Control of Emissions of Air Pollution From Nonroad Diesel Engines
and Fuel [[pp. 28577-28603]]
[Federal Register: May 23, 2003 (Volume 68, Number 100)]
[Proposed Rules]
[Page 28577-28603]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr23my03-41]
[[pp. 28577-28603]]
Control of Emissions of Air Pollution From Nonroad Diesel Engines
and Fuel
[[Continued from page 28576]]
[[Page 28577]]
United States for resale, and all other actions to comply with the
requirements of this part constitute actions or activities covered by
and within the meaning of 28 U.S.C. 1605(a)(2), but solely with respect
to actions instituted against the foreign nonroad equipment
manufacturer, its agents, officers, and employees in any court or other
tribunal in the United States for conduct that violates the
requirements of part 1039, including such conduct that violates 18
U.S.C. 1001, Clean Air Act section 113(c)(2), or other applicable
provisions of the Clean Air Act.
(f) The foreign nonroad equipment manufacturer, or its agents,
officers, or employees, will not seek to detain or to impose civil or
criminal remedies against EPA inspectors or auditors, whether EPA
employees or EPA contractors, for actions performed within the scope of
EPA employment related to the provisions of this section.
(g) The commitment required by this section shall be signed by the
owner or president of the foreign nonroad equipment manufacturer
business.
(h) Sovereign immunity. By submitting a notification of its intent
to use the flexibility provision under Sec. 1039.625, or by producing
and exporting for resale to the United States nonroad equipment under
this section, the foreign nonroad equipment manufacturer, its agents,
officers, and employees, without exception, become subject to the full
operation of the administrative and judicial enforcement powers and
provisions of the United States without limitation based on sovereign
immunity, with respect to actions instituted against the foreign
nonroad equipment manufacturer, its agents, officers, and employees in
any court or other tribunal in the United States for conduct that
violates the requirements applicable to the foreign nonroad equipment
manufacturer under this part, including such conduct that violates 18
U.S.C. 1001, section 113(c)(2) of the Clean Air Act, or other
applicable provisions of the Clean Air Act.
(i) English language reports. Any report or other document
submitted to EPA by any foreign nonroad equipment manufacturer shall be
in the English language, or shall include an English language
translation.
Sec. 1039.630 What are the hardship provisions for equipment
manufacturers?
If you qualify for the hardship provisions specified in 40 CFR
1068.255, we may approve your hardship application subject to three
additional conditions:
(a) You must show that you were selling new equipment with engines
that were certified to meet the requirements of 40 CFR part 89 before
2003.
(b) You must show that you have used up the allowances to produce
equipment with exempted engines under Sec. 1039.625.
(c) You may produce engines under this section for up to one year
total (or two years for small-volume manufacturers).
Sec. 1039.635 What are the hardship provisions for engine
manufacturers?
If you qualify for the hardship provisions specified in 40 CFR
1068.245, we may approve a period of delayed compliance for up to two
years total for small-volume manufacturers or one year total for all
other companies. If you qualify for the hardship provisions specified
in 40 CFR 1068.250 for small-volume manufacturers, we may approve a
period of delayed compliance for up to two years total.
Sec. 1039.639 What special provisions apply to engines sold in Guam,
American Samoa, or the Commonwealth of the Northern Mariana Islands?
Engines introduced into commerce in Guam, American Samoa, or the
Commonwealth of the Northern Mariana Islands are subject to the latest
emission standards in 40 CFR 89.112 instead of the Tier 4 standards in
Sec. 1039.101, but only if the engines include the following statement
on the label we require in 40 CFR 89.110 (or on a separate, permanent
label with your corporate name and trademark): ``THIS ENGINE DOES NOT
CONFORM TO U.S. EPA EMISSION REQUIREMENTS IN EFFECT AT THE 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.''. Introducing any such
engine into commerce in any state or territory of the United States
other than Guam, American Samoa, or the Commonwealth of the Northern
Mariana Islands, throughout its lifetime, is a violation of 40 CFR
1068.101(a)(1).
Sec. 1039.645 What special provisions apply to engines used for
transportation refrigeration units?
The provisions of this section apply for engines used in
transportation refrigeration units (TRUs). All other provisions of this
part apply for these engines, except as specified in this section.
(a) Engines used only in TRU applications may be certified using
the following special provisions:
(1) The engines are not required to meet the transient emission
standards of subpart B of this part.
(2) The steady-state emission standards of subpart B apply for
emissions measured over the steady-state test cycle described in
paragraph (b) of this section instead of the otherwise applicable test
cycle described in Appendix I, III, or IV of this part.
(b) The steady-state test cycle for TRU engines is:
Steady-state Cycle for TRU Engines
------------------------------------------------------------------------
Minimum
Observed time in Weighting
Mode No. Engine speed tourqe \1\ mode factors
(minutes)
------------------------------------------------------------------------
1......... Maximum test speed... 75 3.0 0.25
2......... Maximum test speed... 50 3.0 0.25
3......... Intermediate test 75 3.0 0.25
speed.
4......... Intermediate test 50 3.0 0.25
speed.
------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at the given
engine speed.
(c) Engines certified under this section must be certified in a
separate engine family that contains only TRU engines.
(d) You must do the following for each engine certified under this
section:
(1) State on the emission control information label for each engine
that is certified under the provisions of this
[[Page 28578]]
section: ``This engine is certified to operate only in transportation
refrigeration units. Use of this the engine in other applications is a
violation of federal law subject to civil penalty.''.
(2) State in the installation instructions required by Sec.
1039.130 all instructions necessary to ensure that the engine will
operate only in the modes covered by the test cycle described in this
section.
(3) Keep records to document the destinations and quantities of
engines produced under this section.
(e) An engine is not a TRU engine that can be certified under this
section if any of the following are true:
(1) The engine is installed in any equipment other than
refrigeration units for railcars, truck trailers or other freight
vehicles.
(2) The engine operates in any mode not covered by the test cycle
described in this section, except for negligible transitional operation
between two allowable modes. As an example, a thirty-second transition
period would clearly not be considered negligible.
(3) The engine is sold in a configuration that allows the engine to
operate in any mode not covered by the test cycle described in this
section. As an example, this would include an engine sold without a
governor that limited operation to only those modes covered by the test
cycle described in this section.
(4) The engine is subject to Tier 3 or earlier standards, or phase-
out Tier 4 standards.
(f) All engines certified under this section must comply with the
NTE requirements of subpart B of this part. This requirement applies
without regard to whether the engine would otherwise have been subject
to NTE standards if it had not been certified under this section.
Subpart H--Averaging, Banking, and Trading for Certification
Sec. 1039.701 General provisions.
(a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. Participation in this
program is voluntary.
(b) The averaging set restrictions that apply are specified in
Sec. 1039.735.
(c) The definitions of Subpart I of this part apply to this
subpart. The following definitions also apply:
(1) Actual credits means credits you have generated that we have
verified in reviewing the final report.
(2) Broker means any entity that facilitates a trade between a
buyer and seller.
(3) Buyer means the entity that receives credits as a result of
trade.
(4) Reserved credits means credits you have generated that we have
not yet verified in reviewing the final report.
(5) Seller means the entity that provides credits during a trade.
(6) Standard means the standard that applies under subpart B of
this part for engines not participating in the ABT program of this
subpart.
(d) Credits generated under this subpart cannot be used to offset
any exceedances above FEL. This applies for all testing, including
certification, SEA, and in-use testing. Note: You may use credits to
allow you to recertify the engine family to a higher FEL that would be
applicable to future production.
(e) Credits can be used in the year they are generated or in future
years. Credits may not be used for past model years.
(f) Engine families that use credits for one or more pollutants,
may not generate positive credits for another pollutant.
Sec. 1039.705 How do I generate and calculate emission credits?
The provisions of this section apply separately for calculating
NOX credits, NMHC+NOX credits, or PM credits.
(a) Calculate positive credits for an engine family that has an FEL
below the applicable standard. Calculate negative credits for an engine
family that has an FEL above the applicable standard.
(b) For each participating engine family, calculate NOX
emission credits, NMHC+NOX emission credits and/or PM
emission credits (positive or negative) according to the following
equation. Round them to the nearest one-hundredth of a megagram (Mg),
using consistent units throughout the equation:
Emission credits = (Std - FEL) x (Volume) x (AvgPR) `` (UL) x
(10-\6\)
Where:
Std = the standard, in grams per kilowatt-hour, that applies under
subpart B of this part for engines not participating in the ABT program
of this subpart.
FEL = the 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, as described in paragraph (c) of this section.
AvgPR = the average maximum engine power 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.
(c) Use quarterly projections of production volumes for initial
certification. Compliance at the end of the model year is determined
based on the actual applicable production/sales volumes. Do not include
any of the following engines in your applicable production/sales
volumes:
(1) Engines exempted under subpart G of this part or under part
1068.
(2) Exported engines.
(3) Engines not subject to the requirements of this part, including
engines excluded under Sec. 1039.5.
(4) Engines certified using special test procedures under 40 CFR
1065.10. (Note: this restriction does not apply for engines certified
using alternate test procedures under 40 CFR 1065.10.)
(5) Any other engines, where we indicate elsewhere in this part
1039 that they are not to be included in the calculations of this
subpart.
Sec. 1039.710 How do I average?
(a) Averaging is the exchange of emissions credits among engine
families.
(b) You may certify one or more engine families to an FEL above or
below the applicable standard if you show, at the time of
certification, that the summation of your projected balance of all
emissions credit transactions in that model year is greater than or
equal to zero.
(c) If you certify an engine family to an FEL that exceeds the
applicable standard, you must obtain sufficient emissions credits to
offset the credit shortfall produced by the engine family. Emissions
credits used in averaging to address this shortfall may come from
emissions credits generated from your other engine families in the same
model year, from banked emissions credits, or from emissions credits
obtained through trading.
Sec. 1039.715 How do I bank emission credits?
(a) Banking is the retention of emissions credits by the
manufacturer generating the emissions credits, for use in averaging or
trading in future model years.
(b) In your application for certification, designate any emissions
credits that you intend to bank. These credits will be considered
reserved
[[Page 28579]]
credits. During the model year, and before submittal of the end-of-year
report, credits originally designated for banking may be redesignated
for trading or averaging for the end-of-year report or final report.
(c) Credits designated 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 or final report or any
subsequent audit actions.
