[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2019 Edition]
[From the U.S. Government Publishing Office]
[[Page i]]
Title 40
Protection of Environment
________________________
Parts 87 to 95
Revised as of July 1, 2017
Containing a codification of documents of general
applicability and future effect
As of July 1, 2017
Published by the Office of the Federal Register
National Archives and Records Administration as a
Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 40:
Chapter I--Environmental Protection Agency
(Continued) 3
Finding Aids:
Table of CFR Titles and Chapters........................ 701
Alphabetical List of Agencies Appearing in the CFR...... 721
List of CFR Sections Affected........................... 731
[[Page iv]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 40 CFR 87.1 refers
to title 40, part 87,
section 1.
----------------------------
[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
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Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
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collection request.
[[Page vi]]
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[[Page vii]]
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Oliver A. Potts,
Director,
Office of the Federal Register.
July 1, 2017.
[[Page ix]]
THIS TITLE
Title 40--Protection of Environment is composed of thirty-four
volumes. The parts in these volumes are arranged in the following order:
Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
end of part 60, sections), part 60 (Appendices), parts 61-62, part 63
(63.1-63.599), part 63 (63.600-63.1199), part 63 (63.1200-63.1439), part
63 (63.1440-63.6175), part 63 (63.6580-63.8830), part 63 (63.8980-end of
part 63) parts 64-71, parts 72-80, parts 81-84, part 85-Sec. 86.599-99,
part 86 (86.600-1-end of part 86), parts 87-95, parts 96-99, parts 100-
135, parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts
266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-789,
parts 790-999, and part 1000 to end. The contents of these volumes
represent all current regulations codified under this title of the CFR
as of July 1, 2017.
Chapter I--Environmental Protection Agency appears in all thirty-
four volumes. Regulations issued by the Council on Environmental
Quality, including an Index to Parts 1500 through 1508, appear in the
volume containing part 1000 to end. The OMB control numbers for title 40
appear in Sec. 9.1 of this chapter.
For this volume, Susannah C. Hurley was Chief Editor. The Code of
Federal Regulations publication program is under the direction of John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[Page 1]]
TITLE 40--PROTECTION OF ENVIRONMENT
(This book contains parts 87 to 95)
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Part
chapter i--Environmental Protection Agency (Continued)...... 87
[[Page 3]]
CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)
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Editorial Note: Nomenclature changes to chapter I appear at 65 FR
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001; and 69 FR
18803, Apr. 9, 2004.
SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part Page
87 Control of air pollution from aircraft and
aircraft engines........................ 5
88 Clean-fuel vehicles......................... 18
89 Control of emissions from new and in-use
nonroad compression-ignition engines.... 44
90 Control of emissions from nonroad spark-
ignition engines at or below 19
kilowatts............................... 176
91 Control of emissions from marine spark-
ignition engines........................ 306
92 Control of air pollution from locomotives
and locomotive engines.................. 414
93 Determining conformity of Federal actions to
State or Federal implementation plans... 559
94 Control of emissions from marine
compression-ignition engines............ 610
95 Mandatory patent licenses................... 694
[[Page 5]]
SUBCHAPTER C_AIR PROGRAMS (CONTINUED)
PART 87_CONTROL OF AIR POLLUTION FROM AIRCRAFT AND AIRCRAFT ENGINES
--Table of Contents
Subpart A_General Provisions
Sec.
87.1 Definitions.
87.2 Abbreviations.
87.3 General applicability and requirements.
87.4 [Reserved]
87.6 Aircraft safety.
87.8 Incorporation by reference.
Subpart B_Engine Fuel Venting Emissions (New and In-Use Aircraft Gas
Turbine Engines)
87.10 Applicability.
87.11 Standard for fuel venting emissions.
Subpart C_Exhaust Emissions (New Aircraft Gas Turbine Engines)
87.20 Applicability.
87.21 Exhaust emission standards for Tier 4 and earlier engines.
87.23 Exhaust emission standards for Tier 6 and Tier 8 engines.
Subpart D_Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)
87.30 Applicability.
87.31 Standards for exhaust emissions.
Subpart E_Certification Provisions
87.40 General certification requirement.
87.42 Production report to EPA.
87.46 Recordkeeping.
87.48 Derivative engines for emissions certification purposes.
Subpart F_Exemptions and Exceptions
87.50 Exemptions and exceptions.
Subpart G_Test Procedures
87.60 Testing engines.
87.64 Sampling and analytical procedures for measuring gaseous exhaust
emissions.
Authority: 42 U.S.C. 7401 et seq.
Source: 47 FR 58470, Dec. 30, 1982, unless otherwise noted.
Subpart A_General Provisions
Sec. 87.1 Definitions.
The definitions in this section apply to this part. The definitions
apply to all subparts. Any terms not defined in this section have the
meaning given in the Clean Air Act. The definitions follow:
Act means the Clean Air Act, as amended (42 U.S.C. 7401 et seq).
Administrator means the Administrator of the Environmental
Protection Agency and any other officer or employee of the Environmental
Protection Agency to whom authority involved may be delegated.
Aircraft has the meaning given in 14 CFR 1.1, which defines aircraft
to mean a device used or intended to be used for flight in the air. Note
that under Sec. 87.3, the requirements of this part generally apply only
to propulsion engines used on certain airplanes for which U.S.
airworthiness certificates are required.
Aircraft engine means a propulsion engine which is installed in or
which is manufactured for installation in an aircraft.
Aircraft gas turbine engine means a turboprop, turbofan, or turbojet
aircraft engine.
Characteristic level has the meaning given in Appendix 6 of ICAO
Annex 16 (as of July 2008). The characteristic level is a calculated
emission level for each pollutant based on a statistical assessment of
measured emissions from multiple tests.
Class TP means all aircraft turboprop engines.
Class TF means all turbofan or turbojet aircraft engines or aircraft
engines designed for applications that otherwise would have been
fulfilled by turbojet and turbofan engines except engines of class T3,
T8, and TSS.
Class T3 means all aircraft gas turbine engines of the JT3D model
family.
Class T8 means all aircraft gas turbine engines of the JT8D model
family.
Class TSS means all aircraft gas turbine engines employed for
propulsion of aircraft designed to operate at supersonic flight speeds.
[[Page 6]]
Commercial aircraft engine means any aircraft engine used or
intended for use by an ``air carrier,'' (including those engaged in
``intrastate air transportation'') or a ``commercial operator''
(including those engaged in ``intrastate air transportation'') as these
terms are defined in subtitle 7 of title 49 of the United States Code
and title 14 of the Code of Federal Regulations.
Commercial aircraft gas turbine engine means a turboprop, turbofan,
or turbojet commercial aircraft engine.
Date of introduction or introduction date means the date of
manufacture of the first individual production engine of a given engine
model or engine type certificate family to be certificated. This does
not include test engines or other engines not placed into service.
Date of manufacture means the date on which a manufacturer is issued
documentation by FAA (or other competent authority for engines
certificated outside the United States) attesting that the given engine
conforms to all applicable requirements. This date may not be earlier
that the date on which assembly of the engine is complete. Where the
manufacturer does not obtain such documentation from FAA (or other
competent authority for engines certificated outside the United States),
date of manufacture means the date of final assembly of the engine.
Derivative engine for emissions certification purposes means an
engine that has the same or similar emissions characteristics as an
engine covered by a U.S. type certificate issued under 14 CFR part 33.
These characteristics are specified in Sec. 87.48.
Designated EPA Program Officer means the Director of the Assessment
and Standards Division, 2000 Traverwood Drive, Ann Arbor, Michigan
48105.
DOT Secretary means the Secretary of the Transportation and any
other officer or employee of the Department of Transportation to whom
the authority involved may be delegated.
Engine means an individual engine. A group of identical engines
together make up an engine model or sub-model.
Engine model means an engine manufacturer's designation for an
engine grouping of engines and/or engine sub-models within a single
engine type certificate family, where such engines have similar design,
including being similar with respect to the core engine and combustor
designs.
Engine sub-model means a designation for a grouping of engines with
essentially identical design, especially with respect to the core engine
and combustor designs and other emission-related features. Engines from
an engine sub-model must be contained within a single engine model. For
purposes of this part, an original engine model configuration is
considered a sub-model. For example, if a manufacturer initially
produces an engine model designated ABC and later introduces a new sub-
model ABC-1, the engine model consists of two sub-models: ABC and ABC-1.
Engine type certificate family means a group of engines (comprising
one or more engine models, including sub-models and derivative engines
for emissions certification purposes of those engine models) determined
by FAA to have a sufficiently common design to be grouped together under
a type certificate.
EPA means the U.S. Environmental Protection Agency.
Except means to routinely allow engines to be produced and sold that
do not meet (or do not fully meet) otherwise applicable standards. (Note
that this definition applies only with respect to spare engines and that
the term ``except'' has its plain meaning in other contexts.) Excepted
engines must conform to regulatory conditions specified for an exception
in this part and other applicable regulations. Excepted 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 excepted with respect to certain standards must comply with
other standards from which they are not excepted.
Exempt means to allow (through a formal case-by-case process)
engines to be produced and sold that do not meet (or do not fully meet)
otherwise applicable standards. Exempted engines must conform to
regulatory conditions specified for an exemption in this part
[[Page 7]]
and other applicable regulations. 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 certain standards must comply with other
standards as a condition of the exemption.
Exhaust emissions means substances emitted to the atmosphere from
exhaust discharge nozzles, as measured by the test procedures specified
in subpart G of this part.
FAA means the U.S. Department of Transportation, Federal Aviation
Administration.
Fuel venting emissions means raw fuel, exclusive of hydrocarbons in
the exhaust emissions, discharged from aircraft gas turbine engines
during all normal ground and flight operations.
Good engineering judgment involves making decisions consistent with
generally accepted scientific and engineering principles and all
relevant information, subject to the provisions of 40 CFR 1068.5.
ICAO Annex 16 means Volume II of Annex 16 to the Convention on
International Civil Aviation (incorporated by reference in Sec. 87.8).
In-use aircraft gas turbine engine means an aircraft gas turbine
engine which is in service.
Military aircraft means aircraft owned by, operated by, or produced
for sale to the armed forces or other agency of the federal government
responsible for national security (including but not limited to the
Department of Defense) and other aircraft considered to be military
aircraft under international law and conventions.
New means relating to an aircraft or aircraft engine that has never
been placed into service.
Operator means any person or company that owns or operates an
aircraft.
Production cutoff date or date of the production cutoff means the
date on which interim phase-out allowances end.
Rated output (rO) means the maximum power/thrust available for
takeoff at standard day conditions as approved for the engine by FAA,
including reheat contribution where applicable, but excluding any
contribution due to water injection, expressed in kilowatts or
kilonewtons (as applicable) and rounded to at least three significant
figures.
Rated pressure ratio (rPR) means the ratio between the combustor
inlet pressure and the engine inlet pressure achieved by an engine
operating at rated output, rounded to at least three significant
figures.
Round has the meaning given in 40 CFR 1065.1001.
Smoke means the matter in exhaust emissions that obscures the
transmission of light, as measured by the test procedures specified in
subpart G of this part.
Smoke number means a dimensionless value quantifying smoke emissions
calculated in accordance with ICAO Annex 16.
Spare engine means an engine installed (or intended to be installed)
on an in-service aircraft to replace an existing engine and that is
excepted as described in Sec. 87.50(c).
Standard day conditions means the following ambient conditions:
temperature = 15 C, specific humidity = 0.00634 kg H2O/kg
dry air, and pressure = 101.325 kPa.
Subsonic means relating to aircraft that are not supersonic
aircraft.
Supersonic means relating to aircraft that are certificated to fly
faster than the speed of sound.
Tier 0 means relating to an engine that is subject to the Tier 0
NOX standards specified in Sec. 87.21.
Tier 2 means relating to an engine that is subject to the Tier 2
NOX standards specified in Sec. 87.21.
Tier 4 means relating to an engine that is subject to the Tier 4
NOX standards specified in Sec. 87.21.
Tier 6 means relating to an engine that is subject to the Tier 6
NOX standards specified in Sec. 87.23.
Tier 8 means relating to an engine that is subject to the Tier 8
NOX standards specified in Sec. 87.23.
Turbofan engine means a gas turbine engine designed to create its
propulsion from exhaust gases and from air that bypasses the combustion
process and is accelerated in a ducted space between the inner (core)
engine case and the outer engine fan casing.
[[Page 8]]
Turbojet engine means a gas turbine engine that is designed to
create all of its propulsion from exhaust gases.
Turboprop engine means a gas turbine engine that is designed to
create most of its propulsion from a propeller driven by a turbine,
usually through a gearbox.
Turboshaft engine means a gas turbine engine that is designed to
drive a rotor transmission system or a gas turbine engine not used for
propulsion.
U.S.-registered aircraft means an aircraft that is on the U.S.
Registry.
We (us, our) means the Administrator of the Environmental Protection
Agency and any authorized representatives.
[77 FR 36379, June 18, 2012]
Sec. 87.2 Abbreviations.
The abbreviations used in this part have the following meanings:
% percent
degree
CO carbon monoxide
CO2 carbon dioxide
g gram
HC hydrocarbon(s)
kN kilonewton
kW kilowatt
LTO landing and takeoff
NOX oxides of nitrogen
rO rated output
rPR rated pressure ratio
SN smoke number
[77 FR 36381, June 18, 2012]
Sec. 87.3 General applicability and requirements.
(a) The regulations of this part apply to engines on all aircraft
that are required to be certificated by FAA under 14 CFR part 33 except
as specified in this paragraph (a). These regulations do not apply to
the following aircraft engines:
(1) Reciprocating engines (including engines used in ultralight
aircraft).
(2) Turboshaft engines such as those used in helicopters.
(3) Engines used only in aircraft that are not airplanes. For
purposes of this paragraph (a)(3), ``airplane'' means a fixed-wing
aircraft that is heavier than air.
(4) Engines not used for propulsion.
(b) Under section 232 of the Act, the Secretary of Transportation
issues regulations to ensure compliance with the standards and related
requirements of this part (42 U.S.C. 7572).
(c) The Secretary of Transportation shall apply these regulations to
aircraft of foreign registry in a manner consistent with obligations
assumed by the United States in any treaty, convention or agreement
between the United States and any foreign country or foreign countries.
(d) No State or political subdivision of a State may adopt or
attempt to enforce any aircraft or aircraft engine standard respecting
emissions unless the standard is identical to a standard applicable to
such aircraft under this part (including prior-tier standards applicable
to exempt engines).
[77 FR 36381, June 18, 2012]
Sec. 87.4 [Reserved]
Sec. 87.6 Aircraft safety.
The provisions of this part will be revised if at any time the DOT
Secretary determines that an emission standard cannot be met within the
specified time without creating a hazard to aircraft safety.
[77 FR 36381, June 18, 2012]
Sec. 87.8 Incorporation by reference.
(a) Certain material is incorporated by reference into this part
with the approval of the Director of the Federal Register under 5 U.S.C.
552(a) and 1 CFR part 51. To enforce any edition other than that
specified in this section, the Environmental Protection Agency must
publish notice of change in the Federal Register and the material must
be available to the public. All approved material is available for
inspection at U.S. EPA, Air and Radiation Docket and Information Center,
1301 Constitution Ave. NW., Room B102, EPA West Building, Washington, DC
20460, (202) 202-1744, and is available from the sources listed below.
It is also available for inspection at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030 or go to http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html.
[[Page 9]]
(b) International Civil Aviation Organization, Document Sales Unit,
999 University Street, Montreal, Quebec, Canada H3C 5H7, (514) 954-8022,
www.icao.int, or [email protected].
(1) Annex 16 to the Convention on International Civil Aviation,
Environmental Protection, Volume II--Aircraft Engine Emissions, Third
Edition, July 2008 (ICAO Annex 16). IBR approved for Secs. 87.1,
87.42(c), and 87.60(a) and (b).
(2) [Reserved]
[77 FR 36381, June 18, 2012]
Subpart B_Engine Fuel Venting Emissions (New and In-Use Aircraft Gas
Turbine Engines)
Sec. 87.10 Applicability.
(a) The provisions of this subpart are applicable to all new
aircraft gas turbines of classes T3, T8, TSS and TF equal to or greater
than 36 kilonewton rated output, manufactured on or after January 1,
1974, and to all in-use aircraft gas turbine engines of classes T3, T8,
TSS and TF equal to or greater than 36 kilonewton rated output
manufactured after February 1, 1974.
(b) The provisions of this subpart are also applicable to all new
aircraft gas turbines of class TF less than 36 kilonewton rated output
and class TP manufactured on or after January 1, 1975 and to all in-use
aircraft gas turbines of class TF less than 36 kilonewton rated output
and class TP manufactured after January 1, 1975.
[49 FR 41002, Oct. 18, 1984]
Sec. 87.11 Standard for fuel venting emissions.
(a) No fuel venting emissions shall be discharged into the
atmosphere from any new or in-use aircraft gas turbine engine subject to
the subpart. This paragraph is directed at the elimination of
intentional discharge to the atmosphere of fuel drained from fuel nozzle
manifolds after engines are shut down and does not apply to normal fuel
seepage from shaft seals, joints, and fittings.
(b) Conformity with the standard set forth in paragraph (a) of this
section shall be determined by inspection of the method designed to
eliminate these emissions.
Subpart C_Exhaust Emissions (New Aircraft Gas Turbine Engines)
Sec. 87.20 Applicability.
The provisions of this subpart are applicable to all aircraft gas
turbine engines of the classes specified beginning on the dates
specified.
Sec. 87.21 Exhaust emission standards for Tier 4 and earlier engines.
This section describes the emission standards that apply for Tier 4
and earlier engines that apply for aircraft engines manufactured before
July 18, 2012 and certain engines exempted under Sec. 87.50. Note that
the tier of standards identified for an engine relates to NOX
emissions and that the specified standards for HC, CO, and smoke
emissions apply independent of the changes to the NOX
emission standards.
(a) Exhaust emissions of smoke from each new aircraft gas turbine
engine of class T8 manufactured on or after February 1, 1974, shall not
exceed: Smoke number of 30.
(b) Exhaust emissions of smoke from each new aircraft gas turbine
engine of class TF and of rated output of 129 kilonewtons thrust or
greater, manufactured on or after January 1, 1976, shall not exceed:
SN = 83.6(r0)-0.274 (r0 is in kilonewtons).
(c) Exhaust emission of smoke from each new aircraft gas turbine
engine of class T3 manufactured on or after January 1, 1978, shall not
exceed: Smoke number of 25.
(d) Gaseous exhaust emissions from each new commercial aircraft gas
turbine engine shall not exceed:
(1) Classes TF, T3, T8 engines greater than 26.7 kilonewtons rated
output:
(i) Engines manufactured on or after January 1, 1984:
Hydrocarbons: 19.6 grams/kilonewton rO.
(ii) Engines manufactured on or after July 7, 1997.
Carbon Monoxide: 118 grams/kilonewton rO.
[[Page 10]]
(iii) The following Tier 0 emission standard applies for engines of
a type or model of which the date of manufacture of the first individual
production model was on or before December 31, 1995 and for which the
date of manufacture of the individual engine was on or before December
31, 1999.
Oxides of Nitrogen: (40 + 2(rPR)) grams/kilonewton rO.
(iv) The following Tier 2 emission standard applies for engines of a
type or model of which the date of manufacture of the first individual
production model was after December 31, 1995 or for which the date of
manufacture of the individual engine was after December 31, 1999:
Oxides of Nitrogen: (32 + 1.6(rPR)) grams/kilonewton rO.
(v) The emission standards prescribed in paragraphs (d)(1) (iii) and
(iv) of this section apply as prescribed beginning July 7, 1997.
(vi) The following Tier 4 emission standards apply for engines of a
type or model of which the date of manufacture of the first individual
production model was after December 31, 2003:
(A) Engines with a rated pressure ratio of 30 or less:
(1) Engines with a maximum rated output greater than 89 kilonewtons:
Oxides of Nitrogen: (19 + 1.6(rPR)) grams/kilonewtons rO.
(2) Engines with a maximum rated output greater than 26.7
kilonewtons but not greater than 89 kilonewtons:
Oxides of Nitrogen: (37.572 + 1.6(rPR) ^ 0.2087(rO)) grams/
kilonewtons rO.
(B) Engines with a rated pressure ratio greater than 30 but less
than 62.5:
(1) Engines with a maximum rated output greater than 89 kilonewtons:
Oxides of Nitrogen: (7 + 2(rPR)) grams/kilonewtons rO.
(2) Engines with a maximum rated output greater than 26.7
kilonewtons but not greater than 89 kilonewtons:
Oxides of Nitrogen: (42.71 + 1.4286(rPR) ^ 0.4013(rO) + 0.00642(rPR
rO)) grams/kilonewtons rO.
(C) Engines with a rated pressure ratio of 62.5 or more:
Oxides of Nitrogen: (32 + 1.6(rPR)) grams/kilonewtons rO.
(vii) The emission standards prescribed in paragraph (d)(1)(vi) of
this section shall apply as prescribed beginning December 19, 2005.
(2) Class TSS: Engines manufactured on or after January 1, 1984:
Hydrocarbons = 140(0.92)\rPR\ grams/kilonewtons rO.
(e) Smoke exhaust emissions from each gas turbine engine of the
classes specified below shall not exceed:
(1) Class TF of rated output less than 26.7 kilonewtons manufactured
on or after August 9, 1985:
SN = 83.6(rO)-0.274 (rO is in kilonewtons) not to exceed a
maximum of SN = 50.
(2) Classes T3, T8, TSS and TF of rated output equal to or greater
than 26.7 kilonewtons manufactured on or after January 1, 1984:
SN = 83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a
maximum of SN = 50.
(3) Class TP of rated output equal to or greater than 1,000
kilowatts manufactured on or after January 1, 1984:
SN = 187(ro) -0.168 (ro is in kilowatts)
(f) The standards in this section refer to a composite emission
sample measured and calculated in accordance with the procedures
described in subpart G of this part.
[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62
FR 25365, May 8, 1997; 70 FR 69686, Nov. 17, 2005; 77 FR 36381, June 18,
2012]
Sec. 87.23 Exhaust emission standards for Tier 6 and Tier 8 engines.
This section describes the emission standards that apply for Tier 6
and Tier 8 engines. The standards of this section apply for aircraft
engines manufactured on or after July 18, 2012, except where we specify
that they apply differently by year, or where the engine is exempt from
one or more standards of this section. Except as specified in paragraph
(d) of this section, these standards apply based on the date the engine
is manufactured. Where a gaseous emission standard is specified by a
formula, calculate and round the standard to three significant figures
or to the nearest 0.1 g/kN (for standards at or above 100 g/kN). Where a
smoke
[[Page 11]]
standard is specified by a formula, calculate and round the standard to
the nearest 0.1 SN. Engines comply with an applicable standard if the
testing results show that the engine type certificate family's
characteristic level does not exceed the numerical level of that
standard, as described in Sec. 87.60. The tier of standards identified
for an engine relates to NOX emissions and that the specified
standards for HC, CO, and smoke emissions apply independent of the
changes to the NOX emission standards.
(a) New turboprop aircraft engines with rated output at or above
1,000 kilowatts must comply with a smoke standard of 187 .
rO-0.168.
(b) New supersonic engines must comply with the standards shown in
the following table:
Table 1 to Sec. 87.23--Smoke and Gaseous Emission Standards for New Supersonic Engines
----------------------------------------------------------------------------------------------------------------
HC (g/kN rated NOX (g/kN rated CO (g/kN rated
Rated output Smoke number output) output) output)
----------------------------------------------------------------------------------------------------------------
rO <26.7 kN..................... .................. 140 . 0.92rPR..... 36 + 2.42 . rPR... 4550 . rPR^1.03
rO $26.7 kN..................... 83.6 . rO^0.274 or 140 . 0.92rPR..... 36 + 2.42 . rPR... 4550 . rPR^1.03
50.0, whichever
is smaller.
----------------------------------------------------------------------------------------------------------------
(c) New turbofan or turbojet aircraft engines that are installed in
subsonic aircraft must comply with the following standards:
(1) The applicable smoke, HC, and CO standards are shown in the
following table:
Table 2 to Sec. 87.23--Smoke, HC, and CO Standards for New Subsonic Turbofan or Turbojet Engines
----------------------------------------------------------------------------------------------------------------
Gaseous emission standards (g/kN
rated output)
Rated output (kN) Smoke standard -----------------------------------
HC CO
----------------------------------------------------------------------------------------------------------------
rO <26.7 kN.............................. 83.6 . rO^0.274 or 50.0, ................
whichever is smaller.
rO $26.7 kN.............................. 83.6 . rO^0.274 or 50.0, 19.6 118
whichever is smaller.
----------------------------------------------------------------------------------------------------------------
(2) The Tier 6 NOX standards apply as described in this
paragraph (c)(2). See paragraph (d) of this section for provisions
related to models introduced before these standards started to apply and
engines determined to be derivative engines for emissions certification
purposes under the requirements of this part.
Table 3 to Sec. 87.23--Tier 6 NOX Standards for New Subsonic Turbofan
or Turbojet Engines With Rated Output Above 26.7 kN
------------------------------------------------------------------------
and the rated The NOX emission
If the rated pressure ratio output (in kN) standard (in g/kN
is-- is-- rated output) is--
------------------------------------------------------------------------
rPR 30........................ 26.7 89........... 16.72 + 1.4080.rPR
30 89........... ^1.04 + 2.0.rPR
rPR $82.6..................... all.............. 32 + 1.6.rPR
------------------------------------------------------------------------
(3) The Tier 8 NOX standards apply as described in this
paragraph (c)(3) beginning January 1, 2014. See paragraph (d) of this
section for provisions related to models introduced before January 1,
2014 apply and engines determined to be derivative engines for emissions
certification purposes under the requirements of this part.
[[Page 12]]
Table 4 to Sec. 87.23--Tier 8 NOX Standards for New Subsonic Turbofan
or Turbojet Engines With Rated Output Above 26.7 kN
------------------------------------------------------------------------
and the rated The NOX emission
If the rated pressure ratio output (in kN) standard (in g/kN
is-- is-- rated output) is--
------------------------------------------------------------------------
rPR 30........................ 26.7 89........... 7.88 + 1.4080.rPR
30 89........... ^9.88 + 2.0.rPR
rPR $104.7.................... all.............. 32 + 1.6.rPR
------------------------------------------------------------------------
(d) This paragraph (d) specifies phase-in provisions that allow
continued production of certain engines after the Tier 6 and Tier 8
standards begin to apply.
(1) Engine type certificate families certificated with
characteristic levels at or below the Tier 4 NOX standards of
Sec. 87.21 (as applicable based on rated output and rated pressure
ratio) and introduced before July 18, 2012 may be produced through
December 31, 2012 without meeting the Tier 6 NOX standards of
paragraph (c)(2) of this section. This also applies for engines that are
covered by the same type certificate and are determined to be derivative
engines for emissions certification purposes under the requirements of
this part. Note that after this production cutoff date for the Tier 6
NOX standards, such engines may be produced only if they are
covered by an exemption under Sec. 87.50. This production cutoff does
not apply to engines installed (or delivered for installation) on
military aircraft.
(2) Engine type certificate families certificated with
characteristic levels at or below the Tier 6 NOX standards of
paragraph (c)(2) of this section with an introduction date before
January 1, 2014 may continue to be produced. This also applies for
engines that are covered by the same type certificate and are determined
to be derivative engines for emissions certification purposes under the
requirements of this part.
(3) An engine manufacturer may produce up to six newly manufactured
Tier 4 engines on or after July 18, 2012, subject to the provisions of
this paragraph (d)(3). Tier 4 engines meeting the criteria of this
paragraph (d)(3) are excepted without request from the otherwise
applicable Tier 6 NOX emission standard. To be eligible for
this exception the engines must have a date of manufacture prior to
August 31, 2013 and be fully compliant with all requirements applicable
to Tier 4 engines. The manufacturer must include these engines in the
report required by Sec. 87.50. This exception is void for any
manufacturer that produces more than six excepted engines under this
paragraph.
[77 FR 36382, June 18, 2012, as amended at 77 FR 65823, Oct. 31, 2012]
Subpart D_Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)
Sec. 87.30 Applicability.
The provisions of this subpart are applicable to all in-use aircraft
gas turbine engines certified for operation within the United States of
the classes specified beginning on the dates specified.
Sec. 87.31 Standards for exhaust emissions.
(a) Exhaust emissions of smoke from each in-use aircraft gas turbine
engine of Class T8, beginning February 1, 1974, shall not exceed: Smoke
number of 30.
(b) Exhaust emissions of smoke from each in-use aircraft gas turbine
engine of class TF and of rated output of 129 kilonewtons thrust or
greater, beginning January 1, 1976, shall not exceed:
SN = 83.6(r0)-0.274 (r0 is in kilonewtons).
(c) The standards set forth in paragraphs (a) and (b) of this
section refer to exhaust smoke emissions emitted during operations of
the engine as specified in the applicable section of subpart H of this
part, and measured and calculated in accordance with the procedures set
forth in this subpart.
[47 FR 58470, Dec. 30, 1982, as amended at 48 FR 2718, Jan. 20, 1983]
[[Page 13]]
Subpart E_Certification Provisions
Source: 77 FR 36383, June 18, 2012, unless otherwise noted.
Sec. 87.40 General certification requirement.
Manufacturers of engines subject to this part must meet the
requirements of title 14 of the Code of Federal Regulations as
applicable.
Sec. 87.42 Production report to EPA.
Engine manufacturers must submit an annual production report as
specified in this section. This requirement applies for engines produced
on or after January 1, 2013.
(a) You must submit the report for each calendar year in which you
produce any engines subject to emission standards under this part. The
report is due by February 28 of the following calendar year. Note that
Sec. 87.64 requires you to report CO2 emission rates to EPA
in addition to NOX. Include these data in the report required
by this section. If you produce exempted or excepted engines, you may
submit a single report with information on exempted/excepted and
normally certificated engines.
(b) Send the report to the Designated EPA Program Officer.
(c) In the report, specify your corporate name and the year for
which you are reporting. Include information as described in this
section for each engine sub-model subject to emission standards under
this part. List each engine sub-model produced or certificated during
the calendar year, including the following information for each sub-
model:
(1) The type of engine (turbofan, turboprop, etc.) and complete sub-
model name, including any applicable model name, sub-model identifier,
and engine type certificate family identifier.
(2) The certificate under which it was produced. Identify all the
following:
(i) The type certificate number. Specify if the sub-model also has a
type certificate issued by a certificating authority other than FAA.
(ii) Your corporate name as listed in the certificate.
(iii) Emission standards to which the engine is certificated.
(iv) Date of issue of type certificate (month and year).
(v) Whether or not this is a derivative engine for emissions
certification purposes. If so, identify the original certificated engine
model.
(vi) The engine sub-model that received the original type
certificate for an engine type certificate family.
(3) Identify the combustor of the sub-model, where more than one
type of combustor is available.
(4) The calendar-year production volume of engines from the sub-
model that are covered by an FAA type certificate. Record zero for sub-
models with no engines produced during the calendar year, or state that
the engine model is no longer in production and list the date of
manufacture (month and year) of the last engine produced. Specify the
number of these engines that are intended for use on new aircraft and
the number that are intended for use as non-exempt engines on in-use
aircraft. For engines delivered without a final sub-model status and for
which the manufacturer has not ascertained the engine's sub-model when
installed before submitting its production report, the manufacturer may
do any of the following in its initial report, and amend it later:
(i) List the sub-model that was shipped or the most probable sub-
model.
(ii) List all potential sub-models.
(iii) State ``Unknown Sub-Model.''
(5) The number of engines tested and the number of test runs for the
applicable type certificate.
(6) The applicable test data and related information specified in
Part III, Section 2.4 of ICAO Annex 16 (incorporated by reference in
Sec. 87.8), except as otherwise allowed by this paragraph. For purposes
of this paragraph (c)(6), applicable test data means data required to
certify the engine sub-model, which would typically include
NOX, HC, CO and smoke number. However, applicable test data
would not include NOX, HC, or CO emissions for engines
subject to only smoke standards. Note that Sec. 87.64 also requires you
to report CO2 emissions. Specify thrust in kW for turboprop
engines. You may omit the following items specified in Part III, Section
2.4 of ICAO Annex 16:
[[Page 14]]
(i) Fuel specifications including fuel specification reference and
hydrogen/carbon ratio.
(ii) Methods used for data acquisition, correcting for ambient
conditions, and data analysis.
(iii) Intermediate emission indices and rates, however you may not
omit the final characteristic level for each regulated pollutant in
units of g/kN or g/kW.
(d) Clearly show what information 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. 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.
(e) Include the following signed statement and endorsement by an
authorized representative of your company: ``We submit this report under
40 CFR 87.42. All the information in this report is true and accurate to
the best of my knowledge.''
(f) Where information provided for the previous year remains valid
and complete, you may report your production volumes and state that
there are no changes, without resubmitting the other information
specified in this section.
Sec. 87.46 Recordkeeping.
(a) You must keep a copy of any reports or other information you
submit to us for at least three years.
(b) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we ask
for them. You must keep these records readily available. We may review
them at any time.
Sec. 87.48 Derivative engines for emissions certification purposes.
(a) General. A type certificate holder may request from the FAA a
determination that an engine configuration is considered a derivative
engine for emissions certification purposes. This would mean that the
engine configuration is determined to be similar in design to a
previously certificated engine (the ``original'' engine) for purposes of
compliance with exhaust emission standards (gaseous and smoke). In order
for the engine configuration to be considered a derivative engine for
emission purposes under this part, it must have been derived from an
original engine that was certificated to the requirements of 14 CFR part
33, and one of the following conditions must be met:
(1) The FAA determined that a safety issue exists that requires an
engine modification.
(2) Emissions from the derivative engines are determined to be
similar. In general, this means the emissions must meet the criteria
specified in paragraph (b) of this section. FAA may adjust these
criteria in unusual circumstances, consistent with good engineering
judgment.
(3) All of the regulated emissions from the derivative engine are
lower than the original engine.
(b) Emissions similarity. (1) The type certificate holder must
demonstrate that the proposed derivative engine model's emissions meet
the applicable standards and differ from the original model's emission
rates only within the following ranges:
(i) 3.0 g/kN for NOX.
(ii) 1.0 g/kN for HC.
(iii) 5.0 g/kN for CO.
(iv) 2.0 SN for smoke.
(2) If the characteristic level of the original certificated engine
model (or any other sub-models within the emission type certificate
family tested for certification) before modification is at or above 95%
of the applicable standard for any pollutant, you must measure the
proposed derivative engine model's emissions for all pollutants to
demonstrate that the derivative engine's resulting characteristic levels
will not exceed the applicable emission standards. If the characteristic
levels of the originally certificated engine model (and all other sub-
models within the emission type certificate family tested for
certification) are below 95% of the applicable standard for each
pollutant, then, you may use engineering analysis to demonstrate that
the derivative engine will not exceed the applicable emission standards,
consistent with
[[Page 15]]
good engineering judgment. The engineering analysis must address all
modifications from the original engine, including those approved for
previous derivative engines.
(c) Continued production allowance. Where we allow continued
production of an engine model after new standards begin to apply, you
may also produce engine derivatives if they conform to the
specifications of this section.
(d) Non-derivative engines. If the FAA determines that an engine
model does not meet the requirements for a derivative engine for
emissions certification purposes, the type certificate holder is
required to demonstrate that the engine complies with the emissions
standards applicable to a new engine type.
Subpart F_Exemptions and Exceptions
Source: 77 FR 36384, June 18, 2012, unless otherwise noted.
Sec. 87.50 Exemptions and exceptions.
This section specifies provisions related to exempting/excepting
engines from some or all of the standards and requirements of this part
87. Exempted/excepted engines must conform to regulatory conditions
specified for an exemption in this section and other applicable
regulations. Exempted/excepted 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/excepted
with respect to certain standards must comply with other standards.
Exemption requests under paragraph (a) of this section must be approved
by the FAA, with the written concurrence of EPA, to be effective.
Exemption requests under paragraph (b) of this section must be approved
only by the FAA to be effective. Exceptions do not require a case-by-
case FAA approval.
(a) Engines installed in new aircraft. Type certificate holders may
request an exemption to produce a limited number of newly manufactured
engines through December 31, 2016, to be installed in new aircraft as
specified in this paragraph (a). This exemption is limited to
NOX emissions from engines that are covered by a valid type
certificate issued by FAA.
(1) Submit your request for an exemption to the FAA before producing
the engines to be exempted, who will provide a copy to the Designated
EPA Program Officer. Exemption by an authority outside the United States
does not satisfy this requirement. Unless EPA and FAA allow otherwise,
all requests must include the following:
(i) Your corporate name and an authorized representative's contact
information.
(ii) A description of the engines for which you are requesting the
exemption including the type certificate number and date it was issued
by the FAA. Include in your description the engine model and sub-model
names and the types of aircraft in which the engines are expected to be
installed. Specify the number of engines that you would produce under
the exemption and the period during which you would produce them.
(iii) Information about the aircraft in which the engines will be
installed. Specify the airframe models and expected first purchasers/
users of the aircraft. Identify all countries in which you expect the
aircraft to be registered. Specify how many aircraft will be registered
in the United States and how many will be registered in other countries;
you may estimate this if it is not known.
(iv) A justification of why the exemption is appropriate.
Justifications must include a description of the environmental impact of
granting the exemption. Include other relevant information such as the
following:
(A) Technical issues, from an environmental and airworthiness
perspective, which may have caused a delay in compliance with a
production cutoff.
(B) Economic impacts on the manufacturer, operator(s), and aviation
industry at large.
(C) Environmental effects. This should consider the amount of
additional air pollutant emissions that will result from the exemption.
This could include consideration of items such as:
(1) The amount that the engine model exceeds the standard, taking
into account any other engine models in the engine type certificate
family
[[Page 16]]
covered by the same type certificate and their relation to the standard.
(2) The amount of the applicable air pollutant that would be emitted
by an alternative engine for the same application.
(3) The impact of changes to reduce the applicable air pollutant on
other environmental factors, including emission rates of other air
pollutants, community noise, and fuel consumption.
(4) The degree to which the adverse impact would be offset by
cleaner engines produced in the same time period (unless we decide to
consider earlier engines).
(D) Impact of unforeseen circumstances and hardship due to business
circumstances beyond your control (such as an employee strike, supplier
disruption, or calamitous events).
(E) Projected future production volumes and plans for producing a
compliant version of the engine model in question.
(F) Equity issues in administering the production cutoff among
economically competing parties.
(G) List of other certificating authorities from which you have
requested (or expect to request) exemptions, and a summary of the
request.
(H) Any other relevant factors.
(v) A statement signed by your authorized representative attesting
that all information included in the request is accurate.
(2) In consultation with the EPA, the FAA may specify additional
conditions for the exemption.
(3) You must submit the annual report specified in paragraph (d) of
this section.
(4) The permanent record for each engine exempted under this
paragraph (a) must indicate that the engine is an exempted new engine.
(5) Engines exempted under this paragraph (a) must be labeled with
the following statement: ``EXEMPT NEW''.
(6) You must notify the FAA if you determine after submitting your
request that the information is not accurate, either from an error or
from changing circumstances. If you believe the new or changed
information could have affected approval of your exemption (including
information that could have affected the number of engines we exempt),
you must notify the FAA promptly. The FAA will consult with EPA as
needed to address any concerns related to this new or corrected
information.
(b) Temporary exemptions based on flights for short durations at
infrequent intervals. The emission standards of this part do not apply
to engines which power aircraft operated in the United States for short
durations at infrequent intervals. Such operations are limited to:
(1) Flights of an aircraft for the purpose of export to a foreign
country, including any flights essential to demonstrate the integrity of
an aircraft prior to its flight to a point outside the United States.
(2) Flights to a base where repairs, alterations or maintenance are
to be performed, or to a point of storage, and flights for the purpose
of returning an aircraft to service.
(3) Official visits by representatives of foreign governments.
(4) Other flights the Secretary determines to be for short durations
at infrequent intervals. A request for such a determination shall be
made before the flight takes place.
(c) Spare engines. Newly manufactured engines meeting the definition
of ``spare engine'' are excepted as follows:
(1) This exception allows production of a newly manufactured engine
for installation on an in-service aircraft. It does not allow for
installation of a spare engine on a new aircraft.
(2) Each spare engine must be identical to a sub-model previously
certificated to meet all requirements applicable to Tier 4 engines or
later requirements.
(3) Spare engines excepted under this paragraph (c) may be used only
where the emissions of the spare engines are certificated to equal to or
lower emission standards than those of the engines they are replacing,
for all regulated pollutants.
(4) No prior approval is required to produce spare engines. Engine
manufacturers must include information about their production of spare
engines in the annual report specified in paragraph (d) of this section
(5) The permanent record for each engine excepted under this
paragraph (c)
[[Page 17]]
must indicate that the engine was produced as an excepted spare engine.
(6) Engines excepted under this paragraph (c) must be labeled with
the following statement: ``EXCEPTED SPARE''.
(d) Annual reports. If you produce engines with an exemption/
exception under this section, you must submit an annual report with
respect to such engines.
(1) You must send the Designated EPA Program Officer a report
describing your production of exempted/excepted engines for each
calendar year in which you produce such engines by February 28 of the
following calendar year. You may include this information in the
certification report described in Sec. 87.42. Confirm that the
information in your initial request is still accurate, or describe any
relevant changes.
(2) Provide the information specified in this paragraph (d)(2). For
purposes of this paragraph (d), treat spare engine exceptions separate
from other new engine exemptions. Include the following for each
exemption/exception and each engine model and sub-model:
(i) Engine model and sub-model names.
(ii) Serial number of each engine.
(iii) Use of each engine (for example, spare or new installation).
(iv) Types of aircraft in which the engines were installed (or are
intended to be installed for spare engines).
(v) Serial number of the new aircraft in which engines are installed
(if known), or the name of the air carriers (or other operators) using
spare engines.
(3) Include information in the report only for engines having a date
of manufacture within the specific calendar year.
Subpart G_Test Procedures
Sec. 87.60 Testing engines.
(a) Use the equipment and procedures specified in Appendix 3,
Appendix 5, and Appendix 6 of ICAO Annex 16 (incorporated by reference
in Sec. 87.8), as applicable, to demonstrate whether engines meet the
gaseous emission standards specified in subpart C of this part. Measure
the emissions of all regulated gaseous pollutants. Similarly, use the
equipment and procedures specified in Appendix 2 and Appendix 6 of ICAO
Annex 16 to determine whether engines meet the smoke standard specified
in subpart C of this part. The compliance demonstration consists of
establishing a mean value from testing some number of engines, then
calculating a ``characteristic level'' by applying a set of statistical
factors that take into account the number of engines tested. Round each
characteristic level to the same number of decimal places as the
corresponding emission standard. For turboprop engines, use the
procedures specified for turbofan engines, consistent with good
engineering judgment.
(b) Use a test fuel meeting the specifications described in Appendix
4 of ICAO Annex 16 (incorporated by reference in Sec. 87.8). The test
fuel must not have additives whose purpose is to suppress smoke, such as
organometallic compounds.
(c) Prepare test engines by including accessories that are available
with production engines if they can reasonably be expected to influence
emissions. The test engine may not extract shaft power or bleed service
air to provide power to auxiliary gearbox-mounted components required to
drive aircraft systems.
(d) Test engines must reach a steady operating temperature before
the start of emission measurements.
(e) In consultation with the EPA, the FAA may approve alternate
procedures for measuring emissions as specified in this paragraph (e).
This might include testing and sampling methods, analytical techniques,
and equipment specifications that differ from those specified in this
part. Manufacturers and operators may request this approval by sending a
written request with supporting justification to the FAA and to the
Designated EPA Program Officer. Such a request may be approved only if
one of the following conditions is met:
(1) The engine cannot be tested using the specified procedures.
(2) The alternate procedure is shown to be equivalent to or better
(e.g., more accurate or precise) than the specified procedure.
[[Page 18]]
(f) The following landing and take-off (LTO) cycles apply for
emission testing and calculating weighted LTO values:
Table 1 to Sec. 87.60--LTO Test Cycles
--------------------------------------------------------------------------------------------------------------------------------------------------------
Turboprop Subsonic turbofan Supersonic turbofan
------------------------------------------------------------------------------------------------
Mode Percent of Time in mode Percent of Time in mode Percent of Time in mode
rated output (minutes) rated output (minutes) rated output (minutes)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Take-off............................................... 100 0.5 100 0.7 100 1.2
Climb.................................................. 90 2.5 85 2.2 65 2.0
Descent................................................ .............. .............. .............. .............. 15 1.2
Approach............................................... 30 4.5 30 4.0 34 2.3
Taxi/ground idle....................................... 7 26.0 7 26.0 5.8 26.0
--------------------------------------------------------------------------------------------------------------------------------------------------------
(g) Engines comply with an applicable standard if the testing
results show that the engine type certificate family's characteristic
level does not exceed the numerical level of that standard, as described
in Sec. 87.60.
[77 FR 36386, June 18, 2012]
Sec. 87.64 Sampling and analytical procedures for measuring gaseous
exhaust emissions.
(a) [Reserved]
(b) Starting January 1, 2011, report CO2 values along
with your emission levels of regulated NOX to the
Administrator for engines of a type or model of which the date of
manufacture of the first individual production model was on or after
January 1, 2011. By January 1, 2011, report CO2 values along
with your emission levels of regulated NOX to the
Administrator for engines currently in production and of a type or model
for which the date of manufacture of the individual engine was before
January 1, 2011. Round CO2 to the nearest 1 g/kilonewton rO.
(c) Report CO2 by calculation from fuel mass flow rate
measurements in Appendices 3 and 5 to ICAO Annex 16, volume II or
alternatively, according to the measurement criteria of CO2
in Appendices 3 and 5 to ICAO Annex 16, volume II.
[74 FR 56374, Oct. 30, 2009, as amended at 77 FR 36386, June 18, 2012]
PART 88_CLEAN-FUEL VEHICLES--Table of Contents
Subpart A_Emission Standards for Clean-Fuel Vehicles
Sec.
88.101-94 General applicability.
88.102-94 Definitions.
88.103-94 Abbreviations.
88.104-94 Clean-fuel vehicle tailpipe emission standards for light-duty
vehicles and light-duty trucks.
88.105-94 Clean-fuel fleet emission standards for heavy-duty engines.
Subpart B_California Pilot Test Program
88.201-94 Scope.
88.202-94 Definitions.
88.203-94 Abbreviations.
88.204-94 Sales requirements for the California Pilot Test Program.
88.205-94 California Pilot Test Program Credits Program.
88.206-94 State opt-in for the California Pilot Test Program.
Tables to Subpart B of Part 88
Subpart C_Clean-Fuel Fleet Program
88.301-93 General applicability.
88.302-93 Definitions.
88.302-94 Definitions.
88.303-93 Abbreviations.
88.304-94 Clean-fuel Fleet Vehicle Credit Program.
88.305-94 Clean-fuel fleet vehicle labeling requirements for heavy-duty
vehicles.
88.306-94 Requirements for a converted vehicle to qualify as a clean-
fuel fleet vehicle.
88.307-94 Exemption from temporal transportation control measures for
CFFVs.
88.308-94 Programmatic requirements for clean-fuel fleet vehicles.
88.309 [Reserved]
88.310-94 Applicability to covered Federal fleets.
88.311-93 Emissions standards for Inherently Low-Emission Vehicles.
88.311-98 Emissions standards for Inherently Low-Emission Vehicles.
88.312-93 Inherently Low-Emission Vehicle labeling.
88.313-93 Incentives for the purchase of Inherently Low-Emission
Vehicles.
Tables to Subpart C of Part 88
[[Page 19]]
Authority: 42 U.S.C. 7410, 7418, 7581, 7582, 7583, 7584, 7586, 7588,
7589, 7601(a).
Source: 57 FR 60046, Dec. 17, 1992, unless otherwise noted.
Subpart A_Emission Standards for Clean-Fuel Vehicles
Sec. 88.101-94 General applicability.
The clean-fuel vehicle standards and provisions of this subpart are
applicable to vehicles used in subpart B of this part (the Clean Fuel
Fleet Program) and subpart C of this part (the California Pilot Test
Program).
[59 FR 50074, Sept. 30, 1994]
Sec. 88.102-94 Definitions.
Any terms defined in 40 CFR part 86 and not defined in this part
shall have the meaning given them in 40 CFR part 86, subpart A.
Adjusted Loaded Vehicle Weight is defined as the numerical average
of the vehicle curb weight and the GVWR.
Dual Fuel Vehicle (or Engine) means any motor vehicle (or motor
vehicle engine) engineered and designed to be operated on two different
fuels, but not on a mixture of the fuels.
Flexible Fuel Vehicle (or Engine) means any motor vehicle (or motor
vehicle engine) engineered and designed to be operated on any mixture of
two or more different fuels.
Heavy Light-Duty Truck means any light-duty truck rated greater than
6000 lbs. GVWR.
Light Light-Duty Truck means any light-duty truck rated through 6000
lbs GVWR.
Loaded Vehicle Weight is defined as the curb weight plus 300 lbs.
Low-Emission Vehicle means any light-duty vehicle or light-duty
truck conforming to the applicable Low-Emission Vehicle standard, or any
heavy-duty vehicle with an engine conforming to the applicable Low-
Emission Vehicle standard.
Non-methane Hydrocarbon Equivalent means the sum of the carbon mass
emissions of non-oxygenated non-methane hydrocarbons plus the carbon
mass emissions of alcohols, aldehydes, or other organic compounds which
are separately measured in accordance with the applicable test
procedures of 40 CFR part 86, expressed as gasoline-fueled vehicle non-
methane hydrocarbons. In the case of exhaust emissions, the hydrogen-to-
carbon ratio of the equivalent hydrocarbon is 1.85:1. In the case of
diurnal and hot soak emissions, the hydrogen-to-carbon ratios of the
equivalent hydrocarbons are 2.33:1 and 2.2:1 respectively.
Non-methane Organic Gas is defined as in section 241(3) Clean Air
Act as amended (42 U.S.C. 7581(3)).
Test Weight is defined as the average of the curb weight and the
GVWR.
Transitional Low-Emission Vehicle means any light-duty vehicle or
light-duty truck conforming to the applicable Transitional Low-Emission
Vehicle standard.
Ultra Low-Emission Vehicle means any light-duty vehicle or light-
duty truck conforming to the applicable Ultra Low-Emission Vehicle
standard, or any heavy-duty vehicle with an engine conforming to the
applicable Ultra Low-Emission Vehicle standard.
Zero-Emission Vehicle means any light-duty vehicle or light-
dutytruck conforming to the applicable Zero-Emission Vehicle standard,
or any heavy-duty vehicle conforming to the applicable Zero-Emission
Vehicle standard.
[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074,
Sept. 30, 1994]
Sec. 88.103-94 Abbreviations.
The abbreviations of part 86 also apply to this subpart. The
abbreviations in this section apply to all of part 88.
ALVW--Adjusted Loaded Vehicle Weight
CO--Carbon Monoxide
HCHO--Formaldehyde
HC--Hydrocarbon
HDV--Heavy-Duty Vehicle
LDT--Light-Duty Truck
LDV--Light-Duty Vehicle
NMHC--Non-Methane Hydrocarbon
NMHCE--Non-Methane Hydrocarbon Equivalent
NMOG--Non-Methane Organic Gas
NOx--Nitrogen Oxides
PM--Particulate Matter
GVWR--Gross Vehicle Weight Rating
LVW--Loaded Vehicle Weight
TW--Test Weight
TLEV--Transitional Low-Emission Vehicle
LEV--Low-Emission Vehicle
ULEV--Ultra Low-Emission Vehicle
[[Page 20]]
ZEV--Zero-Emission Vehicle
[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074,
Sept. 30, 1994]
Sec. 88.104-94 Clean-fuel vehicle tailpipe emission standards for
light-duty vehicles and light-duty trucks.
(a) A light-duty vehicle or light-duty truck will be considered as a
TLEV, LEV, ULEV, or ZEV if it meets the applicable requirements of this
section.
