[Code of Federal Regulations]
[Title 40, Volume 17]
[Revised as of July 1, 2004]
From the U.S. Government Printing Office via GPO Access
[CITE: 40CFR86.007-11]
[Page 70-74]
TITLE 40--PROTECTION OF ENVIRONMENT
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
PART 86_CONTROL OF EMISSIONS FROM NEW AND IN-USE HIGHWAY VEHICLES AND
ENGINES--Table of Contents
Subpart A_General Provisions for Emission Regulations for 1977 and Later
Sec. 86.007-11 Emission standards and supplemental requirements for 2007
and later model year diesel heavy-duty engines and vehicles.
This section applies to new 2007 and later model year diesel HDEs.
Section 86.007-11 includes text that specifies requirements that differ
from Sec. 86.004-11. Where a paragraph in Sec. 86.004-11 is identical
and applicable to Sec. 86.007-11, this may be indicated by specifying
the corresponding paragraph and the statement ``[Reserved]. For guidance
see Sec. 86.004-11.''.
(a)(1) Exhaust emissions from new 2007 and later model year diesel
HDEs shall not exceed the following:
(i) Oxides of Nitrogen (NOX). (A) 0.20 grams per brake
horsepower-hour (0.075 grams per megajoule).
(B) A manufacturer may elect to include any or all of its diesel HDE
families in any or all of the NOX and NOX plus
NMHC emissions ABT programs for HDEs, within the restrictions described
in Sec. 86.007-15 or Sec. 86.004-15. If the manufacturer elects to
include engine families in any of these programs, the NOX
FELs may not exceed the following FEL caps: 2.00 grams per brake
horsepower-hour (0.75 grams per megajoule) for model years before 2010;
0.50 grams per brake horsepower-hour (0.19 grams per megajoule) for
model years 2010 and later. This ceiling value applies whether credits
for the family are derived from averaging, banking, or trading programs.
(ii)(A) Non-Methane Hydrocarbons (NMHC) for engines fueled with
either diesel fuel, natural gas, or liquefied petroleum gas. 0.14 grams
per brake horsepower-hour (0.052 grams per megajoule).
(B) Non-Methane Hydrocarbon Equivalent (NMHCE) for engines fueled
with methanol. 0.14 grams per brake horsepower-hour (0.052 grams per
megajoule).
(iii) Carbon monoxide. (A) 15.5 grams per brake horsepower-hour
(5.77 grams per megajoule).
(B) 0.50 percent of exhaust gas flow at curb idle (methanol-,
natural gas-, and liquefied petroleum gas-fueled diesel HDEs only). This
does not apply for vehicles certified to the requirements of Sec.
86.005-17
(iv) Particulate. (A) 0.01 grams per brake horsepower-hour (0.0037
grams per megajoule).
(B) A manufacturer may elect to include any or all of its diesel HDE
families in any or all of the particulate ABT programs for HDEs, within
the restrictions described in Sec. 86.007-15 or other applicable
sections. If the manufacturer elects to include engine families in any
of these programs, the particulate FEL may not exceed 0.02 grams per
brake horsepower-hour (0.0075 grams per megajoule).
[[Page 71]]
(2) The standards set forth in paragraph (a)(1) of this section
refer to the exhaust emitted over the operating schedule set forth in
paragraph (f)(2) of appendix I to this part, and measured and calculated
in accordance with the procedures set forth in subpart N or P of this
part, except as noted in Sec. 86.007-23(c)(2).
(3) SET (i) The weighted average exhaust emissions, as determined
under Sec. 86.1360-2007(e)(5) pertaining to the supplemental emission
test cycle, for each regulated pollutant shall not exceed 1.0 times the
applicable emission standards or FELs specified in paragraph (a)(1) of
this section.
(ii) For engines not having a NOX FEL less than1.5 g/bhp-
hr, gaseous exhaust emissions shall not exceed the steady-state
interpolated values determined by the Maximum Allowable Emission Limits
(for the corresponding speed and load), as determined under Sec.
86.1360-2007(f), when the engine is operated in the steady-state control
area defined under Sec. 86.1360-2007(d).
(4) NTE (i)(A) The brake-specific exhaust NMHC or NOX
emissions in g/bhp-hr, as determined under Sec. 86.1370-2007 pertaining
to the not-to-exceed test procedures, shall not exceed 1.5 times the
applicable NMHC or NOX emission standards or FELs specified
in paragraph (a)(1) of this section, during engine and vehicle operation
specified in paragraph (a)(4)(ii) of this section except as noted in
paragraph (a)(4)(iii) of this section.