(d) Banked credits are considered actual credits only after the end
of the model year and after EPA has reviewed the end-of-year and final
reports.
Sec. 1039.720 How do I trade emissions credits?
(a) Trading is the exchange of emissions credits between
manufacturers. Trading of emissions credits may only occur within the
same averaging set.
(b) You may trade actual or reserved credits. Credits banked in a
previous model year or credits generated during the model year of the
trading transaction may be used for trading. Traded reserved credits,
such as those generated during the model year of the trading
transaction, remain reserved until we verify them after the end of the
model year. Traded credits may be used for averaging, banking, or
further trading transactions.
(c) If a negative credit balance results from a transaction, both
the buyer and seller are liable, except in cases deemed involving
fraud. Certificates of all engine families participating in a negative
trade may be voided under Sec. 1039.740.
Sec. 1039.725 What records must I keep?
(a) Establish, maintain and keep the following properly organized
and indexed records for each engine family certified using the ABT
program in this subpart:
(1) Model year and EPA engine family.
(2) FELs.
(3) Useful life.
(4) Maximum engine power for each configuration tested.
(5) Projected applicable production/sales volume for the model
year.
(6) Actual applicable production/sales volume for the model year.
(b) Establish, maintain and keep the following properly organized
and indexed records for each engine in the ABT program:
(1) Model year and EPA engine family.
(2) Engine identification number.
(3) Maximum engine power.
(4) Build date and assembly plant.
(5) Purchaser and destination.
(c) Manufacturers involved in trading reserved credits must
maintain the records specified in this paragraph (c) for each engine
family in the trading program. We may ask you to provide this
information on a quarterly basis. This requirement applies with respect
to the following information:
(1) The engine family.
(2) The actual quarterly and cumulative applicable production/sales
volume.
(3) All values required to calculate credits.
(4) The resulting type and number of credits generated/required.
(5) How and where credit surpluses are dispersed.
(6) How and through what means credit deficits are met.
(d) Keep the records required by this section for eight years from
the due date for the end-of-year report. You may use any appropriate
storage formats or media, including paper, microfilm, or computer
diskettes.
(e) Nothing in this section limits our discretion in requiring the
manufacturer to retain additional records or submit information not
specifically required by this section.
(f) Upon request, you must submit to us the information specified
in this section.
Sec. 1039.730 What must I include in my application for
certification?
(a) You must declare in your application your intent to use the
provisions of this subpart for each engine family that will be
certified using the ABT program. You must also declare for which
pollutants you are using ABT, and declare the FELs for your engine
family for those pollutants. Your FELs must comply with the
specifications of subpart B of this part, including the FEL caps. FELs
must be expressed to the same number of decimal places as the
applicable standards.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have
a negative credit balance for any engine family when all credits are
calculated.
(2) Detailed calculations of projected emission credits (positive
or negative) based on quarterly projections of applicable production/
sales volume. If your engine family will generate positive emission
credits, state specifically where the credits will be applied (e.g., to
which engine family they will be applied in averaging, trading, or if
they will be reserved for banking). If you have negative emission
credits for your engine family, state the source of positive credits
needed to offset the negative credits. Describe the source of credits
by indicating from which engine family (and manufacturer, as
applicable), and by specifying whether the credits are actual or
reserved and whether they come from banking, trading, or from averaging
with your other engine families within the model year.
Sec. 1039.732 What reports must I submit after the end of the model
year?
This section specifies the requirements for submitting the end-of-
year report and the final report. This section specifies in paragraph
(g) an additional report that must be submitted if you are involved in
a trade of credits.
(a)(1) If any of your engine families are certified using the ABT
provisions of this subpart, you must submit the end-of-year report
within 90 days of the end of the model year. The end-of-year report
must include the information specified in this section. We may waive
the requirement to submit the end-of year report, provided you submit
the final report specified in paragraph (a)(2) of this section.
(2) If any of your engine families are certified using the ABT
provisions of this subpart, you must submit the final report within 270
days of the end of the model year. The final report must include the
information specified in this section.
(b) Failure to submit reports on time is a violation of the Act
with respect to each engine.
(c) Your end-of-year and final reports must identify the engine
families for which they apply and must include:
(i) Detailed calculation of emission credits (positive or negative)
based on actual applicable production/sales volumes. Base your
applicable production/sales volumes on the location of first retail
sale. This location is also called the final product purchase location.
A dealership is a typical location for the first retail sale.
(ii) Demonstrate that you have the positive credits needed to
offset any negative credits.
(iii) State whether you will reserve any credits for banking.
(d) Send end-of-year reports to the Designated Compliance Officer.
(e) If you generate credits for banking and you do not send your
end-of-year reports within 90 days after the end of the model year, you
may not use the credits until we receive and review your reports. You
may not use projected credits pending our review.
[[Page 28580]]
(f) Errors discovered in your end-of-year report or final report,
including errors in calculating credits, are corrected as follows:
(1) Any errors discovered in the end-of-year report may be
corrected in the final report up to 270 days from the end of the model
year.
(2) Errors discovered by the manufacturer in the final report may
be corrected up to 270 days from the end of the model year, and credits
will be recalculated.
(3) If we or you determine within 270 days of the end of the model
year, that an error occurred that mistakenly decreased your positive
credits, the error will be corrected and credits will be recalculated.
Such errors will not be corrected if they are determined more than 270
days from of the end of the model year.
(4) In cases where credit balance is negative, if we determine that
an error occurred that mistakenly decreased your balance of credits, we
may, but are not required to, correct the error and recalculate the
credits. This applies whether or not the error was discovered by you.
(5) If we determine at any time, that an error occurred that
mistakenly increased your balance of credits, we will correct the error
and recalculate the credits to decrease your balance. This applies
whether or not the error was discovered by you.
(g) If you trade credits, you must send the Designated Compliance
Officer a report of the trade, within 90 days of any credit trade, that
includes the following information:
(1) The corporate names of the buyer, seller, and any brokers.
(2) Copies of contracts related to credit trading from the buyer,
seller, and broker, as applicable.
(3) The engine families involved in the trade.
(4) The actual quarterly and cumulative applicable production/sales
volume.
(5) The values required to calculate credits as given in Sec.
1039.705.
(6) The resulting type and number of credits generated.
(7) How and where credit surpluses are dispersed; and
(8) How and through what means credit deficits are met.
(h) Include in each report a statement certifying the accuracy and
authenticity of its contents.
Sec. 1039.735 What restrictions apply for using credits?
The following restrictions apply for credit use:
(a) Averaging sets. Credits may be exchanged only within an
averaging set. For Tier 4 engines, there is a single averaging set that
includes all power categories. See paragraph (b) for provisions related
to credits generated relative to earlier tiers of standards.
(b) Credits from a different tier of standards. (1) For purposes of
ABT under this subpart, you may not use credits generated from engines
subject to emission standards under 40 CFR part 89, except as specified
in the following table:
------------------------------------------------------------------------
If the power rating of the
credit-generating engine is . Then you may use the following credits
. . for Tier 4 compliance . . .
------------------------------------------------------------------------
(i) Less than 37 kW.......... Credits from engines subject to emission
standards in 89.112(a) Table 1,
identified as Tier 2.
(ii) At least 37 kW, but less Credits from engines subject to emission
than 560 kW. standards in 89.112(a) Table 1,
identified as Tier 3.
(iii) 560 kW or higher....... Credits from engines subject to emission
standards in 89.112(a) Table 1,
identified as Tier 2.
------------------------------------------------------------------------
(2) Credits generated from marine engines under the provisions of
40 CFR part 89 may not used under this part.
(3) Credits generated from nonmarine engines under the provisions
of 40 CFR part 89 allowed to be used under this part are subject to the
averaging set restrictions described in 40 CFR 89.204. This means that
credits generated by engines at or above 19 kW may not be used by
engines less than 19 kW, and credits generated by engines less than 19
kW may not be used by engines at or above 19 kW.
(4) See 40 CFR part 89 for other restrictions that may apply for
use of credits generated under that part.
(c) NOX and NMHC + NOX credits. You may use
NOX credits to show compliance with NMHC+NOX
standards. You may use NMHC+NOX credits to show compliance
with NOX standards, but you must adjust the
NMHC+NOX credits downward by twenty percent when you use
them, as shown in the following equation:
NOX credits = (0.8) x (NMHC+NOX credits).
(d) Other restrictions. Other sections of this part may include ABT
restrictions for engines certified under certain special provisions.
Those restrictions apply as specified.
Sec. 1039.740 What can happen if I do not comply with the provisions
of this subpart?
(a)(1) All certificates issued for engine family participating in
this ABT program are conditional upon your full compliance with the
provisions of this subpart during the model year of production and
afterwards.
(2) Failure to comply with any provisions of this subpart will be
deemed to be a failure to satisfy the conditions upon which the
certificate was issued, and the certificate may be voided.
(3) By choosing to participate in this ABT program, you are
responsible to establish to EPA's satisfaction that the conditions
under which the certificate was issued were satisfied or waived.
(b) You may certify your engine family to an FEL above a applicable
standard based on a projection that you will have sufficient credits to
offset the credit deficit for the engine family. However, if you cannot
show in your final report that you have sufficient actual credits to
offset a credit deficit for any engine family, we may void the
certificate of conformity for the engine family.
(c) We may void the certificate of conformity for an engine family
for which you fail to retain the records required in this subpart or to
provide such information to us upon request.
Subpart I--Definitions and Other Reference Information
Sec. 1039.801 What definitions apply to this part?
The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Act gives to them. The definitions follow:
Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or engine performance
during emission testing or normal in-use operation. This includes, but
is not limited to parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter that is difficult to
[[Page 28581]]
access if it cannot be adjusted to affect emissions without
significantly degrading performance, or if you otherwise show us that
it will not be adjusted in a way that affects emissions during in-use
operation.
Aftertreatment means relating to any system, component, or
technology mounted downstream of the exhaust valve or exhaust port
whose design function is to reduce exhaust emissions.
Aircraft has the meaning given in 40 CFR 87.1.
Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine RPM, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission control system.
Blue Sky Series engine means an engine meeting the requirements of
Sec. 1039.140.
Brake power means the usable power output of the engine, not
including power required to operate fuel pumps, oil pumps, or coolant
pumps.
Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
Certification means obtaining a certificate of conformity for an
engine family that complies with the emission standards and
requirements in this part.
Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient
or steady-state testing.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Constant-speed means relating to an engine governed to operate at
rated speed.
Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
Designated Compliance Officer means the Manager, Engine Programs
Group (6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania
Ave., Washington, DC 20460.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
Deteriorated emission level means the emission level that results
from applying the applicable deterioration factor to the official
emission result of the emission-data engine.
Deterioration factor means a number that is added to or multiplied
by a low-hour test result to project the emission rate at the end of
the useful life.
Emission-control system means any device, system, or element of
design that controls or reduces the regulated emissions from an engine.
Emission-data engine means an engine that is tested for
certification.
Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emissions
deterioration.
Engine family means a group of engines with similar emission
characteristics, as specified in Sec. 1039.230.
Engine manufacturer means the manufacturer of the engine. See the
definition of ``manufacturer'' in this section.
Engine used in a locomotive means either an engine placed in the
locomotive to move other equipment, freight, or passenger traffic; or
an engine mounted on the locomotive to provide auxiliary power.
Exempted means relating to an engine that is not required to meet
otherwise applicable standards because the engine conforms to
regulatory conditions specified for an exemption in this part 1039 or
in part 1068 of this chapter. Exempted engines are deemed to be
``subject to'' the standards of this part, even though they are not
required to comply with the otherwise applicable requirements. Engines
exempted with respect to a certain tier of standards may be required to
comply with an earlier tier of standards as a condition of the
exemption; for example, engines exempted with respect to Tier 4
standards may be required to comply with Tier 3 standards.
Excluded means relating to an engine that either:
(1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
(2) Is a nonroad engine that, according to Sec. 1039.5, is not
subject to this part 1039.
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 declared by the
manufacturer to serve in place of an emission standard for
certification under the emission-credit program in subpart H of this
part. The family emission limit must be expressed to the same number of
decimal places as the emission standard it replaces.
Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents.
Fuel type means a general category of fuels such as diesel fuel or
natural gas. There can be multiple grades within a single type of fuel,
such as No. 1 diesel and No. 2 diesel.
Good engineering judgment has the meaning we give in 40 CFR 1068.5.
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type. For petroleum-fueled engines
and natural gas-fueled engines, HC means nonmethane hydrocarbon (NMHC).
For alcohol-fueled engines, HC means total hydrocarbon equivalent
(THCE).
Identification number means a unique specification (for example,
model number/serial number combination) that allows someone to
distinguish a particular engine from other similar engines.
Intermediate test speed has the meaning we give in 40 CFR 1065.515.
Manufacture means the physical and engineering process of
designing, constructing, and assembling of a nonroad engine or a piece
of nonroad equipment.
Manufacturer has the meaning given in section 216(1) of the Act. In
general, this term includes any person who manufactures an engine,
vehicle, or piece of equipment for sale in the United States or
otherwise introduces a new nonroad engine into commerce in the United
States. This includes importers who import engines, equipment, or
vehicles for resale. (Note: In Sec. 1039.626, the term ``equipment
manufacturer'' has a more narrow meaning; that narrow meaning only
applies to that section.)
Marine engine means an engine that someone installs or intends to
install on a marine vessel. There are two kinds of marine engines:
[[Page 28582]]
(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 means a vehicle that is capable of operation in water
but is not capable of operation out of water. Amphibious vehicles are
not marine vessels.
Maximum engine power means the measured maximum brake power output
of an engine. The maximum engine power of an engine configuration is
the average maximum engine power of the engines within the
configuration. The maximum engine power of an engine family is the
highest maximum engine power of the engine configurations within the
family. (Note: Sec. 1039.230 generally prohibits grouping engines from
different power categories in the same engine family.)
Maximum test speed has the meaning we give in 40 CFR 1065.515.
Maximum test torque has the meaning we give in 40 CFR 1065.1001.
Model year means one of the following things:
(1) For freshly manufactured engines (see definition of ``new
nonroad engine,'' paragraph (1)), model year means one of the
following:
(i) Calendar year.
(ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
(2) For an engine that is converted to a nonroad engine after being
placed into service in a motor vehicle, model year means the calendar
year in which the engine was originally produced (see definition of
``new nonroad engine,'' paragraph (2)).
(3) For a nonroad engine excluded under Sec. 1039.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced
(see definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment. This installation
date is based on the time that final assembly of the equipment is
complete (see definition of ``new nonroad engine,'' paragraph (4)).
(5) For an engine modified by an importer (not the original engine
manufacturer) who has a certificate of conformity for the imported
engine (see definition of ``new nonroad engine,'' paragraph (5)), model
year means one of the following:
(i) The calendar year in which the importer finishes modifying and
labeling the engine.
(ii) Your annual production period for producing engines if it is
different than the calendar year; follow the guidelines in paragraph
(1)(ii) of this definition.
(6) For an engine you import that does not meet the criteria in
paragraphs (1) through (5) of the definition of ``new nonroad engine,''
model year means the calendar year in which the engine manufacturer
completed the original assembly of the engine. In general, this applies
to used equipment that you import without conversion or major
modification.
Motor vehicle has the meaning we give in 40 CFR 85.1703(a). In
general, motor vehicle means a self-propelled vehicle that can
transport one or more people or any material, but doesn't include any
of the following:
(1) Vehicles having a maximum ground speed over level, paved
surfaces no higher than 40 km per hour (25 miles per hour).
(2) Vehicles that lack features usually needed for safe, practical
use on streets or highways--for example, safety features required by
law, a reverse gear (except for motorcycles), or a differential.
(3) Vehicles whose operation on streets or highways would be
unsafe, impractical, or highly unlikely. Examples are vehicles with
tracks instead of wheels, very large size, or features associated with
military vehicles, such as armor or weaponry.
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
vehicle might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is no longer new when the ultimate
purchaser receives this title or the product is placed into service,
whichever comes first.
(2) An engine originally manufactured as a motor vehicle engine
that is later intended to be used in a piece of nonroad equipment. In
this case, the engine is no longer a motor vehicle engine and becomes a
``new nonroad engine''. The engine is no longer new when it is placed
into nonroad service.
(3) A nonroad engine that has been previously placed into service
in an application we exclude under Sec. 1039.5, where that engine is
installed in a piece of equipment for which these exclusions do not
apply. The engine is no longer new when it is placed into nonroad
service. For example, this would apply to a stationary engine that is
no longer used in a stationary application.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
The engine is no longer new when the ultimate purchaser receives a
title for the equipment or the product is placed into service,
whichever comes first. This generally includes installation of used
engines in new equipment.
(5) An imported nonroad engine covered by a certificate of
conformity issued under this part, where someone other than the
original engine manufacturer modifies the engine after its initial
assembly and holds the certificate. The engine is no longer new when it
is placed into nonroad service.
(6) An imported nonroad engine that is not covered by a certificate
of conformity issued under this part at the time of importation. This
addresses uncertified engines and vehicles that have been placed into
service in other countries and that someone seeks to import into the
United States. Importation of this kind of new nonroad engine (or
vehicle containing such an engine) is generally prohibited by 40 CFR
part 1068.
New nonroad equipment means either of the following things:
(1) A nonroad vehicle or other piece of equipment for which the
ultimate purchaser has never received the equitable or legal title. The
product is no longer new when the ultimate purchaser receives this
title or the product is placed into service, whichever comes first.
(2) An imported nonroad piece of equipment with an engine not
covered by a certificate of conformity issued under this part at the
time of importation and manufactured after the date for applying the
requirements of this part.
Noncommercial fuel means a fuel that is not marketed or sold as a
commercial product. For example, this includes methane produced and
released from landfills or oil wells.
Noncompliant engine means an engine that was originally covered by
a certificate of conformity, but is not in the certified configuration
or otherwise does not comply with the conditions of the certificate.
Nonconforming engine means an engine not covered by a certificate
of
[[Page 28583]]
conformity that would otherwise be subject to emission standards.
Nonmethane hydrocarbon means the difference between the emitted
mass of total hydrocarbons and the emitted mass of methane.
Nonroad means relating to nonroad engines or equipment that
includes nonroad engines.
Nonroad engine has the meaning given in 40 CFR 1068.30. In general
this means all internal-combustion engines except motor vehicle
engines, stationary engines, or engines used solely for competition.
This part does not apply to all nonroad engines (see Sec. 1039.5).
Nonroad equipment means a vehicle or piece of equipment that is
powered by one or more nonroad engines.
Nonroad equipment manufacturer means any person engaged in
manufacturing or assembling new nonroad vehicles or equipment or
importing such vehicles or equipment for resale. This includes any
person who acts for and is under the control of any such person in
connection with distributing 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 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 under the control of the same person are considered to be a
single nonroad equipment manufacturer.
Official emission result means the measured emission rate for a
test engine on a given duty cycle before the application of any
deterioration factor, but after the applicability of regeneration
adjustment factors.
Opacity means the fraction of a beam of light, expressed in
percent, which fails to penetrate a plume of smoke.
Oxides of nitrogen has the meaning given it in 40 CFR part 1065.
Particulate trap means a filtering device that is designed to
physically trap all particulate matter above a certain size.
Placed into service means used for its intended purpose.
Point of first retail sale means the location at which the retail
sale occurs. This generally means a dealership.
Power category means a specific range maximum engine power that
defines the applicability of standards. For example, the 56-130 kW
power category includes all engines with maximum power of at least 56
kW but less than 130 kW. See Sec. 1039.101 for a list of specific
power categories. (Note: In some cases, FEL caps are based on
subcategories of power categories.)
Rated speed means the maximum full load governed speed for governed
engines and the speed of maximum horsepower for ungoverned engines.
Revoke means to discontinue the certificate for an engine family.
If we revoke a certificate, you must apply for a new certificate before
continuing to produce the affected engines. This does not apply to
engines you no longer possess.
Round means to round numbers according to ASTM E29-02 (incorporated
by reference in Sec. 1039.810), unless otherwise specified.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems that is
periodically needed to keep a part from failing or malfunctioning. It
also may mean actions you expect are necessary to correct an overt
indication of failure or malfunction for which periodic maintenance is
not appropriate.