(b) Light-duty vehicles certified to the exhaust emission standards
for TLEVs, LEVs, and ULEVs in Tables A104-1 and A104-2 shall be
considered as meeting the requirements of this section for that
particular vehicle emission category for model years 1994-2000 for the
California Pilot Program.
(c) Light-duty vehicles certified to the exhaust emission standards
for LEVs and ULEVs in Tables A104-1 and A104-2 shall be considered as
meeting the requirements of this section for that particular vehicle
emission category for model years 2001 and later for the California
Pilot Program, and for model years 1998 and later for the Clean Fuel
Fleet Program.
(d) Light light-duty trucks certified to the exhaust emission
standards for a specific weight category for TLEVs, LEVs, and ULEVs in
Tables A104-3 and A104-4 shall be considered as meeting the requirements
of this section for that particular vehicle emission category. For model
years 1994-2000 for the California Pilot Program.
(e) Light Light-duty trucks certified to the exhaust emission
standards for a specific weight category for LEVs and ULEVs in Tables
A104-3 and A104-4 shall be considered as meeting the requirements of
this section for that particular vehicle emission category. For model
years 2001 and later for the California Pilot Program, and for model
years 1998 and later for the Clean Fuel Fleet Program.
(f) Heavy light-duty trucks certified to the exhaust emission
standards for a specific weight category of LEVs and ULEVs in Tables
A104-5 and A104-6 for model years 1998 and later shall be considered as
meeting the requirements of this section for that particular vehicle
emission category.
(g) A light-duty vehicle or light-duty truck shall be certified as a
ZEV if it is determined by engineering analysis that the vehicle
satisfies the following conditions:
(1) The vehicle fuel system(s) must not contain either carbon or
nitrogen compounds (including air) which, when burned, form any of the
pollutants listed in Table A104-1 as exhaust emissions.
(2) All primary and auxiliary equipment and engines must have no
emissions of any of the pollutants listed in Table A104-1.
(3) The vehicle fuel system(s) and any auxiliary engine(s) must have
no evaporative emissions in use.
(4) Any auxiliary heater must not operate at ambient temperatures
above 40 degrees Fahrenheit.
(h) NMOG standards for flexible- and dual-fueled vehicles when
operating on clean alternative fuel--(1) Light-duty vehicles, and light
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996
model year and later shall meet all standards in Table A104-7 for
vehicles of the applicable model year, loaded vehicle weight, and
vehicle emission category.
(2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs above 6,000 lbs. GVWR of 1998 model year and later shall
meet all standards in Table A104-8 for vehicles of the applicable test
weight and vehicle emission category.
(i) NMOG standards for flexible- and dual-fueled vehicles when
operating on conventional fuel--(1) Light-duty vehicles, and light
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996
model year and later shall meet all standards in Table A104-9 for
vehicles of the applicable model year, loaded vehicle weight, and
vehicle emission category.
(2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs of 1998 model year and later shall meet all standards in
Table A104-10 for vehicles of the applicable test weight and vehicle
emission category.
(j) Other standards for flexible- and dual-fueled vehicles. When
operating on clean alternative fuel, flexible- and dual- fueled light-
duty vehicles and light light-duty trucks must also meet the appropriate
standards for carbon
[[Page 21]]
monoxide, oxides of nitrogen, formaldehyde, and particulate matter as
designated in paragraphs (a) through (f) of this section as well as all
other applicable standards and requirements. When operating on
conventional fuel, flexible- and dual-fueled vehicles must also meet all
other applicable standards and requirements in 40 CFR part 86.
(k) Motor vehicles subject to standards and requirements of this
section shall also comply with all applicable standards and requirements
of 40 CFR part 86, except that any exhaust emission standards in 40 CFR
part 86 pertaining to pollutants for which standards are established in
this section shall not apply. For converted vehicles, the applicable
standards and requirements of 40 CFR part 86 and this part 88 shall
apply based on the model year in which the conversion is performed,
regardless of the model year in which the base vehicle was originally
manufactured prior to conversion.
(1) Gaseous-fueled, diesel-fueled, and electric clean-fuel vehicles
are waived from cold CO test requirements of subpart C of this part if
compliance is demonstrated by engineering analysis or test data.
(2) The standards in this section shall be administered and enforced
in accordance with the California Regulatory Requirements Applicable to
the Clean Fuel Fleet and California Pilot Programs, April 1, 1994, which
are incorporated by reference.
(i) This incorporation by reference was approved by the Director of
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part
51.
(ii) Copies may be inspected at U.S. EPA, OAR, 401 M St., SW.,
Washington, DC 20460, or at the National Archives and Records
Administration (NARA). For information on the availability of this
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal_register/code_of_federal_regulations/ibr_locations.html. Copies
of these materials may be obtained from Barclay's Law Publishers, 400
Oyster Point Boulevard, P.O. Box 3066, South San Francisco, CA 94080,
phone (415) 244-6611.
Tables to Sec. 88.104-94
Table A104-1--Intermediate Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission category NMOG CO NOX HCHO PM \1\
----------------------------------------------------------------------------------------------------------------
TLEV.............................. 0.125 3.4 0.4 0.015 ...........
LEV............................... \2\ .075 \2\ 3.4 .2 \2\ .015 ...........
ULEV.............................. .040 1.7 \2\ .2 .008 ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-2--Full Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission category NMOG CO NOX HCHO PM \1\
----------------------------------------------------------------------------------------------------------------
TLEV.............................. 0.156 4.2 0.6 0.018 0.08
LEV............................... \2\ 0.090 \2\ 4.2 .3 \2\ .018 \2\ .08
ULEV.............................. .055 2.1 \2\ .3 .011 .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-3--Intermediate Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX. HCHO, and
PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
LVW (lbs) category NMOG CO NOX HCHO PM \1\
----------------------------------------------------------------------------------------------------------------
0-3750................. TLEV.................. .125 3.4 .4 .015 ...........
LEV................... \2\ .075 \2\ 3.4 .2 \2\ .015 ...........
ULEV.................. .040 1.7 \2\ .2 .008 ...........
3751-5750.............. TLEV.................. 0.160 4.4 .7 .018 ...........
LEV................... \2\ .100 \2\ 4.4 .4 \2\ .018 ...........
[[Page 22]]
ULEV.................. .050 2.2 \2\ .4 .009 ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-4--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
LVW (lbs) category NMOG CO NOX HCHO PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................. TLEV.................. 0.156 4.2 0.6 0.018 0.08
LEV................... \2\ 0.090 \2\ 4.2 0.3 \2\.018 \2\.08
ULEV.................. .055 2.1 \2\.3 .011 .04
3751-5750.............. TLEV.................. .200 5.5 .9 .023 .08
LEV................... \2\.130 \2\5.5 .5 \2\.023 \2\.08
ULEV.................. .070 2.8 \2\.5 .013 .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-5--Intermediate Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX. HCHO, and
PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
ALVW (lbs) category NMOG CO NOX\2\ HCHO PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................. LEV................... \3\ 0.125 \3\ 3.4 0.4 \3\ 0.015
ULEV.................. .075 1.7 \3\.2 .008
3751-5750.............. LEV................... \3\.160 \3\ 4.4 .7 \3\.018
ULEV.................. .100 2.2 \3\.4 .009
5751-.................. LEV................... \3\.195 \3\ 5.0 1.1 \3\.022
ULEV.................. .117 2.5 \3\.6 .011
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Does not apply to diesel vehicles.
\3\ Applies to ILEVs.
Table A104-6--Full Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
Vehicle emission
ALVW (lbs) category NMOG CO NOX HCHO PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................. LEV................... \2\ 0.180 \2\ 5.0 0.6 \2\ 0.022 \2\ 0.08
ULEV.................. .107 2.5 \2\.3 .012 .04
3751-5750.............. LEV................... \2\.230 \2\ 6.4 1.0 \2\.027 \2\.10
ULEV.................. .143 3.2 \2\.5 .013 .05
5751-.................. LEV................... \2\.280 \2\ 7.3 1.5 \2\.032 \2\.12
ULEV.................. .167 3.7 \2\.8 .016 .06
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.
Table A104-7--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Clean Alternative Fuel for Light Light-Duty
Trucks and Light-Duty Vehicles
------------------------------------------------------------------------
50,000 mile 100,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
MY 1996 and later:
LDTs (0-3,750 lbs. LVW) and LDVs.......... 0.125 0.156
LDTs (3,751-5,750 lbs. LVW)............... .160 .200
Beginning MY 2001:
LDTs (0-3,750 lbs. LVW) and LDVs.......... .075 .090
LDTs (3,751-5,750 lbs. LVW)............... .100 .130
------------------------------------------------------------------------
[[Page 23]]
Table A104-8--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Clean Alternative Fuel for Heavy Light-Duty
Trucks
------------------------------------------------------------------------
50,000 mile 120,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
Beginning MY 1998:
LDTs (0-3,750 lbs. ALVW).................. 0.125 0.180
LDTs (3,751-5,750 lbs. ALVW).............. .160 .230
LDTs (5,751-8,500 lbs. ALVW).............. .195 .280
------------------------------------------------------------------------
Table A104-9--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
and Light-Duty Vehicles
------------------------------------------------------------------------
50,000 mile 100,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
Beginning MY 1996:
LDTs (0-3,750 lbs. LVW) and LDVs.......... 0.25 0.31
LDTs (3,751-5,750 lbs. LVW)............... .32 .40
Beginning MY 2001:
LDTs (0-3,750 lbs. LVW) and LDVs.......... .125 .156
LDTs (3,751-5,750 lbs. LVW)............... .160 .200
------------------------------------------------------------------------
Table A104-10--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
------------------------------------------------------------------------
50,000 mile 120,000
Vehicle type NMOG mile NMOG
standard standard
------------------------------------------------------------------------
Beginning MY 1998:
LDTs (0-3,750 lbs. ALVW).................. 0.25 0.36
LDTs (3,751-5,750 lbs. ALVW).............. .32 .46
LDTs (5,751-8,500 lbs. ALVW).............. .39 .56
------------------------------------------------------------------------
[59 FR 50074, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]
Sec. 88.105-94 Clean-fuel fleet emission standards for heavy-duty
engines.
(a) Exhaust emissions from engines used in heavy-duty low emission
vehicles shall meet one of the following standards:
(1) Combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.8
grams per brake horsepower-hour.
(2) Combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.5
grams per brake horsepower-hour when tested (certified) on fuel meeting
the specifications of California certification fuel.
(b) Exhaust emissions from engines used in heavy-duty low emission
vehicles shall meet conventional vehicle standards set forth in Part 86
for total hydrocarbon, carbon monoxide, particulate, and organic
material hydrocarbon equivalent.
(c) Exhaust emissions from engines used in ultra-low emission heavy-
duty vehicles shall meet each of the following standards:
(1) The combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5
grams per brake horsepower-hour.
(2) Carbon monoxide emissions shall not exceed 7.2 grams per brake
horsepower-hour.
(3) Particulate emissions shall not exceed 0.05 grams per brake
horsepower-hour.
(4) Formaldehyde emissions shall not exceed 0.025 grams per brake
horsepower-hour.
(d) Exhaust emissions from engines used in inherently-low emission
heavy-duty vehicles shall meet each of the following standards:
[[Page 24]]
(1) The combined emissions of oxides of nitrogen and nonmethane
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5
grams per brake horsepower-hour.
(2) Carbon monoxide emissions shall not exceed 14.4 grams per brake
horsepower-hour.
(3) Particulate emissions shall not exceed 0.10 grams per brake
horsepower-hour.
(4) Formaldehyde emissions shall not exceed 0.05 grams per brake
horsepower-hour.
(e) The standards set forth in paragraphs (a), (b), (c), and (d) of
this section refer to the exhaust emitted while the vehicle is being
tested in accordance with the applicable test procedures set forth in 40
CFR part 86, subpart N.
(f)(1) A heavy-duty zero-emission vehicle (ZEV) has a standard of
zero emissions for nonmethane hydrocarbons, oxides of nitrogen, carbon
monoxide, formaldehyde, and particulates.
(2) A heavy-duty vehicle shall be certified as a ZEV if it is
determined by engineering analysis that the vehicle satisfies the
following conditions:
(i) The vehicle fuel system(s) must not contain either carbon or
nitrogen compounds (including air) which, when burned, form nonmethane
hydrocarbons, oxides of nitrogen, carbon monoxide, formaldehyde, or
particulates as exhaust emissions.
(ii) All primary and auxiliary equipment and engines must have no
emissions of nonmethane hydrocarbons, oxides of nitrogen, carbon
monoxide, formaldehyde, and particulates.
(iii) The vehicle fuel system(s) and any auxiliary engine(s) must
have no evaporative emissions.
(iv) Any auxiliary heater must not operate at ambient temperatures
above 40 degrees Fahrenheit.
(g) All heavy-duty engines used in low emission, ultra-low emission,
or zero emission vehicles shall also comply with all applicable
standards and requirements of 40 CFR part 86, except that any exhaust
emission standards in 40 CFR part 86 pertaining to pollutants for which
standards are established in this section shall not apply.
[59 FR 50077, Sept. 30, 1994]
Subpart B_California Pilot Test Program
Sec. 88.201-94 Scope.
Applicability. The requirements of this subpart shall apply to the
following:
(a) State Implementation Plan revisions for the State of California
and other states pursuant to compliance with section 249 of the Clean
Air Act, as amended in 1990.
(b) Vehicle manufacturers with sales in the State of California.
[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 50077, Sept. 30, 1994]
Sec. 88.202-94 Definitions.
(a) The definitions in subpart A also apply to this subpart.
(b) The definitions in this subpart shall apply beginning with the
1992 model year.
Averaging for clean-fuel vehicles means the sale of clean-fuel
vehicles that meet more stringent standards than required, which allows
the manufacturer to sell fewer clean-fuel vehicles than would otherwise
be required.
Banking means the retention of credits, by the manufacturer
generating the emissions credits, for use in future model-year
certification as permitted by regulation.
Sales means vehicles that are produced, sold, and distributed (in
accordance with normal business practices and applicable franchise
agreements) in the State of California, including owners of covered
fleets under subpart C of part 86 of this chapter. The manufacturer can
choose at their option from one of the following three methods for
determining sales:
(i) Sales is defined as sales to the ultimate purchaser.
(ii) Sales is defined as vehicle sales by a manufacturer to a
dealer, distributer, fleet operator, broker, or any other entity which
comprises the first point of sale.
(iii) Sales is defined as equivalent to the production of vehicles
for the state of California. This option can be revoked if it is
determined that the production and actual sales numbers do not exhibit a
functional equivalence
[[Page 25]]
per the language of Sec. 86.708-94(b)(1) of this chapter.
Trading means the exchange of credits between manufacturers.
Sec. 88.203-94 Abbreviations.
The abbreviations in subpart A of this part and in 40 CFR part 86
apply to this subpart.
Sec. 88.204-94 Sales requirements for the California Pilot Test Program.
(a) The total annual required minimum sales volume of new clean fuel
vehicles in California for this program shall correspond to Table B204.
(b) (1) When manufacturers of vehicles subject to the regulations of
this section file a report pursuant to 40 CFR 86.085-37(b), such report
shall include the following information: the number of light-duty
vehicles and light-duty trucks sold only in California, and the number
of clean-fuel vehicles sold for the Pilot program beginning with model
year 1996.
(2) For model years 1996 and 1997, manufacturers may exclude heavy
light-duty trucks from the reporting required by this section.
(c) (1) Except as provided in paragraph (d) of this section, each
vehicle manufacturer must sell clean-fuel vehicles in California in an
amount equal to the required annual sales volume calculated in paragraph
(c)(2) of this section.
(2) The required annual clean fuel vehicle sales volume for a given
manufacturer is expressed in the following equation rounded to the
nearest whole number:
[GRAPHIC] [TIFF OMITTED] TR03JA96.003
Where:
RMS = a manufacturer's required sales in a given model year.
MS = the average of a manufacturer's total LDV and light LDT sales in
California three and four model years earlier than year in
question (for MY 1996 and 1997 RMS calculations).
= the average of a manufacturer's total LDV and LDT sales in
California three and four model years earlier than year in
question (for MY 1998 and later RMS calculations).
TS = the average of total LDV and light LDT sales in California of all
manufacturers three and four model years earlier than the year
in question (for MY 1996 and 1997 RMS calculations). Sales of
manufacturers which meet the criteria of (d) of this paragraph
will not be included.
= the average of total LDV and LDT sales in California of all
manufacturers three and four model years earlier than the year
in question (for MY 1998 and later RMS calculations). Sales of
manufacturers which meet the criteria of (d) of this paragraph
will not be included.
TCPPS = Pilot program annual CFV sales requirement (either 150,000 or
300,000) for the model year in question.
(i) A manufacturer's share of required annual sales for model years
1996 and 1997 will be based on LDV and light LDT sales only. Once the
heavy LDT standards are effective beginning with model year 1998, a
manufacturer's required sales share will be based on all LDV and LDT
sales.
(ii) A manufacturer certifying for the first time in California
shall calculate annual required sales share based on projected
California sales for the model year in question. In the second year, the
manufacturer shall use actual sales from the previous year. In the third
year, the manufacturer will use sales from two model years prior to the
year in question. In the fourth year, the manufacturer will use sales
from three years prior to the year in question. In the fifth year and
subsequent years, the manufacturer will use average sales from three and
four years prior to the year in question.
(d) (1) Small volume manufacturer is defined in the Pilot program as
one whose average annual LDV and LDT sales in California are less than
or equal to 3,000 units during a consecutive three-year period beginning
no earlier than model year 1993.
(i) A manufacturer with less than three consecutive years of sales
in California shall use a single year of sales or, if available, the
average of two years of sales in California to determine whether they
fall at or below the threshold of 3,000 units.
(ii) A manufacturer certifying for the first time in California
shall be considered a small volume manufacturer if their projected
California sales level is at or below 3,000 units for a given year. Once
the manufacturer has actual sales data for one year, this actual sales
[[Page 26]]
data shall be used to determine whether the manufacturer qualifies as a
small volume manufacturer.
(iii) A manufacturer which does not qualify as a small volume
manufacturer in model year 1996 but whose average annual LDV and LDT
sales fall to or below the 3,000 unit threshold between 1996 and 2001
shall be treated as a small volume manufacturer and shall be subject to
requirements for small volume manufacturers as specified in paragraph
(d)(2) of this section beginning with the next model year.
(2) A manufacturer which qualifies as a small volume manufacturer
prior to model year 2001 is not required to comply with the sales
requirements of this section until model year 2001.
Table B204--Pilot Program Vehicle Sales Schedule
------------------------------------------------------------------------
Required
Model years Vehicle types annual
sales
------------------------------------------------------------------------
1996 and 1997....................... LDTs (<6000 GVWR and 150,000
5750 LVW); and LDVs.
1998................................ All Applicable Vehicle 150,000
Types.
1999 +.............................. All Applicable Vehicle 300,000
Types.
------------------------------------------------------------------------
[59 FR 50078, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]
Sec. 88.205-94 California Pilot Test Program Credits Program.
(a) General. (1) The Administrator shall administer this credit
program to enable vehicle manufacturers who are required to participate
in the California Pilot Test Program to meet the clean-fuel vehicle
sales requirements through the use of credits. Participation in this
credit program is voluntary.
(2) All credit-generating vehicles must meet the applicable emission
standards and other requirements contained in subpart A of this part.
(b) Credit generation. (1) Credits may be generated by any of the
following means:
(i) Sale of qualifying clean-fuel vehicles earlier than required.
Manufacturers may earn these credits starting with the 1992 model year,
contingent upon the requirements of paragraph (g) of this section.
(ii) Sale of a greater number of qualifying clean-fuel vehicles than
required.
(iii) Sale of qualifying clean-fuel vehicles that meet more
stringent emission standards than those required.
(2) For light-duty vehicles and light-duty trucks, credit values
shall be determined in accordance with the following:
(i) For model-years through 2000, credit values shall be determined
in accordance with table B-1 of this subpart.
(ii) For the 2001 and subsequent model-years, credit values shall be
determined according to table B-2 of this subpart. The sale of light-
duty vehicles classified as Transitional Low-Emission Vehicles shall not
receive credits starting in model year 2001.
(iii) For the calculation of credits for the sale of more clean-fuel
vehicles than required, the manufacturer shall designate which sold
vehicles count toward compliance with the sales requirement. The
remaining balance of vehicles will be considered as sold beyond the
sales requirement for credit calculations.
(3) Vehicles greater than 8500 lbs gvwr may not generate credits.
(c) Credit use. (1) All credits generated in accordance with these
provisions may be freely averaged, traded, or banked for later use.
Credits may not be used to remedy any nonconformity determined by
enforcement testing.
(2) There is one averaging and trading group containing all light-
duty vehicles and light-duty trucks.
(3) A vehicle manufacturer desiring to demonstrate full or partial
compliance with the sales requirements by the redemption of credits,
shall surrender sufficient credits, as established in this paragraph
(c). In lieu of selling a clean-fuel vehicle, a manufacturer shall
surrender credits equal to the credit value for the corresponding
vehicle class and model year found in table B-1.3 or table B-2.3 of this
subpart.
(d) Participation in the credit program. (1) During certification,
the manufacturer shall calculate the projected credits, if any, based on
required sales projections.
(2) Based on information from paragraph (d)(1) of this section, each
manufacturer's certification application under this section must
demonstrate:
[[Page 27]]
(i) That at the end of the model-year production, there is a net
vehicle credit balance of zero or more with any credits obtained from
averaging, trading, or banking.
(ii) It is recommended but not required that the source of the
credits to be used to comply with the minimum sales requirements be
stated. All such reports should include all credits involved in
averaging, trading, or banking.
(3) During the model year, manufacturers must:
(i) Monitor projected versus actual production to be certain that
compliance with the sales requirement is achieved at the end of the
model year.
(ii) Provide the end of model year reports required under this
subpart.
(iii) Maintain the records required under this subpart.
(4) Projected credits based on information supplied in the
certification application may be used to obtain a certificate of
conformity. However, any such credits may be revoked based on review of
end-of-model year reports, follow-up audits, and any other verification
steps deemed appropriate by the Administrator.
(5) Compliance under averaging, banking, and trading will be
determined at the end of the model year.
(6) If EPA or the manufacturer determines that a reporting error
occurred on an end-of-year report previously submitted to EPA under this
section, the manufacturer's credits and credit calculations will be
recalculated.
(i) If EPA review of a manufacturer's end-of-year report indicates
an inadvertent credit shortfall, the manufacturer will be permitted to
purchase the necessary credits to bring the credit balance to zero.
(ii) If within 90 days of receipt of the manufacturer's end-of-year
report, EPA review determines a reporting error in the manufacturer's
favor (i.e., resulting in a positive credit balance) or if the
manufacturer discovers such an error within 90 days of EPA receipt of
the end-of-year report, the credits will be restored for use by the
manufacturer.
(e) Averaging. Averaging will only be allowed between clean-fuel
vehicles under 8500 lbs gvwr.
(f) Banking--(1) Credit deposits. (i) Under this program, credits
can be banked starting in the 1992 model year.
(ii) A manufacturer may bank credits only after the end of the model
year and after EPA has reviewed its end-of-year report. During the model
year and before submittal of the end-of-year report, credits originally
designated in the certification process for banking will be considered
reserved and may be redesignated for trading or averaging.
(2) Credit withdraws. (i) After being generated, banked/reserved
credits shall be available for use and shall maintain their original
value for an infinite period of time.
(ii) A manufacturer withdrawing banked credits shall indicate so
during certification and in its credit reports.
(3) Banked credits may be used in averaging, trading, or in any
combination thereof, during the certification period. Credits declared
for banking from the previous model year but unreviewed by EPA may also
be used. However, they may be revoked at a later time following EPA
review of the end-of-year report or any subsequent audit actions.
(g) Early credits. Beginning in model year 1992 appropriate credits,
as determined from the given credit table, will be given for the sale of
vehicles certified to the clean-fuel vehicle standards for TLEVs, LEVs,
ULEVs, and ZEVs, where appropriate. For LDVs and light LDTs (<6000 lbs
GVWR), early credits can be earned from model year 1992 to the beginning
of the Pilot Program sales requirements in 1996. For heavy LDTs (>6000
lbs GVWR), early credits can be earned from model years 1992 through
1997. The actual calculation of early credits shall not begin until
model year 1996.
[57 FR 60046, Dec. 17, 1992, as amended at 61 FR 127, Jan. 3, 1996]
Sec. 88.206-94 State opt-in for the California Pilot Test Program.
(a) A state may opt into the Pilot program if it contains all or
part of an ozone nonattainment area classified as serious, severe, or
extreme under subpart D of Title I.
(b) A state may opt into the program by submitting SIP revisions
that meet the requirements of this section.
[[Page 28]]
(c) For a state that chooses to opt in, SIP provisions can not take
effect until one year after the state has provided notice to of such
provisions to motor vehicle manufacturers and fuel suppliers.
(d) A state that chooses to opt into the program can not require a
sales or production mandate for CFVs or clean alternative fuels. States
may not subject fuel or vehicle suppliers to penalties or sanctions for
failing to produce or sell CFVs or clean alternative fuels.
(e) (1) A state's SIP may include incentives for the sale or use in
such state of CFVs required in California by the Clean Fuel Fleet
Program, and the use of clean alternative fuels required to be made
available in California by the California Pilot Program.
(2) Incentives may include:
(i) A registration fee on non-CFVs of at least 1 percent of the
total cost of the vehicle. These fees shall be used to:
(A) Provide financial incentives to purchasers of CFVs and vehicle
dealers who sell high volumes or high percentages of CFVs.
(B) Defray administrative costs of the incentive program.
(ii) Exemptions for CFVs from high occupancy vehicle or trip
reduction requirements.
(iii) Preferences for CFVs in the use of existing parking places.
[59 FR 50078, Sept. 30, 1994]
Sec. Tables to Subpart B of Part 88
Table B-1--Credit Table for Phase I Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table B-1.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
[Phase I: Effective Through 2000 Model-Year]
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV & LDT 6000 gvwr LDT 6000 gvwr >3750 LDT 6000 gvwr 3750 LDT 6000 gvwr >3750
3750 lvw lvw 5750 lvw alvw alvw 5750 alvw LDT 6000 gvwr >5750
Vehicle emission category alvw
--------------------------------------------------------------------------------------------------------------------------------------------------------
TLEV........................................... 1.00 1.28 (\1\) (\1\) (\1\)
LEV............................................ 1.40 1.76 1.00 1.28 1.56
ULEV........................................... 1.68 2.16 1.40 1.76 2.18
ZEV............................................ 2.00 2.56 2.00 2.56 3.12
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table B-1.2--Credit Generation: Selling More Stringent Clean Fuel Vehicles
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr 3750
LDV & LDT 6000 gvwr lvw 5750 lvw LDT 6000 gvwr 3750 LDT >6000 gvwr 3750 LDT 6000 gvwr 5750
3750 lvw alvw alvw 5750 alvw alvw
Vehicle emission category
--------------------------------------------------------------------------------------------------------------------------------------------------------
TLEV........................................... 0.00 0.00 (\1\) (\1\) (\1\)
LEV............................................ .40 .48 0.00 0.00 0.00
ULEV........................................... .68 .88 .40 .48 .62
ZEV............................................ 1.00 1.28 1.00 1.28 1.56
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table B-1.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicle
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr 3750
LDV & LDT 6000 gvwr lvw 5750 lvw
3750 lvw LDT >6000 gvwr 3750 LDT >6000 gvwr LDT >6000
Vehicle emission category alvw >3750 alvw 5750 gvwr >5750
alvw alvw
--------------------------------------------------------------------------------------------------------------------------------------------------------
TLEV................................................... 1.00 1.28 (\1\) (\1\) (\1\)
LEV.................................................... ................... ................... 1.00 1.28 1.56
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ There is no TLEV category for this vehicle class.
[[Page 29]]
Table B-2--Credit Table for Phase II: Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table B-2.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
[Phase II: effective 2001 and subsequent model-years]
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr 3750
LDV & LDT 6000 gvwr lvw 5750 lvw LDT 6000 gvwr 3750 LDT >6000 gvwr 3750
3750 lvw alvw alvw 5750 alvw LDT >6000 gvwr 5750
Vehicle emission category alvw
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV............................................ 1.00 1.26 0.71 0.91 1.11
ULEV........................................... 1.20 1.54 1.00 1.26 1.56
ZEV............................................ 1.43 1.83 1.43 1.83 2.23
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table B-2.2--Credit Generation: Selling More Stringent Clean-Fuel Vehicles
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDT 6000 gvwr 3750
LDV & LDT 6000 gvwr lvw 5750 lvw LDT 6000 gvwr 3750 LDT >6000 gvwr 3750
3750 lvw alvw alvw 5750 alvw LDT >6000
Vehicle emission category gvwr >5750
alvw
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 0.00 0.00 0.00 0.00 0.00
ULEV................................................... .20 .28 .29 .34 .45
ZEV.................................................... .43 .57 .71 .91 1.11
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table B-2.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicles
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV & LDT 6000 gvwr LDT 6000 gvwr >3750
3750 lvw lvw 5750 lvw LDT >6000 gvwr 3750 LDT >6000 gvwr LDT >6000
Vehicle emission category alvw >3750 alvw 5750 gvwr >5750
alvw alvw
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 1.00 1.26 0.71 0.91 1.11
--------------------------------------------------------------------------------------------------------------------------------------------------------
[59 FR 50079, Sept. 30, 1994]
Subpart C_Clean-Fuel Fleet Program
Source: 58 FR 11901, Mar. 1, 1993, unless otherwise noted.
Sec. 88.301-93 General applicability.
(a) The requirements of this subpart apply to the following:
(1) State Implementation Plan revisions at 40 CFR part 52 made
pursuant to sections 110 and 246 of the CAA (42 U.S.C. 7410 and 7586)
hereafter referred to as the ``SIP revision''.
(2) All agencies, departments and instrumentalities of the United
States that are subject to the fleet programs established by a state's
SIP revision.
(b) The requirements of Secs. 88.302-93, 88.303-93, 88.311-93,
88.312-93, and 88.313-93 of this part apply to fleets which voluntarily
purchase and operate Inherently Low-Emission Vehicles (ILEVs).
(c) References in this subpart to engine families and emission
control systems shall be deemed to refer to durability groups and test
groups as applicable for manufacturers certifying new light-duty
vehicles and light-duty trucks under the provisions of 40 CFR part 86,
subpart S.
[58 FR 11901, Mar. 1, 1993, as amended at 64 FR 23973, May 4, 1999]
Sec. 88.302-93 Definitions.
The definitions in 40 CFR part 86 of this chapter also apply to this
subpart. The definitions in this section apply to this subpart.
Combination heavy-duty vehicle means a vehicle with a GVWR greater
than 8,500 pounds (3,900 kilograms) which is comprised of a truck-
tractor and one or more pieces of trailered equipment. The truck-tractor
is a self-propelled motor vehicle built on one chassis which encompasses
the engine, passenger compartment, and a means of coupling to a cargo
carrying trailer(s). The truck-tractor itself is not designed to carry
cargo.
Inherently Low-Emission Vehicle means any LDV or LDT conforming to
[[Page 30]]
the applicable Inherently Low-Emission Vehicle standard, or any HDV with
an engine conforming to the applicable Inherently Low-Emission Vehicle
standard. No dual-fuel or flexible-fuel vehicles shall be considered
Inherently Low-Emission Vehicles unless they are certified to the
applicable standard(s) on all fuel types for which they are designed to
operate.
Partially-Covered Fleet pertains to a vehicle fleet in a covered
area which contains both covered fleet vehicles and non-covered fleet
vehicles, i.e., exempt from covered fleet purchase requirements.
Single-unit heavy-duty vehicle means a self-propelled motor vehicle
with a GVWR greater than 8,500 pounds (3,900 kilograms) built on one
chassis which encompasses the engine, passenger compartment, and cargo
carrying function, and not coupled to trailered equipment. All buses,
whether or not they are articulated, are considered single-unit
vehicles.
Sec. 88.302-94 Definitions.
The definitions in Sec. 88.302-93 and 40 CFR part 86 also apply to
this part. All terms used in this part, but not defined in this section
or in Sec. 88.302-93 and 40 CFR part 86 shall have the meaning assigned
to them in the Clean Air Act.
Can be centrally fueled means the sum of those vehicles that are
centrally fueled and those vehicles that are capable of being centrally
fueled.
(1) Capable of being centrally fueled means a fleet, or that part of
a fleet, consisting of vehicles that could be refueled 100 percent of
the time at a location that is owned, operated, or controlled by the
covered fleet operator, or is under contract with the covered fleet
operator. The fact that one or more vehicles in a fleet is/are not
capable of being centrally fueled does not exempt an entire fleet from
the program.
(2) Centrally fueled means a fleet, or that part of a fleet,
consisting of vehicles that are fueled 100 percent of the time at a
location that is owned, operated, or controlled by the covered fleet
operator, or is under contract with the covered fleet operator. Any
vehicle that is under normal operations garaged at home at night but
that is, in fact, centrally fueled 100 percent of the time shall be
considered to be centrally fueled for the purpose of this definition.
The fact that one or more vehicles in a fleet is/are not centrally
fueled does not exempt an entire fleet from the program. The fact that a
vehicle is not centrally fueled does not mean it could not be centrally
fueled in accordance with the definition of ``capable of being centrally
fueled.''
(3) Location means any building, structure, facility, or
installation which; is owned or operated by a person, or is under the
control of a person; is located on one or more contiguous properties and
contains or could contain a fueling pump or pumps for the use of the
vehicles owned or controlled by that person.
Clean-fuel vehicle aftermarket conversion certifier means the
business or entity that obtains a certificate of conformity with the
clean-fuel vehicle standards and requirements for a vehicle/engine
conversion configuration pursuant to the requirements of 40 CFR part 86
and this part 88.
Control means: (1) When it is used to join all entities under common
management, means any one or a combination of the following:
(i) A third person or firm has equity ownership of 51 percent or
more in each of two or more firms;
(ii) Two or more firms have common corporate officers, in whole or
in substantial part, who are responsible for the day-to-day operation of
the companies.
(iii) One firm leases, operates, supervises, or in 51 percent or
greater part owns equipment and/or facilities used by another person or
firm, or has equity ownership of 51 percent or more of another firm.
(2) When it is used to refer to the management of vehicles, means a
person has the authority to decide who can operate a particular vehicle,
and the purposes for which the vehicle can be operated.
(3) When it is used to refer to the management of people, means a
person has the authority to direct the activities of another person or
employee in a precise situation, such as at the workplace.
[[Page 31]]
Conversion configuration means any combination of vehicle/engine
conversion hardware and a base vehicle of a specific engine family.
Covered fleet operator means a person who operates a fleet of at
least ten covered fleet vehicles (as defined in section 241(6) of the
Act) and that fleet is operated in a single covered area (even if the
covered fleet vehicles are garaged outside of it). For purposes of this
definition, the vehicle types described in the definition of covered
fleet (section 241(5) of the Act) as exempt from the program will not be
counted toward the ten-vehicle criterion.
Dealer demonstration vehicle means any vehicle that is operated by a
motor vehicle dealer (as defined in section 216(4) of the Act) solely
for the purpose of promoting motor vehicle sales, either on the sales
lot or through other marketing or sales promotions, or for permitting
potential purchasers to drive the vehicle for pre-purchase or pre-lease
evaluation.
Emergency vehicle means any vehicle that is legally authorized by a
governmental authority to exceed the speed limit to transport people and
equipment to and from situations in which speed is required to save
lives or property, such as a rescue vehicle, fire truck, or ambulance.
Law enforcement vehicle means any vehicle which is primarily
operated by a civilian or military police officer or sheriff, or by
personnel of the Federal Bureau of Investigation, the Drug Enforcement
Administration, or other agencies of the federal government, or by state
highway patrols, municipal law enforcement, or other similar law
enforcement agencies, and which is used for the purpose of law
enforcement activities including, but not limited to, chase,
apprehension, surveillance, or patrol of people engaged in or
potentially engaged in unlawful activities. For federal law enforcement
vehicles, the definition contained in Executive Order 12759, Section 11:
Alternative Fueled Vehicle for the Federal Fleet, Guidance Document for
Federal Agencies, shall apply.
Model year, as it applies to the clean fuel vehicle fleet purchase
requirements, means September 1 through August 31.
Motor vehicles held for lease or rental to the general public means
a vehicle that is owned or controlled primarily for the purpose of
short-term rental or extended-term leasing (with or without
maintenance), without a driver, pursuant to a contract.
New covered fleet vehicle means a vehicle that has not been
previously controlled by the current purchaser, regardless of the model
year, except as follows: Vehicles that were manufactured before the
start of the fleet program for such vehicle's weight class, vehicles
transferred due to the purchase of a company not previously controlled
by the purchaser or due to a consolidation of business operations,
vehicles transferred as part of an employee transfer, or vehicles
transferred for seasonal requirements (i.e., for less than 120 days) are
not considered new. States are permitted to discontinue the use of the
fourth exception for fleet operators who abuse the discretion afforded
them. This definition of new covered fleet vehicle is distinct from the
definition of new vehicle as it applies to manufacturer certification,
including the certification of vehicles to the clean fuel standards.
Owned or operated, leased or otherwise controlled by such person
means either of the following:
(1) Such person holds the beneficial title to such vehicle; or
(2) Such person uses the vehicle for transportation purposes
pursuant to a contract or similar arrangement, the term of such contract
or similar arrangement is for a period of 120 days or more, and such
person has control over the vehicle pursuant to the definition of
control of this section.
Person includes an individual, corporation, partnership,
association, State, municipality, political subdivision of a State, and
any agency, department, or instrumentality of the United States and any
officer, agent, or employee thereof.
Under normal circumstances garaged at personal residence means a
vehicle that, when it is not in use, is normally parked at the personal
residence of the individual who usually operates it, rather than at a
central refueling, maintenance, and/or business location. Such vehicles
are not considered to be
[[Page 32]]
capable of being central fueled (as defined in this subpart) and are
exempt from the program unless they are, in fact, centrally fueled.
Vehicle used for motor vehicle manufacturer product evaluations and
tests means a vehicle that is owned and operated by a motor vehicle
manufacturer (as defined in section 216(1) of the Act), or motor vehicle
component manufacturer, or owned or held by a university research
department, independent testing laboratory, or other such evaluation
facility, solely for the purpose of evaluating the performance of such
vehicle for engineering, research and development, or quality control
reasons.
[58 FR 64691, Dec. 9, 1993, as amended at 59 FR 50080, Sept. 30, 1994]
Sec. 88.303-93 Abbreviations.
The abbreviations in subpart A of this part and in 40 CFR part 86
apply to this subpart. The abbreviations in this section apply to this
subpart.
ILEV--Inherently Low-Emission Vehicle.
Sec. 88.304-94 Clean-fuel Fleet Vehicle Credit Program.
(a) General. (1) The SIP revision shall provide for a CFFV credit
program to enable covered fleet owners/operators to meet the fleet
vehicle purchase requirements of the CAA both by purchasing clean-fuel
vehicles (CFVs) directly and by trading and banking CFFV credits for
vehicle purchases.
(2) All credit-generating vehicles must meet the applicable emission
standards and other requirements contained in 40 CFR part 88, subpart A.
(b) Program administration. (1)(i) Each state in which there is all
or part of a covered area, as defined in CAA section 246(a)(2), shall
promulgate regulations as necessary for implementing this requirement.
(ii) The state shall submit a SIP revision before May 15, 1994 to
the Administrator stipulating the specific mechanism by which the CFFV
program is to be administered and enforced. The credit program shall
commence upon EPA approval of the SIP in accordance with CAA section
246(f)(5).
(2) A fleet owner who purchases/leases a CFFV only to generate CFFV
credit shall be subject to the same requirements of the state's CFFV
program as a covered fleet owner who purchases/leases a CFFV to
demonstrate compliance with covered fleet purchase requirements.
(3) While in the covered area, a dual-fuel/flexible-fuel vehicle
which a fleet owner purchases to comply with covered fleet purchase
requirements must be operated at all times on the fuel(s) on which it
was certified as a CFFV. If the fleet owner receives credit for a dual-
fuel/flexible-fuel vehicle purchase, the vehicle must be operated at the
same emission level for which the vehicle generated CFFV credit.
(c) Credit generation. (1) States shall grant CFFV credits to a
covered fleet owner for any of the following qualifying CFFV purchases:
(i) Purchase of a CFFV during any period subsequent to the approval
of the SIP revision but prior to the effective date for commencement of
a state's CFFV purchase requirement if the purchase meets all other CFFV
requirements applicable to such purchases, including the statutory
requirement to use only the fuel on which the vehicle was certified as a
CFFV;
(ii) Purchase of a greater number of CFFVs than is required under
the SIP revision;
(iii) Purchase of a CFFV which meets more stringent emission
standards than required under the SIP revision; or
(iv) Purchase of a CFFV in an exempt or non-covered vehicle category
by the owner/operator of a covered or partially-covered fleet.
(2) A state may retroactively grant CFFV credit(s) to a fleet owner
for the purchase of a CFFV prior to the approval of the state's SIP
revision if the purchase met all CFFV credit program requirements
applicable to such purchases, including:
(i) The vehicle purchased would have to have been certified to CFFV
emission standards;
(ii) The vehicle purchased would have to have been a dedicated-fuel
vehicle;
(iii) If the vehicle purchased was not a dedicated-fuel vehicle,
then the fleet owner would have to show that the vehicle had been
operated only on the
[[Page 33]]
clean alternative fuel on which the vehicle had been certified as a
CFFV.
(3) For LDVs and LDTs, credit values shall be determined in
accordance with Table C94-1. The state shall use Table C94-1 exclusively
in determining LDV and LDT CFFV credit values. Table C94-1.1 applies to
paragraphs (c)(1) (i), (ii) and (iv) of this section; Table C94-1.2
applies to paragraph (c)(1)(iii) of this section.
(4) In lieu of determining credit values in accordance with Table
C94-1, a state may specify in its SIP revision that Table C94-2 will be
used to determine LDV and LDT CFFV credit values in one or more affected
nonattainment areas. Any state choosing to do so must provide adequate
justification, based on air quality benefits, at the time the SIP
revision is submitted. If the use of Table C94-2 is approved by EPA, the
State shall use Table C94-2 exclusively in determining LDV and LDT CFFV
credit values for vehicles in the subject area or areas. Table C94-2.1
applies to paragraphs (b)(1) (i), (ii) and (iv) of this section; Table
C94-2.2 applies to paragraph (b)(1)(iii) of this section.
(5) In lieu of determining credit values in accordance with Table
C94-1, a state containing a carbon monoxide nonattainment area(s) having
a design value above 16.0 parts per million may specify in its SIP
revision that Table C94-3 will be used to determine LDV and LDT CFFV
credit values in one or more affected nonattainment areas. Any state
choosing to do so must provide adequate justification, based on air
quality benefits, at the time the SIP revision is submitted. If the use
of Table C94-3 is approved by EPA, the state shall use Table C94-3
exclusively in determining LDV and LDT CFFV credit values for vehicles
in the subject area or areas. Table C94-3.1 applies to paragraphs (b)(1)
(i), (ii) and (iv) of this section; Table C94-3.2 applies to paragraph
(b)(1)(iii) of this section.
(6) For HDVs, credit values shall be determined in accordance with
Table C94-4. The state shall use Table C94-4 exclusively in determining
heavy-duty vehicle CFFV credit values. Table C94-4.1 applies to
paragraphs (c)(1) (i), (ii) and (iv) of this section, and Table C94-4.2
applies to paragraph (c)(1)(iii) of this section.
(7) In lieu of determining credit values in accordance with Table
C94-4, a state containing a carbon monoxide nonattainment area(s) having
a design value above 16 parts per million may specify in its SIP
revision that Table C94-5 will be used to determine heavy-duty vehicle
CFFV credit values in one or more affected nonattainment areas. Any
state choosing to do so must provide adequate justification, based on
air quality benefits, at the time the SIP revision is submitted. If the
use of Table C94-5 is approved by EPA, the State shall use Table C94-5
exclusively in determining heavy-duty vehicle CFFV credit values for
vehicles in the subject area or areas. Table C94-5.1 applies to
paragraphs (b)(1) (i), (ii) and (iv) of this section; Table C94-5.2
applies to paragraph (b)(1)(iii) of this section.
(8) Credit values shall be rounded to two decimal places.
(9) Heavy heavy-duty vehicles. (i) States must allow purchase of any
clean-fuel single-unit or combination HDV with a GVWR greater than
26,000 pounds (11,800 kilograms) to generate CFFV credit for the fleet
vehicle purchaser.
(ii) States must exclude from generating CFFV credit the purchase of
any combination HDV with a GVWR greater than 26,000 pounds (11,800
kilograms) which pays all or a portion of its fuel taxes, as evidenced
by fuel tax stickers on the combination HDV, to a state(s) which is not
part of that covered nonattainment area.
(10) Light-duty CFFV credits. Credits generated by the purchase of a
qualifying clean-fuel fleet LDV or a LDT shall be designated at the time
of issuance as light-duty CFFV credits.
(11) Heavy-duty CFFV credits. Credits generated by the purchase of a
qualifying clean-fuel fleet HDV shall be designated at the time of
issuance as heavy-duty CFFV credits. Further, credits generated by the
purchase of a light heavy-duty or a medium heavy-duty qualifying CFFV
shall be designated at the time of issuance as light heavy-duty and
medium heavy-duty CFFV credits, respectively.
[[Page 34]]
(d) Credit use. (1) All credits generated in accordance with these
provisions may be freely traded or banked for later use, subject to the
provisions contained in this subpart, without discount or depreciation
of such credits.
(2) A covered fleet owner or operator desiring to demonstrate full
or partial compliance with covered fleet purchase requirements by the
redemption of credits shall surrender sufficient credits as established
in this paragraph. In lieu of purchasing a CFFV, a fleet owner or
operator shall surrender credits equal to the credit value for the
corresponding vehicle class and credit calculation method used in that
area from either Table C94-1.3, C94-2.3, C94-3.3, C94-4.3, or C94-5.3 of
this subpart.
(3) Credits earned within the boundaries of a covered nonattainment
area may be traded within those boundaries whether or not that area
encompasses parts of more than one state.
(4) Credits issued as a result of CFFV purchase requirements in one
nonattainment area may not be used to demonstrate compliance in another
nonattainment area, even if a state contains more than one covered
nonattainment area.
(5) Credit allocation. (i) Credits generated by the purchase of LDVs
and LDTs of 8,500 pounds (3,900 kilograms) GVWR or less may be used to
demonstrate compliance with covered fleet purchase requirements
applicable to LDVs or LDTs of 8,500 pounds (3,900 kilograms) GVWR or
less.
(ii) Credits generated by the purchase of vehicles of more than
8,500 pounds (3,900 kilograms) GVWR may not be used to demonstrate
compliance with the covered fleet purchase requirements for vehicles
weighing 8,500 pounds (3,900 kilograms) GVWR or less.
(iii) Credits generated by the purchase of vehicles of 8,500 pounds
(3,900 kilograms) GVWR or less may not be used to demonstrate compliance
with requirements for vehicles of more than 8,500 pounds (3,900
kilograms) GVWR.
(iv) Credits generated by the purchase of a HDV of a particular
weight subclass may be used to demonstrate compliance with required
heavy-duty vehicle purchases for the same or lighter weight subclasses.
These credits may not be used to demonstrate compliance with required
HDV purchases for vehicles of heavier weight subclasses than the weight
subclass of the vehicle which generated the credits.
Sec. 88.305-94 Clean-fuel fleet vehicle labeling requirements for heavy-duty vehicles.
(a) All clean-fuel heavy-duty engines and vehicles used as LEVs,
ULEVs, and ZEVs that are also regulated under 40 CFR part 86 shall
comply with the labeling requirements of 40 CFR 86.095-35 (or later
applicable sections), and shall also include an unconditional statement
on the label indicating that the engine or vehicle is a LEV, ULEV, or
ZEV, and meets all of the applicable requirements of this part 88.
(b) All heavy-duty clean-fuel fleet vehicles not regulated under 40
CFR part 86 shall have a permanent legible label affixed to the engine
or vehicle in a readily visible location, which contains the following
information:
(1) The label heading: vehicle emissions classification information
(e.g., ``This is a Low Emission Vehicle'');
(2) Full corporate name and trademark of the manufacturer;
(3) A statement that this engine or vehicle meets all applicable
requirements of the U.S. Environmental Protection Agency clean-fuel
fleet vehicle program, as described in this part 88, but not necessarily
those requirements found in 40 CFR part 86.
[59 FR 50080, Sept. 30, 1994]
Sec. 88.306-94 Requirements for a converted vehicle to qualify
as a clean-fuel fleet vehicle.
(a) For purposes of meeting the requirements of section 246 of the
Clean Air Act or the SIP revisions, conversions of engines or vehicles
which satisfy the requirements of this section shall be treated as a
purchase of a clean-fuel vehicle under subpart C of this part.
(b) The engine or vehicle must be converted using a conversion
configuration which has been certified according to the provisions of 40
CFR part 86 using applicable emission standards and other provisions
from part 88 for clean-fuel engines and vehicles. The following
requirements will also apply:
[[Page 35]]
(1) If the installation of the certified conversion configuration is
performed by an entity other than aftermarket conversion certifier, the
aftermarket conversion certifier shall submit a list of such installers
to the Administrator. Additional installers must be added to this list
and the revised list submitted to the Administrator within 5 working
days from the time they are authorized to perform conversion
installations by the clean-fuel vehicle aftermarket conversion
certifier.
(2) If the installation of the certified conversion configuration is
performed by an entity other than the certificate holder, the
certificate holder shall provide instructions for installation of the
aftermarket conversion system to installers listed on the certificate,
and ensure that the systems are properly installed.
(3) For the purpose of determining whether certification under the
Small-Volume Manufacturers Certification Program pursuant to the
requirements of 40 CFR 86.094-14 is permitted, the 10,000 sales volume
limit in 40 CFR 86.094-14(b)(1) is waived for a certifier of a clean-
fuel vehicle aftermarket conversion.
(4) Clean-fuel vehicle aftermarket conversion certifiers that are
subject to the post-installation emissions testing requirements in
paragraph (c) of this section and who will satisfy these requirements by
using the two speed idle test procedure detailed in paragraph (c)(2)(ii)
of this section must conduct the following testing at the time of
certification in order to generate the required certification CO
emissions reference values. The certification CO emissions reference
values generated must be submitted to the Administrator at the time of
application for certification.
(i) For dual and flexible fuel vehicles, certification reference
values must be generated for each certification test fuel required for
exhaust emissions testing pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
(ii) For light-duty vehicles and light-duty trucks the test fuels
used during the emissions testing required by paragraph (b)(3) of this
section must comply with the fuel specifications for exhaust emissions
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels
used during the emissions testing required by paragraph (b)(3) of this
section must comply with the fuel specifications for exhaust emissions
testing found in 40 CFR 86.1313.
(iii) Single, consecutive idle mode and high-speed mode segments of
the two speed idle test must be conducted pursuant to the requirements
of 40 CFR 85.2215 and as modified by the provisions of paragraph
(c)(4)(ii)(D) of this section and this paragraph to determine the
required certification CO emission reference values.
(A) The certification CO emission reference value for the idle mode
of the test will be the simple average of all emissions measurements
taken during an idle mode of 90 seconds duration pursuant to the
requirements in 40 CFR 85.2215(a).
(B) The certification CO emission reference value for the high-speed
mode of the test will be the simple average of all emissions
measurements taken during a high-speed mode of 180 seconds duration
pursuant to the requirements in 40 CFR 85.2215(a).
(c) Except as provided in paragraph (c)(1) of this section, each
converted vehicle manufactured by a clean-fuel vehicle aftermarket
conversion certifier with aggregate sales of less than 10,000 converted
vehicles within a given calendar year must satisfy the post-installation
emissions testing requirements of paragraph (c)(2) of this section. If a
vehicle fails to satisfy the emissions testing requirements such vehicle
may not be considered a clean- fuel vehicle until such noncompliance is
rectified and compliance is demonstrated.
