mixture. This value should be no more than
5 percent above the value indicated in paragraph (f) of this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998]
Sec. 89.318 Analyzer interference checks.
(a) Gases present in the exhaust other than the one being analyzed
can interfere with the reading in several ways. Positive interference
occurs in NDIR and PMD instruments when the interfering gas gives the
same effect as the gas being measured, but to a lesser degree. Negative
interference occurs in NDIR instruments by the interfering gas
broadening the absorption band of the measured gas and in CLD
instruments by the interfering gas quenching the radiation. The
interference checks described in this section are to be made initially
and after any major repairs that could affect analyzer performance.
(b) CO analyzer water and CO2 interference checks. Prior
to its introduction into service and annually thereafter, the NDIR
carbon monoxide analyzer shall be checked for response to water vapor
and CO2.
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance on the most
sensitive range to be used.
(2) Zero the carbon monoxide analyzer with either zero-grade air or
zero-grade nitrogen.
(3) Bubble a mixture of 3 percent CO2 in N2
through water at room temperature and record analyzer response.
(4) An analyzer response of more than 1 percent of full scale for
ranges above 300 ppm full scale or more than 3 ppm on ranges below 300
ppm full scale requires corrective action. (Use of conditioning columns
is one form of corrective action which may be taken.)
(c) NOX analyzer quench check. The two gases of concern
for CLD (and HCLD) analyzers are CO2 and water vapor. Quench
responses to these two gases are proportional to their concentrations
and, therefore, require test techniques to determine quench at the
highest expected concentrations experienced during testing.
(1) NOX analyzer CO2 quench check. A CO2 span
gas having a concentration of 80 percent to 100 percent of full scale of
the maximum operating range used during testing shall be passed through
the CO2 NDIR analyzer and the value recorded as a. It is
diluted approximately 50 percent with NO span gas and then passed
through the CO2 NDIR and CLD (or HCLD), with the
CO2 and NO values recorded as b and c respectively. The
CO2 shall then be shut off and only the NO span gas passed
through the CLD (or HCLD) and the NO value recorded as d. Percent
CO2 quench shall be calculated as follows and shall not
exceed 3 percent:
[GRAPHIC] [TIFF OMITTED] TR17JN94.001
Where:
a = Undiluted CO2 concentration (percent)
b = Diluted CO2 concentration (percent)
c = Diluted NO concentration (ppm)
d = Undiluted NO concentration (ppm)
(2) NOX analyzer water quench check. (i) This check
applies to wet measurements only. An NO span gas having a
[[Page 90]]
concentration of 80 to 100 percent of full scale of a normal operating
range shall be passed through the CLD (or HCLD) and the response
recorded as D. The NO span gas shall then be bubbled through water at
room temperature and passed through the CLD (or HCLD) and the analyzer
response recorded as AR. Determine and record the bubbler absolute
operating pressure and the bubbler water temperature. (It is important
that the NO span gas contains minimal NO2 concentration for
this check. No allowance for absorption of NO2 in water has
been made in the following quench calculations. This test may be
optionally run in the NO mode to minimize the effect of any
NO2 in the NO span gas.)
(ii) Calculations for water quench must consider dilution of the NO
span gas with water vapor and scaling of the water vapor concentration
of the mixture to that expected during testing. Determine the mixture's
saturated vapor pressure (designated as Pwb) that corresponds to the
bubbler water temperature. Calculate the water concentration (Z1,
percent) in the mixture by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.002
where
GP = analyzer operating pressure (Pa)
(iii) Calculate the expected dilute NO span gas and water vapor
mixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.003
(iv)(A) The maximum raw or dilute exhaust water vapor concentration
expected during testing (designated as Wm) can be estimated from the
CO2 span gas (or as defined in the equation in this paragraph
and designated as A) criteria in paragraph (c)(1) of this section and
the assumption of a fuel atom H/C ratio of 1.8:1 as:
Wm(%)=0.9xA(%)
Where:
A = maximum CO2 concentration expected in the sample system during
testing.
(B) Percent water quench shall not exceed 3 percent and shall be
calculated by:
[GRAPHIC] [TIFF OMITTED] TR23OC98.003
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998; 63 FR 58101, Oct. 29, 1998]
Sec. 89.319 Hydrocarbon analyzer calibration.