Small-volume engine manufacturer means an engine manufacturer that
had engine families certified to meet the requirements of 40 CFR part
89 before 2003 and had annual U.S.-directed production of no more than
2,500 units in 2002 and all earlier calendar years. For manufacturers
owned by a parent company, the limit applies to the production of the
parent company and all of its subsidiaries.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Suspend means to temporarily discontinue the certificate for an
engine family. If we suspend a certificate, you may not sell engines
from that engine family unless we reinstate the certificate or approve
a new one.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an engine family for emission testing.
Tier 1 means relating to the Tier 1 emission standards, as shown in
40 CFR 89.112.
Tier 2 means relating to the Tier 2 emission standards, as shown in
40 CFR 89.112.
Tier 3 means relating to the Tier 3 emission standards, as shown in
40 CFR 89.112.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 1039.101. This includes the emission standards for all pollutants
if an engine is subject to Tier 4 emission standards for any pollutant.
For example, this includes the Tier 3 HC+NOX standard during
the phase-in period when engines are subject to the Tier 4 PM standard.
Total hydrocarbon means the combined mass organic compounds
measured by our total hydrocarbon test procedure, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as petroleum-fueled engine hydrocarbons. The
hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
Ultimate purchaser means, with respect to any new nonroad equipment
or new nonroad engine, the first person who in good faith purchases
such new nonroad equipment or new nonroad engine for purposes other
than resale.
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.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years. It is the period during which a new nonroad engine is
required to comply with all applicable emission standards. See Sec.
1039.101(g).
Variable-speed engine means an engine that is not a constant-speed
engine.
Void means to invalidate a certificate or an exemption. If we void
a certificate, all the engines produced under that engine family for
that model year are
[[Page 28584]]
considered noncompliant, and you are liable for each engine produced
under the certificate and may face civil or criminal penalties or both.
This applies equally to all engines in the engine family including
engines produced before we voided the certificate. If we void an
exemption, all the engines produced under that exemption are considered
uncertified (or nonconforming), and you are liable for each engine
produced under the exemption and may face civil or criminal penalties
or both. You may not produce any additional engines using the voided
exemption.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 psi.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.
Sec. 1039.805 What symbols, acronyms, and abbreviations does this
part use?
The following symbols, acronyms, and abbreviations apply to this
part:
[deg]C degrees Celsius.
ASTM American Society for Testing and Materials.
cc cubic centimeters.
CFR Code of Federal Regulations.
CI compression-ignition.
cm centimeter.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/kW-hr grams per kilowatt-hour.
HC hydrocarbon.
ISO International Organization for Standardization.
kPa kilopascals.
kW kilowatts.
m meters.
MIL malfunction-indicator light.
mm Hg millimeters of mercury.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen (NO and NO2).
psi pounds per square inch of absolute pressure.
psig pounds per square inch of gauge pressure.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SI spark-ignition.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
TRU transportation refrigeration unit
U.S.C. United States Code.
Sec. 1039.810 What materials does this part 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 the Office of the Federal
Register, 800 N. Capitol St., NW., 7th Floor, Suite 700, Washington,
DC.
(a) ASTM material. Table 1 of Sec. 1039.810 lists material from
the American Society for Testing and Materials 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 American Society for Testing and Materials, 100 Barr Harbor
Dr., West Conshohocken, PA 19428. Table 1 follows:
Table 1 of Sec. 1039.810.--ASTM Materials
------------------------------------------------------------------------
Part 1039
Document number and name reference
------------------------------------------------------------------------
ASTM E29-02, Standard Practice for Using Significant Digits 1039.801
in Test Data to Determine Conformance with Specifications.
------------------------------------------------------------------------
(b) SAE material. Table 2 of Sec. 1039.810 lists material from the
Society of Automotive Engineering that we have incorporated by
reference. The first column lists the number and name of the material.
The second column lists the sections of this part where we reference
it. Anyone may purchase copies of these materials from the Society of
Automotive Engineers, 400 Commonwealth Drive, Warrendale, PA 15096.
Table 2 follows:
Table 2 of Sec. 1039.810.--SAE Materials
------------------------------------------------------------------------
Part 1039
Document number and name reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic Terms, 1039.135
Definitions, Abbreviations, and Acronyms, May 1998.
------------------------------------------------------------------------
Sec. 1039.815 How should I request EPA to keep my information
confidential?
(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method. We will store
your confidential information as described in 40 CFR part 2. Also, we
will disclose it only as specified in 40 CFR part 2.
(b) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever
we need to release information from it.
(c) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.
Sec. 1039.820 How do I request a hearing?
See 40 CFR part 1068, subpart G, for information related to
hearings.
Appendix I to Part 1039.--Nonroad Compression-Ignition (CI) Steady-State
Cycle for Constant-Speed Engines
------------------------------------------------------------------------
Minimum
time in Weighting
Mode No. Engine speed Torque \1\ mode factors
(minutes)
------------------------------------------------------------------------
1......... Maximum test......... 100 3.0 0.05
2......... Maximum test......... 75 3.0 0.25
3......... Maximum test......... 50 3.0 0.30
4......... Maximum test......... 25 3.0 0.30
[[Page 28585]]
5......... Maximum test......... 10 3.0 0.10
------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test
speed.
Appendix II to Part 1039--[Reserved]
Appendix III to Part 1039.--Nonroad Compression-Ignition (CI) Steady-
State Cycle for Variable-Speed Engines With Maximum Power Below 19 kW
------------------------------------------------------------------------
Minimum
Observed time in Weighting
Mode No. Engine speed torque \1\ mode factors
(minutes)
------------------------------------------------------------------------
1......... Maximum text speed... 100 3.0 0.09
2......... Maximum test speed... 75 3.0 0.20
3......... Maximum test speed... 50 3.0 0.29
4......... Maximum test speed... 25 3.0 0.30
5......... Maximum test speed... 10 3.0 0.07
6......... Idle................. 0 3.0 0.05
------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test
speed.
Appendix IV to Part 1039--Nonroad Compression-Ignition (CI) Steady-state
Cycle for Variable-Speed Engines With Maximum Power at or Above 19 kW
------------------------------------------------------------------------
Minimum
Observed time in Weighting
Mode No. Engine speed torque \1\ mode factors
(minutes)
------------------------------------------------------------------------
1......... Maximum test speed... 100 3.0 0.15
2......... Maximum test speed... 75 3.0 0.15
3......... Maximum test speed... 50 3.0 0.15
4......... Maximum test speed... 10 3.0 0.10
5......... Intermediate test 100 3.0 0.10
speed.
6......... Intermediate test 75 3.0 0.10
speed.
7......... Intermediate test 50 3.0 0.10
speed.
8......... Idle................. 0 3.0 0.15
------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at the given
engine speed.
Appendix V to Part 1039.--Nonroad Compression-Ignition (CI) Transient
Cycle for Constant-Speed Engines
------------------------------------------------------------------------
Normalized Normalized
Time (s) speed torque
(percent) (percent)
------------------------------------------------------------------------
1............................................... 58 5
2............................................... 58 5
3............................................... 58 5
4............................................... 58 5
5............................................... 58 5
6............................................... 58 5
7............................................... 58 5
8............................................... 58 5
9............................................... 58 5
10.............................................. 58 5
11.............................................. 58 5
12.............................................. 58 5
13.............................................. 58 5
14.............................................. 58 5
15.............................................. 58 5
16.............................................. 58 5
17.............................................. 58 5
18.............................................. 58 5
19.............................................. 58 5
20.............................................. 58 5
21.............................................. 65 8
22.............................................. 72 11
23.............................................. 79 14
24.............................................. 86 17
25.............................................. 93 20
26.............................................. 93 20
27.............................................. 93 20
28.............................................. 93 20
29.............................................. 93 20
30.............................................. 93 20
31.............................................. 93 20
32.............................................. 94 20
33.............................................. 94 22
34.............................................. 94 23
35.............................................. 93 23
36.............................................. 93 25
37.............................................. 93 24
38.............................................. 94 23
39.............................................. 93 21
40.............................................. 94 21
41.............................................. 96 22
42.............................................. 95 19
43.............................................. 95 14
44.............................................. 95 10
45.............................................. 93 50
[[Page 28586]]
46.............................................. 93 36
47.............................................. 93 29
48.............................................. 93 26
49.............................................. 95 29
50.............................................. 95 26
51.............................................. 95 18
52.............................................. 95 14
53.............................................. 95 10
54.............................................. 95 9
55.............................................. 93 42
56.............................................. 93 42
57.............................................. 93 35
58.............................................. 93 29
59.............................................. 93 28
60.............................................. 93 28
61.............................................. 93 25
62.............................................. 93 28
63.............................................. 93 26
64.............................................. 93 26
65.............................................. 95 24
66.............................................. 95 17
67.............................................. 95 13
68.............................................. 95 10
69.............................................. 95 9
70.............................................. 94 51
71.............................................. 93 45
72.............................................. 93 42
73.............................................. 94 40
74.............................................. 93 30
75.............................................. 93 27
76.............................................. 93 25
77.............................................. 93 23
78.............................................. 93 22
79.............................................. 94 21
80.............................................. 93 20
81.............................................. 95 20
82.............................................. 95 19
83.............................................. 95 14
84.............................................. 95 11
85.............................................. 95 9
86.............................................. 95 8
87.............................................. 95 7
88.............................................. 95 7
89.............................................. 95 6
90.............................................. 95 6
91.............................................. 95 6
92.............................................. 95 6
93.............................................. 81 5
94.............................................. 93 53
95.............................................. 93 43
96.............................................. 93 35
97.............................................. 93 34
98.............................................. 93 29
99.............................................. 93 26
100............................................. 93 25
101............................................. 93 23
102............................................. 93 21
103............................................. 93 20
104............................................. 93 20
105............................................. 94 19
106............................................. 94 21
107............................................. 94 22
108............................................. 93 21
109............................................. 93 22
110............................................. 93 23
111............................................. 93 22
112............................................. 93 22
113............................................. 94 20
114............................................. 93 20
115............................................. 93 20
116............................................. 93 19
117............................................. 94 20
118............................................. 94 21
119............................................. 93 23
120............................................. 94 23
121............................................. 93 23
122............................................. 93 21
123............................................. 93 19
124............................................. 94 23
125............................................. 94 22
126............................................. 94 21
127............................................. 94 23
128............................................. 94 24
129............................................. 93 23
130............................................. 94 39
131............................................. 94 40
132............................................. 94 34
133............................................. 94 34
134............................................. 94 32
135............................................. 94 32
136............................................. 94 30
137............................................. 94 27
138............................................. 94 29
139............................................. 94 35
140............................................. 94 41
141............................................. 94 43
142............................................. 94 42
143............................................. 94 46
144............................................. 94 37
145............................................. 94 34
146............................................. 94 29
147............................................. 94 27
148............................................. 94 27
149............................................. 94 28
150............................................. 94 29
151............................................. 93 30
152............................................. 93 27
153............................................. 94 29
154............................................. 95 27
155............................................. 95 19
156............................................. 95 14
157............................................. 95 11
158............................................. 95 9
159............................................. 95 8
160............................................. 95 7
161............................................. 95 7
162............................................. 95 6
163............................................. 95 6
164............................................. 95 6
165............................................. 93 5
166............................................. 59 5
167............................................. 58 6
168............................................. 58 6
169............................................. 58 6
170............................................. 58 6
171............................................. 58 6
172............................................. 58 6
173............................................. 58 6
174............................................. 58 6
175............................................. 58 6
176............................................. 58 6
177............................................. 58 6
178............................................. 58 50
179............................................. 94 49
180............................................. 93 41
181............................................. 94 36
182............................................. 93 35
183............................................. 94 28
184............................................. 93 24
185............................................. 93 21
186............................................. 93 24
187............................................. 93 25
188............................................. 93 28
189............................................. 94 29
190............................................. 93 40
191............................................. 94 33
192............................................. 93 29
193............................................. 93 29
194............................................. 93 23
195............................................. 93 24
196............................................. 93 21
197............................................. 93 32
198............................................. 93 29
199............................................. 94 32
200............................................. 93 32
201............................................. 93 28
202............................................. 94 35
203............................................. 93 30
204............................................. 94 27
205............................................. 94 26
206............................................. 94 23
207............................................. 93 31
208............................................. 94 27
209............................................. 94 23
210............................................. 94 28
211............................................. 94 41
212............................................. 93 56
213............................................. 93 43
214............................................. 93 37
215............................................. 93 35
216............................................. 94 33
217............................................. 93 29
218............................................. 94 25
219............................................. 94 23
220............................................. 94 23
221............................................. 94 20
222............................................. 94 29
223............................................. 94 34
224............................................. 93 27
225............................................. 94 28
226............................................. 94 34
227............................................. 93 34
228............................................. 94 29
229............................................. 92 49
230............................................. 94 43
231............................................. 94 39
232............................................. 94 35
233............................................. 93 54