(1) A clean-fuel vehicle aftermarket conversion certifier with
estimated sales of 300 or fewer engines and vehicles in a calendar year
and which sells or converts vehicles outside of a non-attainment area
(as classified under subpart D of Title I) which has an inspection and
maintenance program that includes a test of carbon monoxide emissions
may submit a request to the Administrator for an exemption from the
post-installation emission test requirements of paragraph (c) of this
section. If granted, such an exemption would apply to converted vehicles
that
[[Page 36]]
have the conversion installation performed outside of a nonattainment
area which has an inspection and maintenance program that includes a
test of carbon monoxide emissions.
(i) The request for exemption submitted to the Administrator must
include the following:
(A) The estimated number of engines and vehicles that will be
converted in the calendar year.
(B) Sufficient information to demonstrate that complying with the
post-installation emission test requirement represents a severe
financial hardship.
(C) A description of any emission related quality control procedures
used.
(ii) Within 120 days of receipt of the application for exemption,
the Administrator will notify the applicant either that an exemption is
granted or that sufficient cause for an exemption has not been
demonstrated and that all of the clean-fuel vehicle aftermarket
conversion certifier's vehicles are subject to the post-installation
test requirement of paragraph (c)(2) of this section.
(iii) If the clean-fuel vehicle aftermarket conversion certifier
granted an exemption originally estimates that 300 or fewer conversions
would be performed in the calendar year, and then later revises the
estimate to more than 300 for the year, the certifier shall inform the
Administrator of such revision. A post-installation emissions test for
each conversion performed after the estimate is revised is required
pursuant to the requirements of paragraph (c)(2) of this section. The
estimated number of conversions from such a clean-fuel vehicle
aftermarket conversion certifier must be greater than 300 in the
following calendar year.
(2) A clean-fuel vehicle aftermarket conversion certifier with
aggregate sales less than 10,000 converted vehicles within a given
calendar year shall conduct post-installation emissions testing using
either of the following test methods:
(i) The carbon monoxide (CO) emissions of the converted vehicle must
be determined in the manner in which CO emissions are determined
according to the inspection and maintenance requirements applicable in
the area in which the vehicle is converted or is expected to be
operated.
(A) For dual-fuel vehicles, a separate test is required for each
fuel on which the vehicle is capable of operating. For flexible fuel
vehicles, a single test is required on a fuel that falls within the
range of fuel mixtures for which the vehicle was designed. The test
fuel(s) used must be commercially available.
(B) A converted vehicle shall be considered to meet the requirements
of this paragraph if the vehicle's measured exhaust CO concentration(s)
is lower than the cutpoint(s) used to determine CO pass/fail under the
inspection and maintenance program in the area in which the conversion
is expected to be operated.
(1) If CO pass/fail criteria are not available for a vehicle fuel
type then pass/fail criteria specific to gasoline use are to be used for
vehicles of that fuel type.
(2) [Reserved]
(ii) The carbon monoxide (CO) emissions of the converted vehicle
must be determined in the manner specified in the two speed idle test-
EPA 91 found in 40 CFR 85.2215. All provisions in the two speed idle
test must be observed except as detailed in paragraph (c)(2)(ii)(D) of
this section.
(A) For dual and flexible fuel vehicles, a separate test is required
for each certification test fuel required for exhaust emissions testing
pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
(B) For light-duty vehicles and light-duty trucks the test fuels
used during the emissions testing required by paragraph (c)(4) of this
section must comply with the fuel specifications for exhaust emissions
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels
used during the emissions testing required by paragraph (c)(2) of this
section must comply with the fuel specifications for exhaust emissions
testing found in 40 CFR 86.1313.
(C) A converted vehicle shall be considered to meet the requirements
of this paragraph if the following criteria are satisfied:
(1) The vehicle's measured idle mode exhaust CO concentration(s)
must be lower than the sum of 0.4 percent CO plus the idle mode
certification CO emissions reference value as determined according to
the requirements of paragraph (b)(3) of this section.
[[Page 37]]
(2) The vehicle's measured high-speed mode exhaust CO
concentration(s) must be lower than the sum of 0.4 percent CO plus the
high-speed certification CO emissions reference value as determined
according to the requirements of paragraph (b)(3) of this section.
(D) For the purposes of the post-installation emissions testing
required by paragraph (c) of this section, the following adjustments to
the two speed idle test-EPA 91 in 40 CFR 85.2215 are necessary.
(1) Testing of hydrocarbon emissions and equipment associated solely
with hydrocarbon emissions testing is not required.
(2) The CO emissions pass/fail criteria in 40 CFR 85.2215(a)(2),
(c)(1)(ii)(A), (c)(2)(ii)(A)(1), (c)(2)(iii)(A)(1), and (d)(3)(i) are to
be replaced with the pass/fail criteria detailed in paragraph
(c)(2)(ii)(C) of this section. All HC pass/fail criteria in 40 CFR
85.2215 do not apply.
(3) The void test criteria in 40 CFR 85.2215(a)(3) and (b)(2)(iv)
associated with maintaining the measured concentration of CO plus
CO2 above six percent does not apply. However, the
Administrator may reconsider requiring that the void test criteria in 40
CFR 85.2215(a)(3) and (b)(2)(iv) be applied, and may issue an advisory
memorandum to this effect in the future.
(4) The ambient temperature levels encountered by the vehicle during
testing must comply with the specifications in 40 CFR 86.130 or 40 CFR
86.1330.
(d) The clean-fuel vehicle aftermarket conversion certifier shall be
considered a manufacturer for purposes of Clean Air Act sections 206 and
207 and related enforcement provisions, and must accept liability for
in-use performance of all the vehicles produced under the certificate of
conformity as outlined in 40 CFR part 85.
(1) The useful life period for the purposes of determining the in-
use liability of the clean-fuel vehicle aftermarket conversion certifier
shall be the original useful life of the vehicle prior to conversion.
(2) [Reserved]
(e) Tampering. (1) The conversion from an engine or vehicle capable
of operating on gasoline or diesel fuel only to a clean-fuel engine or
vehicle shall not be considered a violation of the tampering provisions
of Clean Air Act section 203(a)(3), if such conversion is done pursuant
to a conversion configuration certificate by the aftermarket conversion
certifier or by an installer listed on the certificate.
(2) In order to comply with the provisions of this subpart, an
aftermarket conversion installer must:
(i) Install a certified aftermarket conversion system for which the
installer is listed by the certifier; and
(ii) Perform such installation according to instructions provided by
the aftermarket conversion certifier.
(f) Data collection. The clean-fuel vehicle aftermarket conversion
certifier is responsible for maintaining records of each engine and
vehicle converted for use in the Clean Fuel Fleets program for a period
of 5 years. The records are to include the engine or vehicle make,
engine or vehicle model, engine or vehicle model year, and engine or
vehicle identification number of converted engines and vehicles; the
certification number of the conversion configuration; the brand names
and part numbers of the parts included in the conversion configuration;
the date of the conversion and the facility at which the conversion was
performed; and the results of post-installation emissions testing if
required pursuant to paragraph (c) of this section.
[59 FR 50080, Sept. 30, 1994, as amended at 61 FR 129, Jan. 3, 1996]
Sec. 88.307-94 Exemption from temporal transportation control
measures for CFFVs.
(a) States with covered areas shall exempt any CFFV required by law
to participate in the clean-fuel fleet program or any vehicle generating
credits under Sec. 88.304-94(c) from transportation control measures
(TCMs) existing wholly or partially for air quality reasons included in
an approved state implementation plan which restrict vehicle usage based
primarily on temporal considerations, such as time-of-day and day-of-
week exemptions. However, CFFVs shall not qualify for TCMs where the
temporal element is secondary to some other control element
[[Page 38]]
and, in no case, shall such exemptions apply if they create a clear and
direct safety hazard. This exemption does not include access to high
occupancy vehicle (HOV) lanes, except as provided in Sec. 88.313-93.
(b) States shall also grant temporal TCM exemptions to qualifying
CFFVs being operated after SIP approval, but prior to the effective date
for commencement of a state's CFFV credit program.
(c) Temporal TCM exemptions provided for in paragraph (a) of this
section are not effective outside of the areas for which states can be
required to establish CFFV credit programs.
(1) Such exemptions shall remain effective only while the subject
vehicle remains in compliance with applicable CFFV emissions standards
and other CFFV credit program requirements.
(2) CFFV TCM exemptions shall not be transferred between vehicles
within the same fleet nor shall they be sold or traded.
Sec. 88.308-94 Programmatic requirements for clean-fuel fleet
vehicles.
(a) Multi-State nonattainment areas. The states comprising a multi-
State nonattainment area shall, to the greatest extent possible,
promulgate consistent clean-fuel fleet vehicle programs.
(b) Program start date. The SIP revision shall provide that the
clean fuel vehicle purchase requirements begin to apply no later than
model year 1999.
[59 FR 50082, Sept. 30, 1994, as amended at 63 FR 20107, Apr. 23, 1998]
Sec. 88.309 [Reserved]
Sec. 88.310-94 Applicability to covered Federal fleets.
(a) Compliance by Federal vehicles. As per section 258(a) of the
Act, fleets owned or operated by any agency, department, or
instrumentality of the United States shall comply with the applicable
state regulations concerning CFFVs established in the SIP revision. Such
fleets shall be treated in the same manner as private or other
government fleets under the applicable state regulations.
(1) Federal agencies shall obtain CFFVs from original equipment
manufacturers, to the extent possible, as required under section 248 of
the CAA.
(2) The Secretary of Defense may exempt any vehicle(s) from the
provisions of any CFFV credit program established in the SIP revision by
certifying to the Administrator in writing that inclusion of the
specified vehicle(s) in such a program could have an adverse impact on
the national security. The Secretary of Defense shall also provide a
copy of this statement of exemption to the state agency administering
the CFFV credit program in the covered area in which the specified
vehicle(s) is registered/operated.
(b) [Reserved]
Sec. 88.311-93 Emissions standards for Inherently Low-Emission
Vehicles.
(a) Certification. (1) Emissions Testing Procedures. A vehicle shall
be certified as an ILEV if that vehicle satisfies the following
conditions:
(i) The vehicle shall be certified under the appropriate exhaust
emissions standards from paragraph (c) or (d) of this section depending
on the vehicle's weight classification.
(ii) The vehicle shall be certified as having fuel vapor emissions
which are five or less total grams per test as measured by the current
Federal Test Procedure (FTP), modified for ILEV certification, from 40
CFR part 86, subpart B for LDVs and LDTs and from 40 CFR part 86,
subpart M for HDVs.
(A) After disabling any and all auxiliary emission control devices
(canister, purge system, etc.) related to control of evaporative
emissions, the fuel vapor emissions shall be measured using the FTP
regulations in effect at the time the vehicle is to be certified as an
ILEV. For purposes of this section, the vehicle's fuel vapor emissions
shall consist of the total grams of diurnal, hot soak, running loss, and
resting loss emissions, as appropriate, for the particular fuel/vehicle/
engine combination to be tested. In determining ILEV evaporative
emissions, the diurnal emissions measurement procedure shall consist of
a single diurnal heat build using an ambient or fuel temperature range
of 72-96 F (22-36 C), as appropriate for the applicable FTP
regulations (40 CFR part 86).
[[Page 39]]
(B) Conventional Federal Test Procedure. A vehicle with no
evaporative emissions control system components may have its evaporative
emissions certified for its particular GVWR weight class/subclass if it
passes the conventional evaporative emissions FTP from 40 CFR part 86,
subpart B for LDVs and LDTs or from 40 CFR part 86, subpart M for HDVs,
as applicable.
(iii) The vehicle must meet other special requirements applicable to
conventional or clean-fuel vehicles and their fuels as described in any
other parts of this chapter, including 40 CFR parts 86 and 88.
(2) Vehicles which have a closed or sealed fuel system may be
certified at the administrator's option by engineering evaluation in
lieu of testing. These vehicles will be certified as ILEVs only if a
leak in the fuel system would result in the vehicle becoming inoperative
due to loss of fuel supply, or if half the fuel escapes within 24 hours.
(b) Identification. In the application for a vehicle's certification
as an ILEV, the manufacturer or the manufacturer's agent shall provide
for positive identification of the vehicle's status as an ILEV in the
vehicle's Vehicle Emission Control Information (VECI) label in
accordance with 40 CFR 86.094-35 and 86.095-35. The label shall contain
a highlighted statement (e.g., underscored or boldface letters) that the
vehicle is certified to applicable emission standards for ILEV exhaust
and evaporative emission standards.
(c) Light-duty vehicles and light-duty trucks. ILEVs in LDV and LDT
classes shall have exhaust emissions which do not exceed the LEV exhaust
emission standards for NMOG, CO, HCHO, and PM and the ULEV exhaust
emission standards for NOX listed in Tables A104-1 through
A104-6 for light-duty CFVs. Exhaust emissions shall be measured in
accordance with the test procedures specified in Sec. 88.104-94(k). An
ILEV must be able to operate on only one fuel, or must be certified as
an ILEV on all fuels on which it can operate. These vehicles shall also
comply with all requirements of 40 CFR part 86 which are applicable to
conventional gasoline-fueled, methanol-fueled, diesel-fueled, natural
gas-fueled or liquified petroleum gas-fueled LDVs/LDTs of the same
vehicle class and model year.
(d) Heavy-duty vehicles. ILEVs in the HDV class shall have exhaust
emissions which do not exceed the exhaust emission standards in grams
per brake horsepower-hour listed in Sec. 88.105-94(d). Exhaust emissions
shall be measured in accordance with the test procedures specified in
Sec. 88.105-94(e). An ILEV must be able to operate on only one fuel, or
must be certified as an ILEV on all fuels on which it can operate. These
vehicles shall also comply with all requirements of 40 CFR part 86 which
are applicable in the case of conventional gasoline-fueled, methanol-
fueled, diesel-fueled, natural gas-fueled or liquified petroleum gas-
fueled HDVs of the same weight class and model year.
(e) Applicability. State actions to opt out of the clean-fuel fleet
program under section 182(c) of the Act do not affect the applicability
of the ILEV program in the affected states.
[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 48536, Sept. 21, 1994;
59 FR 50082, Sept. 30, 1994, 61 FR 127, Jan. 3, 1996]
Sec. 88.311-98 Emissions standards for Inherently Low-Emission
Vehicles.
Section 88.311-98 includes text that specifies requirements that
differ from Sec. 88.311-93. Where a paragraph in Sec. 88.311-93 is
identical and applicable to Sec. 88.311-98, this may be indicated by
specifying the corresponding paragraph and the statement ``[Reserved].
For guidance see Sec. 88.311-93.''
(a) heading through (a)(1)(ii) [Reserved]. For guidance see
Sec. 88.311-93.
(iii) The vehicle must meet other special requirements applicable to
conventional or clean-fuel vehicles and their fuels as described in any
other regulations in 40 CFR chapter I, subchapter C, including 40 CFR
parts 86 and 88 (e.g., onboard refueling provisions).
(b)-(e) [Reserved]. For guidance see Sec. 88.311-93.
[59 FR 16309, Apr. 6, 1994]
Effective Date Note: At 59 FR 16309, Apr. 6, 1994, Sec. 88.311-98
was added. This section contains information collection and
recordkeeping requirements that will not become effective until approval
has been given by the Office of Management and Budget.
[[Page 40]]
Sec. 88.312-93 Inherently Low-Emission Vehicle labeling.
(a) Label design. (1) Label design shall consist of either of the
following specifications:
(i) The label shall consist of a white rectangular background,
approximately 12 inches (30 centimeters) high by 18 inches (45
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting
block capital letters at least 4.3 inches (10.6 centimeters) tall and
1.8 inches (4.4 centimeters) wide with a stroke width not less than 0.5
inches (1.3 centimeters). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering no smaller than 1 inch
(2.5 centimeters) high. Nothing shall be added to the label which
impairs readability. Labels shall include a serialized identification
number; or
(ii) The label shall consist of a white truncated-circular
background, approximately 10 inches (25 centimeters) in diameter by 7
inches (17.5 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 2 inches (5 centimeters) from
the center. The acronym ``ILEV'' shall be printed on the label in
contrasting block capital letters at least 2 inches (5 centimeters) tall
and 1.5 inches (3.8 centimeters) wide with a stroke width not less than
0.4 inches (1.0 centimeter). In addition, the words ``CLEAN AIR
VEHICLE'' must be present in lettering no smaller than 0.8 inches (2.0
centimeters) high. Nothing shall be added to the label which impairs
readability. Labels shall include a serialized identification number.
(2) The ILEV label shall be fabricated or affixed to a vehicle in
such a manner that its removal from the vehicle cannot be accomplished
without defacing or destroying the label in whole or in part.
(3) Along with the manufacturer's application to certify a
particular ILEV engine class, the manufacturer or the manufacturer's
agent shall submit to EPA ILEV labels or reasonable facsimiles of the
types which may be mounted on a certified ILEV vehicle of that class.
(b) Eligibility. Vehicle manufacturers or their agents must install
ILEV labels on a certified ILEV vehicle at the time of its sale to an
eligible fleet owner if the vehicle is to be eligible for expanded TCM
exemptions. An eligible fleet owner is one who is in a covered area and
owns a total of at least ten motor vehicles (including the ILEV(s) being
purchased) which operate in the owner's fleet. All of the following
shall be provided to demonstrate eligibility: Photocopies of no less
than nine motor vehicle registrations indicating registration in the
ILEV purchaser's name, a signed statement by the ILEV purchaser that
these vehicles are operational in the purchaser's fleet and that the
ILEV being purchased will also be operated in this fleet, and a signed
statement by the ILEV purchaser that the ILEV labels will be removed and
disposed of when the vehicle is sold, given, leased (except as part of a
daily rental fleet), or offered for long-term loan to someone who has
not demonstrated eligibility for expanded TCMs available to ILEVs
according to these criteria.
(c) ILEV Label installation. (1) Except as provided for in this
paragraph (c), no person shall attach an ILEV label or any facsimile of
an ILEV label to any vehicle.
(2)(i) The manufacturer or the manufacturer's agent shall attach
three labels on the vehicle in plain sight: One on the rear of the
vehicle and one on each of two sides of the vehicle. Each label shall
conform to the specifications of paragraph (a) of this section.
(ii) In the case that an ILEV label of the proportions specified in
paragraph (a)(1) of this section cannot be attached to the rear of the
ILEV, the manufacturer or the manufacturer's agent shall attach to the
rear of the vehicle an ILEV label of either of the following
proportions:
(A) The label shall consist of a white rectangular background,
approximately 4 inches (10 centimeters) high by 24 inches (60
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting
block capital letters at least 2.8 inches (7 centimeters) tall and 1.3
inches (3.3 centimeters) wide with a stroke width not less than 0.3
inches (0.8 centimeter). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering
[[Page 41]]
no smaller than 0.6 inches (1.5 centimeters) high. Nothing shall be
added to the label which impairs readability. Labels shall include a
serialized identification number; or
(B) The label shall consist of a white truncated-circular
background, approximately 5 inches (12.5 centimeters) in diameter by 3.5
inches (8.8 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 1 inch (2.5 centimeters) from
the center. The acronym ``ILEV'' shall be printed on the label in
contrasting block capital letters at least 1 inch (2.5 centimeters) tall
and 0.8 inches (2.0 centimeters) wide with a stroke width not less than
0.3 inches (0.8 centimeters). In addition, the words ``CLEAN AIR
VEHICLE'' must be present in lettering no smaller than 0.4 inches (1.0
centimeter) high. Nothing shall be added to the label which impairs
readability. Labels shall include a serialized identification number.
(d) Label removal. Fleet ILEV owners shall remove and dispose of the
ILEV labels on a vehicle before selling or transferring ownership of an
ILEV or offering it for lease (unless the ILEV is part of a daily rental
fleet) or long-term loan. This provision shall not apply if the person
who is receiving the vehicle demonstrates eligibility for expanded TCM
exemptions under the federal ILEV program as described in paragraph (b)
of this section, or is otherwise qualified under state regulations which
expressly expand ILEV label eligibility.
(e) Label replacement. (1) The manufacturer shall make replacement
ILEV labels available to the fleet owner of a qualifying ILEV to replace
any ILEV label which has been lost or removed due to vehicle damage,
repair, sale, or lease. The fleet owner's request shall include proof of
ownership of the ILEV in question and proof of the fleet owner's
eligibility for ILEV TCM exemptions, as outlined in paragraph (c) of
this section. Each label shall be imprinted with the same serial number
as initially assigned to the damaged/missing ILEV label(s) for that
vehicle. Any portion of a damaged label remaining on the ILEV shall be
removed from the vehicle and submitted with the request as proof of
loss.
(2) Upon receipt of the replacement ILEV label(s), the fleet owner
shall attach the new ILEV label(s) only to the vehicle for which
replacement ILEV label(s) were requested.
[58 FR 11901, Mar. 1, 1993, as amended at 61 FR 128, Jan. 3, 1996]
Sec. 88.313-93 Incentives for the purchase of Inherently Low-Emission
Vehicles.
(a) Administration. (1) The incentives granted to ILEVs provided in
this section are not effective outside of nonattainment areas for which
states are required to establish CFFV programs under section 246 of the
CAA, unless specifically added by states for qualifying vehicles.
(2) Incentives for purchasing ILEVs shall not be transferred between
vehicles within the same fleet nor shall they be sold or traded.
(3) No vehicle over 26,000 pounds (11,800 kilograms) GVWR shall be
eligible for the following ILEV incentives.
(b) Exemption from temporal TCMs. A fleet vehicle which has been
certified and labeled as an ILEV according to the provisions of this
section and which continues to be in compliance with applicable
emissions standards and other ILEV program requirements shall be
exempted from TCMs existing for air quality reasons included in approved
state implementation plans which restrict vehicle usage based primarily
on temporal considerations, such as time-of-day and day-of-week
exemptions.
(c) Exemption from high-occupancy vehicle lane restrictions. (1) A
fleet vehicle which has been certified and labeled as an ILEV according
to the provisions of Secs. 88.311 and 88.312 and which continues to be
in compliance with applicable emissions standards and other ILEV program
requirements shall be exempt from TCMs which restrict a vehicle's access
to certain roadway lanes based on the number of occupants in that
vehicle, usually known as high-occupancy vehicle (HOV) lanes. These
exemptions shall not apply if they would create a clear and direct
safety hazard.
[[Page 42]]
(2) In a state containing a covered area, or areas, the governor may
petition the Administrator for a waiver from the exemption from HOV lane
restrictions for ILEVs for any section of HOV lane in the covered
area(s) that can be shown to be congested primarily due to the operation
or projected operation of ILEVs. The waiver application shall
demonstrate the infeasibility of other means of alleviating HOV/CAV lane
congestion, such as adding an additional HOV/CAV lane, further
increasing vehicle occupancy requirements and reducing the use of the
lane by noneligible vehicles.
Sec. Tables to Subpart C of Part 88
Table C94-1--Fleet Credit Table Based on Reduction in NMOG. Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table C94-1.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000
NMOG 3750 ALVW >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 1.00 1.26 0.71 0.91 1.11
ULEV................................................... 1.20 1.54 1.00 1.26 1.56
ZEV.................................................... 1.43 1.83 1.43 1.83 2.23
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-1.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 16000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000
NMOG 3750 ALVW >3750 ALVW, 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV................................................... 0.00 0.00 0.00 0.00 0.00
ULEV.................................................. 0.20 0.29 0.29 0.34 0.45
ZEV................................................... 0.43 0.57 0.71 0.91 1.11
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-1.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000 GVWR,
NMOG 3750 ALVW >3750 ALVW 5750 5750 ALVW
ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV............................................ 1.00 1.26 0.71 0.91 1.11
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-2--Fleet Credit Table Based on Reduction in NMOG + NOX. Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table C94-2.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000
NMOG + NOX 3750 ALVW >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 1.00 1.39 0.33 0.43 0.52
ULEV................................................... 1.09 1.52 1.00 1.39 2.06
ZEV.................................................... 1.73 2.72 1.73 2.72 3.97
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 43]]
Table C94-2.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000
NMOG + NOX 3750 ALVW >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 0.00 0.00 0.00 0.00 0.00
ULEV................................................... 0.09 0.13 0.67 0.96 1.54
ZEV.................................................... 0.73 1.34 1.40 2.29 3.45
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-2.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR, LDT 6000 GVWR, 3750
3750 LVW >3750 LVW 5750 LVW ALVW LDT >6000 GVWR, LDT >6000
NMOG + NOX >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 1.00 1.39 0.33 0.43 0.52
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-3--Fleet Credit Table Based on Reduction in Carbon Monoxide. Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
Table C94-3.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR, LDT 6000 GVWR, 3750
3750 LVW >3750 LVW 5750 LVW ALVW LDT >6000 GVWR, LDT >6000
CO >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 1.00 1.00 1.00 1.00 1.00
ULEV................................................... 2.00 2.29 2.00 2.29 2.47
ZEV.................................................... 3.00 3.59 3.00 3.59 3.94
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-3.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000
CO 3750 ALVW >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 0.00 0.00 0.00 0.00 0.00
ULEV................................................... 1.00 1.00 1.00 1.00 1.00
ZEV.................................................... 2.00 2.29 2.00 2.29 2.47
--------------------------------------------------------------------------------------------------------------------------------------------------------
Table C94-3.3--Credit Needed in Lieu of Purchasing a LEV To Meet The Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
LDV, LDT 6000 GVWR, LDT 6000 GVWR,
3750 LVW >3750 LVW 5750 LVW LDT >6000 GVWR, LDT >6000 GVWR, LDT >6000
CO 3750 ALVW >3750 ALVW 5750 GVWR, >5750
ALVW ALVW
--------------------------------------------------------------------------------------------------------------------------------------------------------
LEV.................................................... 1.00 1.00 1.00 1.00 1.00
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 44]]
Table C94-4--Fleet Credit Table Based on Reduction in NMHC + NOX.
Vehicle Equivalents for Heavy-Duty Vehicles--Table C94-4.1--Credit
Generation: Purchasing More Clean-Fuel Vehicles Than Required by the
Mandate
------------------------------------------------------------------------
Light Medium Heavy
NMHC + NOX HDV HDV HDV
------------------------------------------------------------------------
LEV....................................... 1.00 1.00 1.00
ULEV...................................... 1.87 1.87 1.87
ZEV....................................... 3.53 3.53 3.53
------------------------------------------------------------------------
Table C94-4.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
NMHC + NOX HDV HDV
------------------------------------------------------------------------
LEV................................................. 0.00 0.00
ULEV................................................ 0.87 0.87
ZEV................................................. 2.53 2.53
------------------------------------------------------------------------
Table C94-4.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
NMHC + NOX HDV HDV
------------------------------------------------------------------------
LEV................................................. 1.00 1.00
------------------------------------------------------------------------
Table C94-5--Fleet Credit Table Based on Reduction in Co. Vehicle
Equivalents for Heavy-Duty Vehicles--Table C94-5.1--Credit Generation:
Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
Light Medium Heavy
CO HDV HDV HDV
------------------------------------------------------------------------
LEV....................................... 1.00 1.00 1.00
ULEV...................................... 2.00 2.00 2.00
ZEV....................................... 3.00 3.00 3.00
------------------------------------------------------------------------
Table C94-5.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
CO HDV HDV
------------------------------------------------------------------------
LEV................................................. 0.00 0.00
ULEV................................................ 1.00 1.00
ZEV................................................. 2.00 2.00
------------------------------------------------------------------------
Table C94-5.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
Mandate
------------------------------------------------------------------------
Light Medium
CO HDV HDV
------------------------------------------------------------------------
LEV................................................. 1.00 1.00
------------------------------------------------------------------------
[58 FR 11901, Mar. 1, 1993, as amended at 59 FR 50082, Sept. 30, 1994,
61 FR 128, Jan. 3, 1996]
PART 89_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD COMPRESSION
-IGNITION ENGINES--Table of Contents
Subpart A_General
Sec.
89.1 Applicability.
89.2 Definitions.
89.3 Acronyms and abbreviations.
89.4 [Reserved]
89.5 Table and figure numbering; position.
89.6 Reference materials.
89.7 Treatment of confidential information.
Appendix A to Subpart A of Part 89--State Regulation of Nonroad Internal
Combustion Engines
Subpart B_Emission Standards and Certification Provisions
89.101 Applicability.
89.102 Effective dates, optional inclusion, flexibility for equipment
manufacturers.
89.103 Definitions.
89.104 Useful life, recall, and warranty periods.
89.105 Certificate of conformity.
89.106 Prohibited controls.
89.107 Defeat devices.
89.108 Adjustable parameters, requirements.
89.109 Maintenance instructions and minimum allowable maintenance
intervals.
89.110 Emission control information label.
89.111 Averaging, banking, and trading of exhaust emissions.
89.112 Oxides of nitrogen, carbon monoxide, hydrocarbon, and
particulate matter exhaust emission standards.
89.113 Smoke emission standard.
89.114 Special and alternate test procedures.
89.115 Application for certificate.
89.116 Engine families.
89.117 Test fleet selection.
89.118 Deterioration factors and service accumulation.
89.119 Emission tests.
89.120 Compliance with emission standards.
89.121 Certificate of conformity effective dates.
89.122 Certification.
89.123 Amending the application and certificate of conformity.
89.124 Record retention, maintenance, and submission.
89.125 Production engines, annual report.
89.126 Denial, revocation of certificate of conformity.
89.127 Request for hearing.
89.128 Hearing procedures.
[[Page 45]]
89.129 Right of entry.
89.130 Rebuild practices.
Subpart C_Averaging, Banking, and Trading Provisions
89.201 Applicability.
89.202 Definitions.
89.203 General provisions.
89.204 Averaging.
89.205 Banking.
89.206 Trading.
89.207 Credit calculation.
89.208 Labeling.
89.209 Certification.
89.210 Maintenance of records.
89.211 End-of-year and final reports.
89.212 Notice of opportunity for hearing.
Subpart D_Emission Test Equipment Provisions
89.301 Scope; applicability.
89.302 Definitions.
89.303 Symbols/abbreviations.
89.304 Equipment required for gaseous emissions; overview.
89.305 Equipment measurement accuracy/calibration frequency.
89.306 Dynamometer specifications and calibration weights.
89.307 Dynamometer calibration.
89.308 Sampling system requirements for gaseous emissions.
89.309 Analyzers required for gaseous emissions.
89.310 Analyzer accuracy and specifications.
89.311 Analyzer calibration frequency.
89.312 Analytical gases.
89.313 Initial calibration of analyzers.
89.314 Pre- and post-test calibration of analyzers.
89.315 Analyzer bench checks.
89.316 Analyzer leakage and response time.
89.317 NOX converter check.
89.318 Analyzer interference checks.
89.319 Hydrocarbon analyzer calibration.
89.320 Carbon monoxide analyzer calibration.
89.321 Oxides of nitrogen analyzer calibration.
89.322 Carbon dioxide analyzer calibration.
89.323 NDIR analyzer calibration.
89.324 Calibration of other equipment.
89.325 Engine intake air temperature measurement.
89.326 Engine intake air humidity measurement.
89.327 Charge cooling.
89.328 Inlet and exhaust restrictions.
89.329 Engine cooling system.
89.330 Lubricating oil and test fuels.
89.331 Test conditions.
Appendix A to Subpart D of Part 89--Tables
Appendix B to Subpart D of Part 89--Figures
Subpart E_Exhaust Emission Test Procedures
89.401 Scope; applicability.
89.402 Definitions.
89.403 Symbols/abbreviations.
89.404 Test procedure overview.
89.405 Recorded information.
89.406 Pre-test procedures.
89.407 Engine dynamometer test run.
89.408 Post-test procedures.
89.409 Data logging.
89.410 Engine test cycle.
89.411 Exhaust sample procedure--gaseous components.
89.412 Raw gaseous exhaust sampling and analytical system description.
89.413 Raw sampling procedures.
89.414 Air flow measurement specifications.
89.415 Fuel flow measurement specifications.
89.416 Raw exhaust gas flow.
89.417 Data evaluation for gaseous emissions.
89.418 Raw emission sampling calculations.
89.419 Dilute gaseous exhaust sampling and analytical system
description.
89.420 Background sample.
89.421 Exhaust gas analytical system; CVS bag sample.
89.422 Dilute sampling procedures--CVS calibration.
89.423 [Reserved]
89.424 Dilute emission sampling calculations.
89.425 [Reserved]
Appendix A to Subpart E of Part 89--Figures
Appendix B to Subpart E of Part 89--Tables 1
Subpart F_Selective Enforcement Auditing
89.501 Applicability.
89.502 Definitions.
89.503 Test orders.
89.504 Testing by the Administrator.
89.505 Maintenance of records; submittal of information.
89.506 Right of entry and access.
89.507 Sample selection.
89.508 Test procedures.
89.509 Calculation and reporting of test results.
89.510 Compliance with acceptable quality level and passing and failing
criteria for selective enforcement audits.
89.511 Suspension and revocation of certificates of conformity.
89.512 Request for public hearing.
89.513 Administrative procedures for public hearing.
89.514 Hearing procedures.
89.515 Appeal of hearing decision.
89.516 Treatment of confidential information.
[[Page 46]]
Appendix A to Subpart F of Part 89--Sampling Plans for Selective
Enforcement Auditing of Nonroad Engines
Subpart G_Importation of Nonconforming Nonroad Engines
89.601 Applicability.
89.602 Definitions.
89.603 General requirements for importation of nonconforming nonroad
engines.
89.604 Conditional admission.
89.605 Final admission of certified nonroad engines.
89.606 Inspection and testing of imported nonroad engines.
89.607 Maintenance of independent commercial importer's records.
89.608 ``In Use'' inspections and recall requirements.
89.609 Final admission of modification nonroad engines and test nonroad
engines.
89.610 Maintenance instructions, warranties, emission labeling.
89.611 Exemptions and exclusions.
89.612 Prohibited acts; penalties.
89.613 Treatment of confidential information.
Subpart H_Recall Regulations
89.701 Applicability.
89.702 Definitions.
89.703 Applicability of part 85, subpart S.
Subpart I_Emission Defect Reporting Requirements
89.801 Applicability.
89.802 Definitions.
89.803 Applicability of part 85, subpart T.
Subpart J_Exemption Provisions
89.901 Applicability.
89.902 Definitions.
89.903 Application of section 216(10) of the Act.
89.904 Who may request an exemption.
89.905 Testing exemption.
89.906 Manufacturer-owned exemption and precertification exemption.
89.907 Display exemption.
89.908 National security exemption.
89.909 Export exemptions.
89.910 Granting of exemptions.
89.911 Submission of exemption requests.
89.912 Treatment of confidential information.
89.913 What provisions apply to engines certified under the motor-
vehicle program?
89.914 What provisions apply to vehicles certified under the motor-
vehicle program?
89.915 Staged-assembly exemption.
89.916 Emergency-vessel exemption for marine engines below 37 kW.
Subpart K_General Enforcement Provisions and Prohibited Acts
89.1001 Applicability.
89.1002 Definitions.
89.1003 Prohibited acts.
89.1004 General enforcement provisions.
89.1005 Injunction proceedings for prohibited acts.
89.1006 Penalties.
89.1007 Warranty provisions.
89.1008 In-use compliance provisions.
89.1009 What special provisions apply to branded engines?
Authority: 42 U.S.C. 7401-7671q.
Source: 59 FR 31335, June 17, 1994, unless otherwise noted.
Subpart A_General
Sec. 89.1 Applicability.
(a) This part applies for all compression-ignition nonroad engines
(see definition of ``nonroad engine'' in Sec. 89.2) except those
specified in paragraph (b) of this section. This means that the engines
for which this part applies include but are not limited to the
following:
(1) Compression-ignition engines exempted from the requirements of
40 CFR Part 92 by 40 CFR 92.907;
(2) Compression-ignition engines exempted from the requirements of
40 CFR Part 94 by 40 CFR 94.907;
(3) Portable compression-ignition engines that are used in but not
installed in marine vessels (as defined in the General Provisions of the
United States Code, 1 U.S.C. 3);
(4) Non-propulsion compression-ignition engines used in locomotives;
and
(5) Compression-ignition marine engines with rated power under 37
kW.
(b) (1) Aircraft engines. This part does not apply for engines used
in aircraft (as defined in 40 CFR 87.1).
(2) Mining engines. This part does not apply for engines used in
underground mining equipment and regulated by the Mining Safety and
Health Administration (MSHA) in 30 CFR parts 7, 31, 32, 36, 56, 57, 70,
and 75.
(3) Locomotive engines. This part does not apply for engines that:
(i) Are subject to the standards of 40 CFR part 92; or
(ii) Are exempted from the requirements of 40 CFR part 92 by
exemption
[[Page 47]]
provisions of 40 CFR part 92 other than those specified in 40 CFR
92.907.
(4) Marine engines. This part does not apply for engines that:
(i) Are subject to the standards of 40 CFR part 94;
(ii) Are exempted from the requirements of 40 CFR part 94 by
exemption provisions of 40 CFR part 94 other than those specified in 40
CFR 94.907 or 94.912.
(iii) Are marine engines (as defined in 40 CFR part 94) with rated
power at or above 37kW that are manufactured in calendar years in which
the standards of 40 CFR part 94 are not yet applicable.
(5) Hobby engines. This part does not apply for engines installed in
reduced-scale models of vehicles that are not capable of transporting a
person.
(6) Tier 4 engines. This part does not apply to engines that are
subject to emission standards under 40 CFR part 1039. See 40 CFR 1039.1
to determine when that part 1039 applies. Note that certain requirements
and prohibitions apply to engines built on or after January 1, 2006 if
they are installed in stationary applications or in equipment that will
be used solely for competition, as described in 40 CFR 1039.1 and 40 CFR
1068.1; those provisions apply instead of the provisions of this part
89.
(c) In certain cases, the regulations in this part 89 apply to
engines at or above 250 kW that would otherwise be covered by 40 CFR
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.
(d) This part applies as specified in 40 CFR part 60 subpart IIII,
to compression-ignition engines subject to the standards of 40 CFR part
60, subpart IIII.
[64 FR 73330, Dec. 29, 1999, as amended at 69 FR 39212, June 29, 2004;
70 FR 40444, July 13, 2005; 71 FR 39184, July 11, 2006; 72 FR 53126,
Sept. 18, 2007; 74 FR 8423, Feb. 24, 2009]
Sec. 89.2 Definitions.
The following definitions apply to part 89. All terms not defined
herein have the meaning given them in the Act.
Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
Adjustable parameter means any device, system, or element of design
which is physically capable of being adjusted (including those which are
difficult to access) and which, if adjusted, may affect emissions or
engine performance during emission testing.
Administrator means the Administrator of the Environmental
Protection Agency or his or her authorized representative.
Aircraft means any vehicle capable of sustained air travel above
treetop heights.
Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
Auxiliary emission control device (AECD) means any element of design
that senses temperature, vehicle speed, engine RPM, transmission gear,
or any other parameter for the purpose of activating, modulating,
delaying, or deactivating the operation of any part of the emission
control system.
Auxiliary marine diesel engine means a marine diesel engine that is
not a propulsion marine diesel engine.
Blue Sky Series engine means a nonroad engine meeting the
requirements of Sec. 89.112(f).
Certification means, with respect to new nonroad engines, obtaining
a certificate of conformity for an engine family complying with the
nonroad engine emission standards and requirements specified in this
part.
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
Constant-speed engine means an engine that is governed to operate
only at rated speed.
Crankcase emissions means airborne substances emitted to the
atmosphere from any portion of the engine crankcase ventilation or
lubrication systems.
Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW.,Washington, DC 20460.
Emission control system means any device, system, or element of
design which controls or reduces the emission of substances from an
engine.
Engine, as used in this part, refers to nonroad engine.
[[Page 48]]
Engine manufacturer means any person engaged in the manufacturing or
assembling of new nonroad engines or importing such engines for resale,
or who acts for and is under the control of any such person in
connection with the distribution of such engines. Engine manufacturer
does not include any dealer with respect to new nonroad engines received
by such person in commerce.
Engine used in a locomotive means either an engine placed in the
locomotive to move other equipment, freight, or passenger traffic, or an
engine mounted on the locomotive to provide auxiliary power.
EPA enforcement officer means any officer or employee of the
Environmental Protection Agency so designated in writing by the
Administrator (or by his or her designee).
Exhaust gas recirculation means an emission control technology that
reduces emissions by routing exhaust gases that had been exhausted from
the combustion chamber(s) back into the engine to be mixed with incoming
air prior to or during combustion. The use of valve timing to increase
the amount of residual exhaust gas in the combustion chamber(s) that is
mixed with incoming air prior to or during combustion is not considered
to be exhaust gas recirculation for the purposes of this part.
Family emission limit (FEL) means an emission level that is declared
by the manufacturer to serve in lieu of an emission standard for
certification purposes and for the averaging, banking, and trading
program. A FEL must be expressed to the same number of decimal places as
the applicable emission standard.
Full load governed speed is the maximum full load speed as specified
by the manufacturer in the sales and service literature and
certification application. This speed is the highest engine speed with
an advertised power greater than zero.
Gross power means the power measured at the crankshaft or its
equivalent, the engine being equipped only with the standard accessories
(such as oil pumps, coolant pumps, and so forth) necessary for its
operation on the test bed. Alternators must be used, if necessary, to
run the engine. Fans, air conditioners, and other accessories may be
used at the discretion of the manufacturer, but no power adjustments for
these accessories may be made.
Identification number means a specification (for example, model
number/serial number combination) which allows a particular nonroad
engine to be distinguished from other similar engines.
Intermediate speed means peak torque speed if peak torque speed
occurs from 60 to 75 percent of rated speed. If peak torque speed is
less than 60 percent of rated speed, intermediate speed means 60 percent
of rated speed. If peak torque speed is greater than 75 percent of rated
speed, intermediate speed means 75 percent of rated speed.
Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. There are two kinds of marine engines:
(1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
(2) Auxiliary marine engine means a marine engine not used for
propulsion.
Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
Model year (MY) means the manufacturer's annual new model production
period which includes January 1 of the calendar year, ends no later than
December 31 of the calendar year, and does not begin earlier than
January 2 of the previous calendar year. Where a manufacturer has no
annual new model production period, model year means calendar year.
New for purposes of this part, means a nonroad engine, nonroad
vehicle, or nonroad equipment the equitable or legal title to which has
never been transferred to an ultimate purchaser. Where the equitable or
legal title to the engine, vehicle, or equipment is not transferred to
an ultimate purchaser
[[Page 49]]
until after the engine, vehicle, or equipment is placed into service,
then the engine, vehicle, or equipment will no longer be new after it is
placed into service. A nonroad engine, vehicle, or equipment is placed
into service when it is used for its functional purposes. With respect
to imported nonroad engines, nonroad vehicles, or nonroad equipment, the
term new means an engine, vehicle, or piece of equipment that is not
covered by a certificate of conformity issued under this part at the
time of importation, and that is manufactured after the effective date
of a regulation issued under this part which is applicable to such
engine, vehicle, or equipment (or which would be applicable to such
engine, vehicle, or equipment had it been manufactured for importation
into the United States).
Nonroad engine means:
(1) Except as discussed in paragraph (2) of this definition, a
nonroad engine is any internal combustion engine:
(i) In or on a piece of equipment that is self-propelled or serves a
dual purpose by both propelling itself and performing another function
(such as garden tractors, off-highway mobile cranes and bulldozers); or
(ii) In or on a piece of equipment that is intended to be propelled
while performing its function (such as lawnmowers and string trimmers);
or
(iii) That, by itself or in or on a piece of equipment, is portable
or transportable, meaning designed to be and capable of being carried or
moved from one location to another. Indicia of transportability include,
but are not limited to, wheels, skids, carrying handles, dolly, trailer,
or platform.
(2) An internal combustion engine is not a nonroad engine if:
(i) the engine is used to propel a motor vehicle or a vehicle used
solely for competition, or is subject to standards promulgated under
section 202 of the Act; or
(ii) the engine is regulated by a federal New Source Performance
Standard promulgated under section 111 of the Act; or
(iii) the engine otherwise included in paragraph (1)(iii) of this
definition remains or will remain at a location for more than 12
consecutive months or a shorter period of time for an engine located at
a seasonal source. A location is any single site at a building,
structure, facility, or installation. Any engine (or engines) that
replaces an engine at a location and that is intended to perform the
same or similar function as the engine replaced will be included in
calculating the consecutive time period. An engine located at a seasonal
source is an engine that remains at a seasonal source during the full
annual operating period of the seasonal source. A seasonal source is a
stationary source that remains in a single location on a permanent basis
(i.e., at least two years) and that operates at that single location
approximately three months (or more) each year. This paragraph does not
apply to an engine after the engine is removed from the location.
Nonroad equipment means equipment that is powered by nonroad
engines.
Nonroad vehicle means a vehicle that is powered by a nonroad engine
as defined in this section and that is not a motor vehicle or a vehicle
used solely for competition.
Nonroad vehicle or nonroad equipment manufacturer means any person
engaged in the manufacturing or assembling of new nonroad vehicles or
equipment or importing such vehicles or equipment for resale, or who
acts for and is under the control of any such person in connection with
the distribution of such vehicles or equipment. A nonroad vehicle or
equipment manufacturer does not include any dealer with respect to new
nonroad vehicles or equipment received by such person in commerce. A
nonroad vehicle or equipment manufacturer does not include any person
engaged in the manufacturing or assembling of new nonroad vehicles or
equipment who does not install an engine as part of that manufacturing
or assembling process. All nonroad vehicle or equipment manufacturing
entities that are under the control of the same person are considered to
be a single nonroad vehicle or nonroad equipment manufacturer.
Opacity means the fraction of a beam of light, expressed in percent,
which fails to penetrate a plume of smoke.
Operating hours means:
[[Page 50]]
(1) For engine storage areas or facilities, all times during which
personnel other than custodial personnel are at work in the vicinity of
the storage area or facility and have access to it.
(2) For all other areas or facilities, all times during which an
assembly line is in operation or all times during which testing,
maintenance, service accumulation, production or compilation of records,
or any other procedure or activity related to certification testing, to
translation of designs from the test stage to the production stage, or
to engine manufacture or assembly is being carried out in a facility.
Post-manufacture marinizer means a person who produces a marine
diesel engine by substantially modifying a certified or uncertified
complete or partially complete engine, and is not controlled by the
manufacturer of the base engine or by an entity that also controls the
manufacturer of the base engine. For the purpose of this definition,
``substantially modify'' means changing an engine in a way that could
change engine emission characteristics.
Presentation of credentials means the display of the document
designating a person as an EPA enforcement officer or EPA authorized
representative.
Propulsion marine diesel engine means a marine diesel engine that is
intended to move a vessel through the water or direct the movement of a
vessel.
Rated speed is the maximum full load governed speed for governed
engines and the speed of maximum horsepower for ungoverned engines.
Spark-ignition means relating to a gasoline-fueled engine or other
engines with a spark plug (or other sparking device) and with operating
characteristics significantly similar to the theoretical Otto combustion
cycle. Spark-ignition engines usually use a throttle to regulate intake
air flow to control power during normal operation.
Specific emissions means emissions expressed on the basis of
observed brake power, using units of g/kW-hr. Observed brake power
measurement includes accessories on the engine if these accessories are
required for running an emission test (except for the cooling fan). When
it is not possible to test the engine in the gross conditions, for
example, if the engine and transmission form a single integral unit, the
engine may be tested in the net condition. Power corrections from net to
gross conditions will be allowed with prior approval of the
Administrator.
Sulfur-sensitive technology means an emission-control technology
that experiences a significant drop in emission-control performance or
emission-system durability when an engine is operated on low-sulfur fuel
(i.e., fuel with a sulfur concentration up to 500 ppm) as compared to
when it is operated on ultra low-sulfur fuel (i.e., fuel with a sulfur
concentration less than 15 ppm). Exhaust-gas recirculation is not a
sulfur-sensitive technology.
Test fleet means the engine or group of engines that a manufacturer
uses during certification to determine compliance with emission
standards.
Tier 1 engine means an engine subject to the Tier 1 emission
standards listed in Sec. 89.112(a).
Tier 2 engine means an engine subject to the Tier 2 emission
standards listed in Sec. 89.112(a).
Tier 3 engine means an engine subject to the Tier 3 emission
standards listed in Sec. 89.112(a).
Ultimate purchaser means, with respect to any new nonroad engine,
new nonroad vehicle, or new nonroad equipment, the first person who in
good faith purchases such new nonroad engine, nonroad vehicle, or
nonroad equipment for purposes other than resale.
United States means the States, the District of Columbia, the
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
Used solely for competition means exhibiting features that are not
easily removed and that would render its use other than in competition
unsafe, impractical, or highly unlikely.
U.S.-directed production volume means the number of nonroad
equipment, vehicle, or marine diesel engine units produced by a
manufacturer for which the manufacturer has reasonable assurance that
sale was or will be made to
[[Page 51]]
ultimate purchasers in the United States.
[59 FR 31335, June 17, 1994, as amended at 61 FR 52102, Oct. 4, 1996; 63
FR 18998, Apr. 16, 1998; 63 FR 56996, Oct. 23, 1998; 65 FR 73331, Dec.
29, 1999; 67 FR 68339, Nov. 8, 2002; 69 FR 39212, June 29, 2004; 70 FR
40444, July 13, 2005; 72 FR 53126, Sept. 18, 2007]
Sec. 89.3 Acronyms and abbreviations.
The following acronyms and abbreviations apply to part 89.
AECD Auxiliary emission control device
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
CAA Clean Air Act
CAAA Clean Air Act Amendments of 1990
CI Compression-ignition
CO Carbon monoxide
CO2 Carbon dioxide
EGR Exhaust gas recirculation
EPA Environmental Protection Agency
FEL Family emission limit
FTP Federal Test Procedure
g/kW-hr Grams per kilowatt hour
HC Hydrocarbons
ICI Independent Commercial Importer
kW Kilowatt
NIST National Institute for Standards and Testing
NMHC Nonmethane hydrocarbon
NTIS National Technical Information Service
NO Nitric oxide
NO2 Nitrogen dioxide
NOX Oxides of nitrogen
O2 Oxygen
OEM Original equipment manufacturer
PM Particulate matter
SAE Society of Automotive Engineers
SEA Selective Enforcement Auditing
SI Spark-ignition
THC Total hydrocarbon
U.S.C. United States Code
VOC Volatile organic compounds
[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]
Sec. 89.4 [Reserved]
Sec. 89.5 Table and figure numbering; position.
(a) Tables for each subpart appear in an appendix at the end of the
subpart. Tables are numbered consecutively by order of appearance in the
appendix. The table title will indicate the model year (if applicable)
and the topic.
(b) Figures for each subpart appear in an appendix at the end of the
subpart. Figures are numbered consecutively by order of appearance in
the appendix. The figure title will indicate the model year (if
applicable) and the topic.
Sec. 89.6 Reference materials.
The materials listed in this section are incorporated by reference
into this part with the approval of the Director of the Federal Register
under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other
than that specified in this section, a document must be published in the
Federal Register and the material must be available to the public. All
approved materials are available for inspection at the Air and Radiation
Docket and Information Center (Air Docket) in the EPA Docket Center
(EPA/DC) at Rm. 3334, EPA West Bldg., 1301 Constitution Ave., NW.,
Washington, DC. The EPA/DC Public Reading Room hours of operation are
8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays.
The telephone number of the EPA/DC Public Reading Room is (202) 566-
1744, and the telephone number for the Air Docket is (202) 566-1742.
These approved materials are also available for inspection at the
National Archives and Records Administration (NARA). For information on
the availability of this material at NARA, call (202) 741-6030 or go to
http://www.archives.gov/federal_register/code_of_federal_regulations/
ibr_locations.html. In addition, these materials are available from the
sources listed below.
(a) ASTM material. Copies of these materials may be obtained from
ASTM International, 100 Barr Harbor Dr., P.O. Box C700, West
Conshohocken, PA 19428-2959, or by calling (877) 909-ASTM, or at http://
www.astm.org.