(a) The FID hydrocarbon analyzer shall receive the initial and
periodic calibration as described in this section. The HFID used with
petroleum-fueled diesel (compression-ignition) engines shall be operated
to a set point 5.5 [deg]C between 185 and 197
[deg]C.
(b) Initial and periodic optimization of detector response. Prior to
introduction into service and at least annually thereafter, adjust the
FID hydrocarbon analyzer for optimum hydrocarbon response as specified
in this paragraph. Alternate methods yielding equivalent results may be
used, if approved in advance by the Administrator.
(1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see Sec.
89.312(e)) and zero-grade air.
(2) Optimize the FID's response on the most common operating range.
The response is to be optimized with respect to fuel pressure or flow.
Efforts shall be made to minimize response variations to different
hydrocarbon species that are expected to be in the exhaust. Good
engineering judgment is
[[Page 91]]
to be used to trade off optimal FID response to propane-in-air against
reductions in relative responses to other hydrocarbons. A good example
of trading off response on propane for relative responses to other
hydrocarbon species is given in Society of Automotive Engineers (SAE)
Paper No. 770141, ``Optimization of Flame Ionization Detector for
Determination of Hydrocarbon in Diluted Automotive Exhausts''; author
Glenn D. Reschke. It is also required that the response be set to
optimum condition with respect to air flow and sample flow. Heated Flame
Ionization Detectors (HFIDs) must be at their specified operating
temperature. One of the following procedures is required for FID or HFID
optimization:
(i) The procedure outlined in Society of Automotive Engineers (SAE)
paper No. 770141, ``Optimization of a Flame Ionization Detector for
Determination of Hydrocarbon in Diluted Automotive Exhausts''; author,
Glenn D. Reschke. This procedure has been incorporated by reference at
Sec. 89.6.
(ii) The HFID optimization procedures outlined in 40 CFR part 1065,
subpart D.
(iii) Alternative procedures may be used if approved in advance by
the Administrator.
(iv) The procedures specified by the manufacturer of the FID or
HFID.
(3) After the optimum flow rates have been determined, record them
for future reference.
(c) Initial and periodic calibration. Prior to introduction into
service, after any maintenance which could alter calibration, and
monthly thereafter, the FID or HFID hydrocarbon analyzer shall be
calibrated on all normally used instrument ranges using the steps in
this paragraph (c). Use the same flow rate and pressures as when
analyzing samples. Calibration gases shall be introduced directly at the
analyzer, unless the ``overflow'' calibration option of 40 CFR part
1065, subpart F, for the HFID is taken. New calibration curves need not
be generated each month if the existing curve can be verified as
continuing to meet the requirements of paragraph (c)(3) of this section.
(1) Adjust analyzer to optimize performance.
(2) Zero the hydrocarbon analyzer with zero-grade air.
(3) Calibrate on each used operating range with propane-in-air
(dilute or raw) or propane-in-nitrogen (raw) calibration gases having
nominal concentrations starting between 10-15 percent and increasing in
at least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75,
and 90 percent of that range) of that range. The incremental steps are
to be spaced to represent good engineering practice. For each range
calibrated, if the deviation from a least-squares best-fit straight line
is 2 percent or less of the value at each data point, concentration
values may be calculated by use of a single calibration factor for that
range. If the deviation exceeds 2 percent at each non-zero data point
and within 0.3 percent of full scale on the zero,
the best-fit non-linear equation which represents the data to within
these limits shall be used to determine concentration.
(d) Oxygen interference optimization (required for raw). Choose a
range where the oxygen interference check gases will fall in the upper
50 percent. Conduct the test, as outlined in this paragraph, with the
oven temperature set as required by the instrument manufacturer. Oxygen
interference check gas specifications are found in Sec. 89.312(d).
(1) Zero the analyzer.
(2) Span the analyzer with the 21% oxygen interference gas specified
in Sec. 89.312(d).
(3) Recheck zero response. If it has changed more than 0.5 percent
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to
correct problem.
(4) Introduce the 5 percent and 10 percent oxygen interference check
gases.
(5) Recheck the zero response. If it has changed more 1 percent of full scale, repeat the test.
(6) Calculate the percent of oxygen interference (designated as
percent O2I) for each mixture in paragraph (d)(4) of this
section.
percent O2I = ((B - C) x 100)/B
Where:
A = hydrocarbon concentration (ppmC) of the span gas used in paragraph
(d)(2) of this section.