234............................................. 94 50
235............................................. 94 40
236............................................. 94 33
237............................................. 94 37
238............................................. 94 41
239............................................. 93 31
240............................................. 94 25
241............................................. 94 22
242............................................. 94 22
243............................................. 94 26
[[Page 28587]]
244............................................. 94 26
245............................................. 94 34
246............................................. 96 30
247............................................. 95 71
248............................................. 94 52
249............................................. 93 42
250............................................. 93 40
251............................................. 93 32
252............................................. 94 31
253............................................. 94 27
254............................................. 94 27
255............................................. 94 28
256............................................. 93 24
257............................................. 94 23
258............................................. 94 28
259............................................. 93 29
260............................................. 93 23
261............................................. 93 26
262............................................. 94 21
263............................................. 93 21
264............................................. 93 24
265............................................. 94 25
266............................................. 94 25
267............................................. 94 34
268............................................. 93 35
269............................................. 93 27
270............................................. 93 23
271............................................. 93 26
272............................................. 93 23
273............................................. 93 25
274............................................. 94 23
275............................................. 93 22
276............................................. 94 26
277............................................. 94 26
278............................................. 93 29
279............................................. 94 29
280............................................. 94 28
281............................................. 94 23
282............................................. 94 45
283............................................. 93 37
284............................................. 94 29
285............................................. 94 28
286............................................. 95 27
287............................................. 95 19
288............................................. 95 14
289............................................. 95 11
290............................................. 95 9
291............................................. 95 8
292............................................. 95 7
293............................................. 93 52
294............................................. 93 42
295............................................. 93 40
296............................................. 93 35
297............................................. 94 35
298............................................. 93 36
299............................................. 94 39
300............................................. 94 38
301............................................. 94 30
302............................................. 94 35
303............................................. 94 35
304............................................. 94 36
305............................................. 94 30
306............................................. 93 27
307............................................. 94 27
308............................................. 94 33
309............................................. 94 29
310............................................. 94 25
311............................................. 94 28
312............................................. 95 26
313............................................. 94 95
314............................................. 94 101
315............................................. 93 92
316............................................. 93 64
317............................................. 93 49
318............................................. 94 41
319............................................. 93 37
320............................................. 93 31
321............................................. 94 26
322............................................. 94 36
323............................................. 93 29
324............................................. 93 23
325............................................. 93 21
326............................................. 94 28
327............................................. 93 26
328............................................. 94 35
329............................................. 93 51
330............................................. 94 43
331............................................. 93 33
332............................................. 93 29
333............................................. 96 27
334............................................. 95 22
335............................................. 93 64
336............................................. 93 46
337............................................. 93 37
338............................................. 93 31
339............................................. 93 33
340............................................. 94 33
341............................................. 93 30
342............................................. 93 26
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1126............................................ 94 67
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1129............................................ 93 29
1130............................................ 93 28
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1135............................................ 93 31
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1138............................................ 93 31
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1157............................................ 93 34
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1160............................................ 93 31
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1162............................................ 93 31
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1164............................................ 93 23
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1166............................................ 93 36
1167............................................ 93 32
1168............................................ 93 25
1169............................................ 93 31
1170............................................ 93 33
1171............................................ 93 33
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1176............................................ 86 28
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1190............................................ 58 5
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1195............................................ 58 5
1196............................................ 58 5
1197............................................ 58 5
1198............................................ 58 5
1199............................................ 58 5
------------------------------------------------------------------------
Appendix VI to Part 1039.--Nonroad Compression-Ignition (CI) Composite
Transient Cycle
------------------------------------------------------------------------
Normalized Normalized
Time (s) speed torque
(percent) (percent)
------------------------------------------------------------------------
1............................................... 0 0
2............................................... 0 0
3............................................... 0 0
4............................................... 0 0
5............................................... 0 0
6............................................... 0 0
7............................................... 0 0
8............................................... 0 0
9............................................... 0 0
10.............................................. 0 0
11.............................................. 0 0
12.............................................. 0 0
13.............................................. 0 0
14.............................................. 0 0
15.............................................. 0 0
16.............................................. 0 0
17.............................................. 0 0
18.............................................. 0 0
19.............................................. 0 0
20.............................................. 0 0
21.............................................. 0 0
22.............................................. 0 0
23.............................................. 0 0
[[Page 28592]]
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25.............................................. 1 3
26.............................................. 1 3
27.............................................. 1 3
28.............................................. 1 3
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30.............................................. 1 6
31.............................................. 1 6
32.............................................. 2 1
33.............................................. 4 13
34.............................................. 7 18
35.............................................. 9 21
36.............................................. 17 20
37.............................................. 33 42
38.............................................. 57 46
39.............................................. 44 33
40.............................................. 31 0
41.............................................. 22 27
42.............................................. 33 43
43.............................................. 80 49
44.............................................. 105 47
45.............................................. 98 70
46.............................................. 104 36
47.............................................. 104 65
48.............................................. 96 71
49.............................................. 101 62
50.............................................. 102 51
51.............................................. 102 50
52.............................................. 102 46
53.............................................. 102 41
54.............................................. 102 31
55.............................................. 89 2
56.............................................. 82 0
57.............................................. 47 1
58.............................................. 23 1
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68.............................................. 9 21
69.............................................. 25 56
70.............................................. 64 26
71.............................................. 60 31
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73.............................................. 62 24
74.............................................. 64 8
75.............................................. 58 44
76.............................................. 65 10
77.............................................. 65 12
78.............................................. 68 23
79.............................................. 69 30
80.............................................. 71 30
81.............................................. 74 15
82.............................................. 71 23
83.............................................. 73 20
84.............................................. 73 21
85.............................................. 73 19
86.............................................. 70 33
87.............................................. 70 34
88.............................................. 65 47
89.............................................. 66 47
90.............................................. 64 53
91.............................................. 65 45
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94.............................................. 69 39
95.............................................. 69 39
96.............................................. 66 42
97.............................................. 71 29
98.............................................. 75 29
99.............................................. 72 23
100............................................. 74 22
101............................................. 75 24
102............................................. 73 30
103............................................. 74 24
104............................................. 77 6
105............................................. 76 12
106............................................. 74 39
107............................................. 72 30
108............................................. 75 22
109............................................. 78 64
110............................................. 102 34
111............................................. 103 28
112............................................. 103 28
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1105............................................ 103 13
1106............................................ 103 11
1107............................................ 103 11
1108............................................ 103 13
1109............................................ 103 10
1110............................................ 103 10
1111............................................ 103 11
1112............................................ 103 10
1113............................................ 103 10
1114............................................ 102 18
1115............................................ 102 31
1116............................................ 101 24
1117............................................ 102 19
1118............................................ 103 10
1119............................................ 102 12
1120............................................ 99 56
1121............................................ 96 59
1122............................................ 74 28
1123............................................ 66 62
1124............................................ 74 29
1125............................................ 64 74
1126............................................ 69 40
1127............................................ 76 2
1128............................................ 72 29
1129............................................ 66 65
1130............................................ 54 69
1131............................................ 69 56
1132............................................ 69 40
1133............................................ 73 54
1134............................................ 63 92
1135............................................ 61 67
1136............................................ 72 42
1137............................................ 78 2
1138............................................ 76 34
1139............................................ 67 80
1140............................................ 70 67
1141............................................ 53 70
1142............................................ 72 65
1143............................................ 60 57
1144............................................ 74 29
1145............................................ 69 31
1146............................................ 76 1
1147............................................ 74 22
1148............................................ 72 52
1149............................................ 62 96
1150............................................ 54 72
1151............................................ 72 28
1152............................................ 72 35
1153............................................ 64 68
1154............................................ 74 27
1155............................................ 76 14
1156............................................ 69 38
1157............................................ 66 59
1158............................................ 64 99
1159............................................ 51 86
1160............................................ 70 53
1161............................................ 72 36
1162............................................ 71 47
1163............................................ 70 42
1164............................................ 67 34
1165............................................ 74 2
1166............................................ 75 21
1167............................................ 74 15
1168............................................ 75 13
1169............................................ 76 10
1170............................................ 75 13
1171............................................ 75 10
1172............................................ 75 7
1173............................................ 75 13
1174............................................ 76 8
1175............................................ 76 7
1176............................................ 67 45
1177............................................ 75 13
1178............................................ 75 12
1179............................................ 73 21
1180............................................ 68 46
1181............................................ 74 8
1182............................................ 76 11
1183............................................ 76 14
1184............................................ 74 11
1185............................................ 74 18
1186............................................ 73 22
1187............................................ 74 20
1188............................................ 74 19
1189............................................ 70 22
1190............................................ 71 23
1191............................................ 73 19
1192............................................ 73 19
1193............................................ 72 20
1194............................................ 64 60
1195............................................ 70 39
1196............................................ 66 56
1197............................................ 68 64
1198............................................ 30 68
1199............................................ 70 38
1200............................................ 66 47
1201............................................ 76 14
1202............................................ 74 18
1203............................................ 69 46
1204............................................ 68 62
1205............................................ 68 62
1206............................................ 68 62
1207............................................ 68 62
1208............................................ 68 62
1209............................................ 68 62
1210............................................ 54 50
1211............................................ 41 37
[[Page 28598]]
1212............................................ 27 25
1213............................................ 14 12
1214............................................ 0 0
1215............................................ 0 0
1216............................................ 0 0
1217............................................ 0 0
1218............................................ 0 0
1219............................................ 0 0
1220............................................ 0 0
1221............................................ 0 0
1222............................................ 0 0
1223............................................ 0 0
1224............................................ 0 0
1225............................................ 0 0
1226............................................ 0 0
1227............................................ 0 0
1228............................................ 0 0
1229............................................ 0 0
1230............................................ 0 0
1231............................................ 0 0
1232............................................ 0 0
1233............................................ 0 0
1234............................................ 0 0
1235............................................ 0 0
1236............................................ 0 0
1237............................................ 0 0
1238............................................ 0 0
------------------------------------------------------------------------
PART 1065--TEST PROCEDURES AND EQUIPMENT
65. The authority citation for part 1065 continues to read as
follows:
Authority: 42 U.S.C. 7401-7671(q).