(B) For engines not having a NOX FEL less than1.50 g/bhp-
hr, the brake-specific NOX and NMHC exhaust emissions in g/
bhp-hr, as determined under Sec. 86.1370-2007 pertaining to the not-to-
exceed test procedures, shall not exceed 1.25 times the applicable
emission standards or FELs specified in paragraph (a)(1) of this section
(or of Sec. 86.004-11, as allowed by paragraph (g) of this section),
during engine and vehicle operation specified in paragraph (a)(4)(ii) of
this section except as noted in paragraph (a)(4)(iii) of this section.
(C) The brake-specific exhaust PM emissions in g/bhp-hr, as
determined under Sec. 86.1370-2007 pertaining to the not-to-exceed test
procedures, shall not exceed 1.5 times the applicable PM emission
standards or FEL (for FELs above the standard only) specified in
paragraph (a)(1) of this section, during engine and vehicle operation
specified in paragraph (a)(4)(ii) of this section except as noted in
paragraph (a)(4)(iii) of this section.
(D) The brake-specific exhaust CO emissions in g/bhp-hr, as
determined under Sec. 86.1370-2007 pertaining to the not-to-exceed test
procedures, shall not exceed 1.25 times the applicable CO emission
standards or FEL specified in paragraph (a)(1) of this section, during
engine and vehicle operation specified in paragraph (a)(4)(ii) of this
section except as noted in paragraph (a)(4)(iii) of this section.
(ii) For each engine family, the not-to-exceed emission limits must
apply during one of the following two ambient operating regions:
(A) The not-to-exceed limits apply for all altitudes less than or
equal to 5,500 feet above sea-level, during all ambient conditions
(temperature and humidity). Temperature and humidity ranges for which
correction factors are allowed are specified in Sec. 86.1370-2007(e);
or
(B)(1) The not-to-exceed emission limits apply at all altitudes less
than or equal to 5,500 feet above sea-level, for temperatures less than
or equal to the temperature determined by the following equation at the
specified altitude:
T = -0.00254 x A + 100
Where:
T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea-level (A is negative for altitudes below
sea-level).
(2) Temperature and humidity ranges for which correction factors are
allowed are specified in Sec. 86.1370-2007(e);
(iii) For engines equipped with exhaust gas recirculation, the not-
to-exceed emission limits specified in paragraph (a)(4)(i) of this
section do not apply to engine or vehicle operation during cold
operating conditions as specified in Sec. 86.1370-2007(f).
(iv) Deficiencies for NTE emission standards. (A) For model years
2007 through 2009, upon application by the manufacturer, the
Administrator may accept a HDDE as compliant with the
[[Page 72]]
NTE standards even though specific requirements are not fully met. Such
compliances without meeting specific requirements, or deficiencies, will
be granted only if compliance would be infeasible or unreasonable
considering such factors as, but not limited to: Technical feasibility
of the given hardware and lead time and production cycles including
phase-in or phase-out of engines or vehicle designs and programmed
upgrades of computers. Deficiencies will be approved on a engine model
and/or horsepower rating basis within an engine family, and each
approval is applicable for a single model year. A manufacturer's
application must include a description of the auxiliary emission control
device(s) which will be used to maintain emissions to the lowest
practical level, considering the deficiency being requested, if
applicable. An application for a deficiency must be made during the
certification process; no deficiency will be granted to retroactively
cover engines already certified.
(B) Unmet requirements should not be carried over from the previous
model year except where unreasonable hardware or software modifications
would be necessary to correct the deficiency, and the manufacturer has
demonstrated an acceptable level of effort toward compliance as
determined by the Administrator. The NTE deficiency should only be seen
as an allowance for minor deviations from the NTE requirements. The NTE
deficiency provisions allow a manufacturer to apply for relief from the
NTE emission requirements under limited conditions. EPA expects that
manufacturers should have the necessary functioning emission control
hardware in place to comply with the NTE.
(C) For model years 2010 through 2013, the Administrator may allow
up to three deficiencies per engine family. The provisions of paragraphs
(a)(4)(iv)(A) and (B) of this section apply for deficiencies allowed by
this paragraph (a)(4)(iv)(C). In determining whether to allow the
additional deficiencies, the Administrator may consider any relevant
factors, including the factors identified in paragraph (a)(4)(iv)(A) of
this section. If additional deficiencies are approved, the Administrator
may set any additional conditions that he/she determines to be
appropriate.