[[Page 92]]
B = hydrocarbon concentration (ppmC) of the oxygen interference check
gases used in paragraph (d)(4) of this section.
C = analyzer response (ppmC) = A/D; where
D = (percent of full-scale analyzer response due to A) x (percent of
full-scale analyzer response due to B)
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.320 Carbon monoxide analyzer calibration.
(a) Calibrate the NDIR carbon monoxide as described in this section.
(b) Initial and periodic interference check. Prior to its
introduction into service and annually thereafter, the NDIR carbon
monoxide analyzer shall be checked for response to water vapor and
CO2 in accordance with Sec. 318.96(b).
(c) Initial and periodic calibration. Prior to its introduction into
service, after any maintenance which could alter calibration, and every
two months thereafter, the NDIR carbon monoxide analyzer shall be
calibrated. New calibration curves need not be generated every two
months if the existing curve can be verified as continuing to meet the
requirements of paragraph (c)(3) of this section.
(1) Adjust the analyzer to optimize performance.
(2) Zero the carbon monoxide analyzer with either zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations starting
between 10 and 15 percent and increasing in at least six incremental
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that
range. The incremental steps are to be spaced to represent good
engineering practice. For each range calibrated, if the deviation from a
least-squares best-fit straight line is 2 percent or less of the value
at each non-zero data point and within 0.3
percent of full scale on the zero, concentration values may be
calculated by use of a single calibration factor for that range. If the
deviation exceeds these limits, the best-fit non-linear equation which
represents the data to within these limits shall be used to determine
concentration.
(d) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used in
lieu of the procedures specified in this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.321 Oxides of nitrogen analyzer calibration.
(a) The chemiluminescent oxides of nitrogen analyzer shall receive
the initial and periodic calibration described in this section.
(b) Prior to its introduction into service, and monthly thereafter,
the chemiluminescent oxides of nitrogen analyzer is checked for
NO2 to NO converter efficiency according to Sec. 89.317.
(c) Initial and periodic calibration. Prior to its introduction into
service, after any maintenance which could alter calibration, and
monthly thereafter, the chemiluminescent oxides of nitrogen analyzer
shall be calibrated on all normally used instrument ranges. New
calibration curves need not be generated each month if the existing
curve can be verified as continuing to meet the requirements of
paragraph (c)(3) of this section. Use the same flow rate as when
analyzing samples. Proceed as follows:
(1) Adjust analyzer to optimize performance.
(2) Zero the oxides of nitrogen analyzer with zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations starting at
between 10 and 15 percent and increasing in at least six incremental
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that
range. The incremental steps are to be spaced to represent good
engineering practice. For each range calibrated, if the deviation from a
least-squares best-fit straight line is 2 percent or less of the value
at each non-zero data point and within 0.3
percent of full scale on the zero, concentration values may be
calculated by use of a single calibration factor for that range. If the
deviation exceeds these limits, the best-fit non-linear equation which
represents the data to within these limits shall be used to determine
concentration.
[[Page 93]]
(d) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used in
lieu of the procedures specified in this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.322 Carbon dioxide analyzer calibration.
(a) Prior to its introduction into service, after any maintenance
which could alter calibration, and bi-monthly thereafter, the NDIR
carbon dioxide analyzer shall be calibrated on all normally used
instrument ranges. New calibration curves need not be generated each
month if the existing curve can be verified as continuing to meet the
requirements of paragraph (a)(3) of this section. Proceed as follows:
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance.
(2) Zero the carbon dioxide analyzer with either zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each normally used operating range with carbon
dioxide-in-N2 calibration or span gases having nominal
concentrations starting between 10 and 15 percent and increasing in at
least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75, and
90 percent) of that range. The incremental steps are to be spaced to
represent good engineering practice. For each range calibrated, if the
deviation from a least-squares best-fit straight line is 2 percent or
less of the value at each non-zero data point and within 0.3 percent of full scale on the zero, concentration
values may be calculated by use of a single calibration factor for that
range. If the deviation exceeds these limits, the best-fit non-linear
equation which represents the data to within these limits shall be used
to determine concentration.
(b) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used in
lieu of the procedures in this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.323 NDIR analyzer calibration.
(a) Detector optimization. If necessary, follow the instrument
manufacturer's instructions for initial start-up and basic operating
adjustments.
(b) Calibration curve. Develop a calibration curve for each range
used as follows:
(1) Zero the analyzer.