66. Section 1065.1 is amended by revising paragraph (a) and
removing and reserving paragraph (b)(6) to read as follows:
Sec. 1065.1 Applicability.
(a) This part describes the procedures that apply to testing that
we require for the following engines or for equipment using the
following engines:
(1) Large nonroad spark-ignition engines we regulate under 40 CFR
part 1048.
(2) Vehicles that we regulate under 40 CFR part 1051 (i.e.,
recreational SI vehicles) that are regulated based on engine testing.
See 40 CFR part 1051 to determine which vehicles may be certified based
on engine test data.
(3) Land-based nonroad compression-ignition engines we regulate
under 40 CFR part 1039.
* * * * *
67. Section 1065.10 is amended by revising paragraph (c)(3) to read
as follows:
Sec. 1065.10 Other test procedures.
* * * * *
(c) * * *
(3) You may ask to use alternate procedures that produce
measurements equivalent to those from the specified procedures. If you
send us a written request showing your procedures are equivalent, and
we agree that they are equivalent, we will allow you to use them. You
may not use an alternate procedure until we approve them, either by:
Telling you directly that you may use this procedure; or issuing
guidance to all manufacturers, which allows you to use the alternate
procedure without additional approval. You may use the statistical
procedures specified in 40 CFR 86.1306-07(d) to demonstrate
equivalence.
* * * * *
68. Section 1065.115 is added to read as follows:
Sec. 1065.115 Exhaust gas sampling system; compression-ignition
engines.
Use the exhaust-gas sampling system specified in 40 CFR 86.1310 to
measure emissions from compression-ignition nonroad engines.
69. Section 1065.205 is added to read as follows:
Sec. 1065.205 Test fuel specifications for distillate diesel fuel.
Petroleum distillate diesel fuel used as a test fuel must meet the
following specifications:
----------------------------------------------------------------------------------------------------------------
Item ASTM test method No. Type 2-D
----------------------------------------------------------------------------------------------------------------
(i) Cetane Number...................... .......................... D613 40-50
(ii) Cetane Index...................... .......................... D976 40-50
(iii) Distillation range:
(A) IBP............................ [deg]C.................... D86 171-204
(B) 10 pct. point.................. [deg]C.................... D86 204-238
(C) 50 pct. point.................. [deg]C.................... D86 243-282
(D) 90 pct. point.................. [deg]C.................... D86 293-332
(E) EP............................. [deg]C.................... D86 D321-366
(iv) Gravity........................... [deg]API.................. D287 32-37
(v) Total sulfur....................... ppm....................... D2622 7-15
(vi) Hydrocarbon composition: (A) pct....................... D5186 10
Aromatics, minimum (Remainder shall be
paraffins, naphthenes, and olefins).
(vii) Flashpoint, min.................. [deg]C.................... D93 54
(viii) Viscosity....................... centistokes............... D445 2.0-3.2
----------------------------------------------------------------------------------------------------------------
70. Section 1065.310 is amended to read as follows:
Sec. 1065.310 CVS calibration.
Use the procedures of 40 CFR 86.1319-90 to calibrate the CVS.
71. Section 1065.405 is amended by revising paragraph (b) to read
as follows:
Sec. 1065.405 Preparing and servicing a test engine.
* * * * *
(b) Run the test engine, with all emission-control systems
operating, long enough to stabilize emission levels.
(1) For SI engines, if you accumulate 50 hours of operation, you
may consider emission levels stable without measurement.
(2) For CI engines, if you accumulate 125 hours of operation, you
may consider emission levels stable without measurement.
* * * * *
72. Section 1065.530 is amended by revising paragraph (b)(3)(iii)
and Table 1 and adding a new Table 2 and paragraph (d) to read as
follows:
Sec. 1065.530 Test cycle validation criteria.
* * * * *
(b) * * *
(3) * * *
(iii) For a valid test, make sure the feedback cycle's integrated
brake kilowatt-hour is within 5 percent of the reference cycle's
integrated brake kilowatt-hour. Also, ensure that the
[[Page 28599]]
slope, intercept, standard error, and coefficient of determination meet
the criteria in the following tables (you may delete individual points
from the regression analyses, consistent with good engineering
judgment):
Table 1 of Sec. 1065.530.--Statistical Criteria for Validating Test Cycles for Spark-Ignition Engines
----------------------------------------------------------------------------------------------------------------
Speed Torque Power
----------------------------------------------------------------------------------------------------------------
1. Slope of the regression line (m).. 0.950 to 1.030......... 0.830 to 1.030......... 0.880 to 1.030.
2. Y intercept of the regression line [bond]b[bond]
<= 50 rpm [bond]b[bond]
<= 5.0 [bond]b[bond] <= 3.0
(b). percent of maximum percent of maximum
torque from power map. torque from power map.
3. Standard error of the estimate of 100 rpm................ 15 percent of maximum 10 percent of maximum
Y on X (SE). torque from power map. power from power map.
4. Coefficient of determination (r 2) r \2\ £= r \2\ £= r \2\ £=
0.970. 0.880. 0.900.
----------------------------------------------------------------------------------------------------------------
Table 2 of Sec. 1065.530.--Statistical Criteria for Validating Test Cycles for Compression-Ignition Engines
----------------------------------------------------------------------------------------------------------------
Speed Torque Power
----------------------------------------------------------------------------------------------------------------
1. Slope of the regression line (m).. 0.950 to 1.030......... 0.830 to 1.030 (hot); 0.890 to 1.030 (hot);
0.77 to 1.03 (cold). 0.870 to 1.030 (cold).
2. Y intercept of the regression line [bond]b[bond]
<= 50 rpm [bond]b[bond]
<= 20 Nm [bond]b[bond] <= 40 kW
(b). or [bond]b[bond]
<= or [bond]b[bond]
<=
2.0 percent of maximum 3.0 percent of maximum
torque from power map, torque from power map,
whichever is greater. whichever is greater.
3. Standard error of the estimate of 100 rpm................ 13 percent of maximum 8 percent of maximum
Y on X (SE). torque from power map. power from power map.
4. Coefficient of determination (r r \2\ £= r \2\ £= r \2\ £=
\2\). 0.970. 0.880 (hot); r \2\ = 0.850 (cold). thn-eq>= 0.850 (cold).
----------------------------------------------------------------------------------------------------------------
* * * * *
(d) Transient testing with constant-speed engines. For constant-
speed engines with installed governor operating over a transient duty
cycle, the test cycle validation criteria in this section apply to
engine-torque values but not engine-speed values.
73. Section 1065.615 is amended by revising paragraphs (c) and (d)
to read as follows:
Sec. 1065.615 Bag sample calculations.
* * * * *
(c) Calculate total brake work (kW-hr) done during the emissions
sampling period of each segment or mode and then weight it by the
applicable test cycle weighting factors.
(d) Calculate emissions in g/kW-hr by dividing the total weighted
mass emission rate (g/test) by the total cycle-weighted brake work for
the test.
* * * * *
74. Section 1065.620 is added to read as follows:
Sec. 1065.620 Continuous sample analysis and calculations.
Use the sample analysis procedures and calculations of 40 CFR
subpart N for continuous samples.
75. Section 1065.701 is added to read as follows:
Sec. 1065.701 Particulate measurements.
Use the particulate sampling system and procedures specified in 40
CFR part 86 subpart N to measure particulate emissions from
compression-ignition nonroad engines.
76. Section 1065.910 is revised to read as follows:
Sec. 1065.910 Measurement accuracy and precision.
Measurement systems used for field testing have accuracy and
precision comparable to those of dynamometer testing. Measurement
systems that conform to the provisions of Sec. Sec. 1065.915 through
1065.950 are deemed to be in compliance with the accuracy and precision
requirements of paragraph of this section. If you use other field
testing measurement systems you need to have documentation indicating
that it is comparable to a dynamometer system.
(a) The two systems must be calibrated independently to NIST
traceable standards or equivalent national standards for this
comparison. We may approve the us of other standards. Calculations of
emissions results for this test should be consistent with the field
testing data reduction scheme for both the in-use equipment and the
dynamometer equipment, and each complete test cycle will be considered
one ``summing interval'', Si as defined in the field-testing data
reduction scheme.