(v) The emission limits specified in paragraphs (a)(3) and (a)(4) of
this section shall be rounded to the same number of significant figures
as the applicable standards in paragraph (a)(1) of this section using
ASTM E29-93a (Incorporated by reference at Sec. 86.1).
(b)(1) introductory text through (b)(1)(iii) [Reserved]. For
guidance see Sec. 86.004-11.
(b)(1)(iv) Operation within the NTE zone (defined in Sec. 86.1370-
2007) must comply with a filter smoke number of 1.0 under steady-state
operation, or the following alternate opacity limits:
(A) A 30 second transient test average opacity limit of 4% for a 5
inch path; and
(B) A 10 second steady state test average opacity limit of 4% for a
5 inch path.
(2)(i) The standards set forth in Sec. 86.004-11 (b)(1)(i)-(iii)
refer to exhaust smoke emissions generated under the conditions set
forth in subpart I of this part and measured and calculated in
accordance with those procedures.
(ii) The standards set forth in paragraph (b)(1)(iv) of this section
refer to exhaust smoke emissions generated under the conditions set
forth in Sec. 86.1370-2007 and calculated in accordance with the
procedures set forth in Sec. 86.1372-2007.
(b)(3) and (b)(4) [Reserved]. For guidance see Sec. 86.004-11.
(c) No crankcase emissions shall be discharged directly into the
ambient atmosphere from any new 2007 or later model year diesel HDE,
with the following exception: HDEs equipped with turbochargers, pumps,
blowers, or superchargers for air induction may discharge crankcase
emissions to the ambient atmosphere if the emissions are added to the
exhaust emissions (either physically or mathematically) during all
emission testing. Manufacturers taking advantage of this exception must
manufacture the engines so that all crankcase emission can be routed
into a dilution tunnel (or other sampling system approved in advance by
the Administrator), and must account
[[Page 73]]
for deterioration in crankcase emissions when determining exhaust
deterioration factors. For the purpose of this paragraph (c), crankcase
emissions that are routed to the exhaust upstream of exhaust
aftertreatment during all operation are not considered to be
``discharged directly into the ambient atmosphere.''
(d) Every manufacturer of new motor vehicle engines subject to the
standards prescribed in this section shall, prior to taking any of the
actions specified in section 203(a)(1) of the Act, test or cause to be
tested motor vehicle engines in accordance with applicable procedures in
subpart I or N of this part to ascertain that such test engines meet the
requirements of paragraphs (a), (b), (c), and (d) of this section.
(e) [Reserved]. For guidance see Sec. 86.004-11.
(f) (1) Model year 2007 and later diesel-fueled heavy-duty engines
and vehicles for sale in Guam, American Samoa, or the Commonwealth of
the Northern Mariana Islands shall be subject to the same standards and
requirements as apply to 2006 model year diesel heavy-duty engines and
vehicles, but only if the vehicle or engine bears a permanently affixed
label stating:
THIS ENGINE (or VEHICLE, as applicable) CONFORMS TO US EPA EMISSION
STANDARDS APPLICABLE TO MODEL YEAR 2006. THIS ENGINE (or VEHICLE, as
applicable) DOES NOT CONFORM TO US EPA EMISSION REQUIREMENTS IN EFFECT
AT TIME OF PRODUCTION AND MAY NOT BE IMPORTED INTO THE UNITED STATES OR
ANY TERRITORY OF THE UNITED STATES EXCEPT GUAM, AMERICAN SAMOA, OR THE
COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS.
(2) The importation or sale of such a vehicle or engine for use at
any location U.S. other than Guam, American Samoa, or the Commonwealth
of the Northern Mariana Islands shall be considered a violation of
section 203(a)(1) of the Clean Air Act. In addition, vehicles or vehicle
engines subject to this exemption may not subsequently be imported or
sold into any state or territory of the United States other than Guam,
American Samoa, or Commonwealth of the Northern Mariana Islands.
(g) Phase-in options. (1) For model years 2007, 2008, and 2009,
manufacturers may certify some of their engine families to the combined
NOX plus NMHC standard applicable to model year 2006 engines
under Sec. 86.004-11, in lieu of the separate NOX and NMHC
standards specified in paragraph (a)(1) of this section. These engines
must comply with all other requirements applicable to model year 2007
engines. The combined number of engines in the engine families certified
to the 2006 combined NOX plus NMHC standard may not exceed 50
percent of the manufacturer's U.S.-directed production of heavy-duty
diesel motor vehicle engines for model year 2007, 2008, or 2009, except
as explicitly allowed by this paragraph (g).