(2) Span the analyzer to give a response of approximately 90 percent
of full-scale chart deflection.
(3) Recheck the zero response. If it has changed more than 0.5
percent of full scale, repeat the steps given in paragraphs (b)(1) and
(b)(2) of this section.
(4) Record the response of calibration gases having nominal
concentrations starting between 10 and 15 percent and increasing in at
least six incremental steps to 90 percent of that range. The incremental
steps are to be spaced to represent good engineering practice.
(5) Generate a calibration curve. The calibration curve shall be of
fourth order or less, have five or fewer coefficients. If any range is
within 2 percent of being linear a linear calibration may be used.
Include zero as a data point. Compensation for known impurities in the
zero gas can be made to the zero-data point. The calibration curve must
fit the data points within 2 percent of point.
(6) Optional. A new calibration curve need not be generated if:
(i) A calibration curve conforming to paragraph (b)(5) of this
section exists; or
(ii) The responses generated in paragraph (b)(4) of this section are
within 1 percent of full scale or 2 percent of point, whichever is less,
of the responses predicted by the calibration curve for the gases used
in paragraph (b)(4) of this section.
(7) If multiple range analyzers are used, the lowest range used must
meet the curve fit requirements below 15 percent of full scale.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.324 Calibration of other equipment.
(a) Other test equipment used for testing shall be calibrated as
often as
[[Page 94]]
required by the instrument manufacturer or necessary according to good
practice.
(b) If a methane analyzer is used, the methane analyzer shall be
calibrated prior to introduction into service and monthly thereafter:
(1) Follow the manufacturer's instructions for instrument startup
and operation. Adjust the analyzer to optimize performance.
(2) Zero the methane analyzer with zero-grade air.
(3) Calibrate on each normally used operating range with
CH4 in air with nominal concentrations starting between 10
and 15 percent and increasing in at least six incremental steps to 90
percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that range. The
incremental steps are to be spaced to represent good engineering
practice. For each range calibrated, if the deviation from a least-
squares best-fit straight line is 2 percent or less of the value at each
non-zero data point and within 0.3 percent of
full scale on the zero, concentration values may be calculated by use of
a single calibration factor for that range. If the deviation exceeds
these limits, the best-fit non-linear equation which represents the data
to within these limits shall be used to determine concentration.
[63 FR 57013, Oct. 23, 1998]
Sec. 89.325 Engine intake air temperature measurement.
(a) Engine intake air temperature measurement must be made within
122 cm of the engine. The measurement location must be made either in
the supply system or in the air stream entering the supply system.
(b) The temperature measurements shall be accurate to within 2 [deg]C.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.326 Engine intake air humidity measurement.
(a) Humidity conditioned air supply. Air that has had its absolute
humidity altered is considered humidity- conditioned air. For this type
of intake air supply, the humidity measurements must be made within the
intake air supply system and after the humidity conditioning has taken
place.
(b) Nonconditioned air supply procedure. Humidity measurements in
nonconditioned intake air supply systems must be made in the intake air
stream entering the supply system. Alternatively, the humidity
measurements can be measured within the intake air supply stream.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.327 Charge cooling.
For engines with an air-to-air intercooler (or any other low
temperature charge air cooling device) between the turbocharger
compressor and the intake manifold, follow SAE J1937. This procedure has
been incorporated by reference. See Sec. 89.6. The temperature of the
cooling medium and the temperature of the charge air shall be monitored
and recorded.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.328 Inlet and exhaust restrictions.
(a) The manufacturer is liable for emission compliance over the full
range of restrictions that are specified by the manufacturer for that
particular engine.
(b) Perform testing at the following inlet and exhaust restriction
settings.
(1) Equip the test engine with an air inlet system presenting an air
inlet restriction within 5 percent of the upper limit at maximum air
flow, as specified by the engine manufacturer for a clean air cleaner. A
system representative of the installed engine may be used. In other
cases a test shop system may be used.
(2) The exhaust backpressure must be within 5 percent of the upper
limit at maximum declared power, as specified by the engine
manufacturer. A system representative of the installed engine may be
used. In other cases a test shop system may be used.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57013, Oct. 23, 1998]
Sec. 89.329 Engine cooling system.
An engine cooling system is required with sufficient capacity to
maintain
[[Page 95]]
the engine at normal operating temperatures as prescribed by the engine
manufacturer.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.330 Lubricating oil and test fuels.