(b) While other statistical analyses may be acceptable, we
recommend that the comparison be based on a minimum of seven (7)
repeats of colocated and simultaneous tests. Perform this comparison
over the applicable steady-state and transient test cycles using an
engine that is fully warmed up such that its coolant temperature is
thermostatically controlled. If there is no applicable transient test
cycle, use the applicable steady-state cycle. Anyone who intends to
submit an alternative comparison is encouraged to first contact EPA
Office of Transportation and Air Quality, Assessment and Standards
Division to discuss the applicant's intended statistical analysis. The
Division may provide further guidance specific to the appropriate
statistical analysis for the respective application.
(c) The following statistical tests are suggested. If the
comparison is paired, it must demonstrate that the alternate system
passes a two-sided, paired t-test. If the test is unpaired, it must
demonstrate that the alternate system passes a two-sided, unpaired t-
test. The average of these tests for the reference system must return
results less than or equal to the applicable emissions standard. The t-
test is performed as follows, where ``n'' equals the number of tests:
(1) Calculate the average of the in-use system results; this is
Iavg.
(2) Calculate the average of the results of the system to which the
in-use system was Referenced; this is Ravg.
(3) Calculate the ``n-1'' standard deviations for the in-use and
reference averages; these are Isd and Rsd respectively. Form the F
ratio: F = (Isd/Rsd) 2. F must be less than the critical F value, Fcrit
at a 95% confidence interval for ``n-1'' degrees of freedom. Table 1 of
this section lists 95% confidence interval Fcrit values for n-1 degrees
of freedom. Note that nA represents the number of alternate
system samples, while nR represents the number of reference
system samples.
(4) For an unpaired comparison, calculate the t-value:
[[Page 28600]]
[GRAPHIC]
[TIFF OMITTED]
TP23MY03.016
(5) For a paired comparison, calculate the ``n-1'' standard
deviation (squared) of the differences, di, between the
paired results, where ``i'' represents the ith test of n number of
tests:
[GRAPHIC]
[TIFF OMITTED]
TP23MY03.017
(6) For a paired comparison, calculate the t-value:
[GRAPHIC]
[TIFF OMITTED]
TP23MY03.018
(d) The absolute value of t must be less than the critical t value,
tcrit at a 95% confidence interval for ``n-1'' degrees of
freedom. Table 2 of this section lists 95% confidence interval
tcrit values for n-1 degrees of freedom.
Table 1 of Sec. 1065.910.--95% Confidence Interval Critical F Values for F-Test
--------------------------------------------------------------------------------------------------------------------------------------------------------
nR-1 nI-1 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20
--------------------------------------------------------------------------------------------------------------------------------------------------------
6...................................... ..... 4.284 4.207 4.147 4.099 4.06 4.027 4 3.976 3.956 3.938 3.922 3.908 3.896 3.884 3.874
7...................................... ..... 3.866 3.787 3.726 3.677 3.637 3.603 3.575 3.55 3.529 3.511 3.494 3.48 3.467 3.455 3.445
8...................................... ..... 3.581 3.5 3.438 3.388 3.347 3.313 3.284 3.259 3.237 3.218 3.202 3.187 3.173 3.161 3.15
9...................................... ..... 3.374 3.293 3.23 3.179 3.137 3.102 3.073 3.048 3.025 3.006 2.989 2.974 2.96 2.948 2.936
10..................................... ..... 3.217 3.135 3.072 3.02 2.978 2.943 2.913 2.887 2.865 2.845 2.828 2.812 2.798 2.785 2.774
11..................................... ..... 3.095 3.012 2.948 2.896 2.854 2.818 2.788 2.761 2.739 2.719 2.701 2.685 2.671 2.658 2.646
12..................................... ..... 2.996 2.913 2.849 2.796 2.753 2.717 2.687 2.66 2.637 2.617 2.599 2.583 2.568 2.555 2.544
13..................................... ..... 2.915 2.832 2.767 2.714 2.671 2.635 2.604 2.577 2.554 2.533 2.515 2.499 2.484 2.471 2.459
14..................................... ..... 2.848 2.764 2.699 2.646 2.602 2.565 2.534 2.507 2.484 2.463 2.455 2.428 2.413 2.4 2.388
15..................................... ..... 2.79 2.707 2.641 2.588 2.544 2.507 2.475 2.448 2.424 2.403 2.385 2.368 2.353 2.34 2.328
16..................................... ..... 2.741 2.657 2.591 2.538 2.494 2.456 2.425 2.397 2.373 2.352 2.333 2.317 2.302 2.288 2.276
17..................................... ..... 2.699 2.614 2.548 2.494 2.45 2.413 2.381 2.353 2.329 2.308 2.289 2.272 2.257 2.243 2.23
18..................................... ..... 2.661 2.577 2.51 2.456 2.412 2.374 2.342 2.314 2.29 2.269 2.25 2.233 2.217 2.203 2.191
19..................................... ..... 2.628 2.544 2.477 2.423 2.378 2.34 2.308 2.28 2.256 2.234 2.215 2.198 2.182 2.168 2.155
20..................................... ..... 2.599 2.514 2.447 2.393 2.348 2.31 2.278 2.25 2.225 2.203 2.184 2.167 2.151 2.137 2.124
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table 2 of Sec. 1065.910.--95% Confidence Interval Critical T Values
for T-Test
------------------------------------------------------------------------
n-1 tcrit
------------------------------------------------------------------------
6............................................................ 2.45
7............................................................ 2.36
8............................................................ 2.31
9............................................................ 2.26
10........................................................... 2.23
11........................................................... 2.20
12........................................................... 2.18
13........................................................... 2.16
14........................................................... 2.14
15........................................................... 2.13
16........................................................... 2.12
17........................................................... 2.11
18........................................................... 2.10
19........................................................... 2.09
20........................................................... 2.09
------------------------------------------------------------------------
PART 1068--GENERAL COMPLIANCE PROVISIONS FOR NONROAD PROGRAMS
77. The authority citation for part 1068 continues to read as
follows:
Authority: 42 U.S.C. 7401-7671(q).
78. Section 1068.1 is amended by revising paragraph (a), removing
and reserving paragraph (b)(5), and adding paragraph (e) to read as
follows:
Sec. 1068.1 Does this part apply to me?
(a) The provisions of this part apply to everyone with respect to
the following engines and to equipment using the following engines
(including owners, operators, parts manufacturers, and persons
performing maintenance).
(1) Large nonroad spark-ignition engines we regulate under 40 CFR
part 1048.
(2) Recreational SI engines and vehicles that we regulate under 40
CFR part 1051 (such as snowmobiles and off-highway motorcycles).
(3) Land-based nonroad diesel engines that we regulate under 40 CFR
part 1039.
* * * * *
(e)(1) The provisions of Sec. Sec. 1068.30, 1068.310, and 1068.320
apply for stationary spark-ignition engines beginning January 1, 2004,
and for stationary compression-ignition engines beginning January 1,
2006.
(2) The provisions of Sec. Sec. 1068.30 and 1068.235 apply for the
types of engines listed in paragraph (a) of this section beginning
January 1, 2004, where they are used solely for competition.
79. Section 1068.27 is added to read as follows:
Sec. 1068.27 May EPA conduct testing with my production engines?
If we request it, you must make a reasonable number of production-
line engines available for a reasonable time so we can test or inspect
them for compliance with the requirements of this chapter.
80. Section 1068.30 is amended by adding in alphabetical order a
definition of ``Aftertreatment'' to read as follows:
Sec. 1068.30 What definitions apply to this part?
* * * * *
Aftertreatment means relating to any system, component, or
technology mounted downstream of the exhaust valve or exhaust port
whose design function is to reduce exhaust emissions.
* * * * *
81. Section 1068.101 is amended by revising paragraph (a)(1) and
adding paragraph (b)(6) to read as follows:
Sec. 1068.101 What general actions does this regulation prohibit?
(a) * * *
(1) You may not sell, offer for sale, or introduce or deliver into
commerce in the United States or import into the United States any new
engine or equipment after emission standards take effect for that
engine or equipment, unless it has a valid certificate of conformity
for its model year and the required label or tag. You also may not take
any of the actions listed in the previous sentence with respect to any
equipment containing an engine subject to this part's provisions,
unless the engine has a valid and appropriate certificate of conformity
and the required engine label or tag. For purposes of this paragraph
(a)(1), an appropriate certificate of conformity is one that applies
for the same model year as the model year of the equipment (except as
allowed by Sec. 1068.105(a)), covers the appropriate category of
engines (such as locomotive or CI marine), and conforms to all
requirements specified for equipment in the standard-setting part. This
requirements of this paragraph (a)(1) also cover new engines you
produce to replace an older engine in a piece of equipment, unless the
engine qualifies for the replacement-engine exemption in Sec.
1068.240. We may assess a civil
[[Page 28601]]
penalty up to $31,500 for each engine in violation.
* * * * *
(b) * * *
(6) You must meet your obligation to honor your emission-related
warranty under Sec. 1068.115 and to fulfill any applicable
responsibilities to recall engines under Sec. 1068.505. Failure to
meet these obligations is prohibited. We may assess a civil penalty up
to $31,500 for each engine in violation.
* * * * *
82. Section 1068.105 is amended by adding introductory text and
revising paragraph (c) to read as follows:
Sec. 1068.105 What other provisions apply to me specifically if I
manufacture equipment needing certified engines?
This section describes general provisions that apply to equipment
manufacturers. See the standard-setting part for any requirements that
apply for certain applications.
* * * * *
(c) Attaching a duplicate label. If you obscure the engine's label,
you must do four things to avoid violating Sec. 1068.101(a)(1):
(1) Send a request for duplicate labels in writing with your
company's letterhead to the engine manufacturer. Include the following
information in your request:
(i) Identify the type of equipment and the specific engine and
equipment models needing duplicate labels.
(ii) Identify the engine family (from the original engine label).
(iii) State the reason that you need a duplicate label for each
equipment model.
(iv) Identify the number of duplicate labels you will need.
(2) Permanently attach the duplicate label to your equipment by
securing it to a part needed for normal operation and not normally
requiring replacement. Make sure an average person can easily read it.
(3) Destroy any unused duplicate labels if you find that you will
not need them.