(2)(i) Manufacturers certifying engines to all of the applicable
standards listed in paragraph (a) and (c) of this section (without using
credits) prior to model year 2007 may reduce the number of engines that
are required to meet the standards listed in paragraph (a) of this
section in model year 2007, 2008 and/or 2009, taking into account the
phase-in option provided in paragraph (g)(1) of this section. For every
two engines that are certified early, the manufacturer may reduce the
number of engines that are required by paragraph (g)(1) of this section
to meet standards listed in paragraph (a)(1) of this section by three
engines. For example, if a manufacturer produces 100 heavy-duty diesel
engines in 2006 that meet all of the applicable standards listed in
paragraph (a) of this section, and it produced 10,000 heavy-duty diesel
engines in 2007, then only 4,850 ((10,000)(0.50) - (100)(1.5)) of the
engines would need to comply with the standards listed in paragraph (a)
of this section.
(ii) Manufacturers certifying engines to the PM standards listed in
paragraph (a), and to all of the applicable standards in paragraph (c)
of this section (without using credits) prior to model year 2007 may
reduce the number of engines that are required to meet the PM standard
listed in paragraph (a) of this section in model year 2007, 2008 and/or
2009. For every two engines that are certified to the PM standard early,
the manufacturer may reduce the number of engines that are otherwise
required to meet the PM
[[Page 74]]
standard listed in paragraph (a)(1) of this section by three engines.
(3) Manufacturers may initially base compliance with the phase-in
requirements of paragraph (g)(1) or (g)(2) of this section on projected
U.S.-directed production estimates. This is allowed for model year 2007
and/or 2008. However, if a manufacturer's actual U.S. directed
production volume of engines that comply with the model year 2007
NOX and NMHC standards is less than the required amount, the
shortfall (in terms of number of engines) must be made up prior to 2010.
For example, if a manufacturer plans in good faith to produce 50 percent
of its projected 10,000 2007 engines (i.e., 5,000 engines) in compliance
with the 2007 NOX and NMHC standard, but is only able to
produce 4,500 such engines of an actual 10,000 2007 engines, the
manufacturer would need to produce an extra 500 engines in 2008 or 2009
in compliance with the 2007 NOX and NMHC standard. The
deficit allowed by this paragraph (g)(3) may not exceed 25 percent of
the U.S. directed production volume.
(4) Manufacturers certifying engines to a voluntary NOX
standard of 0.10 g/bhp-hr (without using credits) in addition to all of
the other applicable standards listed in paragraphs (a) and (c) of this
section prior to model year 2007 may reduce the number of engines that
are required to meet the standards listed in paragraph (a)(1) of this
section in model year 2007, 2008 and/or 2009, taking into account the
phase-in option provided in paragraph (g)(1) of this section. For every
engine that is certified early under this provision, the manufacturer
may reduce the number of engines that are required by paragraph (g)(1)
of this section to meet the standards listed in paragraph (a)(1) of this
section by two engines.
(5) For engines certified under paragraph (g)(1) of this section to
the NOX+NMHC standard in Sec. 86.004-11, the standards or
FELs to which they are certified shall be used for the purposes of
paragraphs (a)(3) and (a)(4) of this section.
(h)(1) For model years prior to 2012, for purposes of determining
compliance after title or custody has transferred to the ultimate
purchaser, for engines having a NOX FEL no higher than 1.30
g/bhp-hr, the applicable compliance limit shall be determined by adding
the applicable adjustment from paragraph (h)(2) of this section to the
otherwise applicable standard or FEL for NOX.
(2)(i) For engines with 110,000 or fewer miles, the adjustment is
0.10 g/bhp-hr.
(ii) For engines with 110,001 to 185,000 miles, the adjustment is
0.15 g/bhp-hr.
(iii) For engines with 185,001 or more miles, the adjustment is 0.20
g/bhp-hr.
(3) For model years prior to 2012, for purposes of determining
compliance after title or custody has transferred to the ultimate
purchaser, the applicable compliance limit shall be determined by adding
0.01 g/bhp-hr to the otherwise applicable standard or FEL for PM.
[65 FR 59954, Oct. 6, 2000, as amended at 66 FR 5161, Jan. 18, 2001]