(1) ASTM D86-97, Standard Test Method for Distillation of Petroleum
Products at Atmospheric Pressure, IBR approved for appendix A to subpart
D.
(2) ASTM D93-09 (Approved December 15, 2009), Standard Test Methods
for Flash Point by Pensky-Martens Closed Cup Tester, IBR approved for
appendix A to subpart D.
(3) ASTM D129-95, Standard Test Method for Sulfur in Petroleum
Products (General Bomb Method), IBR approved for appendix A to subpart
D.
[[Page 52]]
(4) ASTM D287-92, Standard Test Method for API Gravity of Crude
Petroleum and Petroleum Products (Hydrometer Method), IBR approved for
appendix A to subpart D.
(5) ASTM D445-09 (Approved July 1, 2009), Standard Test Method for
Kinematic Viscosity of Transparent and Opaque Liquids (the Calculation
of Dynamic Viscosity), IBR approved for appendix A to subpart D.
(6) ASTM D613-95, Standard Test Method for Cetane Number of Diesel
Fuel Oil, IBR approved for appendix A to subpart D.
(7) ASTM D1319-98, Standard Test Method for Hydrocarbon Types in
Liquid Petroleum Products by Fluorescent Indicator Adsorption, IBR
approved for appendix A to subpart D.
(8) ASTM D2622-98, Standard Test Method for Sulfur in Petroleum
Products by Wavelength Dispersive X-ray Fluorescence Spectrometry, IBR
approved for appendix A to subpart D.
(9) ASTM D5186-96, Standard Test Method for ``Determination of the
Aromatic Content and Polynuclear Aromatic Content of Diesel Fuels and
Aviation Turbine Fuels By Supercritical Fluid Chromatography, IBR
approved for appendix A to subpart D.
(10) ASTM E29-93a, Standard Practice for Using Significant Digits in
Test Data to Determine Conformance with Specifications, IBR approved for
Secs. 89.120, 89.207, 89.509.
(b) California Air Resources Board Test Procedure. The material is
from Title 13, California Code of Regulations, Sections 2420-2427, as
amended by California Air Resources Board Resolution 92-2 and published
in California Air Resources Board mail out #93-42, September 1, 1993.
Copies of these materials may be obtained from the California Air
Resources Board, Haagen-Smit Laboratory, 9528 Telstar Ave., El Monte, CA
91731-2908, or by calling (800) 242-4450.
(1) California Regulations for New 1996 and Later Heavy-Duty Off-
Road Diesel Cycle Engines, IBR approved for Secs. 89.112, 89.119,
89.508.
(2) [Reserved]
(c) SAE material. Copies of these materials may be obtained from the
Society of Automotive Engineers International, 400 Commonwealth Dr.,
Warrendale, PA 15096-0001, or by calling (877) 606-7323 (United States
and Canada only) or (724) 776-4970 (outside the United States and Canada
only), or at http://www.sae.org.
(1) SAE J244, June 83, Recommended Practice for Measurement of
Intake Air or Exhaust Gas Flow of Diesel Engines, IBR approved for
Sec. 89.416.
(2) SAE J1937, November 89, Recommended Practice for Engine Testing
with Low Temperature Charge Air Cooler Systems in a Dynamometer Test
Cell, IBR approved for Sec. 89.327.
(3) SAE Paper 770141, 1977, Optimization of a Flame Ionization
Detector for Determination of Hydrocarbon in Diluted Automotive
Exhausts, Glenn D. Reschke, IBR approved for Sec. 89.319.
[77 FR 2461, Jan. 18, 2012]
Sec. 89.7 Treatment of confidential information.
(a) Any manufacturer may assert that some or all of the information
submitted pursuant to this part is entitled to confidential treatment as
provided by part 2, subpart B of this chapter.
(b) Any claim of confidentiality must accompany the information at
the time it is submitted to EPA.
(c) To assert that information submitted pursuant to this part is
confidential, a manufacturer must indicate clearly the items of
information claimed confidential by marking, circling, bracketing,
stamping, or otherwise specifying the confidential information.
Furthermore, EPA requests, but does not require, that the submitter also
provide a second copy of its submittal from which all confidential
information has been deleted. If a need arises to publicly release
nonconfidential information, EPA will assume that the submitter has
accurately deleted the confidential information from this second copy.
(d) If a claim is made that some or all of the information submitted
pursuant to this part is entitled to confidential treatment, the
information covered by that confidentiality claim will be disclosed by
the Administrator only to the extent and by means of the procedures set
forth in part 2, subpart B of this chapter.
[[Page 53]]
(e) Information provided without a claim of confidentiality at the
time of submission may be made available to the public by EPA without
further notice to the submitter, in accordance with
Sec. 2.204(c)(2)(i)(A) of this chapter.
Sec. Appendix A to Subpart A of Part 89--State Regulation of Nonroad
Internal Combustion Engines
This appendix sets forth the Environmental Protection Agency's
(EPA's) interpretation of the Clean Air Act regarding the authority of
states to regulate the use and operation of nonroad engines.
EPA believes that states are not precluded under section 209 from
regulating the use and operation of nonroad engines, such as regulations
on hours of usage, daily mass emission limits, or sulfur limits on fuel;
nor are permits regulating such operations precluded, once the engine is
no longer new. EPA believes that states are precluded from requiring
retrofitting of used nonroad engines except that states are permitted to
adopt and enforce any such retrofitting requirements identical to
California requirements which have been authorized by EPA under section
209 of the Clean Air Act.
[62 FR 67736, Dec. 30, 1997]
Subpart B_Emission Standards and Certification Provisions
Sec. 89.101 Applicability.
(a) The requirements of subpart B of this part are applicable to all
new nonroad compression-ignition engines subject to the provisions of
subpart A of this part 89, pursuant to the schedule delineated in
Sec. 89.102.
(b) In a given model year, you may ask us to approve the use of
procedures for certification, labeling, reporting, and recordkeeping
specified in 40 CFR part 1039 or 1068 instead of the comparable
procedures specified in this part 89. We will approve the request as
long as it does not prevent us from ensuring that you fully comply with
the intent of this part.
[72 FR 53127, Sept. 18, 2007]
Sec. 89.102 Effective dates, optional inclusion, flexibility for
equipment manufacturers.
(a) This subpart applies to all engines described in Sec. 89.101
with the following power rating and manufactured after the following
dates:
(1) Less than 19 kW and manufactured on or after January 1, 2000;
(2) Greater than or equal to 19 kW but less than 37 kW and
manufactured on or after January 1, 1999;
(3) Greater than or equal to 37 kW but less than 75 kW and
manufactured on or after January 1, 1998;
(4) Greater than or equal to 75 kW but less than 130 kW and
manufactured on or after January 1, 1997;
(5) Greater than or equal to 130 kW but less than or equal to 560 kW
and manufactured on or after January 1, 1996;
(6) Greater than 560 kW and manufactured on or after January 1,
2000.
(b) A manufacturer can optionally certify engines manufactured up to
one calendar year prior to the effective date of mandatory certification
to earn emission credits under the averaging, banking, and trading
program. Such optionally certified engines are subject to all provisions
relating to mandatory certification and enforcement described in this
part.
(c) Engines meeting the voluntary standards described in
Sec. 89.112(f) may be designated as Blue Sky Series engines through the
2004 model year.
(d) Implementation flexibility for equipment and vehicle
manufacturers and post-manufacture marinizers. Nonroad equipment and
vehicle manufacturers and post-manufacture marinizers may take any of
the otherwise prohibited actions identified in Sec. 89.1003(a)(1) and
(b)(4) with respect to nonroad equipment and vehicles and marine diesel
engines, subject to the requirements of paragraph (e) of this section.
The following allowances apply separately to each engine power category
subject to standards under Sec. 89.112:
(1) Percent-of-production allowances -- (i) Equipment rated at or
above 37 kW. For nonroad equipment and vehicles with engines rated at or
above 37 kW, a manufacturer may take any of the actions identified in
Sec. 89.1003(a)(1) for a portion of its U.S.-directed production volume
of such equipment and vehicles during the seven years immediately
following the date on which Tier 2 engine standards first apply to
engines used in such equipment and vehicles, provided that the seven-
year sum of
[[Page 54]]
these portions in each year, as expressed as a percentage for each year,
does not exceed 80, and provided that all such equipment and vehicles or
equipment contain Tier 1 or Tier 2 engines;
(ii) Equipment rated under 37 kW. For nonroad equipment and vehicles
and marine diesel engines with engines rated under 37 kW, a manufacturer
may take any of the actions identified in Sec. 89.1003(a)(1) for a
portion of its U.S.-directed production volume of such equipment and
vehicles during the seven years immediately following the date on which
Tier 1 engine standards first apply to engines used in such equipment
and vehicles, provided that the seven-year sum of these portions in each
year, as expressed as a percentage for each year, does not exceed 80.
(2) Small volume allowances. A nonroad equipment or vehicle
manufacturer or post-manufacture marinizer may exceed the production
percentages in paragraph (d)(1) of this section, provided that in each
regulated power category the manufacturer's total of excepted nonroad
equipment and vehicles and marine diesel engines:
(i) Over the years in which the percent-of-production allowance
applies does not exceed 100 units times the number of years in which the
percent-of-production allowance applies; and
(ii) Does not exceed 200 units in any year; and
(iii) Does not use engines from more than one engine family, or, for
excepted equipment vehicles, and marine diesel engines using engines not
belonging to any engine family, from more than one engine manufacturer.
For purposes of this paragraph (d)(2)(iii), engine family refers to
engines that have common characteristics as described in Sec. 89.116.
(3) Inclusion of previous-tier engines. Nonroad equipment and
vehicles and marine diesel engines built with previous tier or
noncertified engines under the existing inventory provisions of
Sec. 89.1003(b)(4) need not be included in determining compliance with
paragraphs (d)(1) and (d)(2) of this section.
(e) Recordkeeping and calculation to verify compliance. The
following shall apply to nonroad equipment or vehicle manufacturers and
post-manufacture marinizers who produce excepted equipment or vehicles
or marine diesel engines under the provisions of paragraph (d) of this
section:
(1) For each power category in which excepted nonroad equipment or
vehicles or marine diesel engines are produced, a calculation to verify
compliance with the requirements of paragraph (d) of this section shall
be made by the nonroad equipment or vehicle manufacturer or post-
manufacture marinizer. This calculation shall be made no later than
December 31 of the year following the last year in which allowances are
used, and shall be based on actual production information from the
subject years. If both the percent-of-production and small volume
allowances have been exceeded, then the manufacturer is in violation of
section 203 of the Act and Sec. 89.1003, except as provided under
paragraphs (f) and (h) of this section.
(2) A nonroad equipment or vehicle manufacturer or post-manufacture
marinizer shall keep records of all nonroad equipment and vehicles and
marine diesel engines excepted under the provisions of paragraph (d) of
this section, for each power category in which exceptions are taken.
These records shall include equipment and engine model numbers, serial
numbers, and dates of manufacture, and engine rated power. In addition,
the manufacturer shall keep records sufficient to demonstrate the
verifications of compliance required in paragraph (e)(1) of this
section. All records shall be kept until at least two full years after
the final year in which allowances are available for each power
category, and shall be made available to EPA upon request.
(f) Hardship relief. Nonroad equipment and vehicle manufacturers and
post-manufacture marinizers may take any of the otherwise prohibited
actions identified in Sec. 89.1003(a)(1) if approved by the
Administrator, and subject to the following requirements:
(1) Application for relief must be submitted to the Engine Programs
and Compliance Division of the EPA in writing prior to the earliest date
in which the applying manufacturer would be in violation of
Sec. 89.1003. The manufacturer must submit evidence
[[Page 55]]
showing that the requirements for approval have been met.
(2) The applying manufacturer must not be the manufacturer of the
engines used in the equipment for which relief is sought. This
requirement does not apply to post-manufacture marinizers.
(3) The conditions causing the impending violation must not be
substantially the fault of the applying manufacturer.
(4) The conditions causing the impending violation must be such that
the applying manufacturer will experience serious economic hardship if
relief is not granted.
(5) The applying manufacturer must demonstrate that no allowances
under paragraph (d) of this section will be available to avoid the
impending violation.
(6) Any relief granted must begin within one year after the
implementation date of the standard applying to the engines being used
in the equipment, or to the marine diesel engines, for which relief is
requested, and may not exceed one year in duration.
(7) The Administrator may impose other conditions on the granting of
relief including provisions to recover the lost environmental benefit.
(g) Allowance for the production of engines. Engine manufacturers
may take any of the otherwise prohibited actions identified in
Sec. 89.1003(a)(1) with regard to uncertified engines, Tier 1 engines,
or Tier 2 engines, as appropriate, if the engine manufacturer has
received written assurance from the equipment manufacturer that the
engine is required to meet the demand for engines created under
paragraph (d), (f), or (h) of this section.
(h) Alternative Flexibility for Post-Manufacture Marinizers. Post-
manufacture marinizers may elect to delay the effective date of the Tier
1 standards in Sec. 89.112 for marine diesel engines rated under 37 kW
by one year, instead of using the provisions of paragraphs (d) and (f)
of this section. Post-manufacture marinizers wishing to take advantage
of this provision must inform the Director of the Engine Programs and
Compliance Division of their intent to do so in writing before the date
that the standards would otherwise take effect.
(i) Additional exemptions for technical or engineering hardship. You
may request additional engine allowances under paragraph (d)(1) of this
section for 56-560 kW power categories or, if you are a small equipment
manufacturer, under paragraph (d)(2) of this section for engines at or
above 37 and below 75 kW. However, you may use these extra allowances
only for those equipment models for which you, or an affiliated company,
do not also produce the engine. After considering the circumstances, we
may permit you to introduce into U.S. commerce equipment with such
engines that do not comply with Tier 3 emission standards, as follows:
(1) We may approve additional exemptions if extreme and unusual
circumstances that are clearly outside your control and that could not
have been avoided with reasonable discretion have resulted in technical
or engineering problems that prevent you from meeting the requirements
of this part. You must show that you exercised prudent planning and have
taken all reasonable steps to minimize the scope of your request for
additional allowances.
(2) To apply for exemptions under this paragraph (i), send the
Designated Compliance Officer and the Designated Enforcement Officer a
written request as soon as possible before you are in violation. In your
request, include the following information:
(i) Describe your process for designing equipment.
(ii) Describe how you normally work cooperatively or concurrently
with your engine supplier to design products.
(iii) Describe the engineering or technical problems causing you to
request the exemption and explain why you have not been able to solve
them. Describe the extreme and unusual circumstances that led to these
problems and explain how they were unavoidable.
(iv) Describe any information or products you received from your
engine supplier related to equipment design--such as written
specifications, performance data, or prototype engines--and when you
received it.
[[Page 56]]
(v) Compare the design processes of the equipment model for which
you need additional exemptions and that for other models for which you
do not need additional exemptions. Explain the technical differences
that justify your request.
(vi) Describe your efforts to find and use other compliant engines,
or otherwise explain why none is available.
(vii) Describe the steps you have taken to minimize the scope of
your request.
(viii) Include other relevant information. You must give us other
relevant information if we ask for it.
(ix) Estimate the increased percent of production you need for each
equipment model covered by your request, as described in paragraph
(i)(3) of this section. Estimate the increased number of allowances you
need for each equipment model covered by your request, as described in
paragraph (i)(4) of this section.
(3) We may approve your request to increase the allowances under
paragraph (d)(1) of this section, subject to the following limitations:
(i) The additional allowances will not exceed 50 percent for each
power category.
(ii) You must use up the allowances under paragraph (d)(1) of this
section before using any additional allowance under this paragraph (i).
(iii) Any allowances we approve under this paragraph (i)(3) expire
24 months after the provisions of this section start for a given power
category. You may use these allowances only for the specific equipment
models covered by your request.
(4) We may approve your request to increase the allowances for the
37-75 kW power category under paragraph (d)(2) of this section, subject
to the following limitations:
(i) You are eligible for additional allowances under this paragraph
(i)(4) only if you are a small equipment manufacturer and you do not use
the provisions of paragraph (i)(3) of this section to obtain additional
allowances for the 37-75 kW power category.
(ii) You must use up all the available allowances for the 37-75 kW
power category under paragraph (d)(2) of this section in a given year
before using any additional allowances under this paragraph (i)(4).
(iii) Base your request only on equipment you produce with engines
at or above 37 kW and below 75 kW. You may use any additional allowances
only for equipment you produce with engines at or above 37 kW and below
75 kW.
(iv) Any allowances we approve under this paragraph (i)(4) expire 24
months after the provisions of this section start for this power
category. These additional allowances are not subject to the annual
limits specified in paragraph (d)(2) of this section. You may use these
allowances only for the specific equipment models covered by your
request.
(v) The total allowances under paragraph (d)(2) of this section for
the 37-75 kW power category will not exceed 700 units. The total
allowances under this paragraph (i)(4) follow the requirements under
paragraph (d)(2) of this section for the 37-75 kW power category and
will not exceed 200 units. Therefore, the total maximum allowances for
the 37-75 kW power category will not exceed 900 units.
(5) For purposes of this paragraph (i), small equipment manufacturer
means an equipment manufacturer that had annual U.S.-directed production
volume of equipment using nonroad diesel engines between 37 and 75 kW of
no more than 3,000 units in 2002 and all earlier calendar years, and has
750 or fewer employees (500 or fewer employees for nonroad equipment
manufacturers that produce no construction equipment or industrial
trucks). For manufacturers owned by a parent company, the production
limit applies to the production of the parent company and all its
subsidiaries and the employee limit applies to the total number of
employees of the parent company and all its subsidiaries.
(6) The following provisions for adjusted flexibilities for Tier 4
engines apply to equipment manufacturers that are granted additional
exemptions for technical or engineering hardship:
(i) If you use the additional allowance under this paragraph (i) you
shall forfeit percent of production flexibility plus technical or
engineering hardship exemptions available for Tier 4 engines
[[Page 57]]
in the amounts shown in Table 1 of this section.
(ii) Table 1 of this section shows the percent of production
flexibility and technical or engineering hardship exemptions that you
must forfeit for Tier 4 engines. The amount of Tier 4 flexibility
forfeited by each equipment manufacturer depends on the percent of
production flexibility used for Tier 2 engines and the technical or
engineering hardship exemptions granted for Tier 3 engines in the
proportions shown in Table 1. For example, if you used 45 percent of
your production flexibility for Tier 2 engines, you must forfeit 2
percent of your production flexibility for Tier 4 engines for every 1
percent of technical or engineering hardship flexibility granted for
Tier 3 engines. In addition you must also forfeit 1 percent of any
technical or engineering hardship exemptions available for Tier 4
engines for every 1 percent technical or engineering hardship exemptions
available for Tier 3 engines. If you use the Tier 3 technical or
engineering hardship allowances for 5 percent of your equipment in each
of two different years, you have used a total allowance of 10 percent.
Therefore you must forfeit a total of 20 percent of production
flexibility for Tier 4 engines plus 10 percent of any technical or
engineering hardship exemptions available for Tier 4 engines.
Table 1 of Sec. 89.102--Adjustments to Tier 4 Flexibilities
------------------------------------------------------------------------
Percent of Percent of
forfeit forfeit
Percent of use Tier 2 production flexibility Tier 4 Tier 4
production tech./eng.
flexibility exemption
------------------------------------------------------------------------
Greater than 0% and up to 20%................. 0 1
Greater than 20% and up to 40%................ 1 1
Greater than 40% and up to 60%................ 2 1
Greater than 60% and up to 80%................ 3 1
------------------------------------------------------------------------
(iii) Because the Tier 3 and Tier 4 rules have different power
category ranges, the availability of technical relief will be further
adjusted based on the sales volume by power category. Table 2 of this
section shows the applicable power categories for Tier 3 and Tier 4. The
Tier 3 power categories of 37kW to 75kW and 75kW to 130kW correspond to
the Tier 4 power category of 56kW to 130kW. For the Tier 3 equipment in
the 37 to 75kW category, you must only use the sales volume for
equipment that uses engines with a rated power greater than 56kW. For
example, if you have a Tier 3 piece of equipment that uses a 40 kW
engine, the sales of the equipment are counted in the Tier 4 power
category of 19kW to 56kW. If you have a Tier 3 piece of equipment that
uses a 60kW engine, the sales of the equipment are counted in the Tier 4
power category of 56kW to 130kW. The Tier 3 power categories of 130kW to
225kW, 225kW to 450kW and 450kW to 560kW correspond to the Tier 4 power
category of 130kW to 560kW. You will need to sum the sales of the Tier 3
power categories that correspond to the Tier 4 power category during
each calendar year in which Tier 3 technical relief is used. The sum of
all the Tier 3 units that are produced and exempted by the technical
relief divided by the sum of all the Tier 3 units sold in the
corresponding Tier 4 power category will determine the percentage of
Tier 4 flexibility affected. For example, if you produce 50 units using
Tier 3 technical relief in the range of 130kW to 225kW, and you produce
50 units using Tier 3 technical relief in the range of 225 to 450kW, and
no units are produced in the 450kW to 560kW range, and your overall
sales volume for the power ranges of 130kW to 560kW in Tier 3 is 400
units, the amount of Tier 3 technical relief used is 100/400 or 25
percent. Because you forfeit 1 percent of your Tier 4 technical relief
for every 1 percent of Tier 3 technical relief used, then you will lose
25 percent of your Tier 4 technical relief in the 130kW to 560kW power
range category. If you used 45 percent of your production flexibility
for Tier 2 engines, you must forfeit 2 percent of production flexibility
for Tier 4 engines for every 1 percent of Tier 3 technical relief.
Therefore, you will forfeit 50 percent of your Tier 4 production
allowance in the 130kW to 560kW power range category.
Table 2 of Sec. 89.102--Corresponding Tier 3 and Tier 4 Power
Categories
------------------------------------------------------------------------
Tier 3 power categories Tier 4 power categories
------------------------------------------------------------------------
37kW<75\*\................................ 19kW<56
[[Page 58]]
37kW<75\**\, 75kW<130..................... 56kW<130
130kW<225, 225kW<450, 450kW<560........... 130kW560
------------------------------------------------------------------------
* Applies only to use of engines rated between 37kW and 56kW by small
volume equipment manufacturers.
** Includes only equipment that uses engines with a rated power greater
than 56kw.
(iv) Manufacturers using allowances under this paragraph (i) must
comply with the notification and reporting requirements specified in
paragraph (i)(7) of this section.
(7) Notification and reporting. You must notify us of your intent to
use the technical relief provisions of this paragraph (i) and send us an
annual report to verify that you are not exceeding the allowances, as
follows:
(i) Before the first year you intend to use the provisions of this
section, send the Designated Compliance Officer and the Designated
Enforcement Officer a written notice of your intent, including:
(A) Your company's name and address, and your parent company's name
and address, if applicable.
(B) Whom to contact for more information.
(C) The calendar years in which you expect to use the exemption
provisions of this section.
(D) The name and address of the company that produces the engines
you will be using for the equipment exempted under this section.
(E) Your best estimate of the number of units in each power category
you will produce under this section and whether you intend to comply
under paragraph (d)(1) or (d)(2) of this section.
(F) The number of units in each power category you have sold in
previous calendar years under paragraph (d) of this section.
(ii) For each year that you use the provisions of this section, send
the Designated Compliance Officer and the Designated Enforcement Officer
a written report by March 31 of the following year. Include in your
report the total number of engines you sold in the preceding year for
each power category, based on actual U.S.-directed production
information. Also identify the percentages of U.S.-directed production
that correspond to the number of units in each power category and the
cumulative numbers and percentages of units for all the units you have
sold under this section for each power category. You may omit the
percentage figures if you include in the report a statement that you
will not be using the percent-of-production allowances in paragraph (d)
of this section.
(8) Recordkeeping. Keep the following records of all equipment with
exempted engines you produce under this paragraph (i) for at least five
full years after the final year in which allowances are available for
each power category:
(i) The model number, serial number, and the date of manufacture for
each engine and piece of equipment.
(ii) The maximum power of each engine.
(iii) The total number or percentage of equipment with exempted
engines, as described in paragraph (d) of this section and all
documentation supporting your calculation.
(iv) The notifications and reports we require under paragraph (i)(7)
of this section.
(9) Equipment Labeling. Any engine produced under this paragraph (i)
must meet the labeling requirements of 40 CFR 89.110, but add the
following statement instead of the compliance statement in 40 CFR 89.110
(b)(10): THIS ENGINE MEETS U.S. EPA EMISSION STANDARDS UNDER 40 CFR
89.102. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN FOR
THE EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 89.102 MAY BE A VIOLATION
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(10) Enforcement. Producing more exempted engines or equipment than
we allow under this paragraph (i) or installing engines that do not meet
the applicable Tier 1 emission standards described in Sec. 89.112
violates the prohibitions in Sec. 89.1003(a)(1). You must give us the
records we require under this
[[Page 59]]
paragraph (i) if we ask for them (see Sec. 89.1003(a)(2)).
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
56997, Oct. 23, 1998; 70 FR 40444, July 13, 2005; 72 FR 53127, Sept. 18,
2007; 72 FR 72956, Dec. 26, 2007]
Sec. 89.103 Definitions.
The definitions in subpart A of part 89 apply to this subpart. All
terms not defined herein or in subpart A have the meaning given them in
the Act.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.104 Useful life, recall, and warranty periods.
(a) The useful life is based on the rated power and rated speed of
the engine.
(1) For all engines rated under 19 kW, and for constant speed
engines rated under 37 kW with rated speeds greater than or equal to
3,000 rpm, the useful life is a period of 3,000 hours or five years of
use, whichever first occurs.
(2) For all other engines rated at or above 19 kW and under 37 kW,
the useful life is a period of 5,000 hours or seven years of use,
whichever first occurs.
(3) For all engines rated at or above 37 kW, the useful life is a
period of 8,000 hours of operation or ten years of use, whichever first
occurs.
(b) Engines are subject to recall testing for a period based on the
rated power and rated speed of the engines. However, in a recall,
engines in the subject class or category would be subject to recall
regardless of actual years or hours of operation.
(1) For all engines rated under 19 kW, and for constant speed
engines rated under 37 kW with rated speeds greater than or equal to
3,000 rpm, the engines are subject to recall testing for a period of
2,250 hours or four years of use, whichever first occurs.
(2) For all other engines rated at or above 19 kW and under 37 kW,
the engines are subject to recall for a period of 3,750 hours or five
years of use, whichever first occurs.
(3) For all engines rated at or above 37 kW, the engines are subject
to recall for a period of 6,000 hours of operation or seven years of
use, whichever first occurs.
(c) The warranty periods for warranties imposed by the Clean Air Act
and Sec. 89.1007 for all engines rated under 19 kW, and for constant
speed engines rated under 37 kW with rated speeds greater than or equal
to 3,000 rpm, are 1,500 hours of operation or two years of use,
whichever first occurs. For all other engines, the warranty periods for
warranties imposed by the Clean Air Act and Sec. 89.1007 are 3,000 hours
of operation or five years of use, whichever first occurs.
(d) Manufacturers may apply to the Administrator for approval for a
shorter useful life period for engines that are subject to severe
service in seasonal equipment, or are designed specifically for lower
useful life hours to match equipment life. Such an application must be
made prior to certification.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
56998, Oct. 23, 1998]
Sec. 89.105 Certificate of conformity.
Every manufacturer of a new nonroad compression-ignition engine must
obtain a certificate of conformity covering the engine family, as
described in Sec. 89.116. The certificate of conformity must be obtained
from the Administrator prior to selling, offering for sale, introducing
into commerce, or importing into the United States the new nonroad
compression-ignition engine for each model year.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.106 Prohibited controls.
(a) An engine may not be equipped with an emission control system
for the purpose of complying with emission standards if such system will
cause or contribute to an unreasonable risk to public health, welfare,
or safety in its operation or function.
(b) You may not design your engines with emission-control devices,
systems, or elements of design that cause or contribute to an
unreasonable risk to public health, welfare, or safety while operating.
For example, this
[[Page 60]]
would apply if the engine emits a noxious or toxic substance it would
otherwise not emit that contributes to such an unreasonable risk.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998;
67 FR 68339, Nov. 8, 2002]
Sec. 89.107 Defeat devices.
(a) An engine may not be equipped with a defeat device.
(b) For purposes of this section, ``defeat device'' means any
device, system, or element of design which senses operation outside
normal emission test conditions and reduces emission control
effectiveness.
(1) Defeat device includes any auxiliary emission control device
(AECD) that reduces the effectiveness of the emission control system
under conditions which may reasonably be expected to be encountered in
normal operation and use unless such conditions are included in the test
procedure.
(2) Defeat device does not include such items which either operate
only during engine starting or are necessary to protect the engine (or
equipment in which it is installed) against damage or accident during
its operation.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.108 Adjustable parameters, requirements.
(a) Nonroad engines equipped with adjustable parameters must comply
with all requirements of this subpart for any adjustment in the
physically adjustable range.
(b) An operating parameter is not considered adjustable if it is
permanently sealed or otherwise not normally accessible using ordinary
tools.
(c) The Administrator may require that adjustable parameters be set
to any specification within its adjustable range for certification,
selective enforcement audit, or in-use testing to determine compliance
with the requirements of this subpart.
(d) For engines that use noncommercial fuels significantly different
than the specified test fuel of the same type, the manufacturer may ask
to use the parameter-adjustment provisions of 40 CFR 1039.615 instead of
those in this section. Engines certified under this paragraph (d) must
be in a separate engine family. See 40 CFR 1039.801 for the definition
of ``noncommercial fuels''.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998,
as amended at 72 FR 53129, Sept. 18, 2007]
Sec. 89.109 Maintenance instructions and minimum allowable
maintenance intervals.
(a) The manufacturer must furnish or cause to be furnished to the
ultimate purchaser of each new nonroad engine subject to standards under
this part written instructions for the maintenance needed to ensure
proper functioning of the emission control system. Paragraphs (b)
through (h) of this section do not apply to Tier 1 engines with rated
power at or above 37 kW.
(b) Maintenance performed on equipment, engines, subsystems or
components used to determine exhaust emission deterioration factors is
classified as either emission-related or nonemission-related and each of
these can be classified as either scheduled or unscheduled. Further,
some emission-related maintenance is also classified as critical
emission-related maintenance.
(c) This paragraph (c) specifies emission-related scheduled
maintenance for purposes of obtaining durability data for nonroad
engines. The maintenance intervals specified below are minimum
intervals:
(1) All emission-related scheduled maintenance for purposes of
obtaining durability data must occur at the same or longer hours of use
intervals as those specified in the manufacturer's maintenance
instructions furnished to the ultimate purchaser of the engine under
paragraph (a) of this section. This maintenance schedule may be updated
as necessary throughout the testing of the engine, provided that no
maintenance operation is deleted from the maintenance schedule after the
operation has been performed on the test equipment or engine.
(2) Any emission-related maintenance which is performed on
equipment, engines, subsystems, or components must be technologically
necessary to ensure in-use compliance with the emission standards. The
manufacturer must submit data which demonstrate to the Administrator
that
[[Page 61]]
all of the emission-related scheduled maintenance which is to be
performed is technologically necessary. Scheduled maintenance must be
approved by the Administrator prior to being performed or being included
in the maintenance instructions provided to the purchasers under
paragraph (a) of this section.
(i) The Administrator may require longer maintenance intervals than
those listed in paragraphs (c)(3) and (c)(4) of this section where the
listed intervals are not technologically necessary.
(ii) The Administrator may allow manufacturers to specify shorter
maintenance intervals than those listed in paragraphs (c)(3) and (c)(4)
of this section where technologically necessary for engines rated under
19 kW, or for constant speed engines rated under 37 kW with rated speeds
greater than or equal to 3,000 rpm.
(3) The adjustment, cleaning, repair, or replacement of items listed
in paragraphs (c)(3)(i) through (c)(3)(iii) of this section shall occur
at 1,500 hours of use and at 1,500-hour intervals thereafter.
(i) Exhaust gas recirculation system-related filters and coolers.
(ii) Positive crankcase ventilation valve.
(iii) Fuel injector tips (cleaning only).
(4) The adjustment, cleaning and repair of items in paragraphs
(c)(4)(i) through (c)(4)(vii) of this section shall occur at 3,000 hours
of use and at 3,000-hour intervals thereafter for nonroad compression-
ignition engines rated under 130 kW, or at 4,500-hour intervals
thereafter for nonroad compression-ignition engines rated at or above
130 kW.
(i) Fuel injectors.
(ii) Turbocharger.
(iii) Electronic engine control unit and its associated sensors and
actuators.
(iv) Particulate trap or trap-oxidizer system (including related
components).
(v) Exhaust gas recirculation system (including all related control
valves and tubing) except as otherwise provided in paragraph (c)(3)(i)
of this section.
(vi) Catalytic convertor.
(vii) Any other add-on emission-related component (i.e., a component
whose sole or primary purpose is to reduce emissions or whose failure
will significantly degrade emission control and whose function is not
integral to the design and performance of the engine).
(d) Scheduled maintenance not related to emissions which is
reasonable and technologically necessary (e.g., oil change, oil filter
change, fuel filter change, air filter change, cooling system
maintenance, adjustment of idle speed, governor, engine bolt torque,
valve lash, injector lash, timing, lubrication of the exhaust manifold
heat control valve, etc.) may be performed on durability vehicles at the
least frequent intervals recommended by the manufacturer to the ultimate
purchaser, (e.g., not the intervals recommended for severe service).
(e) Adjustment of engine idle speed on emission data engines may be
performed once before the low-hour emission test point. Any other
engine, emission control system, or fuel system adjustment, repair,
removal, disassembly, cleaning, or replacement on emission data vehicles
shall be performed only with advance approval of the Administrator.
(f) Equipment, instruments, or tools may not be used to identify
malfunctioning, maladjusted, or defective engine components unless the
same or equivalent equipment, instruments, or tools will be available to
dealerships and other service outlets and:
(1) Are used in conjunction with scheduled maintenance on such
components; or
(2) Are used subsequent to the identification of a vehicle or engine
malfunction, as provided in paragraph (e) of this section for emission
data engines; or
(3) Specifically authorized by the Administrator.
(g) All test data, maintenance reports, and required engineering
reports shall be compiled and provided to the Administrator in
accordance with Sec. 89.124.
(h)(1) The components listed in paragraphs (h)(1)(i) through
(h)(1)(vi) of this section are defined as critical emission-related
components.
(i) Catalytic converter.
[[Page 62]]
(ii) Electronic engine control unit and its associated sensors and
actuators.
(iii) Exhaust gas recirculation system (including all related
filters, coolers, control valves, and tubing).
(iv) Positive crankcase ventilation valve.
(v) Particulate trap or trap-oxidizer system.
(vi) Any other add-on emission-related component (i.e., a component
whose sole or primary purpose is to reduce emissions or whose failure
will significantly degrade emission control and whose function is not
integral to the design and performance of the engine).
(2) All critical emission-related scheduled maintenance must have a
reasonable likelihood of being performed in use. The manufacturer must
show the reasonable likelihood of such maintenance being performed in-
use. Critical emission-related scheduled maintenance items which satisfy
one of the conditions defined in paragraphs (h)(2)(i) through (h)(2)(vi)
of this section will be accepted as having a reasonable likelihood of
being performed in use.
(i) Data are presented which establish for the Administrator a
connection between emissions and vehicle performance such that as
emissions increase due to lack of maintenance, vehicle performance will
simultaneously deteriorate to a point unacceptable for typical
operation.
(ii) Survey data are submitted which adequately demonstrate to the
Administrator with an 80 percent confidence level that 80 percent of
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
(iii) A clearly displayed visible signal system approved by the
Administrator is installed to alert the equipment operator that
maintenance is due. A signal bearing the message ``maintenance needed''
or ``check engine,'' or a similar message approved by the Administrator,
shall be actuated at the appropriate usage point or by component
failure. This signal must be continuous while the engine is in operation
and not be easily eliminated without performance of the required
maintenance. Resetting the signal shall be a required step in the
maintenance operation. The method for resetting the signal system shall
be approved by the Administrator. The system must not be designed to
deactivate upon the end of the useful life of the engine or thereafter.
(iv) A manufacturer may desire to demonstrate through a survey that
a critical maintenance item is likely to be performed without a visible
signal on a maintenance item for which there is no prior in-use
experience without the signal. To that end, the manufacturer may in a
given model year market up to 200 randomly selected vehicles per
critical emission-related maintenance item without such visible signals,
and monitor the performance of the critical maintenance item by the
owners to show compliance with paragraph (h)(2)(ii) of this section.
This option is restricted to two consecutive model years and may not be
repeated until any previous survey has been completed. If the critical
maintenance involves more than one engine family, the sample will be
sales weighted to ensure that it is representative of all the families
in question.
(v) The manufacturer provides the maintenance free of charge, and
clearly informs the customer that the maintenance is free in the
instructions provided under paragraph (a) of this section.
(vi) The manufacturer uses any other method which the Administrator
approves as establishing a reasonable likelihood that the critical
maintenance will be performed in-use.
(3) Visible signal systems used under paragraph (h)(2)(iii) of this
section are considered an element of design of the emission control
system. Therefore, disabling, resetting, or otherwise rendering such
signals inoperative without also performing the indicated maintenance
procedure is a prohibited act.
[63 FR 56999, Oct. 23, 1998]
Sec. 89.110 Emission control information label.
(a) The manufacturer must affix at the time of manufacture a
permanent and legible label identifying each nonroad engine. The label
must meet the following requirements:
[[Page 63]]
(1) Be attached in such a manner that it cannot be removed without
destroying or defacing the label;
(2) Be durable and readable for the entire engine life;
(3) Be secured to an engine part necessary for normal engine
operation and not normally requiring replacement during engine life;
(4) Be written in English; and
(5) Be located so as to be readily visible to the average person
after the engine is installed in the equipment. A supplemental label
meeting all the requirements of this section may be attached to a
location other than the engine, in cases where the required label must
be obscured after the engine is installed in the equipment.
(b) The label must contain the following information:
(1) The heading ``Important Engine Information;''
(2) The full corporate name and trademark of the manufacturer;
though the label may identify another company and use its trademark
instead of the manufacturer's if the provisions of Sec. 89.1009 are met.
(3) EPA standardized engine family designation;
(4) Engine displacement;
(5) Advertised power;
(6) Engine tuneup specifications and adjustments. These should
indicate the proper transmission position during tuneup, and accessories
(for example, air conditioner), if any, that should be in operation;
(7) Fuel requirements;
(8) Date of manufacture (month and year). The manufacturer may, in
lieu of including the date of manufacture on the engine label, maintain
a record of the engine manufacture dates. The manufacturer shall provide
the date of manufacture records to the Administrator upon request;
(9) Family emission limits (FELs) if applicable;
(10) The statement: ``This engine conforms to [model year] U.S. EPA
regulations large nonroad compression- ignition engines;''
(11) Engines belonging to an engine family that has been certified
as a constant-speed engine using the test cycle specified in Table 2 of
appendix B to subpart E of this part must contain the statement on the
label: ``constant-speed only''; and
(12) Engines meeting the voluntary standards described in
Sec. 89.112(f)(1) to be designated as Blue Sky Series engines must
contain the statement on the label: ``Blue Sky Series''.
(c) Other information concerning proper maintenance and use or
indicating compliance or noncompliance with other standards may be
indicated on the label.
(d) Each engine must have a legible unique engine identification
number permanently affixed to or engraved on the engine.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57000, Oct. 23, 1998; 70 FR 40444, July 13, 2005]
Sec. 89.111 Averaging, banking, and trading of exhaust emissions.
Regulations regarding the availability of an averaging, banking, and
trading program along with applicable record- keeping requirements are
found in subpart C of this part. Participation in the averaging,
banking, and trading program is optional.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.112 Oxides of nitrogen, carbon monoxide, hydrocarbon, and
particulate matter exhaust emission standards.
(a) Exhaust emission from nonroad engines to which this subpart is
applicable shall not exceed the applicable exhaust emission standards
contained in Table 1, as follows:
[[Page 64]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.001
(b) Exhaust emissions of oxides of nitrogen, carbon monoxide,
hydrocarbon, and nonmethane hydrocarbon are measured using the
procedures set forth in subpart E of this part.
[[Page 65]]
(c) Exhaust emission of particulate matter is measured using the
California Regulations for New 1996 and Later Heavy-Duty Off-Road Diesel
Cycle Engines. This procedure is incorporated by reference. See
Sec. 89.6.
(d) In lieu of the NOX standards, NMHC + NOX
standards, and PM standards specified in paragraph (a) of this section,
manufacturers may elect to include engine families in the averaging,
banking, and trading program, the provisions of which are specified in
subpart C of this part. The manufacturer must set a family emission
limit (FEL) not to exceed the levels contained in Table 2. The FEL
established by the manufacturer serves as the standard for that engine
family. Table 2 follows:
[[Page 66]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.002
(e) Naturally aspirated nonroad engines to which this subpart is
applicable shall not discharge crankcase emissions into the ambient
atmosphere, unless such crankcase emissions are permanently routed into
the exhaust and included in all exhaust emission measurements. This
provision applies to all
[[Page 67]]
Tier 2 engines and later models. This provision does not apply to
engines using turbochargers, pumps, blowers, or superchargers for air
induction.
(f) The following paragraphs define the requirements for low-
emitting Blue Sky Series engines:
(1) Voluntary standards. Engines may be designated ``Blue Sky
Series'' engines by meeting the voluntary standards listed in Table 3,
which apply to all certification and in-use testing, as follows:
Table 3--Voluntary Emission Standards (g/kW-hr)
------------------------------------------------------------------------
Rated Brake Power (kW) NMHC + NOX PM
------------------------------------------------------------------------
kW<8.............................................. 4.6 0.48
8kW<19............................................ 4.5 0.48
19kW<37........................................... 4.5 0.36
37kW<75........................................... 4.7 0.24
75kW<130.......................................... 4.0 0.18
130kW560.......................................... 4.0 0.12
kW>560............................................ 3.8 0.12
------------------------------------------------------------------------
(2) Additional standards. Blue Sky Series engines are subject to all
provisions that would otherwise apply under this part, except as
specified in paragraph (f)(3) of this section.
(3) Test procedures. NOX, NMHC, and PM emissions are
measured using the procedures set forth in 40 CFR part 1065, in lieu of
the procedures set forth in subpart E of this part. CO emissions may be
measured using the procedures set forth either in 40 CFR part 1065 or in
subpart E of this part. Manufacturers may use an alternate procedure to
demonstrate the desired level of emission control if approved in advance
by the Administrator. Engines meeting the requirements to qualify as
Blue Sky Series engines must be capable of maintaining a comparable
level of emission control when tested using the procedures set forth in
paragraph (c) of this section and subpart E of this part. The numerical
emission levels measured using the procedures from subpart E of this
part may be up to 20 percent higher than those measured using the
procedures from 40 CFR part 1065 and still be considered comparable.
(g) Manufacturers of engines at or above 37 kW and below 56 kW from
model years 2008 through 2012 that are subject to the standards of this
section under 40 CFR 1039.102 must take the following additional steps:
(1) State the applicable PM standard on the emission control
information label.
(2) Add information to the emission-related installation
instructions to clarify the equipment manufacturer's obligations under
40 CFR 1039.104(f).
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57000, Oct. 23, 1998; 69 FR 39212, June 29, 2004; 70 FR 40444, July 13,
2005]
Sec. 89.113 Smoke emission standard.
(a) Exhaust opacity from compression-ignition nonroad engines for
which this subpart is applicable must not exceed:
(1) 20 percent during the acceleration mode;
(2) 15 percent during the lugging mode; and
(3) 50 percent during the peaks in either the acceleration or
lugging modes.
(b) Opacity levels are to be measured and calculated as set forth in
40 CFR part 86, subpart I. Notwithstanding the provisions of 40 CFR part
86, subpart I, two-cylinder nonroad engines may be tested using an
exhaust muffler that is representative of exhaust mufflers used with the
engines in use.
(c) The following engines are exempt from the requirements of this
section:
(1) Single-cylinder engines;
(2) Propulsion marine diesel engines; and
(3) Constant-speed engines.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.114 Special and alternate test procedures.
(a) Special test procedures. The Administrator may, on the basis of
written application by a manufacturer, establish special test procedures
other than those set forth in this part, for any nonroad engine that the
Administrator determines is not susceptible to satisfactory testing
under the specified test procedures set forth in subpart E of this part
or 40 CFR part 86, subpart I.
(b) Alternate test procedures. (1) A manufacturer may elect to use
an alternate test procedure provided that it yields equivalent results
to the specified procedures, its use is approved in
[[Page 68]]
advance by the Administrator, and the basis for equivalent results with
the specified test procedures is fully described in the manufacturer's
application.
(2) The Administrator may reject data generated under alternate test
procedures which do not correlate with data generated under the
specified procedures.
(3) A manufacturer may elect to use the test procedures in 40 CFR
part 1065 as an alternate test procedure without advance approval by the
Administrator. The manufacturer must identify in its application for
certification that the engines were tested using the procedures in 40
CFR part 1065. For any EPA testing with Tier 2 or Tier 3 engines, EPA
will use the manufacturer's selected procedures for mapping engines,
generating duty cycles, and applying cycle-validation criteria. For any
other parameters, EPA may conduct testing using either of the specified
procedures.
(4) Where we specify mandatory compliance with the procedures of 40
CFR part 1065, such as in Sec. 89.419, manufacturers may elect to use
the procedures specified in 40 CFR part 86, subpart N, as an alternate
test procedure without advance approval by the Administrator.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998; 69 FR 39212, June 29, 2004; 70 FR 40445, July 13,
2005]
Sec. 89.115 Application for certificate.
(a) For each engine family that complies with all applicable
standards and requirements, the engine manufacturer must submit to the
Administrator a completed application for a certificate of conformity.
(b) The application must be approved and signed by the authorized
representative of the manufacturer.
(c) The application will be updated and corrected by amendment as
provided for in Sec. 89.123 to accurately reflect the manufacturer's
production.
(d) Required content. Each application must include the following
information:
(1) A description of the basic engine design including, but not
limited to, the engine family specifications, the provisions of which
are contained in Sec. 89.116;
(2) An explanation of how the emission control system operates,
including a detailed description of all emission control system
components, each auxiliary emission control device (AECD), and all fuel
system components to be installed on any production or test engine(s);
(3) Proposed test fleet selection and the rationale for the test
fleet selection;
(4) Special or alternate test procedures, if applicable;
(5) The period of operation necessary to accumulate service hours on
test engines and stabilize emission levels;
(6) A description of all adjustable operating parameters (including,
but not limited to, injection timing and fuel rate), including the
following:
(i) The nominal or recommended setting and the associated production
tolerances;
(ii) The intended physically adjustable range;
(iii) The limits or stops used to establish adjustable ranges;
(iv) Production tolerances of the limits or stops used to establish
each physically adjustable range; and
(v) Information relating to why the physical limits or stops used to
establish the physically adjustable range of each parameter, or any
other means used to inhibit adjustment, are effective in preventing
adjustment of parameters to settings outside the manufacturer's intended
physically adjustable ranges on in-use engines;
(7) For families participating in the averaging, banking, and
trading program, the information specified in subpart C of this part;
(8) A description of the test equipment and fuel proposed to be
used;
(9) All test data obtained by the manufacturer on each test engine,
including CO2 as specified in Sec. 89.407(d)(1);
(10) An unconditional statement certifying that all engines in the
engine family comply with all requirements of this part and the Clean
Air Act.
(11) A statement indicating whether the engine family contains only
nonroad engines, only stationary engines, or both.
[[Page 69]]
(e) At the Administrator's request, the manufacturer must supply
such additional information as may be required to evaluate the
application including, but not limited to, projected nonroad engine
production.
(f)(1) The Administrator may modify the information submission
requirements of paragraph (d) of this section, provided that all of the
information specified therein is maintained by the engine manufacturer
as required by Sec. 89.124, and amended, updated, or corrected as
necessary.
(2) For the purposes of this paragraph, Sec. 89.124(a)(1) includes
all information specified in paragraph (d) of this section whether or
not such information is actually submitted to the Administrator for any
particular model year.
(3) The Administrator may review an engine manufacturer's records at
any time. At the Administrator's discretion, this review may take place
either at the manufacturer's facility or at another facility designated
by the Administrator.
(g) The manufacturer must name an agent for service located in the
United States. Service on this agent constitutes service on the
manufacturer or any of its officers or employees for any action by EPA
or otherwise by the United States related to the requirements of this
part.
[59 FR 31335, June 17, 1994, as amended at 61 FR 20741, May 8, 1996.
Redesignated at 63 FR 56995, Oct. 23, 1998, as amended at 71 FR 39184,
July 11, 2006; 72 FR 53129, Sept. 18, 2007; 74 FR 56374, Oct. 30, 2009]
Sec. 89.116 Engine families.
(a) A manufacturer's product line is divided into engine families
that are comprised of engines expected to have similar emission
characteristics throughout their useful life periods.
(b) The following characteristics distinguish engine families:
(1) Fuel;
(2) Cooling medium;
(3) Method of air aspiration;
(4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap);
(5) Combustion chamber design;
(6) Bore;
(7) Stroke;
(8) Number of cylinders, (engines with aftertreatment devices only);
and
(9) Cylinder arrangement (engines with aftertreatment devices only).
(c) Upon a showing by the manufacturer that the useful life period
emission characteristics are expected to be similar, engines differing
in one or more of the characteristics in paragraph (b) of this section
may be grouped in the same engine family.
(d) Upon a showing by the manufacturer that the expected useful life
period emission characteristics will be different, engines identical in
all the characteristics of paragraph (b) of this section may be divided
into separate engine families.
(e)(1) This paragraph (e) applies only to the placement of Tier 1
engines with power ratings under 37 kW into engine families. The
provisions of paragraphs (a) through (d) of this section also apply to
these engines. The power categories referred to in this paragraph (e)
are those for which separate standards or implementation dates are
described in Sec. 89.112.
(2) A manufacturer may place engines with power ratings in one power
category into an engine family comprised of engines with power ratings
in another power category, and consider all engines in the engine family
as being in the latter power category for the purpose of determining
compliance with the standards and other requirements of this part,
subject to approval in advance by the Administrator and the following
restrictions:
(i) The engines that have power ratings outside the engine family's
power category must constitute less than half of the engine family's
sales in each model year for which the engine family grouping is made;
and
(ii) The engines that have power ratings outside the engine family's
power category must have power ratings that are within ten percent of
either of the two power levels that define the engine family's power
category.
(3) The restrictions described in paragraphs (e)(2)(i) and
(e)(2)(ii) of this section do not apply if the emissions standards and
other requirements of this part are at least as stringent for the engine
family's power category as those of the other power categories
[[Page 70]]
containing engines in the engine family.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.117 Test fleet selection.
(a) The manufacturer must select for testing, from each engine
family, the engine with the most fuel injected per stroke of an
injector, primarily at the speed of maximum torque and secondarily at
rated speed.
(b) Each engine in the test fleet must be constructed to be
representative of production engines.
(c) After review of the manufacturer's test fleet, the Administrator
may select from the available fleet one additional test engine from each
engine family.
(d) For establishing deterioration factors, the manufacturer shall
select the engines, subsystems, or components to be used to determine
exhaust emission deterioration factors for each engine-family control
system combination. Engines, subsystems, or components shall be selected
so that their emission deterioration characteristics are expected to
represent those of in-use engines, based on good engineering judgment.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.118 Deterioration factors and service accumulation.
This section applies to service accumulation used to determine
deterioration factors and service accumulation used to condition test
engines. Paragraphs (a) and (b) of this section apply only for service
accumulation used to condition test engines. Paragraph (e) of this
section applies only for service accumulation used to determine
deterioration factors. Paragraphs (c) and (d) of this section apply for
all service accumulation required by this part.
(a)(1) Each test engine in the test fleet must be operated with all
emission control systems operating properly for a period sufficient to
stabilize emissions.
(2) A manufacturer may elect to consider as stabilized emission
levels from engines with no more than 125 hours of service.
(b) No maintenance, other than recommended lubrication and filter
changes, may be performed during service accumulation without the
Administrator's approval.