(a) Lubricating oil. Use the engine lubricating oil for testing that
meets the requirements as specified by the manufacturer for a particular
engine and intended usage. Record the specifications of the lubricating
oil used for the test.
(b) Test fuels. (1) Use diesel fuels for testing which are clean and
bright, with pour and cloud points adequate for operability. The diesel
fuel may contain nonmetallic additives as follows: Cetane improver,
metal deactivator, antioxidant, dehazer, antirust, pour depressant, dye,
dispersant, and biocide.
(2) Use petroleum fuel meeting the specifications in Table 4 in
Appendix A of this subpart, or substantially equivalent specifications
approved by the Administrator, for exhaust emission testing. The grade
of diesel fuel used must be commercially designated as ``Type 2-D''
grade diesel fuel and recommended by the engine manufacturer.
(3) Testing of Tier 1 and Tier 2 engines rated under 37 kW and Tier
2 and Tier 3 engines rated at or above 37 kW that is conducted by the
Administrator shall be performed using test fuels that meet the
specifications in Table 4 in Appendix A of this subpart and that have a
sulfur content no higher than 0.20 weight percent.
(c) Other fuels may be used for testing provided they meet the
following qualifications:
(1) They are commercially available;
(2) Information acceptable to the Administrator is provided to show
that only the designated fuel would be used in customer service;
(3) Use of a fuel listed under paragraph (b) of this section would
have a detrimental effect on emissions or durability; and
(4) Fuel specifications are approved in writing by the Administrator
prior to the start of testing.
(d) Report the specification range of the fuel to be used under
paragraphs (b)(2) and (c)(1) through (c)(4) of this section in the
application for certification in accordance with Sec. 89.115 (a)(8).
(e) Low-sulfur test fuel. (1) Upon request, for engines rated at or
above 75 kW in model years 2006 or 2007, the diesel test fuel may be the
low-sulfur diesel test fuel specified in 40 CFR part 1065, subject to
the provisions of this paragraph (e)(1).
(i) To use this option, the manufacturer must--
(A) Ensure that ultimate purchasers of equipment using these engines
are informed that the use of fuel meeting the 500 ppm specification is
recommended.
(B) Recommend to equipment manufacturers that a label be applied at
the fuel inlet recommending 500 ppm fuel.
(ii) None of the engines in the engine family may employ sulfur-
sensitive technologies.
(iii) For engines rated at or above 130 kW, this option may be used
in 2006 and 2007. For engines rated at or above 75 kW and under 130 kW,
this option may be used only in 2007.
(2) For model years 2008 through 2010, except as otherwise provided,
the diesel test fuel shall be the low-sulfur diesel test fuel specified
in 40 CFR part 1065.
(3) The diesel test fuel shall be the ultra low-sulfur diesel test
fuel specified in 40 CFR part 1065 for model years 2011 and later.
(4) For model years 2007 through 2010 engines that use sulfur-
sensitive emission-control technology, the diesel test fuel is the ultra
low-sulfur fuel specified in 40 CFR part 1065 if the manufacturer
demonstrates that the in-use engines will use only fuel with 15 ppm or
less of sulfur.
(5) Instead of the test fuels described in paragraphs (e)(2) through
(4) of this section, for model years 2008 and later, manufacturers may
use the test fuel described in appendix A of this subpart. In such
cases, the test fuel described in appendix A of this subpart shall be
the test fuel for all manufacturer and EPA testing.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57013, Oct. 23, 1998; 69 FR 39213, June 29, 2004]
Sec. 89.331 Test conditions.
(a) General requirements. Calculate all volumes and volumetric flow
rates at
[[Page 96]]
standard conditions for temperature and pressure (0 [deg]C and 101.3
kPa), and these conditions must be used consistently throughout all
calculations.
(b) Engine test conditions. Measure the absolute temperature
(designated as T and expressed in Kelvin) of the engine air at the inlet
to the engine, and the dry atmospheric pressure (designated as p and
expressed in kPa), and determine the parameter f according to the
following provisions:
(1) Naturally aspirated and mechanically supercharged engines:
[GRAPHIC] [TIFF OMITTED] TR17JN94.008
(2) Turbocharged engine with or without cooling of inlet air:
[GRAPHIC] [TIFF OMITTED] TR17JN94.009
(c) For a test to be recognized as valid, the parameter f shall be
between the limits as shown below:
[GRAPHIC] [TIFF OMITTED] TR17JN94.010
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. Appendix A to Subpart D of Part 89--Tables
Table 1--Abbreviations Used in Subpart D
CLD............................... Chemiluminescent detector.