(4) Keep the following records for at least eight years after the
end of the model year identified on the engine label:
(i) Keep a copy of your written request.
(ii) Keep drawings or descriptions that show how you apply the
duplicate labels to your equipment.
(iii) Maintain a count of duplicate labels that you use or destroy.
* * * * *
83. Section 1068.210 is amended by revising paragraph (a) to read
as follows:
Sec. 1068.210 What are the provisions for exempting test engines?
(a) We may exempt engines that are not exempted under other
sections of this part that you will use for research, investigations,
studies, demonstrations, or training. This may include engines placed
into service if the primary purpose is to develop a fundamentally new
emission-control technology related either to an alternative fuel or an
aftertreatment device.
* * * * *
84. Section 1068.215 is amended by revising paragraph (c)(3)(iii)
to read as follows:
Sec. 1068.215 What are the provisions for exempting manufacturer-
owned engines?
* * * * *
(c) * * *
(3) * * *
(iii) Engine displacement, engine family identification (as
applicable), and model year of the engine or whom to contact for
further information.
* * * * *
85. Section 1068.220 is amended by revising paragraph (e)(3) to
read as follows:
Sec. 1068.220 What are the provisions for exempting display engines?
* * * * *
(e) * * *
(3) Engine displacement, engine family identification (as
applicable), and model year of the engine or whom to contact for
further information.
* * * * *
86. Section 1068.310 is amended by revising the introductory text
and paragraphs (a) and (b) to read as follows:
Sec. 1068.310 What are the exclusions for imported engines?
Engines or equipment that are not subject to our emission standards
are not subject to the restrictions on imports in Sec. 1068.301(b). If
you show us that your engines qualify under one of the paragraphs of
this section, we will approve your request to import such excluded
engines. You must have our approval to import an engine under paragraph
(a) of this section. You may, but are not required to request our
approval to import the engines under paragraph (b) or (c) of this
section. The following engines are excluded:
(a) Engines used solely for competition. Engines you use solely for
competition are generally excluded from the restrictions on imports in
Sec. 1068.301(b), but only if they are properly labeled according to
Sec. 1068.320. The standard-setting part may set special provisions
for the manufacture, sale, or import of engines used solely for
competition. Section 1068.101(b)(4) prohibits using these excluded
engines for other purposes.
(b) Stationary engines. The definition of nonroad engine in 40 CFR
1068.30 does not include certain engines used in stationary
applications. Such engines are not subject to the restrictions on
imports in Sec. 1068.301(b), but only if they are properly labeled
according to Sec. 1068.320. Section 1068.101 restricts the use of
stationary engines for non-stationary purposes.
* * * * *
87. Section 1068.315 is amended by revising introductory text and
paragraph (a) and adding paragraph (f)(1)(iii) to read as follows:
Sec. 1068.315 What are the permanent exemptions for imported engines?
We may approve a permanent exemption from the restrictions on
imports under Sec. 1039.301(b) under the following conditions:
(a) National security exemption. You may import an engine under the
national security exemption in Sec. 1068.225, but only if they are
properly labeled according to Sec. 1068.320.
* * * * *
(f) * * *
(1) * * *
(iii) Land-based nonroad diesel engines (see part 1039 of this
chapter).
* * * * *
88. Section 1068.320 is amended by revising the section heading,
paragraph (a) introductory text, and paragraph (b)(4) to read as
follows:
Sec. 1068.320 How must I label an imported engine with an exclusion
or a permanent exemption?
(a) For engines imported under Sec. 1068.310(a) or (b) or Sec.
1068.315(a), you must place a permanent label or tag on each engine. If
no specific label requirements from the standard-setting part or from
subpart C of this part apply, you must meet the following requirements:
* * * * *
(b) * * *
(4) State:
THIS ENGINE IS EXEMPT FROM THE REQUIREMENTS OF [identify the part
referenced in 40 CFR 1068.1(a) that would otherwise apply], AS PROVIDED
IN [identify the paragraph authorizing the exemption (for example, ``40
CFR 1068.315(a)'')]. INSTALLING THIS ENGINE IN ANY DIFFERENT
APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
* * * * *
[[Page 28602]]
89. Section 1068.325 is amended by revising the introductory text
to read as follows:
Sec. 1068.325 What are the temporary exemptions for imported engines?
If we approve a temporary exemption from the restrictions on
importing an engine under Sec. 1039.301(b), you may import it under
the conditions in this section. We may ask the U.S. Customs Service to
require a specific bond amount to make sure you comply with the
requirements of this subpart. You may not sell or lease one of these
engines while it is in the United States. You must eventually export
the engine as we describe in this section unless you get a certificate
of conformity for it or it qualifies for one of the permanent
exemptions in Sec. 1068.315. Section 1068.330 specifies an additional
temporary exemption allowing you to import certain engines you intend
to sell or lease.
* * * * *
90. A new Sec. 1068.340 is added to read as follows:
Sec. 1068.340 What special provisions apply to Independent Commercial
Importers?
We generally consider engines to be new when they are imported into
the United States, even if they have previously been used outside the
country. See 40 CFR part 89, subpart G and 40 CFR 89.906(b) for special
provisions allowing Independent Commercial Importers to show that such
engines meet the requirements of the standard-setting part without the
full certification process.
91. Section 1068.501 is amended by revising paragraphs (b), (c)(1),
(e), (f), and (h), and adding paragraph (a)(7) to read as follows:
Sec. 1068.501 How do I report engine defects?
(a) * * *
(7) This section distinguishes between defects and possible defect.
A possible defect occurs anytime there is an indication that an
emission-related component might have a defect, as described in
paragraph (b)(1) of this section.
(b) Investigation of possible defects. If the number of engines
that have a possible defect, as defined by paragraph (b)(1) of this
section, exceed the thresholds specified in paragraph (e) of this
section, you must conduct an investigation to determine if an emission-
related component is actually defective.
(1) You must track warranty claims, parts shipments, and the other
information specified in paragraph (b)(1)(iii) of this section. You
must classify an engine component as having a possible defect if any of
the following is true:
(i) A warranty claim is submitted for the component, whether this
is under your emission-related warranty or any other warranty.
(ii) You ship a replacement component other than for normally
scheduled maintenance during the useful life of the engine.
(iii) You receive any other information indicating the component
may be defective, such as information from dealers or hot line
complaints.
(2) Your investigation must be prompt, thorough, consider all
relevant information, follow scientific and engineering principles, and
be designed to obtain all the information specified in paragraph (d) of
this section.
(3) Your investigation only needs to consider possible defects that
occur within the useful life period, or within five years after the end
of the model year, whichever is longer.
(4) You must continue your investigation until you are able to show
that components are not defective or you obtain all the information
specified for a defect report in paragraph (d) of this section. Send us
an updated defect report anytime you have significant additional
information.
(5) If a component with a possible defect is used in additional
engine families or model years, you must investigate whether the
component or part may be defective when used in these additional engine
families or model years, and include these results in any defect report
you send under paragraph (c) of this section.
(6) If your initial investigation concludes that the number of
engines with a defect is fewer than the thresholds specified in
paragraph (f) of this section, but other information later becomes
available that may show that the number of engines with a defect
exceeds these thresholds, then you must resume your investigation. If
you resume an investigation, you must include the information from the
earlier investigation to determine whether to send a defect report.
(c) * * *
(1) Your investigation shows that the number of engines with a
defect exceeds the thresholds specified in paragraph (f) of this
section. Send the defect report within 15 days after the date you
identify this number of defective engines. See paragraph (h) of this
section for reporting requirements that apply if the number of engines
with a defect does not exceed the thresholds in paragraph (f) of this
section.
* * * * *
(e) Thresholds for conducting a defect investigation. Unless the
standard-setting part specifies otherwise, you must begin a defect
investigation based on the following threshold values:
(1) For engine with rated power under 560 kW:
(i) When the component is a catalytic converter (or other
aftertreatment device), for one of the following number of engines that
may have the defect:
(A) For engine families with annual sales below 4,000 units: 20 or
more engines.
(B) For engine families with annual sales between 4,000 and 100,000
units: more than 2 percent of the total number of engines in the engine
family.
(C) For engine families with annual sales above 100,000 units:
2,000 or more engines.
(ii) When the emission-related component is anything but a
catalytic converter (or other aftertreatment device), for one of the
following number of engines that may have the defect:
(A) For engine families with annual sales below 4,000 units: 40 or
more engines.
(B) For engine families with annual sales between 4,000 and 100,000
units: more than 4 percent of the total number of engines in the engine
family.
(C) For engine families with annual sales above 100,000 units:
4,000 or more engines.
(2) For engine with rated power greater than or equal to 560 kW, if
the number of engines in an engine family that may have the defect
exceeds 1 percent of the total number of engines in the engine family
or 5 engines, whichever is greater.
(f) Thresholds for filing a defect report. You must send a defect
report based on the following threshold values:
(1) For engine with rated power under 560 kW:
(i) When the component is a catalytic converter (or other
aftertreatment device), for one of the following number of engines that
may have the defect:
(A) For engine families with annual sales below 4,000 units: 5 or
more engines.
(B) For engine families with annual sales between 4,000 and 100,000
units: more than 0.125 percent of the total number of engines in the
engine family.
(C) For engine families with annual sales above 100,000 units: 125
or more engines.
(ii) When the emission-related component is anything but a
catalytic converter (or other aftertreatment
[[Page 28603]]
device), for one of the following number of engines that may have the
defect:
(A) For engine families with annual sales below 4,000 units: 10 or
more engines.
(B) For engine families with annual sales between 4,000 and 100,000
units: more than 0.250 percent of the total number of engines in the
engine family.
(C) For engine families with annual sales above 100,000 units: 250
or more engines.
(2) For engine with rated power greater than or equal to 560 kW, if
the number of engines in an engine family that has the defect exceeds
0.5 percent of the total number of engines in the engine family or 2
engines, whichever is greater.
* * * * *
(h) Investigation reports. If you investigate possible defects
under paragraph (b) of this section and find that the number of engines
with a defect does not exceed the thresholds specified in paragraph (f)
of this section, you must send us a report supporting this conclusion.
Include the information specified in paragraph (d) of this section, or
explain why the information is not relevant. Send this report within 15
days after the date you reach this conclusion.
* * * * *
[FR Doc. 03-9737 Filed 5-22-03; 8:45 am]
BILLING CODE 6560-50-P
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