(c) Service accumulation should be performed in a manner using good
engineering judgment to ensure that emissions are representative of in-
use engines.
(d) The manufacturer must maintain, and provide to the Administrator
if requested, records stating the rationale for selecting the service
accumulation period and records describing the method used to accumulate
service hours on the test engine(s).
(e) This paragraph (e) describes service accumulation and
alternative requirements for the purpose of developing deterioration
factor.
(1) Service accumulation on engines, subsystems, or components
selected by the manufacturer under Sec. 89.117(d). The manufacturer
shall describe the form and extent of this service accumulation in the
application for certification.
(2) Determination of exhaust emission deterioration factors. The
manufacturer shall determine the deterioration factors in accordance
with the applicable provisions of this part based on service
accumulation and related testing, according to the manufacturer's
procedures, except as provided in paragraph (e)(3) of this section.
(3) Alternatives to service accumulation and testing for the
determination of a deterioration factor. A written explanation of the
appropriateness of using an alternative must be included in the
application for certification.
(i) Carryover and carryacross of durability emission data. In lieu
of testing an emission data or durability data engine selected under
Sec. 89.117(d), a manufacturer may, with Administrator approval, use
exhaust emission deterioration data on a similar engine for which
certification to the same standard has previously been obtained or for
which all applicable data required under Sec. 89.124 has previously been
submitted. This data must be submitted in the application for
certification.
(ii) Use of on-highway deterioration data. In the case where a
manufacturer produces a certified on-highway engine that is similar to
the nonroad engine
[[Page 71]]
to be certified, deterioration data from the on-highway engine may be
applied to the nonroad engine. This application of deterioration data
from an on-highway engine to a nonroad engine is subject to
Administrator approval, and the determination of whether the engines are
similar must be based on good engineering judgment.
(iii) Engineering analysis for established technologies. (A) In the
case where an engine family uses established technology, an analysis
based on good engineering practices may be used in lieu of testing to
determine a deterioration factor for that engine family, subject to
Administrator approval.
(B) Engines for which the certification levels are not at or below
the Tier 3 NMHC + NOX standards described in Sec. 89.112 are
considered established technology, except as provided in paragraph
(e)(3)(iii)(D) of this section.
(C) Manufacturers may petition the Administrator to consider an
engine with a certification level below the Tier 3 + NOX
standards as established technology. This petition must be based on
proof that the technology used is not significantly different than that
used on engines that have certification levels that are not below the
Tier 3 NMHC + NOX levels.
(D) Engines using exhaust gas recirculation or aftertreatment are
excluded from the provision set forth in paragraphs (e)(3)(iii)(A)
through (e)(3)(iii)(C) of this section.
(E) The manufacturer shall provide a written statement to the
Administrator that all data, analyses, test procedures, evaluations, and
other documents, on which the deterioration factor is based, are
available to the Administrator upon request.
(iv) Interim provision for engines rated under 37 kW. For model year
1999 and 2000 engines rated under 37 kW, manufacturers may determine
deterioration factors based on good engineering judgement and reasonably
available information. The manufacturer must maintain and provide to the
Administrator, if requested, all information used to determine
deterioration factors for these engines.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57003, Oct. 23, 1998]
Sec. 89.119 Emission tests.
(a) Manufacturer testing. (1) Upon completion of service
accumulation, the manufacturer must test each test engine using the
specified test procedures, except as provided in Sec. 89.114. The
procedures to be used are set forth in:
(i) Subpart E of this part;
(ii) The California Regulations for New 1996 and Later Heavy-Duty
Off-Road Diesel Cycle Engines. This procedure has been incorporated by
reference. See Sec. 89.6; and
(iii) Part 86, subpart I of this chapter.
(2) Each test engine must be configured to be representative of
actual in-use operation. The Administrator may specify the adjustment of
any adjustable parameter. All test results must be reported to the
Administrator.
(b) Confirmatory testing. The Administrator may conduct confirmatory
testing or other testing on any test engine. The manufacturer must
deliver test engines as directed by the Administrator. When the
Administrator conducts confirmatory testing or other testing, those test
results are used to determine compliance with emission standards.
(c) Use of carryover test data. In lieu of testing to certify an
engine family for a given model year, the manufacturer may submit, with
the Administrator's approval, emission test data used to certify that
engine family in previous years. This ``carryover'' data is only
allowable if the submitted test data show that the test engine would
comply with the emission standard(s) for the model year for which
certification is being sought.
(d) The provisions of this paragraph (d) apply only to Tier 1
nonroad engines without exhaust aftertreatment rated at or above 37 kW.
(1) Particulate emission measurements from Tier 1 nonroad engines
without exhaust aftertreatment rated at or above 37 kW may be adjusted
to a sulfur content of 0.05 weight percent.
(2) Adjustments to the particulate measurement shall be made using
the following equation:
PMadj = PM-[BSFC 0.0917 (FSF-0.0005)]
Where:
[[Page 72]]
PMadj = adjusted measured PM level [g/Kw-hr].
PM = measured weighted PM level [g/Kw-hr].
BSFC = measured brake specific fuel consumption [G/Kw-hr].
FSF = fuel sulfur weight fraction.
(3) Where a manufacturer certifies using test fuel with a sulfur
content less than or equal to 0.050 weight percent, EPA shall not use
emission data collected using test fuel with a sulfur content greater
than 0.050 weight percent to determine compliance with the Tier 1 PM
standards.
(4) Where a manufacturer certifies using test fuel with a sulfur
content greater than 0.050 weight percent, EPA shall not use emission
data collected using test fuel with a sulfur content greater than 0.050
weight percent to determine compliance with the Tier 1 PM standards,
unless EPA adjusts the PM measurement using the equation specified in
paragraph (d)(2) of this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57004, Oct. 23, 1998]
Sec. 89.120 Compliance with emission standards.
(a) If all test engines representing an engine family have emissions
less than or equal to each emission standard, that family complies with
the emission standards.
(b) If any test engine representing an engine family has emissions
greater than each emission standard, that family will be deemed not in
compliance with the emission standard(s).
(c) For each nonroad engine family, except Tier 1 engine families
with rated power at or above 37 kW that do not employ aftertreatment, a
deterioration factor must be determined and applied.
(1) The applicable exhaust emission standards (or family emission
limits, as appropriate) for nonroad compression-ignition engines apply
to the emissions of engines for their useful life.
(2) [Reserved]
(3)(i) This paragraph (c)(3) describes the procedure for determining
compliance of an engine with emission standards (or family emission
limits, as appropriate), based on deterioration factors supplied by the
manufacturer. The NMHC + NOX deterioration factors shall be
established based on the sum of the pollutants, except as provided in
paragraph (c)(3)(iv) of this section. When establishing deterioration
factors for NMHC + NOX. a negative deterioration (emissions
decrease from the official emissions test result) for one pollutant may
not offset deterioration of the other pollutant.
(ii) Separate emission deterioration factors, determined by the
manufacturer according to the requirements of Sec. 89.118, shall be
provided in the certification application for each engine-system
combination. Separate deterioration factors shall be established for
each regulated pollutant, except that a combined NMHC + NOX
deterioration factor shall be established for compression-ignition
nonroad engines not utilizing aftertreatment technology. For smoke
testing, separate deterioration factors shall also be established for
the acceleration mode (designated as ``A''), the lugging mode
(designated as ``B''), and peak opacity (designated as ``C'').
(iii) Compression-ignition nonroad engines not utilizing
aftertreatment technology (e.g., particulate traps). For CO, NMHC +
NOX. and particulate, the official exhaust emission results
for each emission data engine at the selected test point shall be
adjusted by addition of the appropriate deterioration factor. However,
if the deterioration factor supplied by the manufacturer is less than
zero, it shall be zero for the purposes of this paragraph (c)(3)(iii).
(iv) Compression-ignition nonroad engines utilizing aftertreatment
technology (e.g., particulate traps). For CO, NMHC + NOX. and
particulate, the official exhaust emission results for each emission
data engine at the selected test point shall be adjusted by
multiplication by the appropriate deterioration factor. Separate NMHC
and NOX deterioration factors shall be applied to the results
for these pollutants prior to combining the results. If the
deterioration factor supplied by the manufacturer is less than one, it
shall be one for the purposes of this paragraph (c)(3)(iv).
(v) For acceleration smoke (``A''), lugging smoke (``B''), and peak
opacity (``C''), the official exhaust emission results for each emission
data engine at
[[Page 73]]
the selected test point shall be adjusted by the addition of the
appropriate deterioration factor. However if the deterioration supplied
by the manufacturer is less than zero, it shall be zero for the purposes
of this paragraph (c)(3)(v).
(vi) The emission values to compare with the standards (or family
emission limits, as appropriate) shall be the adjusted emission values
of paragraphs (c)(3)(iii) through (v) of this section, rounded to the
same number of significant figures as contained in the applicable
standard in accordance with ASTM E29-93a, for each emission data engine.
This procedure has been incorporated by reference at Sec. 89.6.
(4) Every test engine of an engine family must comply with all
applicable standards (or family emission limits, as appropriate), as
determined in paragraph (c)(3)(vi) of this section, before any engine in
that family will be certified.
(d) For engine families included in the averaging, banking, and
trading program, the families' emission limits (FELs) are used in lieu
of the applicable federal emission standard.
(e) For the purposes of setting an NMHC + NOX
certification level or FEL, one of the following options shall be used
for the determination of NMHC for an engine family. The manufacturer
must declare which option is used in its application for certification
of that engine family.
(1) The manufacturer may assume that up to two percent of the
measured THC is methane (NMHC = 0.98 THC).
(2) The manufacturer may measure NMHC emissions using a method
approved by the Administrator prior to the start of testing. This option
allows the determination of NMHC emissions by subtracting measured
methane emissions from measured THC emissions.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57004, Oct. 23, 1998]
Sec. 89.121 Certificate of conformity effective dates.
The certificate of conformity is valid from the date of issuance by
EPA until 31 December of the model year or calendar year for which it is
issued.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.122 Certification.
(a) If, after a review of the manufacturer's application, request
for certificate, information obtained from any inspection, and such
other information as the Administrator may require, the Administrator
determines that the application is complete and that the engine family
meets the requirements of this part and the Clean Air Act, the
Administrator shall issue a certificate of conformity.
(b) If, after a review of the information described in paragraph (a)
of this section, the Administrator determines that the requirements of
this part and the Clean Air Act have not been met, the Administrator
will deny certification. The Administrator must give a written
explanation when certification is denied. The manufacturer may request a
hearing on a denial.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.123 Amending the application and certificate of conformity.
(a) The manufacturer of nonroad compression-ignition engines must
notify the Administrator when changes to information required to be
described in the application for certification are to be made to a
product line covered by a certificate of conformity. This notification
must include a request to amend the application or the existing
certificate of conformity. Except as provided in paragraph (e) of this
section, the manufacturer shall not make said changes or produce said
engines prior to receiving approval from EPA.
(b) A manufacturer's request to amend the application or the
existing certificate of conformity shall include the following
information:
(1) A full description of the change to be made in production or of
the engine to be added;
(2) Engineering evaluations or data showing that engines as modified
or added will comply with all applicable emission standards; and
[[Page 74]]
(3) A determination whether the manufacturer's original test fleet
selection is still appropriate, and if the original test fleet selection
is determined not to be appropriate, proposed test fleet selection(s)
representing the engines changed or added which would have been required
if the engines had been included in the original application for
certification.
(c) The Administrator may require the manufacturer to perform tests
on the engine representing the engine to be added or changed.
(d) Decision by Administrator. (1) Based on the description of the
proposed amendment and data derived from such testing as the
Administrator may require or conduct, the Administrator will determine
whether the proposed change or addition would still be covered by the
certificate of conformity then in effect.
(2) If the Administrator determines that the change or new engine(s)
meets the requirements of this subpart and the Act, the appropriate
certificate of conformity is amended.
(3) If the Administrator determines that the changed or new
engine(s) does not meet the requirements of this subpart and the Act,
the certificate of conformity will not be amended. The Administrator
shall provide a written explanation to the manufacturer of the decision
not to amend the certificate. The manufacturer may request a hearing on
a denial.
(e) A manufacturer may make changes in or additions to production
engines concurrently with notifying the Administrator as required by
paragraph (a) of this section, if the manufacturer complies with the
following requirements:
(1) In addition to the information required in paragraph (b) of this
section, the manufacturer must supply supporting documentation, test
data, and engineering evaluations as appropriate to demonstrate that all
affected engines will still meet applicable emission standards.
(2) If, after a review, the Administrator determines additional
testing is required, the manufacturer must provide required test data
within 30 days or cease production of the affected engines.
(3) If the Administrator determines that the affected engines do not
meet applicable requirements, the Administrator will notify the
manufacturer to cease production of the affected engines and to recall
and correct at no expense to the owner all affected engines previously
produced.
(4) Election to produce engines under this paragraph will be deemed
to be a consent to recall all engines which the Administrator determines
do not meet applicable standards and to cause such nonconformity to be
remedied at no expense to the owner.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.124 Record retention, maintenance, and submission.
(a) The manufacturer of any nonroad compression-ignition engine must
maintain the following adequately organized records:
(1) Copies of all applications filed with the Administrator.
(2) A detailed history of each test engine used for certification
including the following:
(i) A description of the test engine's construction, including a
general description of the origin and buildup of the engine, steps taken
to ensure that it is representative of production engines, description
of components specially built for the test engine, and the origin and
description of all emission-related components;
(ii) A description of the method used for service accumulation,
including date(s) and the number of hours accumulated;
(iii) A description of all maintenance, including modifications,
parts changes, and other servicing performed, and the date(s) and
reason(s) for such maintenance;
(iv) A description of all emission tests performed (except tests
performed by the EPA directly) including routine and standard test
documentation, as specified in subpart E of this part, date(s) and the
purpose of each test;
(v) A description of all tests performed to diagnose engine or
emission control performance, giving the date and time of each and the
reason(s) for the test; and
[[Page 75]]
(vi) A description of any significant event(s) affecting the engine
during the period covered by the history of the test engine but not
described by an entry under one of the previous paragraphs of this
section.
(3) Information required to be kept by the manufacturer in
Sec. 89.118(e)(3) for alternatives to service accumulation and testing
for the determination of a deterioration factor.
(b) Routine emission test data, such as those reporting test cell
temperature and relative humidity at start and finish of test and raw
emission results from each mode or test phase, must be retained for a
period of one year after issuance of all certificates of conformity to
which they relate. All other information specified in paragraph (a) of
this section must be retained for a period of eight years after issuance
of all certificates of conformity to which they relate.
(c) Records may be kept in any format and on any media, provided
that at the Administrator's request, organized, written records in
English are promptly supplied by the manufacturer.
(d) The manufacturer must supply, at the Administrator's request,
copies of any engine maintenance instructions or explanations issued by
the manufacturer.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57005, Oct. 23, 1998]
Sec. 89.125 Production engines, annual report.
(a) Upon the Administrator's request, the manufacturer must supply a
reasonable number of production engines for testing and evaluation.
These engines must be representative of typical production and must be
supplied for testing at such time and place and for such reasonable
periods as the Administrator may require.
(b) The manufacturer must annually, within 30 days after the end of
the model year, notify the Administrator of the number of engines
produced by engine family, by gross power, by displacement, by fuel
system, and, for engines produced under the provision of Sec. 89.102(g),
by engine model and purchaser (or shipping destination for engines used
by the engine manufacturer), or by other categories as the Administrator
may require.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57005, Oct. 23, 1998]
Sec. 89.126 Denial, revocation of certificate of conformity.
(a) If, after review of the manufacturer's application, request for
certification, information obtained from any inspection, and any other
information the Administrator may require, the Administrator determines
that one or more test engines do not meet applicable standards (or
family emission limits, as appropriate), then the Administrator will
notify the manufacturer in writing, setting forth the basis for this
determination.
(b) Notwithstanding the fact that engines described in the
application may comply with all other requirements of this subpart, the
Administrator may deny the issuance of, suspend, or revoke a previously
issued certificate of conformity if the Administrator finds any one of
the following infractions to be substantial:
(1) The manufacturer submits false or incomplete information;
(2) The manufacturer denies an EPA enforcement officer or EPA
authorized representative the opportunity to conduct authorized
inspections;
(3) The manufacturer fails to supply requested information or amend
its application to include all engines being produced;
(4) The manufacturer renders inaccurate any test data which it
submits or otherwise circumvents the intent of the Act or this part;
(5) The manufacturer denies an EPA enforcement officer or EPA
authorized representative reasonable assistance (as defined in
Sec. 89.129(e)).
(c) If a manufacturer knowingly commits an infraction specified in
paragraph (b)(1) or (b)(4) of this section, knowingly commits any other
fraudulent act which results in the issuance of a certificate of
conformity, or fails to comply with the conditions specified in
Sec. 89.203(d), Sec. 89.206(c), Sec. 89.209(c) or Sec. 89.210(g), the
Administrator may deem such certificate void ab initio.
(d) When the Administrator denies, suspends, revokes, or voids ab
initio a
[[Page 76]]
certificate of conformity the manufacturer will be provided a written
determination. The manufacturer may request a hearing under Sec. 89.127
on the Administrator's decision.
(e) Any suspension or revocation of a certificate of conformity
shall extend no further than to forbid the introduction into commerce of
engines previously covered by the certification which are still in the
hands of the manufacturer, except in cases of such fraud or other
misconduct that makes the certification invalid ab initio.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57005, Oct. 23, 1998]
Sec. 89.127 Request for hearing.
(a) A manufacturer may request a hearing on the Administrator's
denial, suspension, voiding ab initio or revocation of a certificate of
conformity.
(b) The manufacturer's request must be filed within 30 days of the
Administrator's decision, be in writing, and set forth the
manufacturer's objections to the Administrator's decision and data to
support the objections.
(c) If, after review of the request and supporting data, the
Administrator finds that the request raises a substantial and factual
issue, the Administrator will grant the manufacturer's request for a
hearing.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.128 Hearing procedures.
(a)(1) After granting a request for a hearing the Administrator
shall designate a Presiding Officer for the hearing.
(2) The hearing will be held as soon as practicable at a time and
place determined by the Administrator or by the Presiding Officer.
(3) The Administrator may, at his or her discretion, direct that all
argument and presentation of evidence be concluded within a specified
period established by the Administrator. Said period may be no less than
30 days from the date that the first written offer of a hearing is made
to the manufacturer. To expedite proceedings, the Administrator may
direct that the decision of the Presiding Officer (who may, but need
not, be the Administrator) shall be the final EPA decision.
(b)(1) Upon appointment pursuant to paragraph (a) of this section,
the Presiding Officer will establish a hearing file. The file shall
consist of the following:
(i) The determination issued by the Administrator under
Sec. 89.126(d);
(ii) The request for a hearing and the supporting data submitted
therewith;
(iii) All documents relating to the request for certification and
all documents submitted therewith; and
(iv) Correspondence and other data material to the hearing.
(2) The hearing file will be available for inspection by the
applicant at the office of the Presiding Officer.
(c) An applicant may appear in person or may be represented by
counsel or by any other duly authorized representative.
(d)(1) The Presiding Officer, upon the request of any party or at
his or her discretion, may arrange for a prehearing conference at a time
and place he/she specifies. Such prehearing conference will consider the
following:
(i) Simplification of the issues;
(ii) Stipulations, admissions of fact, and the introduction of
documents;
(iii) Limitation of the number of expert witnesses;
(iv) Possibility of agreement disposing of any or all of the issues
in dispute; and
(v) Such other matters as may aid in the disposition of the hearing,
including such additional tests as may be agreed upon by the parties.
(2) The results of the conference shall be reduced to writing by the
Presiding Officer and made part of the record.
(e)(1) Hearings shall be conducted by the Presiding Officer in an
informal but orderly and expeditious manner. The parties may offer oral
or written evidence, subject to the exclusion by the Presiding Officer
of irrelevant, immaterial, and repetitious evidence.
(2) Witnesses will not be required to testify under oath. However,
the Presiding Officer shall call to the attention of witnesses that
their statements may be subject to the provisions of 18 U.S.C. 1001
which imposes penalties for knowingly making false statements or
[[Page 77]]
representations or using false documents in any matter within the
jurisdiction of any department or agency of the United States.
(3) Any witness may be examined or cross-examined by the Presiding
Officer, the parties, or their representatives.
(4) Hearings shall be reported verbatim. Copies of transcripts of
proceedings may be purchased by the applicant from the reporter.
(5) All written statements, charts, tabulations, and similar data
offered in evidence at the hearings shall, upon a showing satisfactory
to the Presiding Officer of their authenticity, relevancy, and
materiality, be received in evidence and shall constitute a part of the
record.
(6) Oral argument may be permitted at the discretion of the
Presiding Officer and shall be reported as part of the record unless
otherwise ordered by the Presiding Officer.
(f)(1) The Presiding Officer shall make an initial decision which
shall include written findings and conclusions and the reasons or basis
regarding all the material issues of fact, law, or discretion presented
on the record. The findings, conclusions, and written decision shall be
provided to the parties and made a part of the record. The initial
decision shall become the decision of the Administrator without further
proceedings, unless there is an appeal to the Administrator or motion
for review by the Administrator within 20 days of the date the initial
decision was filed. If the Administrator has determined under paragraph
(a) of this section that the decision of the Presiding Officer is final,
there is no right of appeal to the Administrator.
(2) On appeal from or review of the initial decision, the
Administrator shall have all the powers which he or she would have in
making the initial decision, including the discretion to require or
allow briefs, oral argument, the taking of additional evidence, or the
remanding to the Presiding Officer for additional proceedings. The
decision by the Administrator may adopt the original decision or shall
include written findings and conclusions and the reasons or basis
therefor on all the material issues of fact, law, or discretion
presented on the appeal or considered in the review.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.129 Right of entry.
(a) Any manufacturer who has applied for certification of a new
engine or engine family subject to certification testing under this
subpart shall admit or cause to be admitted to any of the following
facilities during operating hours any EPA enforcement officer or EPA
authorized representative on presentation of credentials.
(1) Any facility where any such certification testing or any
procedures or activities connected with such certification testing are
or were performed;
(2) Any facility where any new engine which is being, was, or is to
be tested is present;
(3) Any facility where any construction process or assembly process
used in the modification or buildup of such an engine into a
certification engine is taking place or has taken place; and
(4) Any facility where any record or other document relating to any
of the above is located.
(b) Upon admission to any facility referred to in paragraph (a)(1)
of this section, any EPA enforcement officer or EPA authorized
representative shall be allowed:
(1) To inspect and monitor any part or aspect of such procedures,
activities, and testing facilities, including, but not limited to,
monitoring engine preconditioning, emission tests and service
accumulation, maintenance, and engine storage procedures, and to verify
correlation or calibration of test equipment;
(2) To inspect and make copies of any such records, designs, or
other documents; and
(3) To inspect and photograph any part or aspect of any such
certification engine and any components to be used in the construction
thereof.
(c) To allow the Administrator to determine whether production
engines conform in all material respects to the design specifications
applicable to those engines, as described in the application for
certification for which a certificate of conformity has been issued, any
manufacturer shall admit any EPA
[[Page 78]]
enforcement officer or EPA authorized representative on presentation of
credentials to:
(1) Any facility where any document, design, or procedure relating
to the translation of the design and construction of engines and
emission-related components described in the application for
certification or used for certification testing into production engines
is located or carried on; and
(2) Any facility where any engines to be introduced into commerce
are manufactured or assembled.
(d) On admission to any such facility referred to in paragraph (c)
of this section, any EPA enforcement officer or EPA authorized
representative shall be allowed:
(1) To inspect and monitor any aspects of such manufacture or
assembly and other procedures;
(2) To inspect and make copies of any such records, documents or
designs; and
(3) To inspect and photograph any part or aspect of any such new
engines and any component used in the assembly thereof that are
reasonably related to the purpose of his or her entry.
(e) Any EPA enforcement officer or EPA authorized representative
shall be furnished by those in charge of a facility being inspected with
such reasonable assistance as he or she may request to help the
enforcement officer or authorized representative discharge any function
listed in this paragraph. Each applicant for or recipient of
certification is required to cause those in charge of a facility
operated for its benefit to furnish such reasonable assistance without
charge to EPA whether or not the applicant controls the facility.
(1) Reasonable assistance includes, but is not limited to, clerical,
copying, interpretation and translation services; the making available
on request of personnel of the facility being inspected during their
working hours to inform the EPA enforcement officer or EPA authorized
representative of how the facility operates and to answer the officer's
questions; and the performance on request of emission tests on any
engine which is being, has been, or will be used for certification
testing. Such tests shall be nondestructive, but may require appropriate
service accumulation.
(2) A manufacturer may be compelled to cause any employee at a
facility being inspected to appear before an EPA enforcement officer or
EPA authorized representative. The request for the employee's appearance
shall be in writing, signed by the Assistant Administrator for Air and
Radiation, and served on the manufacturer. Any employee who has been
instructed by the manufacturer to appear will be entitled to be
accompanied, represented, and advised by counsel.
(f) The duty to admit or cause to be admitted any EPA enforcement
officer or EPA authorized representative applies whether or not the
applicant owns or controls the facility in question and applies both to
domestic and to foreign manufacturers and facilities. EPA will not
attempt to make any inspections which it has been informed that local
law forbids. However, if local law makes it impossible to do what is
necessary to ensure the accuracy of data generated at a facility, no
informed judgment that an engine is certifiable or is covered by a
certificate can properly be based on those data. It is the
responsibility of the manufacturer to locate its testing and
manufacturing facilities in jurisdictions where this situation will not
arise.
(g) Any entry without 24 hours prior written or oral notification to
the affected manufacturer shall be authorized in writing by the
Assistant Administrator for Enforcement.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.130 Rebuild practices.
The provisions of 40 CFR 1068.120 apply to rebuilding of engines
subject to the requirements of this part 89, except Tier 1 engines rated
at or above 37 kW.
[70 FR 40445, July 13, 2005]
[[Page 79]]
Subpart C_Averaging, Banking, and Trading Provisions
Sec. 89.201 Applicability.
Nonroad compression-ignition engines subject to the provisions of
subpart A of this part are eligible to participate in the averaging,
banking, and trading program described in this subpart. To the extent
specified in 40 CFR part 60, subpart IIII, stationary engines certified
under this part and subject to the standards of 40 CFR part 60, subpart
IIII, may participate in the averaging, banking, and trading program
described in this subpart.
[71 FR 39184, July 11, 2006]
Sec. 89.202 Definitions.
The definitions in subpart A of this part apply to this subpart. The
following definitions also apply to this subpart:
Averaging for nonroad engines means the exchange of emission credits
among engine families within a given manufacturer's product line.
Banking means the retention of nonroad engine emission credits by
the manufacturer generating the emission credits for use in future model
year averaging or trading as permitted by these regulations.
Emission credits represent the amount of emission reduction or
exceedance, by a nonroad engine family, below or above the emission
standard, respectively. Emission reductions below the standard are
considered as ``positive credits,'' while emission exceedances above the
standard are considered as ``negative credits.'' In addition,
``projected credits'' refer to emission credits based on the projected
applicable production/sales volume of the engine family. ``Reserved
credits'' are emission credits generated within a model year waiting to
be reported to EPA at the end of the model year. ``Actual credits''
refer to emission credits based on actual applicable production/sales
volume as contained in the end-of-year reports submitted to EPA. Some or
all of these credits may be revoked if EPA review of the end-of-year
reports or any subsequent audit action(s) uncovers problems or errors.
Trading means the exchange of nonroad engine emission credits
between manufacturers.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.203 General provisions.
(a) The averaging, banking, and trading programs for NOX.
NMHC + NOX. and PM emissions from eligible nonroad engines
are described in this subpart. Participation in these programs is
voluntary.
(b) Requirements for Tier 1 engines rated at or above 37 kW. (1) A
nonroad engine family is eligible to participate in the averaging,
banking, and trading program for NOX emissions and the
banking and trading program for PM emissions if it is subject to
regulation under subpart B of this part with certain exceptions
specified in paragraph (b)(2) of this section. No averaging, banking,
and trading program is available for meeting the Tier 1 HC, CO, or smoke
emission standards specified in subpart B of this part. No averaging
program is available for meeting the Tier 1 PM emission standards
specified in subpart B of this part.
(2) Nonroad engines may not participate in the averaging, banking,
and trading programs if they are exported or are sold as Blue Sky Series
engines as described in Sec. 89.112(f). Nonroad engines certified on a
special test procedure under Sec. 89.114(a), may not participate in the
averaging, banking and trading programs unless the manufacturer has
requested that the engines be included in the averaging, banking, and
trading programs at the time the request for the special test procedure
is made and has been granted approval by the Administrator for inclusion
in the averaging, banking, and trading programs.
(3) A manufacturer may certify one or more nonroad engine families
at NOX family emission limits (FELs) above or below the Tier
1 NOX emission standard, provided the summation of the
manufacturer's projected balance of all NOX credit
transactions in a given model year is greater than or equal to zero, as
determined under Sec. 89.207(a). A manufacturer may certify one or more
nonroad engine families at PM FELs below the Tier 2 PM emission
[[Page 80]]
standard that will be applicable to those engine families.
(i) FELs for NOX may not exceed the Tier 1 upper limit
specified in Sec. 89.112(d).
(ii) An engine family certified to an FEL is subject to all
provisions specified in this part, except that the applicable FEL
replaces the emission standard for the family participating in the
averaging, banking, and trading program.
(iii) A manufacturer of an engine family with a NOX FEL
exceeding the Tier 1 NOX emission standard must obtain
NOX emission credits sufficient to address the associated
credit shortfall via averaging, banking, or trading.
(iv) An engine family with a NOX FEL below the applicable
Tier 1 standard may generate emission credits for averaging, banking,
trading, or a combination thereof. An engine family with a PM FEL below
the Tier 2 standard that will be applicable to that engine family may
generate emission credits for banking, trading, or a combination
thereof. Emission credits may not be used to offset an engine family's
emissions that exceed its applicable FEL. Credits may not be used to
remedy nonconformity determined by a Selective Enforcement Audit (SEA)
or by recall (in-use) testing. However, in the case of an SEA failure,
credits may be used to allow subsequent production of engines for the
family in question if the manufacturer elects to recertify to a higher
FEL.
(4) NOX credits generated in a given model year may be
used to address credit shortfalls with other engines during that model
year or in any subsequent model year except as noted under paragraph
(b)(5)(ii) of this section. PM credits may be used to address credit
shortfalls with Tier 2 and later engines greater than or equal to 37 kW
and Tier 1 and later engines less than 37 kW and greater than or equal
to 19 kW. Credits generated in one model year may not be used for prior
model years.
(5) The following provisions apply to the use of Tier 1
NOX credits for showing compliance with the Tier 2 or Tier 3
NMHC + NOX standards.
(i) A manufacturer may use NOX credits from engines
subject to the Tier 1 NOX standard to address NMHC +
NOX credit shortfalls with engines in the same averaging set
subject to Tier 1 NMHC + NOX or Tier 2 NMHC + NOX
emission standards.
(ii) A manufacturer may not use NOX credits from engines
subject to the Tier 1 standards to address NMHC + NOX credit
shortfalls with engines subject to the Tier 3 NMHC + NOX
emission standards.
(c) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine
family is eligible to participate in the averaging, banking, and trading
programs for NMHC + NOX emissions and PM emissions if it is
subject to regulation under subpart B of this part with certain
exceptions specified in paragraph (c)(2) of this section. No averaging,
banking, and trading program is available for meeting the CO or smoke
emission standards specified in subpart B of this part.
(2) Nonroad engines may not participate in the averaging, banking,
and trading programs if they are exported or are sold as Blue Sky Series
engines as described in Sec. 89.112(f). Nonroad engines certified on a
special test procedure under Sec. 89.114(a), may not participate in the
averaging, banking and trading programs unless the manufacturer has
requested that the engines be included in the averaging, banking, and
trading programs at the time the request for the special test procedure
is made and has been granted approval by the Administrator for inclusion
in the averaging, banking, and trading programs.
(3)(i) A manufacturer may certify one or more nonroad engine
families at FELs above or below the applicable NMHC + NOX
emission standard and PM emission standard, provided the summation of
the manufacturer's projected balance of all NMHC + NOX credit
transactions and the summation of the manufacturer's projected balance
of all PM credit transactions in a given model year in a given averaging
set is greater than or equal to zero, as determined under
Sec. 89.207(b).
(A) FELs for NMHC + NOX and FELs for PM may not exceed
the upper limits specified in Sec. 89.112(d).
[[Page 81]]
(B) An engine family certified to an FEL is subject to all
provisions specified in this part, except that the applicable FEL
replaces the emission standard for the family participating in the
averaging, banking, and trading program.
(C) A manufacturer of an engine family with an FEL exceeding the
applicable emission standard must obtain emission credits sufficient to
address the associated credit shortfall via averaging, banking, or
trading, within the restrictions described in Sec. 89.204(c) and
Sec. 89.206(b)(4).
(D) An engine family with an FEL below the applicable standard may
generate emission credits for averaging, banking, trading, or a
combination thereof. Emission credits may not be used to offset an
engine family's emissions that exceed its applicable FEL. Credits may
not be used to remedy nonconformity determined by a Selective
Enforcement Audit (SEA) or by recall (in-use) testing. However, in the
case of an SEA failure, credits may be used to allow subsequent
production of engines for the family in question if the manufacturer
elects to recertify to a higher FEL.
(ii)(A) In lieu of generating credits under paragraph (c)(3)(i) of
this section, a manufacturer may certify one or more nonroad engine
families rated under 37 kW at family emission limits (FELs) above or
below the applicable NMHC + NOX emission standard and PM
emission standard. The summation of the manufacturer's projected balance
of all NMHC + NOX credit transactions and the summation of
the manufacturer's projected balance of all PM credit transactions in a
given model year, as determined under Sec. 89.207(b), are each allowed
to be less than zero. Separate calculations shall be required for the
following two categories of engines: engines rated under 19 kW and
engines rated at or above 19 kW and under 37 kW.
(B) For each calendar year a negative credit balance exists as of
December 31, a penalty equal to ten percent of the negative credit
balance as of December 31 of the calendar year shall be added to the
negative credit balance. The resulting negative credit balance shall be
carried into the next calendar year.
(C) For engines rated under 19 kW, a manufacturer will be allowed to
carry over a negative credit balance until December 31, 2003. For
engines rated at or above 19 kW and under 37 kW, a manufacturer will be
allowed to carry over a negative credit balance until December 31, 2002.
As of these dates, the summation of the manufacturer's projected balance
of all NMHC + NOX credit transactions and the summation of
the manufacturer's projected balance of all PM credit transactions must
each be greater than or equal to zero.
(D) FELs for NMHC + NOX and FELs for PM may not exceed
the upper limits specified in Sec. 89.112(d).
(E) An engine family certified to an FEL is subject to all
provisions specified in this part, except that the applicable NMHC +
NOX FEL or PM FEL replaces the NMHC + NOX emission
standard or PM emission standard for the family participating in the
averaging and banking program.
(F) A manufacturer of an engine family with an FEL exceeding the
applicable emission standard must obtain emission credits sufficient to
address the associated credit shortfall via averaging or banking. The
exchange of emission credits generated under this program with other
nonroad engine manufacturers in trading is not allowed.
(G) An engine family with an FEL below the applicable standard may
generate emission credits for averaging, banking, or a combination
thereof. Emission credits may not be used to offset an engine family's
emissions that exceed its applicable FEL. Credits may not be used to
remedy nonconformity determined by a Selective Enforcement Audit (SEA)
or by recall (in-use) testing. However, in the case of an SEA failure,
credits may be used to allow subsequent production of engines for the
family in question if the manufacturer elects to recertify to a higher
FEL.
(4)(i) Except as noted in paragraphs (c)(4)(ii), (c)(4)(iii), and
(c)(4)(iv) of this section, credits generated in a given model year may
be used during that model year or used in any subsequent model year.
Except as allowed under paragraph (c)(3)(ii) of this section,
[[Page 82]]
credits generated in one model year may not be used for prior model
years.
(ii) Credits generated from engines rated under 19 kW prior to the
implementation date of the applicable Tier 2 standards, shall expire on
December 31, 2007.
(iii) Credits generated from engines rated under 19 kW under the
provisions of paragraph (c)(3)(ii) shall expire on December 31, 2003.
(iv) Credits generated from engines rated at or above 19 kW and
under 37 kW under the provisions of paragraph (c)(3)(ii) of this section
shall expire on December 31, 2002.
(5) Except as provided in paragraph (b)(3) of this section, engine
families may not generate credits for one pollutant while also using
credits for another pollutant in the same model year.
(6) Model year 2008 and 2009 engines rated under 8 kW that are
allowed to certify under this part because they meet the criteria in 40
CFR 1039.101(c) may not generate emission credits.
(d) Manufacturers must demonstrate compliance under the averaging,
banking, and trading programs for a particular model year within 270
days of the end of the model year. Except as allowed under paragraph
(c)(3)(ii) of this section, manufacturers that have certified engine
families to FELs above the applicable emission standards and do not have
sufficient emission credits to offset the difference between the
emission standards and the FEL for such engine families will be in
violation of the conditions of the certificate of conformity for such
engine families. The certificates of conformity may be voided ab initio
under Sec. 89.126(c) for those engine families.
[63 FR 57006, Oct. 23, 1998, as amended at 69 FR 39213, June 29, 2004]
Sec. 89.204 Averaging.
(a) Requirements for Tier 1 engines rated at or above 37 kW. A
manufacturer may use averaging to offset an emission exceedance of a
nonroad engine family caused by a NOX FEL above the
applicable emission standard. NOX credits used in averaging
may be obtained from credits generated by another engine family in the
same model year, credits banked in a previous model year, or credits
obtained through trading.
(b) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. A manufacturer may
use averaging to offset an emission exceedance of a nonroad engine
family caused by an NMHC + ;NOX FEL or a PM FEL above the
applicable emission standard. Credits used in averaging may be obtained
from credits generated by another engine family in the same model year,
credits banked in previous model years that have not expired, or credits
obtained through trading. The use of credits shall be within the
restrictions described in paragraph (c) of this section,
Sec. 89.206(b)(4) and Sec. 89.203(b)(5)(ii).
(c) Averaging sets for emission credits. The averaging and trading
of NOX emission credits, NMHC + NOX emission
credits, and PM emissions credits will only be allowed between engine
families in the same averaging set. The averaging sets for the averaging
and trading of NOX emission credits, NMHC + NOX
emission credits, and PM emission credits for nonroad engines are
defined as follows:
(1) Eligible engines rated at or above 19 kW, other than marine
diesel engines, constitute an averaging set.
(2) Eligible engines rated under 19 kW, other than marine diesel
engines, constitute an averaging set.
(3) Marine diesel engines rated at or above 19 kW constitute an
averaging set. Emission credits generated from marine diesel engines
rated at or above 19 kW may be used to address credit shortfalls for
eligible engines rated at or above 19 kW other than marine diesel
engines.
(4) Marine diesel engines rated under 19 kW constitute an averaging
set. Emission credits generated from marine diesel engines rated under
19 kW may be used to address credit shortfalls for eligible engines
rated under 19 kW other than marine diesel engines.
[63 FR 57007, Oct. 23, 1998]
Sec. 89.205 Banking.
(a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A
manufacturer of a nonroad engine family with a NOX FEL below
the applicable standard
[[Page 83]]
for a given model year may bank credits in that model year for use in
averaging and trading in any subsequent model year.
(2) A manufacturer of a nonroad engine family may bank
NOX credits up to one calendar year prior to the effective
date of mandatory certification. Such engines must meet the requirements
of subparts A, B, D, E, F, G, H, I, J, and K of this part.
(3)(i) A manufacturer of a nonroad engine family may bank PM credits
from Tier 1 engines under the provisions specified in Sec. 89.207(b) for
use in averaging and trading in the Tier 2 or later timeframe. These
credits are considered to be Tier 2 credits.
(ii) Such engine families are subject to all provisions specified in
subparts A, B, D, E, F, G, H, I, J, and K of this part, except that the
applicable PM FEL replaces the PM emission standard for the family
participating in the banking and trading program.
(b) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. (1) A manufacturer of
a nonroad engine family with an NMHC + NOX FEL or a PM FEL
below the applicable standard for a given model year may bank credits in
that model year for use in averaging and trading in any following model
year.
(2) For engine rated under 37 kW, a manufacturer of a nonroad engine
family may bank credits prior to the effective date of mandatory
certification. Such engines must meet the requirements of subparts A, B,
D, E, F, G, H, I, J, and K of this part.
(c) A manufacturer may bank actual credits only after the end of the
model year and after EPA has reviewed the manufacturer's end-of-year
reports. During the model year and before submittal of the end-of-year
report, credits originally designated in the certification process for
banking will be considered reserved and may be redesignated for trading
or averaging in the end-of-year report and final report.
(d) Credits declared for banking from the previous model year that
have not been reviewed by EPA may be used in averaging or trading
transactions. However, such credits may be revoked at a later time
following EPA review of the end-of-year report or any subsequent audit
actions.
[63 FR 57008, Oct. 23, 1998, as amended at 72 FR 53129, Sept. 18, 2007]
Sec. 89.206 Trading.
(a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A
nonroad engine manufacturer may exchange emission credits with other
nonroad engine manufacturers within the same averaging set in trading.
(2) Credits for trading can be obtained from credits banked in a
previous model year or credits generated during the model year of the
trading transaction.
(3) Traded credits can be used for averaging, banking, or further
trading transactions within the restrictions described in
Sec. 89.204(c).
(b) Requirements for Tier 2 and later engines rated at or above 37
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine
manufacturer may exchange emission credits with other nonroad engine
manufacturers within the same averaging set in trading.
(2) Credits for trading can be obtained from credits banked in
previous model years that have not expired or credits generated during
the model year of the trading transaction.
(3) Traded credits can be used for averaging, banking, or further
trading transactions within the restrictions described in Sec. 89.204(c)
and paragraph (b)(4) of this section.
(4) Emission credits generated from engines rated at or above 19 kW
utilizing indirect fuel injection may not be traded to other
manufacturers.
(c) In the event of a negative credit balance resulting from a
transaction, both the buyer and the seller are liable, except in cases
deemed involving fraud. Certificates of all engine families
participating in a negative trade may be voided ab initio under
Sec. 89.126(c).
[63 FR 57008, Oct. 23, 1998]
Sec. 89.207 Credit calculation.
(a) Requirements for calculating NOX credits from Tier 1
engines rated at or above 37 kW. (1) For each participating engine
family, emission credits (positive or negative) are to be calculated
[[Page 84]]
according to one of the following equations and rounded, in accordance
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This
ASTM procedure has been incorporated by reference (see Sec. 89.6).
Consistent units are to be used throughout the equation.
(i) For determining credit availability from all engine families
generating credits: Emission credits = (Std^FEL) (Volume) (AvgPR)
(UL) (Adjustment) (10-6)
(ii) For determining credit usage for all engine families requiring
credits to offset emissions in excess of the standard:
Emission credits = (Std^FEL) (Volume) (AvgPR) (UL)
(10-6)
Where:
Std = the applicable Tier 1 NOX nonroad engine emission
standard, in grams per kilowatt-hour.
FEL = the NOX family emission limit for the engine family in
grams per kilowatt-hour.
Volume = the number of nonroad engines eligible to participate in the
averaging, banking, and trading program within the given
engine family during the model year. Engines sold to equipment
or vehicle manufacturers under the provisions of
Sec. 89.102(g) shall not be included in this number. Quarterly
production projections are used for initial certification.
Actual applicable production/sales volume is used for end-of-
year compliance determination.
AvgPR = the average power rating of all of the configurations within an
engine family, calculated on a sales-weighted basis, in
kilowatts.
UL = the useful life for the engine family, in hours.
Adjustment = a one-time adjustment, as specified in paragraph (a)(2) of
this section, to be applied to Tier 1 NOX credits
to be banked or traded for determining compliance with the
Tier 1 NOX standards or Tier 2 NOX +
NMHC standards specified in subpart B of this part. Banked
credits traded in a subsequent model year will not be subject
to an additional adjustment. Banked credits used in a
subsequent model year's averaging program will not have the
adjustment restored.
(2) If an engine family is certified to a NOX FEL of 8.0
g/kW-hr or less, an Adjustment value of 1.0 shall be used in the credit
generation calculation described in paragraph (a)(1)(i) of this section.
If an engine family is certified to a NOX FEL above 8.0 g/kW-
hr, an Adjustment value of 0.65 shall be used in the credit generation
calculation described in paragraph (a)(1)(i) of this section. If the
credits are to be used by the credit-generating manufacturer for
averaging purposes in the same model year in which they are generated,
an Adjustment value of 1.0 shall be used for all engines regardless of
the level of the NOX FEL. If the credits are to be banked by
the credit-generating manufacturer and used in a subsequent model year
for another Tier 1 engine family, an Adjustment value of 1.0 shall be
used for all engines regardless of the level of the NOX FEL.
(b) Requirements for calculating NMHC + NOX Credits from
Tier 2 and later engines rated at or above 37 kW and Tier 1 and later
engines rated under 37 kW and PM credits from all engines. (1) For each
participating engine family, NOX + NMHC emission credits and
PM emission credits (positive or negative) are to be calculated
according to one of the following equations and rounded, in accordance
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This
procedure has been incorporated by reference (see Sec. 89.6). Consistent
units are to be used throughout the equation.
(i) For determining credit availability from all engine families
generating credits:
Emission credits = (Std-FEL) (Volume) (AvgPR) (UL)
(10-6)
(ii) For determining credit usage for all engine families requiring
credits to offset emissions in excess of the standard:
Emission credits = (Std-FEL) (Volume) (AvgPR) (UL)
(10-6)
Where:
Std = the current and applicable nonroad engine emission standard, in
grams per kilowatt-hour, except for PM calculations where it
is the applicable nonroad engine Tier 2 PM emission standard,
and except for engines rated under 19 kW where it is the
applicable nonroad engine Tier 2 emission standard, in grams
per kilowatt-hour. (Engines rated under 19 kW participating in
the averaging and banking program provisions of
Sec. 89.203(c)(3)(ii) shall use the Tier 1 standard for credit
calculations.)
[[Page 85]]
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. Engines sold to equipment
or vehicle manufacturers under the provisions of
Sec. 89.102(g) shall not be included in this number. Quarterly
production projections are used for initial certification.
Actual applicable production/sales volume is used for end-of-
year compliance determination.
AvgPR = the average power rating of all of the configurations within an
engine family, calculated on a sales-weighted basis, in
kilowatts.
UL = the useful life for the given engine family, in hours.
[63 FR 57008, Oct. 23, 1998]
Sec. 89.208 Labeling.
For all nonroad engines included in the averaging, banking, and
trading programs, the family emission limits to which the engine is
certified must be included on the label required in Sec. 89.110.
[63 FR 57009, Oct. 23, 1998]
Sec. 89.209 Certification.
(a) In the application for certification a manufacturer must:
(1) Declare its intent to include specific engine families in the
averaging, banking, and trading programs.
(2) Submit a statement that the engines for which certification is
requested will not, to the best of the manufacturer's belief, cause the
manufacturer to have a negative credit balance when all credits are
calculated for all the manufacturer's engine families participating in
the averaging, banking, and trading programs, except as allowed under
Sec. 89.203(c)(3)(ii).
(3) Declare the applicable FELs for each engine family participating
in averaging, banking, and trading.
(i) The FELs must be to the same number of significant digits as the
emission standard for the applicable pollutant.
(ii) In no case may the FEL exceed the upper limits prescribed in
Sec. 89.112(d).
(4) Indicate the projected number of credits generated/needed for
this family; the projected applicable production/sales volume, by
quarter; and the values required to calculate credits as given in
Sec. 89.207.
(5) Submit calculations in accordance with Sec. 89.207 of projected
emission credits (positive or negative) based on quarterly production
projections for each participating family.
(6)(i) If the engine family is projected to have negative emission
credits, state specifically the source (manufacturer/engine family or
reserved) of the credits necessary to offset the credit deficit
according to quarterly projected production, or, if the engine family is
to be included in the provisions of Sec. 89.203(c)(3)(ii), state that
the engine family will be subject to those provisions.
(ii) If the engine family is projected to generate credits, state
specifically (manufacturer/engine family or reserved) where the
quarterly projected credits will be applied.
(b) All certificates issued are conditional upon manufacturer
compliance with the provisions of this subpart both during and after the
model year of production.
(c) Failure to comply with all provisions of this subpart will be
considered to be a failure to satisfy the conditions upon which the
certificate was issued, and the certificate may be deemed void ab
initio.
(d) The manufacturer bears the burden of establishing to the
satisfaction of the Administrator that the conditions upon which the
certificate was issued were satisfied or waived.
(e) Projected credits based on information supplied in the
certification application may be used to obtain a certificate of
conformity. However, any such credits may be revoked based on review of
end-of-year reports, follow-up audits, and any other verification steps
deemed appropriate by the Administrator.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57009, Oct. 23, 1998]
Sec. 89.210 Maintenance of records.
(a) The manufacturer of any nonroad engine that is certified under
the averaging, banking, and trading program must establish, maintain,
and retain the following adequately organized and indexed records for
each such engine produced:
[[Page 86]]
(1) EPA engine family;
(2) Engine identification number;
(3) Engine model year and build date,
(4) Power rating;
(5) Purchaser and destination; and
(6) Assembly plant.
(b) The manufacturer of any nonroad engine family that is certified
under the averaging, banking, and trading programs must establish,
maintain, and retain the following adequately organized and indexed
records for each such family:
(1) EPA engine family;
(2) Family emission limits (FEL);
(3) Power rating for each configuration tested;
(4) Projected applicable production/sales volume for the model year;
and
(5) Actual applicable production/sales volume for the model year.
(c) Any manufacturer producing an engine family participating in
trading reserved credits must maintain the following records on a
quarterly basis for each engine family in the trading program:
(1) The engine family;
(2) The actual quarterly and cumulative applicable production/sales
volume;
(3) The values required to calculate credits as given in
Sec. 89.207;
(4) The resulting type and number of credits generated/required;
(5) How and where credit surpluses are dispersed; and
(6) How and through what means credit deficits are met.
(d) The manufacturer must retain all records required to be
maintained under this section for a period of eight years from the due
date for the end-of-model-year report. Records may be retained as hard
copy or reduced to microfilm, ADP diskettes, and so forth, depending on
the manufacturer's record retention procedure; provided, that in every
case all information contained in the hard copy is retained.
(e) Nothing in this section limits the Administrator's discretion in
requiring the manufacturer to retain additional records or submit
information not specifically required by this section.
(f) Pursuant to a request made by the Administrator, the
manufacturer must submit to the Administrator the information that the
manufacturer is required to retain.
(g) EPA may void ab initio under Sec. 89.126(c) a certificate of
conformity for an engine family for which the manufacturer fails to
retain the records required in this section or to provide such
information to the Administrator upon request.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57009, Oct. 23, 1998]
Sec. 89.211 End-of-year and final reports.
(a) End-of-year and final reports must indicate the engine family,
the actual applicable production/sales volume, the values required to
calculate credits as given in Sec. 89.207, and the number of credits
generated/required. Manufacturers must also submit how and where credit
surpluses were dispersed (or are to be banked) and/or how and through
what means credit deficits were met. Copies of contracts related to
credit trading must be included or supplied by the broker, if
applicable. The report shall include a calculation of credit balances to
show that the summation of the manufacturer's use of credits results in
a credit balance equal to or greater than zero, except as allowed under
Sec. 89.203(c)(3)(ii). Manufacturers participating under the program
described in Sec. 89.203(c)(3)(ii) shall include the NMHC +
NOX credit balance and the PM credit balance as of December
31 of that calendar year.
(b) The applicable production/sales volume for end-of-year and final
reports must be based on the location of the point of first retail sale
(for example, retail customer, dealer, secondary manufacturer) also
called the final product purchase location.
(c)(1) End-of-year reports must be submitted within 90 days of the
end of the model year to: Director, Engine Programs and Compliance
Division (6405-J), U.S. Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460.