CO................................ Carbon monoxide.
CO2............................... Carbon dioxide.
HC................................ Hydrocarbons.
HCLD.............................. Heated chemiluminescent detector.
HFID.............................. Heated flame ionization detector.
GC................................ Gas chromatograph.
NDIR.............................. Non-dispersive infra-red analyzer.
NIST.............................. National Institute for Standards and
Testing.
NO................................ Nitric Oxide.
NO2............................... Nitrogen Dioxide.
NOX............................... Oxides of nitrogen.
O2................................ Oxygen.
Table 2--Symbols Used in Subparts D and E
------------------------------------------------------------------------
Symbol Term Unit
------------------------------------------------------------------------
conc......... Concentration (ppm by volume).............. ppm
f............ Engine specific parameter considering
atmospheric conditions
FFCB......... Fuel specific factor for the carbon balance
calculation
FFD.......... Fuel specific factor for exhaust flow
calculation on dry basis
FFH.......... Fuel specific factor representing the
hydrogen to carbon ratio
FFW.......... Fuel specific factor for exhaust flow
calculation on wet basis
FR........... Rate of fuel consumed...................... g/h
GAIRW........ Intake air mass flow rate on wet basis..... kg/h
GAIRD........ Intake air mass flow rate on dry basis..... kg/h
GEXHW........ Exhaust gas mass flow rate on wet basis.... kg/h
GFuel........ Fuel mass flow rate........................ kg/h
H............ Absolute humidity (water content related to g/kg
dry air).
i............ Subscript denoting an individual mode
KH........... Humidity correction factor
L............ Percent torque related to maximum torque %
for the test mode.
mass......... Pollutant mass flow........................ g/h
nd, i........ Engine speed (average at the i'th mode 1/min
during the cycle).
Ps........... Dry atmospheric pressure................... kPa
Pd........... Test ambient saturation vapor pressure at kPa
ambient temperature.
P............ Observed brake power output uncorrected.... kW
PAUX......... Declared total power absorbed by kW
auxiliaries fitted for the test.
PM........... Maximum power measured at the test speed kW
under test conditions.
Pi........... Pi = PM, i + PAUX, i
PB........... Total barometric pressure (average of the kPa
pre-test and post-test values).
Pv........... Saturation pressure at dew point kPa
temperature.
Ra........... Relative humidity of the ambient air....... %
S............ Dynamometer setting........................ kW
T............ Absolute temperature at air inlet.......... K
Tbe.......... Air temperature after the charge air cooler K
(if applicable) (average).
Tclout....... Coolant temperature outlet (average)....... K
TDd.......... Absolute dewpoint temperature.............. K
Td, i........ Torque (average at the i'th mode during the N-m
cycle).
TSC.......... Temperature of the intercooled air......... K
Tref......... Reference temperature...................... K
VEXHD........ Exhaust gas volume flow rate on dry basis.. m\3\/h
VAIRW........ Intake air volume flow rate on wet basis... m\3\/h
PB........... Total barometric pressure.................. kPa
VEXHW........ Exhaust gas volume flow rate on wet basis.. m\3\/h
WF........... Weighing factor
[[Page 97]]
WFE.......... Effective weighing factor
------------------------------------------------------------------------
Table 3--Measurement Accuracy and Calibration Frequency
------------------------------------------------------------------------
Calibration Calibration
No. Item accuracy \1\ frequency
------------------------------------------------------------------------
1 Engine speed............. 2%.
2 Torque................... Larger of 2%
of point or 1%
of engine maximum.
3 Fuel consumption (raw 2% of engine
maximum.
4 Air consumption (raw 2% of engine
maximum.
5 Coolant temperature...... 2[deg]K.
6 Lubricant temperature.... 2[deg]K.
7 Exhaust backpressure..... 1.0% of engine
maximum.
8 Inlet depression......... 1.0% of engine As required.
maximum.
9 Exhaust gas temperature.. 15[deg]K.
10 Air inlet temperature 2[deg]K.
11 Atmospheric pressure..... 0.5%.
12 Humidity (combustion air) 0.5.
13 Fuel temperature......... 2[deg]K.
14 Temperature with regard 2[deg]K.
15 Dilution air humidity (g