(2) Final reports must be submitted within 270 days of the end of
the model year to: Director, Engine Programs and Compliance Division
(6405-J), U.S. Environmental Protection Agency, 401 M St., SW.,
Washington, DC 20460.
(d) Failure by a manufacturer participating in the averaging,
banking, or
[[Page 87]]
trading program to submit any end-of-year or final reports in the
specified time for all engines is a violation of sections 203(a)(1) and
213 of the Clean Air Act for each engine.
(e) A manufacturer generating credits for deposit only who fails to
submit end-of-year reports in the applicable specified time period (90
days after the end of the model year) may not use the credits until such
reports are received and reviewed by EPA. Use of projected credits
pending EPA review is not permitted in these circumstances.
(f) Errors discovered by EPA or the manufacturer in the end-of-year
report, including errors in credit calculation, may be corrected in the
final report up to 270 days from the end of the model year.
(g) If EPA or the manufacturer determines that a reporting error
occurred on an end-of-year or final report previously submitted to EPA
under this section, the manufacturer's credits and credit calculations
will be recalculated. Erroneous positive credits will be void except as
provided in paragraph (h) of this section. Erroneous negative credit
balances may be adjusted by EPA.
(h) If within 270 days of the end of the model year, EPA review
determines a reporting error in the manufacturer's favor (that is,
resulting in an increased credit balance) or if the manufacturer
discovers such an error within 270 days of the end of the model year,
the credits shall be restored for use by the manufacturer.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57009, Oct. 23, 1998]
Sec. 89.212 Notice of opportunity for hearing.
Any voiding of the certificate under Secs. 89.203(d), 89.206(c),
89.209(c) or 89.210(g) will be made only after the manufacturer
concerned has been offered an opportunity for a hearing conducted in
accordance with Secs. 89.512 and 89.513 and, if a manufacturer requests
such a hearing, will be made only after an initial decision by the
Presiding Officer.
[63 FR 57010, Oct. 23, 1998]
Subpart D_Emission Test Equipment Provisions
Sec. 89.301 Scope; applicability.
(a) This subpart describes the equipment required in order to
perform exhaust emission tests on new nonroad compression-ignition
engines subject to the provisions of subpart B of part 89.
(b) Exhaust gases, either raw or dilute, are sampled while the test
engine is operated using an 8-mode test cycle on an engine dynamometer.
The exhaust gases receive specific component analysis determining
concentration of pollutant, exhaust volume, the fuel flow, and the power
output during each mode. Emission is reported as grams per kilowatt hour
(g/kw-hr). See subpart E of this part for a complete description of the
test procedure.
(c) General equipment and calibration requirements are given in
Sec. 89.304 through 89.324. Sections 89.325 through 89.331 set forth
general test specifications.
(d) Additional information about system design, calibration
methodologies, and so forth, for raw gas sampling can be found in 40 CFR
part 1065. Examples for system design, calibration methodologies, and so
forth, for dilute exhaust gas sampling can be found in 40 CFR part 1065.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998,
as amended at 70 FR 40445, July 13, 2005]
Sec. 89.302 Definitions.
The definitions in subpart A of this part apply to this subpart. For
terms not defined in this part, the definitions in 40 CFR part 86,
subparts A, D, I, and N, apply to this subpart.
[63 FR 57010, Oct. 23, 1998]
Sec. 89.303 Symbols/abbreviations.
(a) The abbreviations in Sec. 86.094-3 or part 89.3 of this chapter
apply to this subpart.
(b) The abbreviations in table 1 in appendix A of this subpart apply
to this subpart. Some abbreviations from Sec. 89.3 have been included
for the convenience of the reader.
[[Page 88]]
(c) The symbols in table 2 in appendix A of this subpart apply to
this subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.304 Equipment required for gaseous emissions; overview.
(a) All engines subject to this subpart are tested for exhaust
emissions. Engines are operated on dynamometers meeting the
specification given in Sec. 89.306.
(b) The exhaust is tested for gaseous emissions using a raw gas
sampling system as described in Sec. 89.412 or a constant volume
sampling (CVS) system as described in Sec. 89.419. Both systems require
analyzers (see paragraph (c) of this section) specific to the pollutant
being measured.
(c) Analyzers used are a non-dispersive infrared (NDIR) absorption
type for carbon monoxide and carbon dioxide analysis; a heated flame
ionization (HFID) type for hydrocarbon analysis; and a chemiluminescent
detector (CLD) or heated chemiluminescent detector (HCLD) for oxides of
nitrogen analysis. Sections 89.309 through 89.324 set forth a full
description of analyzer requirements and specifications.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.305 Equipment measurement accuracy/calibration frequency.
The accuracy of measurements must be such that the maximum
tolerances shown in Table 3 in appendix A of this subpart are not
exceeded. Calibrate all equipment and analyzers according to the
frequencies shown in Table 3 in appendix A of this subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.306 Dynamometer specifications and calibration weights.
(a) Dynamometer specifications. The dynamometer test stand and other
instruments for measurement of power output must meet the accuracy and
calibration frequency requirements shown in table 3 in appendix A of
this subpart. The dynamometer must be capable of performing the test
cycle described in Sec. 89.410.
(b) Dynamometer calibration weights. A minimum of six calibration
weights for each range used are required. The weights must be spaced to
reflect good engineering judgement such that they cover the range of
weights required and must be traceable to within 0.5 percent of NIST
weights. Laboratories located in foreign countries may certify
calibration weights to local government bureau standards.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.307 Dynamometer calibration.
(a) If necessary, follow the dynamometer manufacturer's instructions
for initial start-up and basic operating adjustments.
(b) Check the dynamometer torque measurement for each range used by
the following method:
(1) Warm up the dynamometer following the dynamometer manufacturer's
specifications.
(2) Determine the dynamometer calibration moment arm (a distance/
weight measurement). Dynamometer manufacturer's data, actual
measurement, or the value recorded from the previous calibration used
for this subpart may be used.
(3) When calibrating the engine flywheel torque transducer, any
lever arm used to convert a weight or a force through a distance into a
torque must be in a horizontal position (5 degrees).
(4) Calculate the indicated torque (IT) for each calibration weight
to be used by:
IT = calibration weight (N) calibration moment arm (m)
(5) Attach each calibration weight specified in Sec. 89.306 to the
moment arm at the calibration distance determined in paragraph (b)(2) of
this section. Record the power measurement equipment response (N^m) to
each weight.
(6) For each calibration weight, compare the torque value measured
in paragraph (b)(5) of this section to the calculated torque determined
in paragraph (b)(4) of this section.
(7) The measured torque must be within either 2 percent of point or
1 percent of the engine maximum torque of the calculated torque.
[[Page 89]]
(8) If the measured torque is not within the above requirements,
adjust or repair the system. Repeat steps in paragraphs (b)(1) through
(b)(6) of this section with the adjusted or repaired system.
(c) Optional. A master load-cell or transfer standard may be used to
verify the torque measurement system.
(1) The master load-cell and read out system must be calibrated with
weights at each test weight specified in Sec. 89.306. The calibration
weights must be traceable to within 0.1 percent of applicable national
standards.
(2) Warm up the dynamometer following the equipment manufacturer's
specifications.
(3) Attach the master load-cell and loading system.
(4) Load the dynamometer to a minimum of 6 equally spaced torque
values as indicated by the master load-cell for each in-use range used.
(5) The in-use torque measurement must be within 2 percent of the
torque measured by the master system for each load used.
(6) If the in-use torque is not within 2 percent of the master
torque, adjust or repair the system. Repeat steps in paragraphs (c)(2)
through (c)(5) of this section with the adjusted or repaired system.
(d) Calibrated resistors may not be used for engine flywheel torque
transducer calibration, but may be used to span the transducer prior to
engine testing.
(e) Perform other engine dynamometer system calibrations as dictated
by good engineering practice.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.308 Sampling system requirements for gaseous emissions.
(a) For each component (pump, sample line section, filters, and so
forth) in the heated portion of the sampling system that has a separate
source of power or heating element, use engineering judgment to locate
the coolest portion of that component and monitor the temperature at
that location. If several components are within an oven, then only the
surface temperature of the component with the largest thermal mass and
the oven temperature need be measured.
(b) If water is removed by condensation, the sample gas temperature
shall be monitored within the water trap or the sample dewpoint shall be
monitored downstream. In either case, the indicated temperature shall
not exceed 7 C.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.309 Analyzers required for gaseous emissions.
(a) Analyzers. The following instruments are required for analyzing
the measured gases:
(1) Carbon Monoxide (CO) analysis. (i) The carbon monoxide analyzer
must be of the non-dispersive infrared (NDIR) absorption type.
(ii) The use of linearizing circuits is permitted.
(2) Carbon Dioxide (CO2) analysis. (i) The carbon dioxide
analyzer must be of the non-dispersive infrared (NDIR) absorption type.
(ii) The use of linearizing circuits is permitted.
(3) [Reserved]
(4) Hydrocarbon (HC) analysis. (i) The hydrocarbon analyzer must be
of the heated flame ionization (HFID) type.
(ii) If the temperature of the exhaust gas at the sample probe is
below 190 C, the temperature of the valves, pipework, and so forth,
must be controlled so as to maintain a wall temperature of 190 C 11
C. If the temperature of the exhaust gas at the sample probe is above
190 C, the temperature of the valves, pipework, and so forth, must be
controlled so as to maintain a wall temperature greater than 180 C.
(iii) The FID oven must be capable of maintaining temperature within
5.5 C of the set point.
(iv) Fuel and burner air must conform to the specifications in
Sec. 89.312.
(v) The percent of oxygen interference must be less than 3 percent,
as specified in Sec. 89.319(d).
(5) Oxides of nitrogen (NOX) analysis. (i) This analysis
device must consist of the subsequent items, following the sample probe,
in the given order:
(A) Pipework, valves, and so forth, controlled so as to maintain a
wall temperature above 60 C.
[[Page 90]]
(B) A NO2 to NO converter. The NO2 to NO
converter efficiency must be at least 90 percent.
(C) For raw analysis, an ice bath or other cooling device located
after the NOX converter (optional for dilute analysis).
(D) A chemiluminescent detector (CLD or HCLD).
(ii) The quench interference must be less than 3.0 percent as
measured in Sec. 89.318.
(b) Other gas analyzers yielding equivalent results may be used with
advance approval of the Administrator.
(c) The following requirements must be incorporated in each system
used for testing under this subpart.
(1) Carbon monoxide and carbon dioxide measurements must be made on
a dry basis (for raw exhaust measurement only). Specific requirements
for the means of drying the sample can be found in Sec. 89.309(e).
(2) Calibration or span gases for the NOX measurement
system must pass through the NO2 to NO converter.
(d) The electromagnetic compatibility (EMC) of the equipment must be
on a level as to minimize additional errors.
(e) Gas drying. Chemical dryers are not an acceptable method of
removing water from the sample. Water removal by condensation is
acceptable. A water trap performing this function and meeting the
specifications in Sec. 89.308(b) is an acceptable method. Means other
than condensation may be used only with prior approval from the
Administrator.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.310 Analyzer accuracy and specifications.
(a) Measurement accuracy--general. The analyzers must have a
measuring range which allows them to measure the concentrations of the
exhaust gas sample pollutants with the accuracies shown in Table 3 in
Appendix A of this subpart.
(1) Response time. As necessary, measure and account for the
response time of the analyzer.
(2) Precision. The precision of the analyzer must be, at worst, 1
percent of full-scale concentration for each range used at or above 100
ppm (or ppmC) or 2 percent for each range used below 100 ppm (or ppmC).
The precision is defined as 2.5 times the standard deviation(s) of 10
repetitive responses to a given calibration or span gas.
(3) Noise. The analyzer peak-to-peak response to zero and
calibration or span gases over any 10-second period must not exceed 2
percent of full-scale chart deflection on all ranges used.
(4) Zero drift. The analyzer zero-response drift during a 1-hour
period must be less than 2 percent of full-scale chart deflection on the
lowest range used. The zero-response is defined as the mean response
including noise to a zero-gas during a 30-second time interval.
(5) Span drift. The analyzer span drift during a 1-hour period must
be less than 2 percent of full-scale chart deflection on the lowest
range used. The analyzer span is defined as the difference between the
span-response and the zero-response. The span-response is defined as the
mean response including noise to a span gas during a 30-second time
interval.
(b) Operating procedure for analyzers and sampling system. Follow
the start-up and operating instructions of the instrument manufacturer.
Adhere to the minimum requirements given in Sec. 89.314 to Sec. 89.323.
(c) Emission measurement accuracy--Bag sampling. (1) Good
engineering practice dictates that exhaust emission sample analyzer
readings below 15 percent of full-scale chart deflection should
generally not be used.
(2) Some high resolution read-out systems, such as computers, data
loggers, and so forth, can provide sufficient accuracy and resolution
below 15 percent of full scale. Such systems may be used provided that
additional calibrations of at least 4 non-zero nominally equally spaced
points, using good engineering judgement, below 15 percent of full scale
are made to ensure the accuracy of the calibration curves. If a gas
divider is used, the gas divider must conform to the accuracy
requirements specified in Sec. 89.312(c). The procedure in paragraph
(c)(3) of this section may be used for calibration below 15 percent of
full scale.
[[Page 91]]
(3) The following procedure shall be followed:
(i) Span the analyzer using a calibration gas meeting the accuracy
requirements of Sec. 89.312(c), within the operating range of the
analyzer, and at least 90% of full scale.
(ii) Generate a calibration over the full concentration range at a
minimum of 6, approximately equally spaced, points (e.g. 15, 30, 45, 60,
75, and 90 percent of the range of concentrations provided by the gas
divider). If a gas divider or blender is being used to calibrate the
analyzer and the requirements of paragraph (c)(2) of this section are
met, verify that a second calibration gas between 10 and 20 percent of
full scale can be named within 2 percent of its certified concentration.
(iii) If a gas divider or blender is being used to calibrate the
analyzer, input the value of a second calibration gas (a span gas may be
used for the CO2 analyzer) having a named concentration between 10 and
20 percent of full scale. This gas shall be included on the calibration
curve. Continue adding calibration points by dividing this gas until the
requirements of paragraph (c)(2) of this section are met.
(iv) Fit a calibration curve per Sec. 89.319 through Sec. 89.322 for
the full scale range of the analyzer using the calibration data obtained
with both calibration gases.
(d) Emission measurement accuracy--continuous sampling. Analyzers
used for continuous analysis must be operated such that the measured
concentration falls between 15 and 100 percent of full-scale chart
deflection. Exceptions to these limits are:
(1) The analyzer's response may be less than 15 percent or more than
100 percent of full scale if automatic range change circuitry is used
and the limits for range changes are between 15 and 100 percent of full-
scale chart deflection;
(2) The analyzer's response may be less than 15 percent of full
scale if:
(i) Alternative (c)(2) of this section is used to ensure that the
accuracy of the calibration curve is maintained below 15 percent; or
(ii) The full-scale value of the range is 155 ppm (or ppmC) or less.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.311 Analyzer calibration frequency.
(a) Prior to initial use and after major repairs, bench check each
analyzer (see Sec. 89.315).
(b) Calibrations are performed as specified in Secs. 89.319 through
89.324.
(c) At least monthly, or after any maintenance which could alter
calibration, the following calibrations and checks are performed.
(1) Leak check the vacuum side of the system (see Sec. 89.316).
(2) Check that the analysis system response time has been measured
and accounted for.
(3) Verify that the automatic data collection system (if used) meets
the requirements found in Table 3 in appendix A of this subpart.
(4) Check the fuel flow measurement instrument to insure that the
specifications in Table 3 in appendix A of this subpart are met.
(d) Verify that all NDIR analyzers meet the water rejection ratio
and the CO2 rejection ratio as specified in Sec. 89.318.
(e) Verify that the dynamometer test stand and power output
instrumentation meet the specifications in Table 3 in appendix A of this
subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.312 Analytical gases.
(a) The shelf life of all calibration gases must not be exceeded.
The expiration date of the calibration gases stated by the gas
manufacturer shall be recorded.
(b) Pure gases. The required purity of the gases is defined by the
contamination limits given below. The following gases must be available
for operation:
(1) Purified nitrogen (Contamination 1 ppm C, 1 ppm CO, 400 ppm
CO2, 0.1 ppm NO)
(2) [Reserved]
(3) Hydrogen-helium mixture (40 2 percent hydrogen, balance helium)
(Contamination 31 ppm C, 400 ppm CO)
[[Page 92]]
(4) Purified synthetic air (Contamination 1 ppm C, 1 ppm CO, 400
ppm CO2, 0.1 ppm NO) (Oxygen content between 18-21 percent
vol.)
(c) Calibration and span gases. (1) Calibration gas values are to be
derived from NIST Standard Reference Materials (SRM's) or other
standardized gas samples and are to be single blends as listed in the
following paragraph.
(2) Mixtures of gases having the following chemical compositions
shall be available:
(i) C3H8 and purified synthetic air ;
(ii) C3H8 and purified nitrogen (optional for
raw measurements);
(iii) CO and purified nitrogen;
(iv) NOX and purified nitrogen (the amount of
NO2 contained in this calibration gas must not exceed 5
percent of the NO content);
(v) CO2 and purified nitrogen.
(3) The true concentration of a span gas must be within 2 percent
of the NIST gas standard. The true concentration of a calibration gas
must be within 1 percent of the NIST gas standard. The use of precision
blending devices (gas dividers) to obtain the required calibration gas
concentrations is acceptable, provided that the blended gases are
accurate to within 1.5 percent of NIST gas standards, or other gas
standards which have been approved by the Administrator. This accuracy
implies that primary gases used (or blending) must be ``named'' to an
accuracy of at least 1 percent, traceable to NIST or other approved gas
standards. All concentrations of calibration gas shall be given on a
volume basis (volume percent or volume ppm).
(4) The gas concentrations used for calibration and span may also be
obtained by means of a gas divider, either diluting with purified
N2 or diluting with purified synthetic air. The accuracy of
the mixing device must be such that the concentration of the diluted
gases may be determined to within 2 percent.
(d) Oxygen interference check gases shall contain propane with 350
ppmC 75 ppmC hydrocarbon. The three oxygen interference gases shall
contain 21% 1% O2, 10% 1% O2, and 5% 1%
O2. The concentration value shall be determined to
calibration gas tolerances by chromatographic analysis of total
hydrocarbons plus impurities or by dynamic blending. Nitrogen shall be
the predominant diluent with the balance oxygen.
(e) Fuel for the FID shall be a blend of 40 percent 2 percent
hydrogen with the balance being helium. The mixture shall contain less
than 1 ppm equivalent carbon response; 98 to 100 percent hydrogen fuel
may be used with advance approval of the Administrator.
(f) Hydrocarbon analyzer burner air. The concentration of oxygen for
raw sampling must be within 1 mole percent of the oxygen concentration
of the burner air used in the latest oxygen interference check
(%O2I). If the difference in oxygen concentration is greater
than 1 mole percent, then the oxygen interference must be checked and,
if necessary, the analyzer adjusted to meet the %O2I
requirements. The burner air must contain less than 2 ppmC hydrocarbon.
(g) Gases for the methane analyzer shall be single blends of methane
using air as the diluent.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57010, Oct. 23, 1998]
Sec. 89.313 Initial calibration of analyzers.
(a) Warming-up time. The warming-up time should be according to the
recommendations of the manufacturer. If not specified, a minimum of two
hours shall be allowed for warming up the analyzers.
(b) NDIR and HFID analyzer. The NDIR analyzer shall be tuned and
maintained according to the instrument manufacturer's instructions. The
combustion flame of the HFID analyzer shall be optimized in order to
meet the specifications in Sec. 89.319(b)(2).
(c) Zero setting and calibration. (1) Using purified synthetic air
(or nitrogen), the CO, CO2, NOX. and HC analyzers
shall be set at zero.
(2) Introduce the appropriate calibration gases to the analyzers and
the values recorded. The same gas flow rates shall be used as when
sampling exhaust.
[[Page 93]]
(d) Rechecking of zero setting. The zero setting shall be rechecked
and the procedure described in paragraph (c) of this section repeated,
if necessary.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.314 Pre- and post-test calibration of analyzers.
Each operating range used during the test shall be checked prior to
and after each test in accordance with the following procedure. (A
chronic need for parameter adjustment can indicate a need for instrument
maintenance.):
(a) The calibration is checked by using a zero gas and a span gas
whose nominal value is between 75 percent and 100 percent of full-scale,
inclusive, of the measuring range.
(b) After the end of the final mode, a zero gas and the same span
gas will be used for rechecking. As an option, the zero and span may be
rechecked at the end of each mode or each test segment. The analysis
will be considered acceptable if the difference between the two
measuring results is less than 2 percent of full scale.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998]
Sec. 89.315 Analyzer bench checks.
(a) Prior to initial use and after major repairs verify that each
analyzer complies with the specifications given in Table 3 in appendix A
of this subpart.
(b) If a stainless steel NO2 to NO converter is used,
condition all new or replacement converters. The conditioning consists
of either purging the converter with air for a minimum of 4 hours or
until the converter efficiency is greater than 90 percent. The converter
must be at operational temperature while purging. Do not use this
procedure prior to checking converter efficiency on in-use converters.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.316 Analyzer leakage and response time.
(a) Vacuum side leak check. (1) Any location within the analysis
system where a vacuum leak could affect the test results must be
checked.
(2) The maximum allowable leakage rate on the vacuum side is 0.5
percent of the in-use flow rate for the portion of the system being
checked. The analyzer flows and bypass flows may be used to estimate the
in-use flow rates.
(3) The sample probe and the connection between the sample probe and
valve V2 (see Figure 1 in appendix B of this subpart) may be excluded
from the leak check.
(b) [Reserved]
(c) The response time shall be accounted for in all emission
measurement and calculations.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998]
Sec. 89.317 NOX converter check.
(a) Prior to its introduction into service, and monthly thereafter,
the chemiluminescent oxides of nitrogen analyzer shall be checked for
NO2 to NO converter efficiency. Figure 2 in appendix B of
this subpart is a reference for the following paragraphs.
(b) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance.
(c) Zero the oxides of nitrogen analyzer with zero-grade air or
zero-grade nitrogen.
(d) Connect the outlet of the NOX generator to the sample
inlet of the oxides of nitrogen analyzer which has been set to the most
common operating range.
(e) Introduce into the NOX generator analyzer-system an
NO-in-nitrogen (N2) mixture with an NO concentration equal to
approximately 80 percent of the most common operating range. The
NO2 content of the gas mixture shall be less than 5 percent
of the NO concentration.
(f) With the oxides of nitrogen analyzer in the NO mode, record the
concentration of NO indicated by the analyzer.
(g) Turn on the NOX generator O2 (or air)
supply and adjust the O2 (or air) flow rate so that the NO
indicated by the analyzer is about 10 percent less than indicated in
paragraph (f) of this section. Record the concentration of NO in this NO
+ O2 mixture.
[[Page 94]]
(h) Switch the NOX generator to the generation mode and
adjust the generation rate so that the NO measured on the analyzer is 20
percent of that measured in paragraph (f) of this section. There must be
at least 10 percent unreacted NO at this point. Record the concentration
of residual NO.
(i) Switch the oxides of nitrogen analyzer to the NOX
mode and measure total NOX. Record this value.
(j) Switch off the NOX generator but maintain gas flow
through the system. The oxides of nitrogen analyzer will indicate the
NOX in the NO + O2 mixture. Record this value.
(k) Turn off the NOX generator O2 (or air)
supply. The analyzer will now indicate the NOX in the
original NO-in-N2 mixture. This value should be no more than
5 percent above the value indicated in paragraph (f) of this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998]
Sec. 89.318 Analyzer interference checks.
(a) Gases present in the exhaust other than the one being analyzed
can interfere with the reading in several ways. Positive interference
occurs in NDIR and PMD instruments when the interfering gas gives the
same effect as the gas being measured, but to a lesser degree. Negative
interference occurs in NDIR instruments by the interfering gas
broadening the absorption band of the measured gas and in CLD
instruments by the interfering gas quenching the radiation. The
interference checks described in this section are to be made initially
and after any major repairs that could affect analyzer performance.
(b) CO analyzer water and CO2 interference checks. Prior
to its introduction into service and annually thereafter, the NDIR
carbon monoxide analyzer shall be checked for response to water vapor
and CO2.
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance on the most
sensitive range to be used.
(2) Zero the carbon monoxide analyzer with either zero-grade air or
zero-grade nitrogen.
(3) Bubble a mixture of 3 percent CO2 in N2
through water at room temperature and record analyzer response.
(4) An analyzer response of more than 1 percent of full scale for
ranges above 300 ppm full scale or more than 3 ppm on ranges below 300
ppm full scale requires corrective action. (Use of conditioning columns
is one form of corrective action which may be taken.)
(c) NOX analyzer quench check. The two gases of concern
for CLD (and HCLD) analyzers are CO2 and water vapor. Quench
responses to these two gases are proportional to their concentrations
and, therefore, require test techniques to determine quench at the
highest expected concentrations experienced during testing.
(1) NOX analyzer CO2 quench check. A CO2 span
gas having a concentration of 80 percent to 100 percent of full scale of
the maximum operating range used during testing shall be passed through
the CO2 NDIR analyzer and the value recorded as a. It is
diluted approximately 50 percent with NO span gas and then passed
through the CO2 NDIR and CLD (or HCLD), with the
CO2 and NO values recorded as b and c respectively. The
CO2 shall then be shut off and only the NO span gas passed
through the CLD (or HCLD) and the NO value recorded as d. Percent
CO2 quench shall be calculated as follows and shall not
exceed 3 percent:
[GRAPHIC] [TIFF OMITTED] TR17JN94.001
Where:
a = Undiluted CO2 concentration (percent)
b = Diluted CO2 concentration (percent)
c = Diluted NO concentration (ppm)
d = Undiluted NO concentration (ppm)
(2) NOX analyzer water quench check. (i) This check
applies to wet measurements only. An NO span gas having a
[[Page 95]]
concentration of 80 to 100 percent of full scale of a normal operating
range shall be passed through the CLD (or HCLD) and the response
recorded as D. The NO span gas shall then be bubbled through water at
room temperature and passed through the CLD (or HCLD) and the analyzer
response recorded as AR. Determine and record the bubbler absolute
operating pressure and the bubbler water temperature. (It is important
that the NO span gas contains minimal NO2 concentration for
this check. No allowance for absorption of NO2 in water has
been made in the following quench calculations. This test may be
optionally run in the NO mode to minimize the effect of any
NO2 in the NO span gas.)
(ii) Calculations for water quench must consider dilution of the NO
span gas with water vapor and scaling of the water vapor concentration
of the mixture to that expected during testing. Determine the mixture's
saturated vapor pressure (designated as Pwb) that corresponds to the
bubbler water temperature. Calculate the water concentration (Z1,
percent) in the mixture by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.002
where
GP = analyzer operating pressure (Pa)
(iii) Calculate the expected dilute NO span gas and water vapor
mixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.003
(iv)(A) The maximum raw or dilute exhaust water vapor concentration
expected during testing (designated as Wm) can be estimated from the
CO2 span gas (or as defined in the equation in this paragraph
and designated as A) criteria in paragraph (c)(1) of this section and
the assumption of a fuel atom H/C ratio of 1.8:1 as:
Wm(%) = 0.9 A(%)
Where:
A = maximum CO2 concentration expected in the sample system during
testing.
(B) Percent water quench shall not exceed 3 percent and shall be
calculated by:
[GRAPHIC] [TIFF OMITTED] TR23OC98.003
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998; 63 FR 58101, Oct. 29, 1998]
Sec. 89.319 Hydrocarbon analyzer calibration.
(a) The FID hydrocarbon analyzer shall receive the initial and
periodic calibration as described in this section. The HFID used with
petroleum-fueled diesel (compression-ignition) engines shall be operated
to a set point 5.5 C between 185 and 197 C.
(b) Initial and periodic optimization of detector response. Prior to
introduction into service and at least annually thereafter, adjust the
FID hydrocarbon analyzer for optimum hydrocarbon response as specified
in this paragraph. Alternate methods yielding equivalent results may be
used, if approved in advance by the Administrator.
(1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see
Sec. 89.312(e)) and zero-grade air.
(2) Optimize the FID's response on the most common operating range.
The response is to be optimized with respect to fuel pressure or flow.
Efforts shall be made to minimize response variations to different
hydrocarbon species that are expected to be in the exhaust. Good
engineering judgment is
[[Page 96]]
to be used to trade off optimal FID response to propane-in-air against
reductions in relative responses to other hydrocarbons. A good example
of trading off response on propane for relative responses to other
hydrocarbon species is given in Society of Automotive Engineers (SAE)
Paper No. 770141, ``Optimization of Flame Ionization Detector for
Determination of Hydrocarbon in Diluted Automotive Exhausts''; author
Glenn D. Reschke. It is also required that the response be set to
optimum condition with respect to air flow and sample flow. Heated Flame
Ionization Detectors (HFIDs) must be at their specified operating
temperature. One of the following procedures is required for FID or HFID
optimization:
(i) The procedure outlined in Society of Automotive Engineers (SAE)
paper No. 770141, ``Optimization of a Flame Ionization Detector for
Determination of Hydrocarbon in Diluted Automotive Exhausts''; author,
Glenn D. Reschke. This procedure has been incorporated by reference at
Sec. 89.6.
(ii) The HFID optimization procedures outlined in 40 CFR part 1065,
subpart D.
(iii) Alternative procedures may be used if approved in advance by
the Administrator.
(iv) The procedures specified by the manufacturer of the FID or
HFID.
(3) After the optimum flow rates have been determined, record them
for future reference.
(c) Initial and periodic calibration. Prior to introduction into
service, after any maintenance which could alter calibration, and
monthly thereafter, the FID or HFID hydrocarbon analyzer shall be
calibrated on all normally used instrument ranges using the steps in
this paragraph (c). Use the same flow rate and pressures as when
analyzing samples. Calibration gases shall be introduced directly at the
analyzer, unless the ``overflow'' calibration option of 40 CFR part
1065, subpart F, for the HFID is taken. New calibration curves need not
be generated each month if the existing curve can be verified as
continuing to meet the requirements of paragraph (c)(3) of this section.
(1) Adjust analyzer to optimize performance.
(2) Zero the hydrocarbon analyzer with zero-grade air.
(3) Calibrate on each used operating range with propane-in-air
(dilute or raw) or propane-in-nitrogen (raw) calibration gases having
nominal concentrations starting between 10-15 percent and increasing in
at least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75,
and 90 percent of that range) of that range. The incremental steps are
to be spaced to represent good engineering practice. For each range
calibrated, if the deviation from a least-squares best-fit straight line
is 2 percent or less of the value at each data point, concentration
values may be calculated by use of a single calibration factor for that
range. If the deviation exceeds 2 percent at each non-zero data point
and within 0.3 percent of full scale on the zero, the best-fit non-
linear equation which represents the data to within these limits shall
be used to determine concentration.
(d) Oxygen interference optimization (required for raw). Choose a
range where the oxygen interference check gases will fall in the upper
50 percent. Conduct the test, as outlined in this paragraph, with the
oven temperature set as required by the instrument manufacturer. Oxygen
interference check gas specifications are found in Sec. 89.312(d).
(1) Zero the analyzer.
(2) Span the analyzer with the 21% oxygen interference gas specified
in Sec. 89.312(d).
(3) Recheck zero response. If it has changed more than 0.5 percent
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to
correct problem.
(4) Introduce the 5 percent and 10 percent oxygen interference check
gases.
(5) Recheck the zero response. If it has changed more 1 percent of
full scale, repeat the test.
(6) Calculate the percent of oxygen interference (designated as
percent O2I) for each mixture in paragraph (d)(4) of this
section.
percent O2I = ((B ^ C) 100)/B
Where:
A = hydrocarbon concentration (ppmC) of the span gas used in paragraph
(d)(2) of this section.
[[Page 97]]
B = hydrocarbon concentration (ppmC) of the oxygen interference check
gases used in paragraph (d)(4) of this section.
C = analyzer response (ppmC) = A/D; where
D = (percent of full-scale analyzer response due to A) (percent of
full-scale analyzer response due to B)
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57011, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.320 Carbon monoxide analyzer calibration.
(a) Calibrate the NDIR carbon monoxide as described in this section.
(b) Initial and periodic interference check. Prior to its
introduction into service and annually thereafter, the NDIR carbon
monoxide analyzer shall be checked for response to water vapor and
CO2 in accordance with Sec. 318.96(b).
(c) Initial and periodic calibration. Prior to its introduction into
service, after any maintenance which could alter calibration, and every
two months thereafter, the NDIR carbon monoxide analyzer shall be
calibrated. New calibration curves need not be generated every two
months if the existing curve can be verified as continuing to meet the
requirements of paragraph (c)(3) of this section.
(1) Adjust the analyzer to optimize performance.
(2) Zero the carbon monoxide analyzer with either zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations starting
between 10 and 15 percent and increasing in at least six incremental
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that
range. The incremental steps are to be spaced to represent good
engineering practice. For each range calibrated, if the deviation from a
least-squares best-fit straight line is 2 percent or less of the value
at each non-zero data point and within 0.3 percent of full scale on the
zero, concentration values may be calculated by use of a single
calibration factor for that range. If the deviation exceeds these
limits, the best-fit non-linear equation which represents the data to
within these limits shall be used to determine concentration.
(d) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used in
lieu of the procedures specified in this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.321 Oxides of nitrogen analyzer calibration.
(a) The chemiluminescent oxides of nitrogen analyzer shall receive
the initial and periodic calibration described in this section.
(b) Prior to its introduction into service, and monthly thereafter,
the chemiluminescent oxides of nitrogen analyzer is checked for
NO2 to NO converter efficiency according to Sec. 89.317.
(c) Initial and periodic calibration. Prior to its introduction into
service, after any maintenance which could alter calibration, and
monthly thereafter, the chemiluminescent oxides of nitrogen analyzer
shall be calibrated on all normally used instrument ranges. New
calibration curves need not be generated each month if the existing
curve can be verified as continuing to meet the requirements of
paragraph (c)(3) of this section. Use the same flow rate as when
analyzing samples. Proceed as follows:
(1) Adjust analyzer to optimize performance.
(2) Zero the oxides of nitrogen analyzer with zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations starting at
between 10 and 15 percent and increasing in at least six incremental
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that
range. The incremental steps are to be spaced to represent good
engineering practice. For each range calibrated, if the deviation from a
least-squares best-fit straight line is 2 percent or less of the value
at each non-zero data point and within 0.3 percent of full scale on the
zero, concentration values may be calculated by use of a single
calibration factor for that range. If the deviation exceeds these
limits, the best-fit non-linear equation which represents the data to
within these limits shall be used to determine concentration.
[[Page 98]]
(d) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used in
lieu of the procedures specified in this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.322 Carbon dioxide analyzer calibration.
(a) Prior to its introduction into service, after any maintenance
which could alter calibration, and bi-monthly thereafter, the NDIR
carbon dioxide analyzer shall be calibrated on all normally used
instrument ranges. New calibration curves need not be generated each
month if the existing curve can be verified as continuing to meet the
requirements of paragraph (a)(3) of this section. Proceed as follows:
(1) Follow good engineering practices for instrument start-up and
operation. Adjust the analyzer to optimize performance.
(2) Zero the carbon dioxide analyzer with either zero-grade air or
zero-grade nitrogen.
(3) Calibrate on each normally used operating range with carbon
dioxide-in-N2 calibration or span gases having nominal
concentrations starting between 10 and 15 percent and increasing in at
least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75, and
90 percent) of that range. The incremental steps are to be spaced to
represent good engineering practice. For each range calibrated, if the
deviation from a least-squares best-fit straight line is 2 percent or
less of the value at each non-zero data point and within 0.3 percent of
full scale on the zero, concentration values may be calculated by use of
a single calibration factor for that range. If the deviation exceeds
these limits, the best-fit non-linear equation which represents the data
to within these limits shall be used to determine concentration.
(b) The initial and periodic interference, system check, and
calibration test procedures specified in 40 CFR part 1065 may be used in
lieu of the procedures in this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.323 NDIR analyzer calibration.
(a) Detector optimization. If necessary, follow the instrument
manufacturer's instructions for initial start-up and basic operating
adjustments.
(b) Calibration curve. Develop a calibration curve for each range
used as follows:
(1) Zero the analyzer.
(2) Span the analyzer to give a response of approximately 90 percent
of full-scale chart deflection.
(3) Recheck the zero response. If it has changed more than 0.5
percent of full scale, repeat the steps given in paragraphs (b)(1) and
(b)(2) of this section.
(4) Record the response of calibration gases having nominal
concentrations starting between 10 and 15 percent and increasing in at
least six incremental steps to 90 percent of that range. The incremental
steps are to be spaced to represent good engineering practice.
(5) Generate a calibration curve. The calibration curve shall be of
fourth order or less, have five or fewer coefficients. If any range is
within 2 percent of being linear a linear calibration may be used.
Include zero as a data point. Compensation for known impurities in the
zero gas can be made to the zero-data point. The calibration curve must
fit the data points within 2 percent of point.
(6) Optional. A new calibration curve need not be generated if:
(i) A calibration curve conforming to paragraph (b)(5) of this
section exists; or
(ii) The responses generated in paragraph (b)(4) of this section are
within 1 percent of full scale or 2 percent of point, whichever is less,
of the responses predicted by the calibration curve for the gases used
in paragraph (b)(4) of this section.
(7) If multiple range analyzers are used, the lowest range used must
meet the curve fit requirements below 15 percent of full scale.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.324 Calibration of other equipment.
(a) Other test equipment used for testing shall be calibrated as
often as
[[Page 99]]
required by the instrument manufacturer or necessary according to good
practice.
(b) If a methane analyzer is used, the methane analyzer shall be
calibrated prior to introduction into service and monthly thereafter:
(1) Follow the manufacturer's instructions for instrument startup
and operation. Adjust the analyzer to optimize performance.
(2) Zero the methane analyzer with zero-grade air.
(3) Calibrate on each normally used operating range with
CH4 in air with nominal concentrations starting between 10
and 15 percent and increasing in at least six incremental steps to 90
percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that range. The
incremental steps are to be spaced to represent good engineering
practice. For each range calibrated, if the deviation from a least-
squares best-fit straight line is 2 percent or less of the value at each
non-zero data point and within 0.3 percent of full scale on the zero,
concentration values may be calculated by use of a single calibration
factor for that range. If the deviation exceeds these limits, the best-
fit non-linear equation which represents the data to within these limits
shall be used to determine concentration.
[63 FR 57013, Oct. 23, 1998]
Sec. 89.325 Engine intake air temperature measurement.
(a) Engine intake air temperature measurement must be made within
122 cm of the engine. The measurement location must be made either in
the supply system or in the air stream entering the supply system.
(b) The temperature measurements shall be accurate to within 2 C.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.326 Engine intake air humidity measurement.
(a) Humidity conditioned air supply. Air that has had its absolute
humidity altered is considered humidity- conditioned air. For this type
of intake air supply, the humidity measurements must be made within the
intake air supply system and after the humidity conditioning has taken
place.
(b) Nonconditioned air supply procedure. Humidity measurements in
nonconditioned intake air supply systems must be made in the intake air
stream entering the supply system. Alternatively, the humidity
measurements can be measured within the intake air supply stream.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.327 Charge cooling.
For engines with an air-to-air intercooler (or any other low
temperature charge air cooling device) between the turbocharger
compressor and the intake manifold, follow SAE J1937. This procedure has
been incorporated by reference. See Sec. 89.6. The temperature of the
cooling medium and the temperature of the charge air shall be monitored
and recorded.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.328 Inlet and exhaust restrictions.
(a) The manufacturer is liable for emission compliance over the full
range of restrictions that are specified by the manufacturer for that
particular engine.
(b) Perform testing at the following inlet and exhaust restriction
settings.
(1) Equip the test engine with an air inlet system presenting an air
inlet restriction within 5 percent of the upper limit at maximum air
flow, as specified by the engine manufacturer for a clean air cleaner. A
system representative of the installed engine may be used. In other
cases a test shop system may be used.
(2) The exhaust backpressure must be within 5 percent of the upper
limit at maximum declared power, as specified by the engine
manufacturer. A system representative of the installed engine may be
used. In other cases a test shop system may be used.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57013, Oct. 23, 1998]
Sec. 89.329 Engine cooling system.
An engine cooling system is required with sufficient capacity to
maintain
[[Page 100]]
the engine at normal operating temperatures as prescribed by the engine
manufacturer.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. 89.330 Lubricating oil and test fuels.
(a) Lubricating oil. Use the engine lubricating oil for testing that
meets the requirements as specified by the manufacturer for a particular
engine and intended usage. Record the specifications of the lubricating
oil used for the test.
(b) Test fuels. (1) Use diesel fuels for testing which are clean and
bright, with pour and cloud points adequate for operability. The diesel
fuel may contain nonmetallic additives as follows: Cetane improver,
metal deactivator, antioxidant, dehazer, antirust, pour depressant, dye,
dispersant, and biocide.
(2) Use petroleum fuel meeting the specifications in Table 4 in
Appendix A of this subpart, or substantially equivalent specifications
approved by the Administrator, for exhaust emission testing. The grade
of diesel fuel used must be commercially designated as ``Type 2-D''
grade diesel fuel and recommended by the engine manufacturer.
(3) Testing of Tier 1 and Tier 2 engines rated under 37 kW and Tier
2 and Tier 3 engines rated at or above 37 kW that is conducted by the
Administrator shall be performed using test fuels that meet the
specifications in Table 4 in Appendix A of this subpart and that have a
sulfur content no higher than 0.20 weight percent.
(c) Other fuels may be used for testing provided they meet the
following qualifications:
(1) They are commercially available;
(2) Information acceptable to the Administrator is provided to show
that only the designated fuel would be used in customer service;
(3) Use of a fuel listed under paragraph (b) of this section would
have a detrimental effect on emissions or durability; and
(4) Fuel specifications are approved in writing by the Administrator
prior to the start of testing.
(d) Report the specification range of the fuel to be used under
paragraphs (b)(2) and (c)(1) through (c)(4) of this section in the
application for certification in accordance with Sec. 89.115 (a)(8).
(e) Low-sulfur test fuel. (1) Upon request, for engines rated at or
above 75 kW in model years 2006 or 2007, the diesel test fuel may be the
low-sulfur diesel test fuel specified in 40 CFR part 1065, subject to
the provisions of this paragraph (e)(1).
(i) To use this option, the manufacturer must--
(A) Ensure that ultimate purchasers of equipment using these engines
are informed that the use of fuel meeting the 500 ppm specification is
recommended.
(B) Recommend to equipment manufacturers that a label be applied at
the fuel inlet recommending 500 ppm fuel.
(ii) None of the engines in the engine family may employ sulfur-
sensitive technologies.
(iii) For engines rated at or above 130 kW, this option may be used
in 2006 and 2007. For engines rated at or above 75 kW and under 130 kW,
this option may be used only in 2007.
(2) For model years 2008 through 2010, except as otherwise provided,
the diesel test fuel shall be the low-sulfur diesel test fuel specified
in 40 CFR part 1065.
(3) The diesel test fuel shall be the ultra low-sulfur diesel test
fuel specified in 40 CFR part 1065 for model years 2011 and later.
(4) For model years 2007 through 2010 engines that use sulfur-
sensitive emission-control technology, the diesel test fuel is the ultra
low-sulfur fuel specified in 40 CFR part 1065 if the manufacturer
demonstrates that the in-use engines will use only fuel with 15 ppm or
less of sulfur.
(5) Instead of the test fuels described in paragraphs (e)(2) through
(4) of this section, for model years 2008 and later, manufacturers may
use the test fuel described in appendix A of this subpart. In such
cases, the test fuel described in appendix A of this subpart shall be
the test fuel for all manufacturer and EPA testing.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57013, Oct. 23, 1998; 69 FR 39213, June 29, 2004]
Sec. 89.331 Test conditions.
(a) General requirements. Calculate all volumes and volumetric flow
rates at
[[Page 101]]
standard conditions for temperature and pressure (0 C and 101.3 kPa),
and these conditions must be used consistently throughout all
calculations.
(b) Engine test conditions. Measure the absolute temperature
(designated as T and expressed in Kelvin) of the engine air at the inlet
to the engine, and the dry atmospheric pressure (designated as p and
expressed in kPa), and determine the parameter f according to the
following provisions:
(1) Naturally aspirated and mechanically supercharged engines:
[GRAPHIC] [TIFF OMITTED] TR17JN94.008
(2) Turbocharged engine with or without cooling of inlet air:
[GRAPHIC] [TIFF OMITTED] TR17JN94.009
(c) For a test to be recognized as valid, the parameter f shall be
between the limits as shown below:
[GRAPHIC] [TIFF OMITTED] TR17JN94.010
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]
Sec. Appendix A to Subpart D of Part 89--Tables
Table 1--Abbreviations Used in Subpart D
------------------------------------------------------------------------
------------------------------------------------------------------------
CLD............................... Chemiluminescent detector.
CO................................ Carbon monoxide.
CO2............................... Carbon dioxide.
HC................................ Hydrocarbons.
HCLD.............................. Heated chemiluminescent detector.
HFID.............................. Heated flame ionization detector.
GC................................ Gas chromatograph.
NDIR.............................. Non-dispersive infra-red analyzer.
NIST.............................. National Institute for Standards and
Testing.
NO................................ Nitric Oxide.
NO2............................... Nitrogen Dioxide.
NOX............................... Oxides of nitrogen.
O2................................ Oxygen.
------------------------------------------------------------------------
Table 2--Symbols Used in Subparts D and E
------------------------------------------------------------------------
Symbol Term Unit
------------------------------------------------------------------------
conc......... Concentration (ppm by volume).............. ppm
f............ Engine specific parameter considering
atmospheric conditions
FFCB......... Fuel specific factor for the carbon balance
calculation
FFD.......... Fuel specific factor for exhaust flow
calculation on dry basis
FFH.......... Fuel specific factor representing the
hydrogen to carbon ratio
FFW.......... Fuel specific factor for exhaust flow
calculation on wet basis
FR........... Rate of fuel consumed...................... g/h
GAIRW........ Intake air mass flow rate on wet basis..... kg/h
GAIRD........ Intake air mass flow rate on dry basis..... kg/h
GEXHW........ Exhaust gas mass flow rate on wet basis.... kg/h
GFuel........ Fuel mass flow rate........................ kg/h
H............ Absolute humidity (water content related to g/kg
dry air).
i............ Subscript denoting an individual mode
KH........... Humidity correction factor
L............ Percent torque related to maximum torque %
for the test mode.
mass......... Pollutant mass flow........................ g/h
nd, i........ Engine speed (average at the i'th mode 1/min
during the cycle).
Ps........... Dry atmospheric pressure................... kPa
Pd........... Test ambient saturation vapor pressure at kPa
ambient temperature.
P............ Observed brake power output uncorrected.... kW
PAUX......... Declared total power absorbed by kW
auxiliaries fitted for the test.
PM........... Maximum power measured at the test speed kW
under test conditions.
Pi........... Pi = PM, i + PAUX, i
PB........... Total barometric pressure (average of the kPa
pre-test and post-test values).
Pv........... Saturation pressure at dew point kPa
temperature.
Ra........... Relative humidity of the ambient air....... %
[[Page 102]]
S............ Dynamometer setting........................ kW
T............ Absolute temperature at air inlet.......... K
Tbe.......... Air temperature after the charge air cooler K
(if applicable) (average).
Tclout....... Coolant temperature outlet (average)....... K
TDd.......... Absolute dewpoint temperature.............. K
Td, i........ Torque (average at the i'th mode during the N-m
cycle).
TSC.......... Temperature of the intercooled air......... K
Tref......... Reference temperature...................... K
VEXHD........ Exhaust gas volume flow rate on dry basis.. m\3\/h
VAIRW........ Intake air volume flow rate on wet basis... m\3\/h
PB........... Total barometric pressure.................. kPa
VEXHW........ Exhaust gas volume flow rate on wet basis.. m\3\/h
WF........... Weighing factor
WFE.......... Effective weighing factor
------------------------------------------------------------------------
Table 3--Measurement Accuracy and Calibration Frequency
------------------------------------------------------------------------
Calibration Calibration
No. Item accuracy \1\ frequency
------------------------------------------------------------------------
1 Engine speed............. 2%................ 30 days.
2 Torque................... Larger of 2% of 30 days.
point or 1% of
engine maximum.
3 Fuel consumption (raw 2% of engine 30 days.
measurement). maximum.
4 Air consumption (raw 2% of engine As required.
measurement). maximum.
5 Coolant temperature...... 2 K............... As required.
6 Lubricant temperature.... 2 K............... As required.
7 Exhaust backpressure..... 1.0% of engine As required.
maximum.
8 Inlet depression......... 1.0% of engine As required.
maximum.
9 Exhaust gas temperature.. 15 K.............. As required.
10 Air inlet temperature 2 K............... As required.
(combustion air).
11 Atmospheric pressure..... 0.5%.............. As required.
12 Humidity (combustion air) 0.5............... As required.
(g of H2O/Kg of dry air).
13 Fuel temperature......... 2 K............... As required.
14 Temperature with regard 2 K............... As required.
to dilution tunnel.
15 Dilution air humidity (g 0.5............... As required.
of H2O/Kg of dry air).
16 HC analyzer.............. 2%................ Monthly or as
required.
17 CO analyzer.............. 2%................ Once per 60 days or
as required.
18 NOX analyzer............. 2%................ Monthly or as
required.
19 Methane analyzer......... 2%................ Monthly or as
required.
20 NOX converter efficiency 90%................ Monthly.
check.
21 CO2 analyzer............. 2%................ Once per 60 days or
as required.
------------------------------------------------------------------------
\1\ All accuracy requirements pertain to the final recorded value which
is inclusive of the data acquisition system.
Table 4--Federal Test Fuel Specifications
----------------------------------------------------------------------------------------------------------------
Item Procedure (ASTM) \1\ Value (type 2-D)
----------------------------------------------------------------------------------------------------------------
Cetane............................ D613-95................................................. 40-48
Distillation Range:
IBP, C........................ D86-97.................................................. 171-204
10% point, C.................. 86-97................................................... 204-238
50% point, C.................. 86-97................................................... 243-282
90% point, C.................. 86-97................................................... 293-332
EP, C......................... 86-97................................................... 321-366
Gravity, API.................. D287-92................................................. 32-37
Total Sulfur, %mass............... D129-95 or D2622-98..................................... 0.03-0.40
Hydrocarbon composition:
Aromatics, %vol............... D1319-98 or D5186-96.................................... \2\ 10
Paraffins, Naphthenes, Olefins.... D1319-98................................................ (\3\)
Flash Point, C (minimum).......... D93-09.................................................. 54
Viscosity @ 38 C, centistokes..... D445-09................................................. 2.0-3.2
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures in this table have been incorporated by reference. See Sec. 89.6.
\2\ Minimum.
\3\ Remainder.
[63 FR 57013, Oct. 23, 1998, as amended at 77 FR 2461, Jan. 18, 2012]
[[Page 103]]
Sec. Appendix B to Subpart D of Part 89--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.000
[[Page 104]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.001
Subpart E_Exhaust Emission Test Procedures
Sec. 89.401 Scope; applicability.
(a) This subpart describes the procedures to follow in order to
perform exhaust emission tests on new nonroad compression-ignition
engines subject to the provisions of subpart B of this part.
(b) Exhaust gases, either raw or dilute, are sampled while the test
engine is operated using the appropriate test cycle on an engine
dynamometer. The
[[Page 105]]
exhaust gases receive specific component analysis determining
concentration of pollutant, exhaust volume, the fuel flow (raw
analysis), and the power output during each mode. Emissions are reported
as grams per kilowatt hour (g/kW-hr).
(c) Requirements for emission test equipment and calibrating this
equipment are found in subpart D of this part.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57015, Oct. 23, 1998]
Sec. 89.402 Definitions.
The definitions in subpart A of this part apply to this subpart. For
terms not defined in this part, the definitions in 40 CFR part 86,
subparts A, D, I, and N, apply to this subpart.
[63 FR 57015, Oct. 23, 1998]
Sec. 89.403 Symbols/abbreviations.
(a) The abbreviations in Sec. 86.094-3 or Sec. 89.3 of this chapter
apply to this subpart.
(b) The abbreviations in Table 1 in appendix A to subpart D also
apply to this subpart. Some abbreviations from Sec. 89.3 have been
included for the convenience of the reader.
(c) The symbols in Table 2 in appendix A to subpart D apply to this
subpart.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.404 Test procedure overview.
(a) The test consists of prescribed sequences of engine operating
conditions to be conducted on an engine dynamometer. The exhaust gases,
generated raw or dilute during engine operation, are sampled for
specific component analysis through the analytical train. The test is
applicable to engines equipped with catalytic or direct-flame
afterburners, induction system modifications, or other systems, or to
uncontrolled engines.
(b) The test is designed to determine the brake-specific emissions
of hydrocarbons, carbon monoxide, oxides of nitrogen, and particulate
matter. For more information on particulate matter sampling see
Sec. 89.112(c). The test cycles consist of various steady-state
operating modes that include different combinations of engine speeds and
loads. These procedures require the determination of the concentration
of each pollutant, exhaust volume, the fuel flow (raw analysis), and the
power output during each mode. The measured values are weighted and used
to calculate the grams of each pollutant emitted per kilowatt hour (g/
kW-hr).
(c)(1) When an engine is tested for exhaust emissions, the complete
engine shall be tested with all emission control devices installed and
functioning.
(2) On air-cooled engines, the fan shall be installed.
(3) Additional accessories (for example, oil cooler, alternators, or
air compressors) may be installed but such accessory loading will be
considered parasitic in nature and observed power shall be used in the
emission calculation.
(d) All emission control systems installed on or incorporated in the
application must be functioning during all procedures in this subpart.
In cases of component malfunction or failure, maintenance to correct
component failure or malfunction must be authorized in accordance with
Sec. 86.094-25 of this chapter.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57015, Oct. 23, 1998]
Sec. 89.405 Recorded information.
(a) The information described in this section must be recorded,
where applicable, for each test.
(b) Engine description and specification. A copy of the information
specified in this paragraph must accompany each engine sent to the
Administrator for compliance testing. The manufacturer need not record
the information specified in this paragraph for each test if the
information, with the exception of paragraphs (b)(3) and (b)(9) of this
section, is included in the manufacturer's application for
certification.
(1) Engine-system combination.
(2) Engine identification numbers.
(3) Number of hours of operation accumulated on engine.
(4) Rated maximum horsepower and torque.
(5) Maximum horsepower and torque speeds.
(6) Engine displacement.
(7) Governed speed.
[[Page 106]]
(8) Idle rpm.
(9) Fuel consumption at maximum power and torque.
(10) Maximum air flow.
(11) Air inlet restriction.
(12) Exhaust pipe diameter(s).
(13) Maximum exhaust system backpressure.
(c) Test data; general. (1) Engine-system combination.
(2) Engine identification number.
(3) Instrument operator.
(4) Engine operator.
(5) Number of hours of operation accumulated on the engine prior to
beginning the warm-up portion of the test.
(6) Fuel identification.
(7) Date of most recent analytical assembly calibration.
(8) All pertinent instrument information such as tuning, gain,
serial numbers, detector number, and calibration curve numbers. As long
as this information is available for inspection by the Administrator, it
may be summarized by system number or analyzer identification numbers.
(d) Test data; pre-test. (1) Date and time of day.
(2) Test number.
(3) Intermediate speed and rated speed as defined in Sec. 89.2 and
maximum observed torque for these speeds.
(4) Recorder chart or equivalent. Identify the zero traces for each
range used, and span traces for each range used.
(5) Air temperature after and pressure drop across the charge air
cooler (if applicable) at maximum observed torque and rated speed.
(e) Test data; modal. (1) Recorder chart or equivalent. Identify for
each test mode the emission concentration traces and the associated
analyzer range(s). Identify the start and finish of each test.
(2) Observed engine torque.
(3) Observed engine rpm.
(4) Record engine torque and engine rpm continuously during each
mode with a chart recorder or equivalent recording device.
(5) Intake air flow (for raw mass flow sampling method only) and
depression for each mode.
(6) Engine intake air temperature at the engine intake or
turbocharger inlet for each mode.
(7) Mass fuel flow (for raw sampling) for each mode.
(8) Engine intake humidity.
(9) Coolant temperature outlet.
(10) Engine fuel inlet temperature at the pump inlet.
(f) Test data; post-test. (1) Recorder chart or equivalent. Identify
the zero traces for each range used and the span traces for each range
used. Identify hangup check, if performed.
(2) Total number of hours of operation accumulated on the engine.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57015, Oct. 23, 1998]
Sec. 89.406 Pre-test procedures.
(a) Allow a minimum of 30 minutes warmup in the standby or operating
mode prior to spanning the analyzers.
(b) Replace or clean the filter elements and then vacuum leak check
the system per Sec. 89.316(a). Allow the heated sample line, filters,
and pumps to reach operating temperature.
(c) Perform the following system checks:
(1) Check the sample-line temperatures (see Sec. 89.309(a)(4)(ii)
and (a)(5)(i)(A)).
(2) Check that the system response time has been accounted for prior
to sample collection data recording.
(3) A hang-up check is permitted, but is optional.
(d) Check analyzer zero and span at a minimum before and after each
test. Further, check analyzer zero and span any time a range change is
made or at the maximum demonstrated time span for stability for each
analyzer used.
(e) Check system flow rates and pressures.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995,
57015, Oct. 23, 1998]
Sec. 89.407 Engine dynamometer test run.
(a) Measure and record the temperature of the air supplied to the
engine, the fuel temperature, the intake air humidity, and the observed
barometric pressure during the sampling for each mode. The fuel
temperature shall be less than or equal to 43C during the sampling for
each mode.
[[Page 107]]
(b) The governor and fuel system shall have been adjusted to provide
engine performance at the levels reported in the application for
certification required under Sec. 89.115.
(c) The following steps are taken for each test:
(1) Install instrumentation and sample probes as required.
(2) Perform the pre-test procedure as specified in Sec. 89.406.
(3) Read and record the general test data as specified in
Sec. 89.405(c).
(4) Start cooling system.
(5) Precondition (warm up) the engine in the following manner:
(i) For variable-speed engines:
(A) Operate the engine at idle for 2 to 3 minutes;
(B) Operate the engine at approximately 50 percent power at the peak
torque speed for 5 to 7 minutes;
(C) Operate the engine at rated speed and maximum horsepower for 25
to 30 minutes;
(ii) For constant-speed engines:
(A) Operate the engine at minimum load for 2 to 3 minutes;
(B) Operate the engine at 50 percent load for 5 to 7 minutes;
(C) Operate the engine at maximum load for 25 to 30 minutes;
(iii) Optional. It is permitted to precondition the engine at rated
speed and maximum horsepower until the oil and water temperatures are
stabilized. The temperatures are defined as stabilized if they are
maintained within 2 percent of point on an absolute basis for 2 minutes.
The engine must be operated a minimum of 10 minutes for this option.
This optional procedure may be substituted for the procedure in
paragraph (c)(5)(i)or (c)(5)(ii) of this section;
(iv) Optional. If the engine has been operating on service
accumulation for a minimum of 40 minutes, the service accumulation may
be substituted for the procedure in paragraphs (c)(5)(i) through (iii)
of this section.
(6) Read and record all pre-test data specified in Sec. 89.405(d).
(7) Start the test cycle (see Sec. 89.410) within 20 minutes of the
end of the warmup. (See paragraph (c)(13) of this section.) A mode
begins when the speed and load requirements are stabilized to within the
requirements of Sec. 89.410(b). A mode ends when valid emission sampling
for that mode ends. For a mode to be valid, the speed and load
requirements must be maintained continuously during the mode. Sampling
in the mode may be repeated until a valid sample is obtained as long the
speed and torque requirements are met.
(8) Calculate the torque for any mode with operation at rated speed.
(9) During the first mode with intermediate speed operation, if
applicable, calculate the torque corresponding to 75 and 50 percent of
the maximum observed torque for the intermediate speed.
(10) Record all modal data specified in Sec. 89.405(e) during a
minimum of the last 60 seconds of each mode.
(11) Record the analyzer(s) response to the exhaust gas during the a
minimum of the last 60 seconds of each mode.
(12) Test modes may be repeated, as long as the engine is
preconditioned by running the previous mode. In the case of the first
mode of any cycle, precondition according to paragraph (c)(5) of this
section.
(13) If a delay of more than 20 minutes, but less than 4 hours,
occurs between the end of one mode and the beginning of another mode,
precondition the engine by running the previous mode. If the delay
exceeds 4 hours, the test shall include preconditioning (begin at
paragraph (c)(2) of this section).
(14) The speed and load points for each mode are listed in Tables 1
through 4 of Appendix B of this subpart. The engine speed and load shall
be maintained as specified in Sec. 89.410(b).
(15) If at any time during a test mode, the test equipment
malfunctions or the specifications in paragraph (c)(14) of this section
are not met, the test mode is void and may be aborted. The test mode may
be restarted by preconditioning with the previous mode.
(16) Fuel flow and air flow during the idle load condition may be
determined just prior to or immediately following the dynamometer
sequence, if longer times are required for accurate measurements.
(d) Exhaust gas measurements. (1) Measure HC, CO, CO2,
and NOX concentrations in the exhaust sample. Use the same
units and modal calculations
[[Page 108]]
as for your other results to report a single weighted value for
CO2; round CO2 to the nearest 1 g/kW-hr.
(2) Each analyzer range that may be used during a test mode must
have the zero and span responses recorded prior to the execution of the
test. Only the zero and span for the range(s) used to measure the
emissions during the test are required to be recorded after the
completion of the test.
(3) It is permissible to change filter elements between test modes.
(4) A leak check is permitted between test segments.
(5) A hangup check is permitted between test segments.
(6) If, during the emission measurement portion of a test segment,
the value of the gauges downstream of the NDIR analyzer(s) G3 or G4 (see
Figure 1 in appendix B to subpart D) differs by more than 0.5 kPa from
the pretest value, the test segment is void.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57015, Oct. 23, 1998; 74 FR 56374, Oct. 30, 2009]
Sec. 89.408 Post-test procedures.
(a) A hangup check is recommended at the completion of the last test
mode using the following procedure:
(1) Within 30 seconds introduce a zero-grade gas or room air into
the sample probe or valve V2 (see Figure 1 in appendix B to subpart D)
to check the ``hangup zero'' response. Simultaneously start a time
measurement.
(2) Select the lowest HC range used during the test.
(3) Within four minutes of beginning the time measurement in
paragraph (a)(1) of this section, the difference between the span-zero
response and the hangup zero response shall not be greater than 5.0
percent of full scale or 10 ppmC whichever is greater.
(b) Begin the analyzer span checks within 6 minutes after the
completion of the last mode in the test. Record for each analyzer the
zero and span response
(c) If during the test, the filter element(s) were replaced or
cleaned, as of Sec. 89.316(a), the test is void.
(d) Record the post-test data specified in Sec. 89.405(f).
(e) For a valid test, the zero and span checks performed before and
after each test for each analyzer must meet the following requirements:
(1) The span drift (defined as the change in the difference between
the zero response and the span response) must not exceed 3 percent of
full-scale chart deflection for each range used.
(2) The zero response drift must not exceed 3 percent of full-scale
chart deflection.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57016, Oct. 23, 1998]
Sec. 89.409 Data logging.
(a) A computer or any other automatic data processing device(s) may
be used as long as the system meets the requirements of this subpart.
(b) Determine from the data collection records the analyzer
responses corresponding to the end of each mode.
(c) Record data at a minimum of once every 5 seconds.
(d) Determine the final value for CO2, CO, HC, and
NOX concentrations by averaging the concentration of each
point taken during the sample period for each mode.
(e) For purposes of this section, calibration data includes
calibration curves, linearity curves, span-gas responses, and zero-gas
responses.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.410 Engine test cycle.
(a) Emissions shall be measured using one of the test cycles
specified in tables 1 through 4 of appendix B of this subpart, subject
to the provisions of paragraphs (a)(1) through (a)(4) of this section.
These cycles shall be used to test engines on a dynamometer.
(1) The 8-mode test cycle described in table 1 of appendix B of this
subpart shall be used for all engines, except constant speed engines,
engines rated under 19 kW, and propulsion marine diesel engines.
(2) The 5-mode test cycle described in table 2 of appendix B of this
subpart shall be used for constant-speed engines as defined in
Sec. 89.2. Any engine certified under this test cycle must meet the
labeling requirements of Sec. 89.110(b)(11).
(3) The 6-mode test cycle described in table 3 of appendix B of this
subpart
[[Page 109]]
shall be used for variable speed engines rated under 19 kW.
(4) Notwithstanding the provisions of paragraphs (a)(1) through
(a)(3) of this section, the 4-mode test cycle described in table 4 of
appendix B of this subpart shall be used for propulsion marine diesel
engines.
(5) Notwithstanding the provisions of paragraphs (a)(1) through
(a)(4) of this section:
(i) Manufacturers may use the 8-mode test cycle described in table 1
of appendix B of this subpart for:
(A) Constant speed engines, or variable speed engines rated under 19
kW; or
(B) Propulsion marine diesel engines, provided the propulsion marine
diesel engines are certified in an engine family that includes primarily
non-marine diesel engines, and the manufacturer obtains advance approval
from the Administrator.
(ii) The Administrator may use the 8-mode test cycle specified in
table 1 of appendix B of this subpart during testing of any engine which
was certified based on emission data collected from that test cycle.
(b) During each non-idle mode, hold the specified load to within 2
percent of the engine maximum value and speed to within 2 percent of
point. During each idle mode, speed must be held within the
manufacturer's specifications for the engine, and the throttle must be
in the fully closed position and torque must not exceed 5 percent of the
peak torque value of mode 5.
(c) For any mode except those involving either idle or full-load
operation, if the operating conditions specified in paragraph (b) of
this section cannot be maintained, the Administrator may authorize
deviations from the specified load conditions. Such deviations shall not
exceed 10 percent of the maximum torque at the test speed. The minimum
deviations above and below the specified load necessary for stable
operation shall be determined by the manufacturer and approved by the
Administrator prior to the test run.
(d) Power generated during the idle mode may not be included in the
calculation of emission results.
(e) Manufacturers may optionally use the ramped-modal duty cycles
corresponding to the discrete-mode duty cycles specified in this
section, as described in 40 CFR 1039.505.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57016, Oct. 23, 1998; 70 FR 40445, July 13, 2005]
Sec. 89.411 Exhaust sample procedure--gaseous components.
(a) Automatic data collection equipment requirements. The analyzer
response may be read by automatic data collection (ADC) equipment such
as computers, data loggers, and so forth. If ADC equipment is used, the
following is required:
(1) For bag sample analysis, the analyzer response must be stable at
greater than 99 percent of the final reading for the dilute exhaust
sample bag. A single value representing the average chart deflection
over a 10-second stabilized period shall be stored.
(2) For continuous analysis systems, a single value representing the
average integrated concentration over a cycle shall be stored.
(3) The chart deflections or average integrated concentrations
required in paragraphs (a)(1) and (a)(2) of this section may be stored
on long-term computer storage devices such as computer tapes, storage
discs, punch cards, and so forth, or they may be printed in a listing
for storage. In either case a chart recorder is not required and records
from a chart recorder, if they exist, need not be stored.
(4) If ADC equipment is used to interpret analyzer values, the ADC
equipment is subject to the calibration specifications of the analyzer
as if the ADC equipment is part of analyzer system.
(b) Data records from any one or a combination of analyzers may be
stored as chart recorder records.
(c) Bag sample analysis. For bag sample analysis perform the
following sequence:
(1) Warm up and stabilize the analyzers; clean and/or replace filter
elements, conditioning columns (if used), and so forth, as necessary.
(2) Obtain a stable zero reading.
(3) Zero and span the analyzers with zero and span gases. The span
gases must have concentrations between 75 and 100 percent of full-scale
chart deflection. The flow rates and system
[[Page 110]]
pressures during spanning shall be approximately the same as those
encountered during sampling. A sample bag may be used to identify the
required analyzer range.
(4) Recheck zero response. If this zero response differs from the
zero response recorded in paragraph (c)(3) of this section by more than
1 percent of full scale, then paragraphs (c)(2), (c)(3), and (c)(4) of
this section must be repeated.
(5) If a chart recorder is used, identify and record the most recent
zero and span response as the pre-analysis values.
(6) If ADC equipment is used, electronically record the most recent
zero and span response as the pre-analysis values.
(7) Measure HC, CO, CO2, and NOX background
concentrations in the sample bag(s) with approximately the same flow
rates and pressures used in paragraph (c)(3) of this section.
(Constituents measured continuously do not require bag analysis.)
(8) A post-analysis zero and span check of each range must be
performed and the values recorded. The number of events that may occur
between the pre- and post-analysis checks is not specified. However, the
difference between pre-analysis zero and span values (recorded in
paragraph (c)(5) or (c)(6) of this section) versus those recorded for
the post-analysis check may not exceed the zero drift limit or the span
drift limit of 2 percent of full-scale chart deflection for any range
used. Otherwise the test is void.
(d) Continuous sample analysis. For continuous sample analysis
perform the following sequence:
(1) Warm up and stabilize the analyzers; clean and/or replace filter
elements, conditioning columns (if used), and so forth, as necessary.
(2) Leak check portions of the sampling system that operate at
negative gauge pressures when sampling, and allow heated sample lines,
filters, pumps, and so forth to stabilize at operating temperature.
(3) Optional: Perform a hangup check for the HFID sampling system:
(i) Zero the analyzer using zero air introduced at the analyzer
port.
(ii) Flow zero air through the overflow sampling system. Check the
analyzer response.
(iii) If the overflow zero response exceeds the analyzer zero
response by 2 percent or more of the HFID full-scale deflection, hangup
is indicated and corrective action must be taken.
(iv) The complete system hangup check specified in paragraph (e) of
this section is recommended as a periodic check.
(4) Obtain a stable zero reading.
(5) Zero and span each range to be used on each analyzer operated
prior to the beginning of the test cycle. The span gases shall have a
concentration between 75 and 100 percent of full-scale chart deflection.
The flow rates and system pressures shall be approximately the same as
those encountered during sampling. The HFID analyzer shall be zeroed and
spanned either through the overflow sampling system or through the
analyzer port.
(6) Re-check zero response. If this zero response differs from the
zero response recorded in paragraph (d)(5) of this section by more than
1 percent of full scale, then paragraphs (d)(4), (d)(5), and (d)(6) of
this section must be repeated.
(7) If a chart recorder is used, identify and record the most recent
zero and span response as the pre-analysis values.
(8) If ADC equipment is used, electronically record the most recent
zero and span response as the pre-analysis values.
(9) Collect background HC, CO, CO2, and NOX in
a sample bag (for dilute exhaust sampling only, see Sec. 89.420).
(10) Perform a post-analysis zero and span check for each range used
at the conditions specified in paragraph (d)(5) of this section. Record
these responses as the post-analysis values.
(11) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed 3 percent
for HC, or 2 percent for NOX. CO, and CO2, of full
scale chart deflection, or the test is void. (If the HC drift is greater
than 3 percent of full-scale chart deflection, hydrocarbon hangup is
likely.)
(12) Determine background levels of NOX. CO, or
CO2 (for dilute exhaust
[[Page 111]]
sampling only) by the bag sample technique outlined in paragraph (c) of
this section.
(e) Hydrocarbon hangup. If HC hangup is indicated, the following
sequence may be performed:
(1) Fill a clean sample bag with background air.
(2) Zero and span the HFID at the analyzer ports.
(3) Analyze the background air sample bag through the analyzer
ports.
(4) Analyze the background air through the entire sample probe
system.
(5) If the difference between the readings obtained greater than or
equal to 2 percent of full scale deflection, clean the sample probe and
the sample line.
(6) Reassemble the sample system, heat to specified temperature, and
repeat the procedure in paragraphs (e)(1) through (e)(6) of this
section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57016, Oct. 23, 1998]
Sec. 89.412 Raw gaseous exhaust sampling and analytical system
description.
(a) Schematic drawing. An example of a sampling and analytical
system which may be used for testing under this subpart is shown in
Figure 1 in appendix B to subpart D. All components or parts of
components that are wetted by the sample or corrosive calibration gases
shall be either chemically cleaned stainless steel or inert material,
for example, polytetrafluoroethylene resin. The use of ``gauge savers''
or ``protectors'' with nonreactive diaphragms to reduce dead volumes is
permitted.
(b) Sample probe. (1) The sample probe shall be a straight, closed-
end, stainless steel, multi-hole probe. The inside diameter shall not be
greater than the inside diameter of the sample line plus 0.03 cm. The
wall thickness of the probe shall not be greater than 0.10 cm. The
fitting that attaches the probe to the exhaust pipe shall be as small as
practical in order to minimize heat loss from the probe.
(2) The probe shall have a minimum of three holes. The spacing of
the radial planes for each hole in the probe must be such that they
cover approximately equal cross-sectional areas of the exhaust duct. See
Figure 1 in appendix A to this subpart. The angular spacing of the holes
must be approximately equal. The angular spacing of any two holes in one
plane may not be 180 20 (that is, section view C-C of Figure 1 in
appendix A to this subpart). The holes should be sized such that each
has approximately the same flow. If only three holes are used, they may
not all be in the same radial plane.
(3) The probe shall extend radially across the exhaust duct. The
probe must pass through the approximate center and must extend across at
least 80 percent of the diameter of the duct.
(c) Sample transfer line. (1) The maximum inside diameter of the
sample line shall not exceed 1.32 cm.
(2) If valve V2 is used, the sample probe must connect directly to
valve V2. The location of optional valve V2 may not be greater than 1.22
m from the exhaust duct.
(3) The location of optional valve V16 may not be greater than 61 cm
from the sample pump.
(d) Venting. All vents, including analyzer vents, bypass flow, and
pressure relief vents of regulators, should be vented in such a manner
to avoid endangering personnel in the immediate area.
(e) Any variation from the specifications in this subpart including
performance specifications and emission detection methods may be used
only with prior approval by the Administrator.
(f) Additional components, such as instruments, valves, solenoids,
pumps, switches, and so forth, may be employed to provide additional
information and coordinate the functions of the component systems.
(g) The following requirements must be incorporated in each system
used for raw testing under this subpart.
(1) [Reserved]
(2) The sample transport system from the engine exhaust pipe to the
HC analyzer and the NOX analyzer must be heated as indicated
in Figure 1 in appendix B of subpart D.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57016, Oct. 23, 1998]
[[Page 112]]
Sec. 89.413 Raw sampling procedures.
Follow these procedures when sampling for gaseous emissions.
(a) The gaseous emission sampling probe must be installed at least
0.5 m or 3 times the diameter of the exhaust pipe--whichever is the
larger--upstream of the exit of the exhaust gas system.
(b) In the case of a multi-cylinder engine with a branched exhaust
manifold, the inlet of the probe shall be located sufficiently far
downstream so as to ensure that the sample is representative of the
average exhaust emissions from all cylinders.
(c) In multi-cylinder engines having distinct groups of manifolds,
such as in a ``Vee'' engine configuration, it is permissible to:
(1) Sample after all exhaust pipes have been connected together into
a single exhaust pipe.
(2) For each mode, sample from each exhaust pipe and average the
gaseous concentrations to determine a value for each mode.
(3) Sample from all exhaust pipes simultaneously with the sample
lines connected to a common manifold prior to the analyzer. It must be
demonstrated that the flow rate through each individual sample line is
4 percent of the average flow rate through all the sample lines.
(4) Use another method, if it has been approved in advance by the
Administrator.
(d) All gaseous heated sampling lines shall be fitted with a heated
filter to extract solid particles from the flow of gas required for
analysis. The sample line for CO and CO2 analysis may be
heated or unheated.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57016, Oct. 23, 1998]
Sec. 89.414 Air flow measurement specifications.
(a) The air flow measurement method used must have a range large
enough to accurately measure the air flow over the engine operating
range during the test. Overall measurement accuracy must be 2 percent
of the maximum engine value for all modes. The Administrator must be
advised of the method used prior to testing.
(b) When an engine system incorporates devices that affect the air
flow measurement (such as air bleeds) that result in understated exhaust
emission results, corrections to the exhaust emission results shall be
made to account for such effects.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57017, Oct. 23, 1998]
Sec. 89.415 Fuel flow measurement specifications.
The fuel flow rate measurement instrument must have a minimum
accuracy of 2 percent of the engine maximum fuel flow rate. The
controlling parameters are the elapsed time measurement of the event and
the weight or volume measurement.
[63 FR 57017, Oct. 23, 1998]
Sec. 89.416 Raw exhaust gas flow.
The exhaust gas flow shall be determined by one of the methods
described in this section and conform to the tolerances of table 3 in
appendix A to subpart D:
(a) Measurement of the air flow and the fuel flow by suitable
metering systems (for details see SAE J244. This procedure has been
incorporated by reference. See Sec. 89.6.) and calculation of the
exhaust gas flow as follows:
GEXHW = GAIRW + GFUEL (for wet
exhaust mass)
or
VEXHD = VAIRD + (^.767) GFUEL (for
dry exhaust volume)
or
VEXHW = VAIRW + .749 GFUEL (for
wet exhaust volume)
(b) Exhaust mass calculation from fuel consumption (see Sec. 89.415)
and exhaust gas concentrations using the method found in Sec. 89.418.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.417 Data evaluation for gaseous emissions.
For the evaluation of the gaseous emission recording, the last 60
seconds of each mode are recorded, and the average values for HC, CO,
CO2, and NOX during each mode are determined from
[[Page 113]]
the average concentration readings determined from the corresponding
calibration data.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.418 Raw emission sampling calculations.
(a) The final test results shall be derived through the steps
described in this section.
(b) The exhaust gas flow rate GEXHW and VEXHW
shall be determined for each mode.
(1) For measurements using the mass flow method, see Sec. 89.416(a).
(2) For measurements using the fuel consumption and exhaust gas
concentrations method, use the following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.004
Where:
[GRAPHIC] [TIFF OMITTED] TR23OC98.005
[GRAPHIC] [TIFF OMITTED] TR23OC98.006
[GRAPHIC] [TIFF OMITTED] TR23OC98.007
[GRAPHIC] [TIFF OMITTED] TR23OC98.008
K = 3.5
(3) Humidity values may be calculated from either one of the
following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.009
or
[[Page 114]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.010
(c) When applying GEXHW, the measured ``dry''
concentration shall be corrected to a wet basis, if not already measured
on a wet basis. This section is applicable only for measurements made on
raw exhaust gas. Correction to a wet basis shall be according to the
following formula:
ConcWET = Kw ConcDRY
Where:
KW is determined according to the equations in paragraph
(c)(1) or (c)(2) of this section.
(1) For measurements using the mass flow method (see
Sec. 89.416(a)):
[GRAPHIC] [TIFF OMITTED] TR23OC98.011
[GRAPHIC] [TIFF OMITTED] TR23OC98.012
[GRAPHIC] [TIFF OMITTED] TR23OC98.013
a = H/C mole ratio of the fuel.
(2) For measurements using the fuel consumption and exhaust gas
concentrations method (see Sec. 89.416(b)):
[GRAPHIC] [TIFF OMITTED] TR23OC98.014
Where:
[GRAPHIC] [TIFF OMITTED] TR23OC98.015
(d) As the NOX emission depends on intake air conditions,
the NOX concentration shall be corrected for intake air
temperature and humidity with the factor Kh given in the
following formula. For engines operating on alternative combustion
cycles, other correction formulas may be used if they can be justified
or validated. The formula follows:
[[Page 115]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.016
(e) The pollutant mass flow for each mode shall be calculated as
follows:
Gas mass = u Gas conc. GEXHW
Gas mass = v Gas conc. VEXHD
Gas mass = w Gas conc. VEXHW
The coefficients u (wet), v (dry), and w (wet) are to be used
according to the following table:
----------------------------------------------------------------------------------------------------------------
Gas u v w conc.
----------------------------------------------------------------------------------------------------------------
NOX.................................... 0.001587 0.00205 0.00205 ppm.
CO..................................... 0.000966 0.00125 0.00125 ppm.
HC..................................... 0.000478 0.000618 ppm.
CO2.................................... 15.19 19.64 19.64 percent.
----------------------------------------------------------------------------------------------------------------
Note: The given coefficients u, v, and w are calculated for 273.15 K (0 C) and 101.3 kPa. In cases where the
reference conditions vary from those stated, an error may occur in the calculations.
(f) The following equations may be used to calculate the
coefficients u, v, and w in paragraph (e) of this section for other
conditions of temperature and pressure:
(1) For the calculation of u, v, and w for NOX (as
NO2), CO, HC (in paragraph (e) of this section as
CH1.80), CO2, and O2:
Where:
w = 4.4615.10-5 M if conc. in ppm
w = 4.4615.10-1 M if conc. in percent
v = w
u = w/rAir
M = Molecular weight
rAir = Density of dry air at 273.15 K (0 C), 101.3 kPa =
1.293 kg/m\3\
(2) For real gases at 273.15 K (0 C) and 101.3 kPa: For the
calculation of u, v, and w
w = gas 10-6 if conc. in ppm
v = w
u = w/pAir
pGas = Density of measured gas at 0 C, 101.3 kPas in g/m\3\
(3) General formulas for the calculation of concentrations at
temperature (designated as T) and pressure (designated as p):
--for ideal gases
[GRAPHIC] [TIFF OMITTED] TR17JN94.017
--for real gases
[GRAPHIC] [TIFF OMITTED] TR17JN94.018
with:
1% = 10\4\ ppm
M = Molecular weight in g/Mo1
Mv = Molecular Volume = 22.414 10-3 m\3\/Mol for
ideal gases
T = reference temperature 273.15 K
p = reference pressure 101.3 kPa
T = Temperature in C
p = pressure in kPa
pGas = Density of the measured gas at 0 C, 101.3 kPa
Conc. = Gas concentration
(g)(1) The emission shall be calculated for all individual
components
[[Page 116]]
in the following way where power at idle is equal to zero:
[GRAPHIC] [TIFF OMITTED] TR23OC98.017
(2) The weighting factors and the number of modes (n) used in the
calculation in paragraph (g)(1) of this section are according to
Sec. 89.410.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57017, Oct. 23, 1998]
Sec. 89.419 Dilute gaseous exhaust sampling and analytical system
description.
(a) General. The exhaust gas sampling system described in this
section is designed to measure the true mass of gaseous emissions in the
exhaust of petroleum-fueled nonroad compression-ignition engines. This
system utilizes the CVS concept (described in 40 CFR part 1065, subparts
A and B) of measuring mass emissions of HC, CO, and CO2. A
continuously integrated system is required for HC and NOX
measurement and is allowed for all CO and CO2 measurements.
The mass of gaseous emissions is determined from the sample
concentration and total flow over the test period. As an option, the
measurement of total fuel mass consumed over a cycle may be substituted
for the exhaust measurement of CO2. General requirements are
as follows:
(1) This sampling system requires the use of a PDP-CVS and a heat
exchanger or a CFV-CVS with either a heat exchanger or electronic flow
compensation. Figure 2 in appendix A to this subpart is a schematic
drawing of the PDP-CVS system. Figure 3 in appendix A to this subpart is
a schematic drawing of the CFV-CVS system.
(2) The HC analytical system for petroleum-fueled compression-
ignition engines requires a heated flame ionization detector (HFID) and
heated sample system (191 11 C).
(i) The HFID sample must be taken directly from the diluted exhaust
stream through a heated probe and integrated continuously over the test
cycle. Unless compensation for varying flow is made, the HFID must be
used with a constant flow system to ensure a representative sample.
(ii) The heated probe shall be located in the primary dilution
tunnel and far enough downstream of the mixing chamber to ensure a
uniform sample distribution across the CVS duct at the point of
sampling.
(3) The CO and CO2 analytical system requires:
(i) Bag sampling (see 40 CFR part 1065) and analytical capabilities
(see 40 CFR part 1065), as shown in Figure 2 and Figure 3 in appendix A
to this subpart; or
(ii) Continuously integrated measurement of diluted CO and
CO2 meeting the minimum requirements and technical
specifications contained in paragraph (b)(4) of this section. Unless
compensation for varying flow is made, a constant flow system must be
used to ensure a representative sample.
(4) The NOX analytical system requires a continuously
integrated measurement of diluted NOX meeting the minimum
requirements and technical specifications contained in paragraph (b)(4)
of this section. Unless compensation for varying flow is made, a
constant flow system must be used to ensure a representative sample.
(5) Since various configurations can produce equivalent results,
exact conformance with these drawings is not required. Additional
components such as instruments, valves, solenoids, pumps, and switches
may be used to provide additional information and coordinate the
functions of the component systems. Other components, such as snubbers,
which are not needed to maintain
[[Page 117]]
accuracy on some systems, may be excluded if their exclusion is based
upon good engineering judgment.
(6) Other sampling and/or analytical systems may be used if shown to
yield equivalent results and if approved in advance by the
Administrator.
(b) Component description. The components necessary for exhaust
sampling shall meet the following requirements:
(1) Exhaust dilution system. The PDP-CVS shall conform to all of the
requirements listed for the exhaust gas PDP-CVS in 40 CFR part 1065. The
CFV-CVS shall conform to all the requirements listed for the exhaust gas
CFV-CVS in 40 CFR part 1065. In addition, the CVS must conform to the
following requirements:
(i) The flow capacity of the CVS must be sufficient to maintain the
diluted exhaust stream at or below the temperature required for the
measurement of hydrocarbon emissions noted in the following paragraph
and to prevent condensation of water at any point in the dilution
tunnel.
(ii) The flow capacity of the CVS must be sufficient to maintain the
diluted exhaust stream in the primary dilution tunnel at a temperature
of 191 C or less at the sampling zone for hydrocarbon measurement and
as required to prevent condensation at any point in the dilution tunnel.
Gaseous emission samples may be taken directly from this sampling point.
(iii) For the CFV-CVS, either a heat exchanger or electronic flow
compensation is required (see Figure 3 in appendix A to this subpart).
(iv) For the CFV-CVS when a heat exchanger is used, the gas mixture
temperature, measured at a point immediately ahead of the critical flow
venturi, shall be within 11 C) of the average operating temperature
observed during the test with the simultaneous requirement that
condensation does not occur. The temperature measuring system (sensors
and readout) shall have an accuracy and precision of 2 C. For systems
utilizing a flow compensator to maintain proportional flow, the
requirement for maintaining constant temperature is not necessary.
(v) The primary dilution air shall have a temperature of 25 C 5
C.
(2) Continuous HC measurement system. (i) The continuous HC sample
system (as shown in Figure 2 or 3 in appendix A to this subpart) uses an
``overflow'' zero and span system. In this type of system, excess zero
or span gas spills out of the probe when zero and span checks of the
analyzer are made. The ``overflow'' system may also be used to calibrate
the HC analyzer according to 40 CFR part 1065, subpart F, although this
is not required.
(ii) No other analyzers may draw a sample from the continuous HC
sample probe, line or system, unless a common sample pump is used for
all analyzers and the sample line system design reflects good
engineering practice.
(iii) The overflow gas flow rates into the sample line shall be at
least 105 percent of the sample system flow rate.
(iv) The overflow gases shall enter the heated sample line as close
as practical to the outside surface of the CVS duct or dilution tunnel.
(v) The continuous HC sampling system shall consist of a probe
(which must raise the sample to the specified temperature) and, where
used, a sample transfer system (which must maintain the specified
temperature). The continuous hydrocarbon sampling system (exclusive of
the probe) shall:
(A) Maintain a wall temperature of 191 C 11 C as measured at
every separately controlled heated component (that is, filters, heated
line sections), using permanent thermocouples located at each of the
separate components.
(B) Have a wall temperature of 191 C 11 C over its entire length.
The temperature of the system shall be demonstrated by profiling the
thermal characteristics of the system where possible at initial
installation and after any major maintenance performed on the system.
The profiling shall be accomplished using the insertion thermocouple
probing technique. The system temperature will be monitored continuously
during testing at the locations and temperature described in 40 CFR
1065.145.
[[Page 118]]
(C) Maintain a gas temperature of 191 C 11 C immediately before
the heated filter and HFID. These gas temperatures will be determined by
a temperature sensor located immediately upstream of each component.
(vi) The continuous hydrocarbon sampling probe shall:
(A) Be defined as the first 25 cm to 76 cm of the continuous
hydrocarbon sampling system.
(B) Have a 0.48 cm minimum inside diameter.
(C) Be installed in the primary dilution tunnel at a point where the
dilution air and exhaust are well mixed (that is, approximately 10
tunnel diameters downstream of the point where the exhaust enters the
dilution tunnel).
(D) Be sufficiently distant (radially) from other probes and the
tunnel wall so as to be free from the influence of any wakes or eddies.
(E) Increase the gas stream temperature to 191 C 11 C at the exit
of the probe. The ability of the probe to accomplish this shall be
demonstrated using the insertion thermocouple technique at initial
installation and after any major maintenance. Compliance with the
temperature specification shall be demonstrated by continuously
recording during each test the temperature of either the gas stream or
the wall of the sample probe at its terminus.
(vii) The response time of the continuous measurement system shall
be no greater than:
(A) 1.5 seconds from an instantaneous step change at the port
entrance to the analyzer to within 90 percent of the step change.
(B) 20 seconds from an instantaneous step change at the entrance to
the sample probe or overflow span gas port to within 90 percent of the
step change. Analysis system response time shall be coordinated with CVS
flow fluctuations and sampling time/test cycle offsets if necessary.
(C) For the purpose of verification of response times, the step
change shall be at least 60 percent of full-scale chart deflection.
(3) Primary dilution tunnel. (i) The primary dilution tunnel shall
be:
(A) Small enough in diameter to cause turbulent flow (Reynolds
Number greater than 4000) and of sufficient length to cause complete
mixing of the exhaust and dilution air;
(B) At least 46 cm in diameter; (engines below 110 kW may use a
dilution tunnel that is 20 cm in diameter or larger)
(C) Constructed of electrically conductive material which does not
react with the exhaust components; and
(D) Electrically grounded.
(ii) The temperature of the diluted exhaust stream inside of the
primary dilution tunnel shall be sufficient to prevent water
condensation.
(iii) The engine exhaust shall be directed downstream at the point
where it is introduced into the primary dilution tunnel.
(4) Continuously integrated NOX. CO, and CO2
measurement systems. (i) The sample probe shall:
(A) Be in the same plane as the continuous HC probe, but shall be
sufficiently distant (radially) from other probes and the tunnel wall so
as to be free from the influences of any wakes or eddies.
(B) Heated and insulated over the entire length, to prevent water
condensation, to a minimum temperature of 55 C. Sample gas temperature
immediately before the first filter in the system shall be at least 55
C.
(ii) The continuous NOX, CO, or CO2 sampling
and analysis system shall conform to the specifications of 40 CFR
1065.145 with the following exceptions and revisions:
(A) The system components required to be heated by 40 CFR 1065.145
need only be heated to prevent water condensation, the minimum component
temperature shall be 55 C.
(B) The system response shall meet the specifications in 40 CFR part
1065, subpart C.
(C) Alternative NOX measurement techniques outlined in 40
CFR part 1065, subpart D, are not permitted for NOX
measurement in this subpart.
(D) All analytical gases must conform to the specifications of
Sec. 89.312.
(E) Any range on a linear analyzer below 155 ppm must have and use a
calibration curve conforming to Sec. 89.310.
(iii) The chart deflections or voltage output of analyzers with non-
linear
[[Page 119]]
calibration curves shall be converted to concentration values by the
calibration curve(s) specified in Sec. 89.313 before flow correction (if
used) and subsequent integration takes place.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998,
as amended at 70 FR 40445, July 13, 2005]
Sec. 89.420 Background sample.
(a) Background samples are produced by continuously drawing a sample
of dilution air during the exhaust collection phase of each test cycle
mode.
(1) Individual background samples may be produced and analyzed for
each mode. Hence, a unique background value will be used for the
emission calculations for each mode.
(2) Alternatively, a single background sample may be produced by
drawing a sample during the collection phase of each of the test cycle
modes. Hence, a single cumulative background value will be used for the
emission calculations for each mode.
(b) For analysis of the individual sample described in paragraph
(a)(1) of this section, a single value representing the average chart
deflection over a 10-second stabilized period is stored. All readings
taken during the 10-second interval must be stable at the final value to
within 1 percent of full scale.
(c) Measure HC, CO, CO2, and NOX exhaust and
background concentrations in the sample bag(s) with approximately the
same flow rates and pressures used during calibration.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57018, Oct. 23, 1998]
Sec. 89.421 Exhaust gas analytical system; CVS bag sample.
(a) Schematic drawings. Figure 4 in appendix A to this subpart is a
schematic drawing of the exhaust gas analytical system used for
analyzing CVS bag samples from compression- ignition engines. Since
various configurations can produce accurate results, exact conformance
with the drawing is not required. Additional components such as
instruments, valves, solenoids, pumps and switches may be used to
provide additional information and coordinate the functions of the
component systems. Other components such as snubbers, which are not
needed to maintain accuracy in some systems, may be excluded if their
exclusion is based upon good engineering judgment.
(b) Major component description. The analytical system, Figure 4 in
appendix A to this subpart, consists of a flame ionization detector
(FID) (heated for petroleum-fueled compression-ignition engines to 191
C 6 C) for the measurement of hydrocarbons, nondispersive infrared
analyzers (NDIR) for the measurement of carbon monoxide and carbon
dioxide, and a chemiluminescence detector (CLD) (or HCLD) for the
measurement of oxides of nitrogen. The exhaust gas analytical system
shall conform to the following requirements:
(1) The CLD (or HCLD) requires that the nitrogen dioxide present in
the sample be converted to nitric oxide before analysis. Other types of
analyzers may be used if shown to yield equivalent results and if
approved in advance by the Administrator.
(2) If CO instruments are used which are essentially free of
CO2 and water vapor interference, the use of the conditioning
column may be deleted. (See 40 CFR part 1065, subpart D.)
(3) A CO instrument will be considered to be essentially free of
CO2 and water vapor interference if its response to a mixture
of 3 percent CO2 in N2, which has been bubbled through water
at room temperature, produces an equivalent CO response, as measured on
the most sensitive CO range, which is less than 1 percent of full scale
CO concentration on ranges above 300 ppm full scale or less than 3 ppm
on ranges below 300 ppm full scale. (See 40 CFR part 1065, subpart D.)
(c) Alternate analytical systems. Alternate analysis systems meeting
the specifications of 40 CFR part 1065, subpart A, may be used for the
testing required under this subpart. Heated analyzers may be used in
their heated configuration.
(d) Other analyzers and equipment. Other types of analyzers and
equipment may be used if shown to yield equivalent results and if
approved in advance by the Administrator.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998,
as amended at 70 FR 40446, July 13, 2005]
[[Page 120]]
Sec. 89.422 Dilute sampling procedures--CVS calibration.
(a) The CVS is calibrated using an accurate flowmeter and
restrictor valve.
(1) The flowmeter calibration must be traceable to NIST
measurements, and will serve as the reference value (NIST ``true''
value) for the CVS calibration. (Note: In no case should an upstream
screen or other restriction which can affect the flow be used ahead of
the flowmeter unless calibrated throughout the flow range with such a
device.)
(2) The CVS calibration procedures are designed for use of a
``metering venturi'' type flowmeter. Large radius or ASME flow nozzles
are considered equivalent if traceable to NIST measurements. Other
measurement systems may be used if shown to be equivalent under the test
conditions in this section and traceable to NIST measurements.
(3) Measurements of the various flowmeter parameters are recorded
and related to flow through the CVS.
(4) Procedures used by EPA for both PDP-CVS and CFV-CVS are outlined
below. Other procedures yielding equivalent results may be used if
approved in advance by the Administrator.
(b) After the calibration curve has been obtained, verification of
the entire system may be performed by injecting a known mass of gas into
the system and comparing the mass indicated by the system to the true
mass injected. An indicated error does not necessarily mean that the
calibration is wrong, since other factors can influence the accuracy of
the system (for example, analyzer calibration, leaks, or HC hangup). A
verification procedure is found in paragraph (e) of this section.
(c) PDP-CVS calibration. (1) The following calibration procedure
outlines the equipment, the test configuration, and the various
parameters which must be measured to establish the flow rate of the PDP-
CVS pump.
(i) All the parameters related to the pump are simultaneously
measured with the parameters related to a flowmeter which is connected
in series with the pump.
(ii) The calculated flow rate, in
(cm\3\/s), (at pump inlet absolute pressure and temperature) can then be
plotted versus a correlation function which is the value of a specific
combination of pump parameters.
(iii) The linear equation which relates the pump flow and the
correlation function is then determined.
(iv) In the event that a CVS has a multiple speed drive, a
calibration for each range used must be performed.
(2) This calibration procedure is based on the measurement of the
absolute values of the pump and flowmeter parameters that relate the
flow rate at each point. Two conditions must be maintained to assure the
accuracy and integrity of the calibration curve:
(i) The temperature stability must be maintained during calibration.
(Flowmeters are sensitive to inlet temperature oscillations; this can
cause the data points to be scattered. Gradual changes in temperature
are acceptable as long as they occur over a period of several minutes.)
(ii) All connections and ducting between the flowmeter and the CVS
pump must be absolutely void of leakage.
(3) During an exhaust emission test the measurement of these same
pump parameters enables the user to calculate the flow rate from the
calibration equation.
(4) Connect a system as shown in Figure 5 in appendix A to this
subpart. Although particular types of equipment are shown, other
configurations that yield equivalent results may be used if approved in
advance by the Administrator. For the system indicated, the following
measurements and accuracies are required:
Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
Parameter Symbol Units Sensor-readout tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)... PB kPa................ .34 kPa
Ambient temperature............... TA C.................. .3 C
Air temperature into metering ETI C.................. 1.1 C
venturi.
[[Page 121]]
Pressure drop between the inlet EDP kPa................ .01 kPa
and throat of metering venturi.
Air flow.......................... QS m\3\/min........... .5% of NIST value.
Air temperature at CVS pump inlet. PTI C.................. 1.1 C
Pressure depression at CVS pump PPI kPa................ .055 kPa
inlet.
Pressure head at CVS pump outlet.. PPO kPa................ .055 kPa
Air temperature at CVS pump outlet PTO C.................. 1.1 C
(optional).
Pump revolutions during test N Revs............... 1 Rev.
period.
Elapsed time for test period...... t s.................. .5 s.
----------------------------------------------------------------------------------------------------------------
(5) After the system has been connected as shown in Figure 5 in
appendix A to this subpart, set the variable restrictor in the wide open
position and run the CVS pump for 20 minutes. Record the calibration
data.
(6) Reset the restrictor valve to a more restricted condition in an
increment of pump inlet depression that will yield a minimum of six data
points for the total calibration. Allow the system to stabilize for 3
minutes and repeat the data acquisition.
(7) Data analysis:
(i) The air flow rate, Qs, at each test point is
calculated in standard cubic meters per minute (0 C, 101.3 kPa) from
the flowmeter data using the manufacturer's prescribed method.
(ii) The air flow rate is then converted to pump flow,
Vo, in cubic meter per revolution at absolute pump inlet
temperature and pressure:
[GRAPHIC] [TIFF OMITTED] TR17JN94.020
Where:
Vo = Pump flow, (m\3\/rev) at Tp, Pp.
Qs = Meter air flow rate in standard cubic meters per minute,
standard conditions are 0 C, 101.3 kPa.
n = Pump speed in revolutions per minute.
Tp = Pump inlet temperature K=Pti + 273 K,
Pti = Pump inlet temp C
Pp = Absolute pump inlet pressure, (kPa)
= PB ^ PPI
Where:
PB = barometric pressure, (kPa).
PPI = Pump inlet depression, (kPa).
(iii) The correlation function at each test point is then calculated
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR17JN94.021
Xo = correlation function.
Dp = The pressure differential from pump inlet to pump outlet, (kPa).
= Pe^Pp.
Pe = Absolute pump outlet pressure, (kPa)
= PB + PPO
Where:
PPO = Pressure head at pump outlet, (kPa).
(iv) A linear least squares fit is performed to generate the
calibration equation which has the form:
Vo=Do^M(Xo)
Do and M are the intercept and slope constants, respectively,
describing the regression line.
(8) A CVS system that has multiple speeds must be calibrated on each
speed used. The calibration curves generated for the ranges will be
approximately parallel and the intercept values, Do, will
increase as the pump flow range decreases.
(9) If the calibration has been performed carefully, the calculated
values from the equation will be within 0.50 percent of the measured
value of Vo. Values of M will vary from one pump to another,
but values of Do for pumps of the same make, model, and range
should agree within 3 percent of each other. Calibrations should be
performed at pump start-up and after major maintenance to assure the
stability of the pump slip rate. Analysis of mass injection data will
also reflect pump slip stability.
(d) CFV-CVS calibration. (1) Calibration of the CFV is based upon
the flow equation for a critical venturi. Gas flow is a function of
inlet pressure and temperature:
[[Page 122]]
[GRAPHIC] [TIFF OMITTED] TR17JN94.022
Where:
Qs = flow.
Kv = calibration coefficient.
P = absolute pressure.
T = absolute temperature.
The calibration procedure described in paragraph (d)(3) of this section
establishes the value of the calibration coefficient at measured values
of pressure, temperature, and air flow.
(2) The manufacturer's recommended procedure shall be followed for
calibrating electronic portions of the CFV.
(3) Measurements necessary for flow calibration are as follows:
Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
Parameter Symbol Units Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected).... PB kPa (Inches Hg)....... 0.034 (0.01).
Air temperature, flowmeter......... ETI deg.C (deg.F)......... 0.14 (0.25).
Pressure depression upstream of LFE EPI kPa(Inches H2O)....... 0.012 (0.05).
Pressure drop across LFE matrix.... EDP kPa (Inches H2O)...... 0.001 (0.005).
Air flow........................... Qs m\3\/min. (Ft\3\/min). 0.5 pct.
CFV inlet depression............... PPI kPa (Inches Hg)....... 0.055 (0.016).
CFV outlet pressure................ PPO kPa (Inches Hg)....... 0.17 (0.05).
Temperature at venturi inlet....... Tv deg.C (deg.F)......... 0.28 (0.5)
Specific gravity of manometer fluid Sp.Gr ...................... (1.75 oil).
----------------------------------------------------------------------------------------------------------------
(4) Set up equipment as shown in Figure 6 in appendix A to subpart
and eliminate leaks. (Leaks between the flow measuring devices and the
critical flow venturi will seriously affect the accuracy of the
calibration.)
(5) Set the variable flow restrictor to the open position, start the
blower, and allow the system to stabilize. Record data from all
instruments.
(6) Vary the flow restrictor and make at least eight readings across
the critical flow range of the venturi.
(7) Data analysis. The data recorded during the calibration are to
be used in the following calculations:
(i) The air flow rate (designated as Qs) at each test point is
calculated in standard cubic feet per minute from the flow meter data
using the manufacturer's prescribed method.
(ii) Calculate values of the calibration coefficient for each test
point:
[GRAPHIC] [TIFF OMITTED] TR17JN94.023
Where:
Qs = Flow rate in standard cubic meter per minute, at the standard
conditions of 0 C, 101.3 kPa.
Tv = Temperature at venturi inlet, K.
Pv = PB - PPI (= Pressure at venturi inlet, kPA)
Where:
PPI = Venturi inlet pressure depression, (kPa).
(iii) Plot Kv as a function of venturi inlet pressure. For choked
flow, Kv will have a relatively constant value. As pressure decreases
(vacuum increases), the venturi becomes unchoked and Kv decreases. (See
Figure 7 in appendix A to this subpart.)
(iv) For a minimum of eight points in the critical region calculate
an average Kv and the standard deviation.
(v) If the standard deviation exceeds 0.3 percent of the average Kv,
take corrective action.
(e) CVS system verification. The following ``gravimetric'' technique
can be used to verify that the CVS and analytical instruments can
accurately measure a mass of gas that has been injected into the system.
(Verification can also be accomplished by constant flow metering using
critical flow orifice devices.)
(1) Obtain a small cylinder that has been charged with 99.5 percent
or greater propane or carbon monoxide gas (Caution--carbon monoxide is
poisonous).
(2) Determine a reference cylinder weight to the nearest 0.01 grams.
(3) Operate the CVS in the normal manner and release a quantity of
pure propane into the system during the sampling period (approximately 5
minutes).
[[Page 123]]
(4) The calculations are performed in the normal way except in the
case of propane. The density of propane (0.6109 kg/m\3\/carbon atom)) is
used in place of the density of exhaust hydrocarbons.
(5) The gravimetric mass is subtracted from the CVS measured mass
and then divided by the gravimetric mass to determine the percent
accuracy of the system.
(6) Good engineering practice requires that the cause for any
discrepancy greater than 2 percent must be found and corrected.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57018, Oct. 23, 1998]
Sec. 89.423 [Reserved]
Sec. 89.424 Dilute emission sampling calculations.
(a) The final reported emission test results are computed by use of
the following formula:
[GRAPHIC] [TIFF OMITTED] TR23OC98.018
Where:
Awm = Weighted mass emission level (HC, CO, CO2,
PM, or NOX) in g/kW-hr.
gi = Mass flow in grams per hour, = grams measured during the
mode divided by the sample time for the mode.
WFi = Effective weighing factor.
Pi = Power measured during each mode (Power set = zero for
the idle mode).
(b) The mass of each pollutant for each mode for bag measurements
and diesel heat exchanger system measurements is determined from the
following equations:
(1) Hydrocarbon mass:
HCmass= Vmix DensityHC
(HCconc/10\6\)
(2) Oxides of nitrogen mass:
NOXmass = Vmix DensityNO2 KH
(NOXconc/10\6\)
(3) Carbon monoxide mass:
COmass= Vmix DensityCO
(COconc/10\6\)
(4) Carbon dioxide mass:
CO2mass= Vmix DensityCO2
(CO2conc/102)
(c) The mass of each pollutant for the mode for flow compensated
sample systems is determined from the following equations:
[GRAPHIC] [TIFF OMITTED] TR17JN94.025
[[Page 124]]
[GRAPHIC] [TIFF OMITTED] TR17JN94.026
(d) Meaning of symbols:
(1) For hydrocarbon equations:
HCmass= Hydrocarbon emissions, in grams per test mode.
DensityHC= Density of hydrocarbons is (.5800 kg/m\3\) for #1
diesel, and (0.5746 kg/m\3\) for #2 diesel, assuming an
average carbon to hydrogen ratio of 1:1.93 for #1 diesel, and
1:1.80 for #2 diesel at 20 C and 101.3 kPa pressure.
HCconc= Hydrocarbon concentration of the dilute exhaust
sample corrected for background, in ppm carbon equivalent
(that is, equivalent propane times 3).
[GRAPHIC] [TIFF OMITTED] TR17JN94.027
Where:
HCe= Hydrocarbon concentration of the dilute exhaust bag
sample or, for diesel heat exchanger systems, average
hydrocarbon concentration of the dilute exhaust sample as
calculated from the integrated HC traces, in ppm carbon
equivalent. For flow compensated sample systems
(HCe)i is the instantaneous
concentration.
HCd= Hydrocarbon concentration of the dilution air as
measured, in ppm carbon equivalent.
(2) For oxides of nitrogen equations:
NOXmass = Oxides of nitrogen emissions, in grams per test
mode.
Density NO2= Density of oxides of nitrogen is 1.913 kg/m\3\,
assuming they are in the form of nitrogen dioxide, at 20 C
and 101.3 kPa pressure.
NOXconc= Oxides of nitrogen concentration of the dilute
exhaust sample corrected for background, in ppm:
[GRAPHIC] [TIFF OMITTED] TR17JN94.028
Where:
NOX.= Oxides of nitrogen concentration of the dilute exhaust
bag sample as measured, in ppm. For flow compensated sample
systems (NOX.)i is the instantaneous
concentration.
NOX.= Oxides of nitrogen concentration of the dilute air as
measured, in ppm.
(3) For carbon monoxide equations:
COmass = Carbon monoxide emissions, grams per test mode.
DensityCO = Density of carbon monoxide (1.164 kg/m\3\ at 20
C and 101.3 kPa pressure).
COconc = Carbon monoxide concentration of the dilute exhaust
sample corrected for background, water vapor, and CO2
extraction, ppm.
[GRAPHIC] [TIFF OMITTED] TR17JN94.029
Where:
[[Page 125]]
COe = Carbon monoxide concentration of the dilute exhaust bag
sample volume corrected for water vapor and carbon dioxide
extraction, ppm. For flow compensated sample systems,
(COe)i is the instantaneous
concentration.
The following calculation assumes the carbon to hydrogen ratio of
the fuel is 1:1.85. As an option the measured actual carbon to hydrogen
ratio may be used:
COe=[1^0.01925CO2.^0.000323R]COem
Where:
COem = Carbon monoxide concentration of the dilute exhaust
sample as measured, ppm.
CO2. = Carbon dioxide concentration of the dilute exhaust bag
sample, in percent, if measured. For flow compensated sample
systems, (CO2)i is the instantaneous
concentration. For cases where exhaust sampling of
CO2 is not performed, the following approximation
is permitted:
[GRAPHIC] [TIFF OMITTED] TR17JN94.030
\a\ = Average carbon to hydrogen ratio.
M \1\ = Fuel mass consumed during the mode.
R = Relative humidity of the dilution air, percent.
COd = Carbon monoxide concentration of the dilution air
corrected for water vapor extraction, ppm.
COd = (1^0.000323R)COdm
Where:
COdm = Carbon monoxide concentration of the dilution air
sample as measured, ppm.
(Note: If a CO instrument that meets the criteria specified in 40
CFR part 1065, subpart C, is used without a sample dryer according to 40
CFR 1065.145, COem must be substituted directly for
COe and COdm must be substituted directly for
COd.)
(4) For carbon dioxide equation:
CO2mass = Carbon dioxide emissions, in grams per test mode.
Density CO2 = Density of carbon dioxide is 1.830 kg/m\3\, at
20 C and 760 mm Hg pressure.
CO2conc = Carbon dioxide concentration of the dilute exhaust
sample corrected for background, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.031
Where:
CO2. = Carbon dioxide concentration of the dilution air as
measured, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.032
(6) Measured ``dry'' concentrations shall be corrected to a wet
basis, if not already measured on a wet basis. This section is
applicable only for measurements made on dilute exhaust gas. Correction
to a wet basis shall be according to the following formula:
ConcWET = KW ConcDRY
Where: KW is determined according to the equation in
paragraph (d)(6)(i) or (d)(6)(ii), of this section.
(i) For wet CO2 measurement:
[GRAPHIC] [TIFF OMITTED] TR23OC98.019
(ii) For dry CO2 measurement:
[[Page 126]]
[GRAPHIC] [TIFF OMITTED] TR23OC98.020
(iii) For the equations in paragraph (d)(6)(i) and (d)(6)(ii) of
this section, the following equation applies:
[GRAPHIC] [TIFF OMITTED] TR23OC98.021
Where: Ha and Hd are the grams of water per
kilogram of dry air; as illustrated in the following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.022
[GRAPHIC] [TIFF OMITTED] TR23OC98.023
(e) The final modal reported brake-specific fuel consumption (bsfc)
shall be computed by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR23OC98.024
Where:
bsfc = brake-specific fuel consumption for a mode in grams of fuel per
kilowatt-hour (kW-hr).
M = mass of fuel in grams, used by the engine during a mode.
kW-hr = total kilowatts integrated with respect to time for a mode.
(f) The mass of fuel for the mode is determined from mass fuel flow
measurements made during the mode, or from the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.034
Where:
M = Mass of fuel, in grams, used by the engine during the mode.
Gs = Grams of carbon measured during the mode:
[[Page 127]]
[GRAPHIC] [TIFF OMITTED] TR17JN94.035
R2 = Grams C in fuel per gram of fuel
Where:
HCmass = hydrocarbon emissions, in grams for the mode
CO2mass = carbon monoxide emissions, in grams for the mode
CO2mass = carbon dioxide emissions, in grams for the mode
a = The atomic hydrogen to carbon ratio of the fuel.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57018, Oct. 23, 1998; 70 FR 40446, July 13, 2005]
Sec. 89.425 [Reserved]
[[Page 128]]
Sec. Appendix A to Subpart E of Part 89--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.002
[[Page 129]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.003
[[Page 130]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.004
[[Page 131]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.005
[[Page 132]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.006
[[Page 133]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.007
[[Page 134]]
[GRAPHIC] [TIFF OMITTED] TC01MR92.008
Sec. Appendix B to Subpart E of Part 89--Tables
Table 1--8-Mode Test Cycle for Variable-Speed Engines
----------------------------------------------------------------------------------------------------------------
Observed
torque \2\ Minimum
Test segment Mode number Engine speed \1\ (percent of time in Weighting
max. mode factors
observed) (minutes)
----------------------------------------------------------------------------------------------------------------
1............................... 1.................. Rated............. 100 5.0 0.15
1............................... 2.................. Rated............. 75 5.0 0.15
1............................... 3.................. Rated............. 50 5.0 0.15
1............................... 4.................. Rated............. 10 5.0 0.10
2............................... 5.................. Int............... 100 5.0 0.10
2............................... 6.................. Int............... 75 5.0 0.10
2............................... 7.................. Int............... 50 5.0 0.10
2............................... 8.................. Idle.............. 0 5.0 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle): 2 percent of point. Engine speed (idle): Within manufacturer's specifications.
Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for 100 percent points. Other non-idle points: 2 percent of engine
maximum value. Torque (idle): Throttle fully closed. Load less than 5 percent of peak torque.
Table 2--5-Mode Test Cycle for Constant-Speed Engines
----------------------------------------------------------------------------------------------------------------
Observed
torque \2\ Minimum
Mode number Engine\1\ Speed (percent of time in Weighting
max. mode factors
observed) (minutes)
----------------------------------------------------------------------------------------------------------------
1......................................... Rated........................ 100 5.0 0.05
2......................................... Rated........................ 75 5.0 0.25
3......................................... Rated........................ 50 5.0 0.30
[[Page 135]]
4......................................... Rated........................ 25 5.0 0.30
5......................................... Rated........................ 10 5.0 0.10
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Torque: Throttle fully open for 100 percent point. Other points: 2 percent of engine maximum value.
Table 3--6-Mode Test Cycle for Engines Rated Under 19 kW
----------------------------------------------------------------------------------------------------------------
Observed
torque \2\ Minimum
Mode number Engine speed \1\ (percent of time in Weighting
max. mode factors
observed) (minutes)
----------------------------------------------------------------------------------------------------------------
1......................................... Rated........................ 100 5.0 0.09
2......................................... Rated........................ 75 5.0 0.20
3......................................... Rated........................ 50 5.0 0.29
4......................................... Rated........................ 25 5.0 0.30
5......................................... Rated........................ 10 5.0 0.07
6......................................... Idle......................... 0 5.0 0.05
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle): 2 percent of point. Engine speed (idle): Within manufacturer's specifications.
Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for operation at 100 percent point. Other nonidle points: 2 percent
of engine maximum value. Torque (idle): Throttle fully closed. Load less than 5 percent of peak torque.
Table 4--4-Mode Test Cycle for Propulsion Marine Diesel Engines
----------------------------------------------------------------------------------------------------------------
Engine speed Observed power
\1\ (percent \2\ (percent Minimum time Weighting
Mode number of max. of max. in mode factors
observed) observed) (minutes)
----------------------------------------------------------------------------------------------------------------
1............................................... 100 100 5.0 0.20
2............................................... 91 75 5.0 0.50
3............................................... 80 50 5.0 0.15
4............................................... 63 25 5.0 0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Power: Throttle fully open for operation at 100 percent point. Other points: 2 percent of engine maximum
value.
[63 FR 57019, Oct. 23, 1998]
Subpart F_Selective Enforcement Auditing
Sec. 89.501 Applicability.
The requirements of subpart F are applicable to all nonroad engines
subject to the provisions of subpart A of part 89.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.502 Definitions.
The definitions in subpart A of this part apply to this subpart. The
following definitions also apply to this subpart.
Acceptable quality level (AQL) means the maximum percentage of
failing engines that can be considered a satisfactory process average
for sampling inspections.
Configuration means any subclassification of an engine family which
can be described on the basis of gross power, emission control system,
governed speed, injector size, engine calibration, and other parameters
as designated by the Administrator.
Inspection criteria means the pass and fail numbers associated with
a particular sampling plan.
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.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
[[Page 136]]
Sec. 89.503 Test orders.
(a) A test order addressed to the manufacturer is required for any
testing under this subpart.
(b) The test order is signed by the Assistant Administrator for Air
and Radiation or his or her designee. The test order must be delivered
in person by an EPA enforcement officer or EPA authorized representative
to a company representative or sent by registered mail, return receipt
requested, to the manufacturer's representative who signed the
application for certification submitted by the manufacturer, pursuant to
the requirements of the applicable section of subpart B of this part.
Upon receipt of a test order, the manufacturer must comply with all of
the provisions of this subpart and instructions in the test order.
(c) Information included in test order. (1) The test order will
specify the engine family to be selected for testing, the manufacturer's
engine assembly plant or associated storage facility or port facility
(for imported engines) from which the engines must be selected, the time
and location at which engines must be selected, and the procedure by
which engines of the specified family must be selected. The test order
may specify the configuration to be audited and/or the number of engines
to be selected per day. Engine manufacturers are required to select a
minimum of four engines per day unless an alternate selection procedure
is approved pursuant to Sec. 89.507(a), or unless total production of
the specified configuration is less than four engines per day. If total
production of the specified configuration is less than four engines per
day, the manufacturer selects the actual number of engines produced per
day.
(2) The test order may include alternate families to be selected for
testing at the Administrator's discretion in the event that engines of
the specified family are not available for testing because those engines
are not being manufactured during the specified time or are not being
stored at the specified assembly plant, associated storage facilities,
or port of entry.
(3) If the specified family is not being manufactured at a rate of
at least two engines per day in the case of manufacturers specified in
Sec. 89.508(g)(1), or one engine per day in the case of manufacturers
specified in Sec. 89.508(g)(2), over the expected duration of the audit,
the Assistant Administrator or her or his designated representative may
select engines of the alternate family for testing.
(4) In addition, the test order may include other directions or
information essential to the administration of the required testing.
(d) A manufacturer may submit a list of engine families and the
corresponding assembly plants, associated storage facilities, or (in the
case of imported engines) port facilities from which the manufacturer
prefers to have engines selected for testing in response to a test
order. In order that a manufacturer's preferred location be considered
for inclusion in a test order for a particular engine family, the list
must be submitted prior to issuance of the test order. Notwithstanding
the fact that a manufacturer has submitted the list, the Administrator
may order selection at other than a preferred location.
(e) Upon receipt of a test order, a manufacturer must proceed in
accordance with the provisions of this subpart.
(f)(1) During a given model year, the Administrator may not issue to
a manufacturer more Selective Enforcement Auditing (SEA) test orders
than an annual limit determined to be the larger of the following
factors:
(i) Production factor, determined by dividing the projected nonroad
engine sales in the United States for that model year, as declared by
the manufacturer under Sec. 89.505(c)(1), by 16,000 and rounding to the
nearest whole number. If the projected sales are less than 8,000, this
factor is one.
(ii) Family factor, determined by dividing the manufacturer's total
number of certified engine families by five and rounding to the nearest
whole number.
(2) If a manufacturer submits to EPA in writing prior to or during
the model year a reliable sales projection update or adds engine
families or deletes engine families from its production, that
information is used for recalculating
[[Page 137]]
the manufacturer's annual limit of SEA test orders.
(3) Any SEA test order for which the family fails under Sec. 89.510
or for which testing is not completed is not counted against the annual
limit.
(4) When the annual limit has been met, the Administrator may issue
additional test orders to test those families for which evidence exists
indicating noncompliance. An SEA test order issued on this basis will
include a statement as to the reason for its issuance.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.504 Testing by the Administrator.
(a) The Administrator may require by test order under Sec. 89.503
that engines of a specified family be selected in a manner consistent
with the requirements of Sec. 89.507 and submitted to the Administrator
at the place designated for the purpose of conducting emission tests.
These tests will be conducted in accordance with Sec. 89.508 to
determine whether engines manufactured by the manufacturer conform with
the regulations with respect to which the certificate of conformity was
issued.
(b) Designating official data. (1) Whenever the Administrator
conducts a test on a test engine or the Administrator and manufacturer
each conduct a test on the same test engine, the results of the
Administrator's test comprise the official data for that engine.
(2) Whenever the manufacturer conducts all tests on a test engine,
the manufacturer's test data is accepted as the official data, provided
that if the Administrator makes a determination based on testing
conducted under paragraph (a) of this section that there is a
substantial lack of agreement between the manufacturer's test results
and the Administrator's test results, no manufacturer's test data from
the manufacturer's test facility will be accepted for purposes of this
subpart.
(c) If testing conducted under Sec. 89.503 is unacceptable under
paragraph (b)(2) of this section, the Administrator must:
(1) Notify the manufacturer in writing of the Administrator's
determination that the test facility is inappropriate for conducting the
tests required by this subpart and the reasons therefor; and
(2) Reinstate any manufacturer's data upon a showing by the
manufacturer that the data acquired under Sec. 89.503 was erroneous and
the manufacturer's data was correct.
(d) The manufacturer may request in writing that the Administrator
reconsider the determination in paragraph (b)(2) of this section based
on data or information which indicates that changes have been made to
the test facility and these changes have resolved the reasons for
disqualification.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.505 Maintenance of records; submittal of information.
(a) The manufacturer of any new nonroad engine subject to any of the
provisions of this subpart must establish, maintain, and retain the
following adequately organized and indexed records:
(1) General records. A description of all equipment used to test
engines in accordance with Sec. 89.508 pursuant to a test order issued
under this subpart, specifically, the equipment requirements specified
in Secs. 86.884-8 and 86.884-9 of this chapter and the equipment
requirements specified in Secs. 89.306, 89.308, 89.309, and 89.312.
(2) Individual records. These records pertain to each audit
conducted pursuant to this subpart and include:
(i) The date, time, and location of each test;
(ii) The number of hours of service accumulated on the engine when
the test began and ended;
(iii) The names of all supervisory personnel involved in the conduct
of the audit;
(iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, giving the date,
associated time, justification, name(s) of the authorizing personnel,
and names of all supervisory personnel responsible for the conduct of
the repair;
(v) The date the engine was shipped from the assembly plant,
associated storage facility or port facility, and date the engine was
received at the testing facility;
[[Page 138]]
(vi) A complete record of all emission tests performed pursuant to
this subpart (except tests performed directly by EPA), including all
individual worksheets and/or other documentation relating to each test,
or exact copies thereof, to be in accordance with the record
requirements specified in Sec. 89.404 or Sec. 86.884-10 of this chapter.
(vii) A brief description of any significant audit events not
described under paragraph (a)(2) of this section, commencing with the
test engine selection process and including such extraordinary events as
engine damage during shipment.
(3) The manufacturer must record test equipment description,
pursuant to paragraph (a)(1) of this section, for each test cell that
can be used to perform emission testing under this subpart.
(b) The manufacturer must retain all records required to be
maintained under this subpart for a period of one year after completion
of all testing in response to a test order. Records may be retained as
hard copy or reduced to microfilm, floppy disc, and so forth, depending
upon the manufacturer's record retention procedure; provided, that in
every case, all the information contained in the hard copy is retained.
(c) The manufacturer must, upon request by the Administrator, submit
the following information with regard to engine production:
(1) Projected production for each engine configuration within each
engine family for which certification is requested;
(2) Number of engines, by configuration and assembly plant,
scheduled for production for the time period designated in the request;
(3) Number of engines, by configuration and by assembly plant,
storage facility or port facility, scheduled to be stored at facilities
for the time period designated in the request; and
(4) Number of engines, by configuration and assembly plant, produced
during the time period designated in the request that are complete for
introduction into commerce.
(d) Nothing in this section limits the Administrator's discretion in
requiring the manufacturer to retain additional records or submit
information not specifically required by this section.
(e) All reports, submissions, notifications, and requests for
approvals made under this subpart are addressed to: Director, Engine
Programs and Compliance Division (6405-J), U.S. Environmental Protection
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57020, Oct. 23, 1998]
Sec. 89.506 Right of entry and access.
(a) To allow the Administrator to determine whether a manufacturer
is complying with the provisions of this subpart and a test order issued
thereunder, EPA enforcement officers or EPA authorized representatives
may enter during operating hours and upon presentation of credentials
any of the following places:
(1) Any facility where any engine to be introduced into commerce,
including ports of entry, or any emission-related component is
manufactured, assembled, or stored;
(2) Any facility where any tests conducted pursuant to a test order
or any procedures or activities connected with these tests are or were
performed;
(3) Any facility where any engine which is being tested, was tested,
or will be tested is present; and
(4) Any facility where any record or other document relating to any
of the above is located.
(b) Upon admission to any facility referred to in paragraph (a) of
this section, EPA enforcement officers or EPA authorized representatives
are authorized to perform the following inspection-related activities:
(1) To inspect and monitor any aspects of engine manufacture,
assembly, storage, testing and other procedures, and the facilities in
which these procedures are conducted;
(2) To inspect and monitor any aspect of engine test procedures or
activities, including, but not limited to, engine selection,
preparation, service accumulation, emission test cycles, and maintenance
and verification of test equipment calibration;
(3) To inspect and make copies of any records or documents related
to the assembly, storage, selection, and testing
[[Page 139]]
of an engine in compliance with a test order; and
(4) To inspect and photograph any part or aspect of any engine and
any component used in the assembly thereof that is reasonably related to
the purpose of the entry.
(c) EPA enforcement officers or EPA authorized representatives are
authorized to obtain reasonable assistance without cost from those in
charge of a facility to help the officers perform any function listed in
this subpart and they are authorized to request the recipient of a test
order to make arrangements with those in charge of a facility operated
for the manufacturer's benefit to furnish reasonable assistance without
cost to EPA whether or not the recipient controls the facility.
(1) Reasonable assistance includes, but is not limited to, clerical,
copying, interpretation and translation services; the making available
on an EPA enforcement officer's or EPA authorized representative's
request of personnel of the facility being inspected during their
working hours to inform the EPA enforcement officer or EPA authorized
representative of how the facility operates and to answer the officer's
or representative's questions; and the performance on request of
emission tests on any engine which is being, has been, or will be used
for SEA testing.
(2) A manufacturer may be compelled to cause the personal appearance
of any employee at such a facility before an EPA enforcement officer or
EPA authorized representative by written request for his appearance,
signed by the Assistant Administrator for Air and Radiation, served on
the manufacturer. Any such employee who has been instructed by the
manufacturer to appear will be entitled to be accompanied, represented,
and advised by counsel.
(d) EPA enforcement officers or EPA authorized representatives are
authorized to seek a warrant or court order authorizing the EPA
enforcement officers or EPA authorized representatives to conduct
activities related to entry and access as authorized in this section, as
appropriate, to execute the functions specified in this section. EPA
enforcement officers or authorized representatives may proceed ex parte
to obtain a warrant whether or not the EPA enforcement officers or EPA
authorized representatives first attempted to seek permission of the
recipient of the test order or the party in charge of the facilities in
question to conduct activities related to entry and access as authorized
in this section.
(e) A recipient of a test order must permit an EPA enforcement
officer(s) or EPA authorized representative(s) who presents a warrant or
court order to conduct activities related to entry and access as
authorized in this section and as described in the warrant or court
order. The recipient must also cause those in charge of its facility or
a facility operated for its benefit to permit entry and access as
authorized in this section pursuant to a warrant or court order whether
or not the recipient controls the facility. In the absence of a warrant
or court order, an EPA enforcement officer(s) or EPA authorized
representative(s) may conduct activities related to entry and access as
authorized in this section only upon the consent of the recipient of the
test order or the party in charge of the facilities in question.
(f) It is not a violation of this part or the Clean Air Act for any
person to refuse to permit an EPA enforcement officer(s) or EPA
authorized representative(s) to conduct activities related to entry and
access as authorized in this section if the officer(s) or
representative(s) appears without a warrant or court order.
(g) A manufacturer is responsible for locating its foreign testing
and manufacturing facilities in jurisdictions where local law does not
prohibit an EPA enforcement officer(s) or EPA authorized
representative(s) from conducting the entry and access activities
specified in this section. EPA will not attempt to make any inspections
which it has been informed that local foreign law prohibits.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57020, Oct. 23, 1998]
Sec. 89.507 Sample selection.
(a) Engines comprising a test sample will be selected at the
location and in the manner specified in the test order. If a
manufacturer determines that the test engines cannot be selected in the
manner specified in the test order, an
[[Page 140]]
alternative selection procedure may be employed, provided the
manufacturer requests approval of the alternative procedure prior to the
start of test sample selection, and the Administrator approves the
procedure.
(b) The manufacturer must assemble the test engines of the family
selected for testing using its normal mass production process for
engines to be distributed into commerce. If, between the time the
manufacturer is notified of a test order and the time the manufacturer
finishes selecting test engines, the manufacturer implements any
change(s) in its production processes, including quality control, which
may reasonably be expected to affect the emissions of the engines
selected, then the manufacturer must, during the audit, inform the
Administrator of such changes. If the test engines are selected at a
location where they do not have their operational and emission control
systems installed, the test order will specify the manner and location
for selection of components to complete assembly of the engines. The
manufacturer must assemble these components onto the test engines using
normal assembly and quality control procedures as documented by the
manufacturer.
(c) No quality control, testing, or assembly procedures will be used
on the test engine or any portion thereof, including parts and
subassemblies, that have not been or will not be used during the
production and assembly of all other engines of that family, unless the
Administrator approves the modification in assembly procedures pursuant
to paragraph (b) of this section.
(d) The test order may specify that an EPA enforcement officer(s) or
authorized representative(s), rather than the manufacturer, select the
test engines according to the method specified in the test order.
(e) The order in which test engines are selected determines the
order in which test results are to be used in applying the sampling plan
in accordance with Sec. 89.510.
(f) The manufacturer must keep on hand all untested engines, if any,
comprising the test sample until a pass or fail decision is reached in
accordance with Sec. 89.510(e). The manufacturer may ship any tested
engine which has not failed the requirements as set forth in
Sec. 89.510(b). However, once the manufacturer ships any test engine, it
relinquishes the prerogative to conduct retests as provided in
Sec. 89.508(i).
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.508 Test procedures.
(a)(1) For nonroad engines subject to the provisions of this
subpart, the prescribed test procedures are the nonroad engine 8-mode
test procedure as described in subpart E of this part, the federal smoke
test as described in part 86, subpart I of this chapter, and the
particulate test procedure as adopted in the California Regulations for
New 1996 and Later Heavy-Duty Off-Road Diesel Cycle Engines. This
procedure is incorporated by reference. See Sec. 89.6.
(2) The Administrator may, on the basis of a written application by
a manufacturer, prescribe test procedures other than those specified in
paragraph (a)(1) of this section for any nonroad engine he or she
determines is not susceptible to satisfactory testing using the
procedures specified in paragraph (a)(1) of this section.
(b)(1) The manufacturer may not adjust, repair, prepare, or modify
the engines selected for testing and may not perform any emission tests
on engines selected for testing pursuant to the test order unless this
adjustment, repair, preparation, modification, and/or tests are
documented in the manufacturer's engine assembly and inspection
procedures and are actually performed or unless these adjustments and/or
tests are required or permitted under this subpart or are approved in
advance by the Administrator.
(2) The Administrator may adjust or cause to be adjusted any engine
parameter which the Administrator has determined to be subject to
adjustment for certification and Selective Enforcement Audit testing in
accordance with Sec. 89.108, to any setting within the physically
adjustable range of that parameter, as determined by the Administrator
in accordance with Sec. 89.108, prior to the performance of any tests.
However, if the idle speed parameter is one which the Administrator has
determined to be subject to adjustment, the
[[Page 141]]
Administrator may not adjust it to any setting which causes a lower
engine idle speed than would have been possible within the physically
adjustable range of the idle speed parameter if the manufacturer had
accumulated 125 hours of service on the engine under paragraph (c) of
this section, all other parameters being identically adjusted for the
purpose of the comparison. The manufacturer may be requested to supply
information needed to establish an alternate minimum idle speed. The
Administrator, in making or specifying these adjustments, may consider
the effect of the deviation from the manufacturer's recommended setting
on emission performance characteristics as well as the likelihood that
similar settings will occur on in-use engines. In determining
likelihood, the Administrator may consider factors such as, but not
limited to, the effect of the adjustment on engine performance
characteristics and surveillance information from similar in-use
engines.
(c) Service Accumulation. Prior to performing exhaust emission
testing on an SEA test engine, the manufacturer may accumulate on each
engine a number of hours of service equal to the greater of 125 hours or
the number of hours the manufacturer accumulated during certification on
the emission data engine corresponding to the family specified in the
test order.
(1) Service accumulation must be performed in a manner using good
engineering judgment to obtain emission results representative of normal
production engines. This service accumulation must be consistent with
the new engine break-in instructions contained in the applicable owner's
manual.
(2) The manufacturer must accumulate service at a minimum rate of 16
hours per engine during each 24-hour period, unless otherwise approved
by the Administrator.
(i) The first 24-hour period for service begins as soon as
authorized checks, inspections, and preparations are completed on each
engine.
(ii) The minimum service or mileage accumulation rate does not apply
on weekends or holidays.
(iii) If the manufacturer's service or target is less than the
minimum rate specified (16 hours per day), then the minimum daily
accumulation rate is equal to the manufacturer's service target.
(3) Service accumulation must be completed on a sufficient number of
test engines during consecutive 24-hour periods to assure that the
number of engines tested per day fulfills the requirements of paragraphs
(g)(1) and (g)(2) of this section.
(d) The manufacturer may not perform any maintenance on test engines
after selection for testing, nor may the Administrator allow deletion of
any engine from the test sequence, unless requested by the manufacturer
and approved by the Administrator before any engine maintenance or
deletion.
(e) The manufacturer must expeditiously ship test engines from the
point of selection to the test facility. If the test facility is not
located at or in close proximity to the point of selection, the
manufacturer must assure that test engines arrive at the test facility
within 24 hours of selection. The Administrator may approve more time
for shipment based upon a request by the manufacturer accompanied by a
satisfactory justification.
(f) If an engine cannot complete the service accumulation or an
emission test because of a malfunction, the manufacturer may request
that the Administrator authorize either the repair of that engine or its
deletion from the test sequence.
(g) Whenever a manufacturer conducts testing pursuant to a test
order issued under this subpart, the manufacturer must notify the
Administrator within one working day of receipt of the test order as to
which test facility will be used to comply with the test order. If no
test cells are available at a desired facility, the manufacturer must
provide alternate testing capability satisfactory to the Administrator.
(1) A manufacturer with projected nonroad engine sales for the
United States market for the applicable year of 7,500 or greater must
complete emission testing at a minimum rate of two engines per 24-hour
period, including each voided test and each smoke test.
(2) A manufacturer with projected nonroad engine sales for the
United States market for the applicable year
[[Page 142]]
of less than 7,500 must complete emission testing at a minimum rate of
one engine per 24-hour period, including each voided test and each smoke
test.
(3) The Administrator may approve a lower daily rate of emission
testing based upon a request by a manufacturer accompanied by a
satisfactory justification.
(h) The manufacturer must perform test engine selection, shipping,
preparation, service accumulation, and testing in such a manner as to
assure that the audit is performed in an expeditious manner.
(i) Retesting. (1) The manufacturer may retest any engines tested
during a Selective Enforcement Audit once a fail decision for the audit
has been reached in accordance with Sec. 89.510(e).
(2) The Administrator may approve retesting at other times based
upon a request by the manufacturer accompanied by a satisfactory
justification.
(3) The manufacturer may retest each engine a total of three times.
The manufacturer must test each engine or vehicle the same number of
times. The manufacturer may accumulate additional service before
conducting a retest, subject to the provisions of paragraph (c) of this
section.
(j) A manufacturer must test engines with the test procedure
specified in subpart E of this part to demonstrate compliance with the
exhaust emission standard (or applicable FEL) for oxides of nitrogen. If
alternate procedures were used in certification pursuant to Sec. 89.114,
then those alternate procedures must be used.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.509 Calculation and reporting of test results.
(a) Initial test results are calculated following the applicable
test procedure specified in Sec. 89.508(a). The manufacturer rounds
these results, in accordance with ASTM E29-93a, to the number of decimal
places contained in the applicable emission standard expressed to one
additional significant figure. This procedure has been incorporated by
reference. See Sec. 89.6.
(b) Final test results are calculated by summing the initial test
results derived in paragraph (a) of this section for each test engine,
dividing by the number of tests conducted on the engine, and rounding in
accordance with the procedure specified in paragraph (a) of this section
to the same number of decimal places contained in the applicable
standard expressed to one additional significant figure.
(c) Within five working days after completion of testing of all
engines pursuant to a test order, the manufacturer must submit to the
Administrator a report which includes the following information:
(1) The location and description of the manufacturer's exhaust
emission test facilities which were utilized to conduct testing reported
pursuant to this section;
(2) The applicable standards and/or FEL against which the engines
were tested;
(3) A description of the engine and its associated emission-related
component selection method used;
(4) For each test conducted;
(i) Test engine description, including:
(A) Configuration and engine family identification;
(B) Year, make, and build date;
(C) Engine identification number; and
(D) Number of hours of service accumulated on engine prior to
testing;
(ii) Location where service accumulation was conducted and
description of accumulation procedure and schedule;
(iii) Test number, date, test procedure used, initial test results
before and after rounding, and final test results for all exhaust
emission tests, whether valid or invalid, and the reason for
invalidation, if applicable;
(iv) A complete description of any modification, repair,
preparation, maintenance, and/or testing which was performed on the test
engine and has not been reported pursuant to any other paragraph of this
subpart and will not be performed on all other production engines;
(v) Where an engine was deleted from the test sequence by
authorization of the Administrator, the reason for the deletion;
(vi) Any other information the Administrator may request relevant to
the determination as to whether the new engines being manufactured by
the
[[Page 143]]
manufacturer do in fact conform with the regulations with respect to
which the certificate of conformity was issued; and
(5) The following statement and endorsement:
This report is submitted pursuant to sections 213 and 208 of the
Clean Air Act. This Selective Enforcement Audit was conducted in
complete conformance with all applicable regulations under 40 CFR part
89 et seq. and the conditions of the test order. No emission-related
changes to production processes or quality control procedures for the
engine family tested have been made between receipt of the test order
and conclusion of the audit. All data and information reported herein
is, to the best of (Company Name) knowledge, true and accurate. I am
aware of the penalties associated with violations of the Clean Air Act
and the regulations thereunder. (Authorized Company Representative.)
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57020, Oct. 23, 1998]
Sec. 89.510 Compliance with acceptable quality level and passing
and failing criteria for selective enforcement audits.
(a) The prescribed acceptable quality level is 40 percent.
(b) A failed engine is one whose final test results pursuant to
Sec. 89.509(b), for one or more of the applicable pollutants, exceed the
applicable emission standard or family emission level.
(c) The manufacturer must test engines comprising the test sample
until a pass decision is reached for all pollutants or a fail decision
is reached for one pollutant. A pass decision is reached when the
cumulative number of failed engines, as defined in paragraph (b) of this
section, for each pollutant is less than or equal to the pass decision
number, as defined in paragraph (d) of this section, appropriate to the
cumulative number of engines tested. A fail decision is reached when the
cumulative number of failed engines for one or more pollutants is
greater than or equal to the fail decision number, as defined in
paragraph (d) of this section, appropriate to the cumulative number of
engines tested.
(d) The pass and fail decision numbers associated with the
cumulative number of engines tested are determined by using the tables
in appendix A to this subpart, ``Sampling Plans for Selective
Enforcement Auditing of Nonroad Engines,'' appropriate to the projected
sales as made by the manufacturer in its report to EPA under
Sec. 89.505(c)(1). In the tables in appendix A to this subpart, sampling
plan ``stage'' refers to the cumulative number of engines tested. Once a
pass or fail decision has been made for a particular pollutant, the
number of engines with final test results exceeding the emission
standard for that pollutant shall not be considered any further for the
purposes of the audit.
(e) Passing or failing of an SEA occurs when the decision is made on
the last engine required to make a decision under paragraph (c) of this
section.
(f) The Administrator may terminate testing earlier than required in
paragraph (c) of this section.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.511 Suspension and revocation of certificates of conformity.
(a) The certificate of conformity is suspended with respect to any
engine failing pursuant to paragraph (b) of Sec. 89.510 effective from
the time that testing of that engine is completed.
(b) The Administrator may suspend the certificate of conformity for
a family which does not pass an SEA, pursuant to paragraph
Sec. 89.510(c), based on the first test or all tests conducted on each
engine. This suspension will not occur before ten days after failure of
the audit, unless the manufacturer requests an earlier suspension.
(c) If the results of testing pursuant to these regulations indicate
that engines of a particular family produced at one plant of a
manufacturer do not conform to the regulations with respect to which the
certificate of conformity was issued, the Administrator may suspend the
certificate of conformity with respect to that family for engines
manufactured by the manufacturer at all other plants.
(d) Notwithstanding the fact that engines described in the
application may be covered by a certificate of conformity, the
Administrator may suspend such certificate immediately in whole or in
part if the Administrator finds any one of the following infractions to
be substantial:
[[Page 144]]
(1) The manufacturer refuses to comply with the provisions of a test
order issued by the Administrator under Sec. 89.503.
(2) The manufacturer refuses to comply with any of the requirements
of this subpart.
(3) The manufacturer submits false or incomplete information in any
report or information provided to the Administrator under this subpart.
(4) The manufacturer renders inaccurate any test data submitted
under this subpart.
(5) An EPA enforcement officer(s) or EPA authorized
representative(s) is denied the opportunity to conduct activities
related to entry and access as authorized in this subpart and a warrant
or court order is presented to the manufacturer or the party in charge
of a facility in question.
(6) An EPA enforcement officer(s) or EPA authorized
representative(s) is unable to conduct activities related to entry and
access as authorized in Sec. 89.506 because a manufacturer has located a
facility in a foreign jurisdiction where local law prohibits those
activities.
(e) The Administrator must notify the manufacturer in writing of any
suspension or revocation of a certificate of conformity in whole or in
part; a suspension or revocation is effective upon receipt of the
notification or ten days, except that the certificate is immediately
suspended with respect to any failed engines as provided for in
paragraph (a) of this section.
(f) The Administrator may revoke a certificate of conformity for a
family when the certificate has been suspended pursuant to paragraph (b)
or (c) of this section if the proposed remedy for the nonconformity, as
reported by the manufacturer to the Administrator, is one requiring a
design change or changes to the engine and/or emission control system as
described in the application for certification of the affected family.
(g) Once a certificate has been suspended for a failed engine, as
provided for in paragraph (a) of this section, the manufacturer must
take the following actions before the certificate is reinstated for that
failed engine:
(1) Remedy the nonconformity.
(2) Demonstrate that the engine conforms to applicable standards or
family emission levels by retesting the engine in accordance with these
regulations.
(3) Submit a written report to the Administrator, after successful
completion of testing on the failed engine, which contains a description
of the remedy and test results for each engine in addition to other
information that may be required by this part.
(h) Once a certificate for a failed family has been suspended
pursuant to paragraph (b) or (c) of this section, the manufacturer must
take the following actions before the Administrator will consider
reinstating the certificate:
(1) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the engines, describes the proposed
remedy, including a description of any proposed quality control and/or
quality assurance measures to be taken by the manufacturer to prevent
future occurrences of the problem, and states the date on which the
remedies will be implemented.
(2) Demonstrate that the engine family for which the certificate of
conformity has been suspended does in fact comply with these regulations
by testing engines selected from normal production runs of that engine
family, at the plant(s), port facility(ies) or associated storage
facility(ies) specified by the Administrator, in accordance with the
conditions specified in the initial test order. If the manufacturer
elects to continue testing individual engines after suspension of a
certificate, the certificate is reinstated for an engine actually
determined to be in conformance with the applicable standards or family
emission levels through testing in accordance with the applicable test
procedures, provided that the Administrator has not revoked the
certificate pursuant to paragraph (f) of this section.
(i) Once the certificate for a family has been revoked under
paragraph (f) of this section and the manufacturer desires to continue
introduction into commerce of a modified version of that family, the
following actions must be taken before the Administrator may consider
issuing a certificate for that modified family:
[[Page 145]]
(1) If the Administrator determines that the proposed change(s) in
engine design may have an effect on emission performance deterioration,
the Administrator will notify the manufacturer, within five working days
after receipt of the report in paragraph (g) of this section, whether
subsequent testing under this subpart is sufficient to evaluate the
proposed change or changes or whether additional testing is required;
and
(2) After implementing the change or changes intended to remedy the
nonconformity, the manufacturer must demonstrate that the modified
engine family does in fact conform with these regulations by testing
engines selected from normal production runs of that modified engine
family in accordance with the conditions specified in the initial test
order. If the subsequent audit results in passing of the audit, the
Administrator will reissue the certificate or issue a new certificate,
as the case may be, to include that family, provided that the
manufacturer has satisfied the testing requirements of paragraph (i)(1)
of this section. If the subsequent audit is failed, the revocation
remains in effect. Any design change approvals under this subpart are
limited to the family affected by the test order.
(j) At any time subsequent to an initial suspension of a certificate
of conformity for a test engine pursuant to paragraph (a) of this
section, but not later than 15 days (or such other period as may be
allowed by the Administrator) after notification of the Administrator's
decision to suspend or revoke a certificate of conformity in whole or in
part pursuant to paragraph (b), (c), or (f) of this section, a
manufacturer may request a hearing as to whether the tests have been
properly conducted or any sampling methods have been properly applied.
(k) Any suspension of a certificate of conformity under paragraph
(d) of this section:
(1) will be in writing and will include the offer of an opportunity
for a hearing conducted in accordance with Secs. 89.512, 89.513, and
89.514 and
(2) need not apply to engines no longer in the hands of the
manufacturer.
(l) After the Administrator suspends or revokes a certificate of
conformity pursuant to this section and prior to the commencement of a
hearing under Sec. 89.512, if the manufacturer demonstrates to the
Administrator's satisfaction that the decision to suspend, revoke, or
void the certificate was based on erroneous information, the
Administrator will reinstate the certificate.
(m) To permit a manufacturer to avoid storing non-test engines when
conducting an audit of a family subsequent to a failure of an SEA and
while reauditing of the failed family, it may request that the
Administrator conditionally reinstate the certificate for that family.
The Administrator may reinstate the certificate subject to the condition
that the manufacturer consents to recall all engines of that family
produced from the time the certificate is conditionally reinstated if
the family fails the subsequent audit at the level of the standard and
to remedy any nonconformity at no expense to the owner.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.512 Request for public hearing.
(a) If the manufacturer disagrees with the Administrator's decision
under Sec. 89.511 (b), (c), (d), or (f) to suspend or revoke a
certificate or disputes the basis for an automatic suspension pursuant
to Sec. 89.511 (a), the manufacturer may request a public hearing.
(b) The manufacturer's request must be filed with the Administrator
not later than 15 days after the Administrator's notification of the
decision to suspend or revoke, unless otherwise specified by the
Administrator. The manufacturer must simultaneously serve two copies of
this request upon the Director of the Engine Programs and Compliance
Division and file two copies with the Hearing Clerk of the Agency.
Failure of the manufacturer to request a hearing within the time
provided constitutes a waiver of the right to a hearing. Subsequent to
the expiration of the period for requesting a hearing as of right, the
Administrator may, at her or his discretion and for good cause shown,
grant the manufacturer a
[[Page 146]]
hearing to contest the suspension or revocation.
(c) The manufacturer's request for a public hearing must include:
(1) A statement as to which engine configuration(s) within a family
is to be the subject of the hearing;
(2) A concise statement of the issues to be raised by the
manufacturer at the hearing, except that in the case of the hearing
requested under Sec. 89.511(j), the hearing is restricted to the
following issues:
(i) Whether tests have been properly conducted, specifically,
whether the tests were conducted in accordance with applicable
regulations under this part and whether test equipment was properly
calibrated and functioning;
(ii) Whether sampling plans have been properly applied,
specifically, whether sampling procedures specified in appendix A of
this subpart were followed and whether there exists a basis for
distinguishing engines produced at plants other than the one from which
engines were selected for testing which would invalidate the
Administrator's decision under Sec. 89.511(c);
(3) A statement specifying reasons why the manufacturer believes it
will prevail on the merits of each of the issues raised; and
(4) A summary of the evidence which supports the manufacturer's
position on each of the issues raised.
(d) A copy of all requests for public hearings will be kept on file
in the Office of the Hearing Clerk and will be made available to the
public during Agency business hours.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57020, Oct. 23, 1998]
Sec. 89.513 Administrative procedures for public hearing.
(a) The Presiding Officer is an Administrative Law Judge appointed
pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as amended).
(b) The Judicial Officer is an officer or employee of the Agency
appointed as a Judicial Officer by the Administrator, pursuant to this
section, who meets the qualifications and performs functions as follows:
(1) Qualifications. A Judicial Officer may be a permanent or
temporary employee of the Agency who performs other duties for the
Agency. The Judicial Officer may not be employed by the Office of
Enforcement or have any connection with the preparation or presentation
of evidence for a hearing held pursuant to this subpart. The Judicial
Officer must be a graduate of an accredited law school and a member in
good standing of a recognized Bar Association of any state or the
District of Columbia.
(2) Functions. The Administrator may consult with the Judicial
Officer or delegate all or part of the Administrator's authority to act
in a given case under this section to a Judicial Officer, provided that
this delegation does not preclude the Judicial Officer from referring
any motion or case to the Administrator when the Judicial Officer
determines such referral to be appropriate.
(c) For the purposes of this section, one or more Judicial Officers
may be designated. As work requires, a Judicial Officer may be
designated to act for the purposes of a particular case.
(d) Summary decision. (1) In the case of a hearing requested under
Sec. 89.511(j), when it clearly appears from the data and other
information contained in the request for a hearing that no genuine and
substantial question of fact or law exists with respect to the issues
specified in Sec. 89.512(c)(2), the Administrator may enter an order
denying the request for a hearing and reaffirming the original decision
to suspend or revoke a certificate of conformity.
(2) In the case of a hearing requested under Sec. 89.512 to
challenge a suspension of a certificate of conformity for the reasons
specified in Sec. 89.511(d), when it clearly appears from the data and
other information contained in the request for the hearing that no
genuine and substantial question of fact or law exists with respect to
the issue of whether the refusal to comply with the provisions of a test
order or any other requirement of Sec. 89.503 was caused by conditions
and circumstances outside the control of the manufacturer, the
Administrator may enter an order denying the request for a hearing and
suspending the certificate of conformity.
(3) Any order issued under paragraph (d)(1) or (d)(2) of this
section has the
[[Page 147]]
force and effect of a final decision of the Administrator, as issued
pursuant to Sec. 89.515.
(4) If the Administrator determines that a genuine and substantial
question of fact or law does exist with respect to any of the issues
referred to in paragraphs (d)(1) and (d)(2) of this section, the
Administrator will grant the request for a hearing and publish a notice
of public hearing in the Federal Register or by such other means as the
Administrator finds appropriate to provide notice to the public.
(e) Filing and service. (1) An original and two copies of all
documents or papers required or permitted to be filed pursuant to this
section and Sec. 89.512(c) must be filed with the Hearing Clerk of the
Agency. Filing is considered timely if mailed, as determined by the
postmark, to the Hearing Clerk within the time allowed by this section
and Sec. 89.512(b). If filing is to be accomplished by mailing, the
documents must be sent to the address set forth in the notice of public
hearing referred to in paragraph (d)(4) of this section.
(2) To the maximum extent possible, testimony will be presented in
written form. Copies of written testimony will be served upon all
parties as soon as practicable prior to the start of the hearing. A
certificate of service will be provided on or accompany each document or
paper filed with the Hearing Clerk. Documents to be served upon the
Director of the Engine Programs and Compliance Division must be sent by
registered mail to: Director, Engine Programs and Compliance Division
(6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave.,
NW., Washington, DC 20460. Service by registered mail is complete upon
mailing.
(f) Computation of time. (1) In computing any period of time
prescribed or allowed by this section, except as otherwise provided, the
day of the act or event from which the designated period of time begins
to run is not included. Saturdays, Sundays, and federal legal holidays
are included in computing the period allowed for the filing of any
document or paper, except that when the period expires on a Saturday,
Sunday, or federal legal holiday, the period is extended to include the
next following business day.
(2) A prescribed period of time within which a party is required or
permitted to do an act is computed from the time of service, except that
when service is accomplished by mail, three days will be added to the
prescribed period.
(g) Consolidation. The Administrator or the Presiding Officer in his
discretion may consolidate two or more proceedings to be held under this
section for the purpose of resolving one or more issues whenever it
appears that consolidation will expedite or simplify consideration of
these issues. Consolidation does not affect the right of any party to
raise issues that could have been raised if consolidation had not
occurred.
(h) Hearing date. To the extent possible hearings under Sec. 89.512
will be scheduled to commence within 14 days of receipt of the
application in Sec. 89.512.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57020, Oct. 23, 1998]
Sec. 89.514 Hearing procedures.
The procedures provided in Sec. 86.1014-84 (i) to (s) apply for
hearings requested pursuant to Sec. 89.512, suspension, revocation, or
voiding of a certificate of conformity.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.515 Appeal of hearing decision.
The procedures provided in Sec. 86.1014-84 (t) to (aa) apply for
appeals filed with respect to hearings held pursuant to Sec. 89.514.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.516 Treatment of confidential information.
The provisions for treatment of confidential information as
described in Sec. 89.7 apply.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
[[Page 148]]
Sec. Appendix A to Subpart F of Part 89--Sampling Plans for Selective
Enforcement Auditing of Nonroad Engines
Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
Code
Annual engine family sales letter
------------------------------------------------------------------------
20-50.......................................................... AA \1\
20-99.......................................................... A
100-299........................................................ B
300-499........................................................ C
500 or greater................................................. D
------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the sampling plan for code
letter ``AA'' or sampling plan for code letter ``A'' for Selective
Enforcement Audits of engine families with annual sales between 20 and
50 engines. Additionally, the manufacturer may switch between these
plans during the audit.
Table 2--Sampling Plan for Code Letter ``AA''
[Sample inspection criteria]
------------------------------------------------------------------------
Stage Pass No. Fail No.
------------------------------------------------------------------------
1............................................. (\1\) (\2\)
2............................................. (\1\) (\2\)
3............................................. 0 (\2\)
4............................................. 0 (\2\)
5............................................. 1 5
6............................................. 1 6
7............................................. 2 6
8............................................. 2 7
9............................................. 3 7
10............................................ 3 8
11............................................ 4 8
12............................................ 4 9
13............................................ 5 9
14............................................ 5 10
15............................................ 6 10
16............................................ 6 10
17............................................ 7 10
18............................................ 8 10
19............................................ 8 10
20............................................ 9 10
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.
Table 3--Sampling Plan for Code Letter ``A''
[Sample inspection criteria]
------------------------------------------------------------------------
Stage Pass No. Fail No.
------------------------------------------------------------------------
1............................................. (\1\) (\2\)
2............................................. (\1\) (\2\)
3............................................. (\1\) (\2\)
4............................................. 0 (\2\)
5............................................. 0 (\2\)
6............................................. 1 6
7............................................. 1 7
8............................................. 2 7
9............................................. 2 8
10............................................ 3 8
11............................................ 3 8
12............................................ 4 9
13............................................ 5 10
14............................................ 5 10
15............................................ 6 11
16............................................ 6 11
17............................................ 7 12
18............................................ 7 12
19............................................ 8 13
20............................................ 8 13
21............................................ 9 14
22............................................ 10 14
23............................................ 10 15
24............................................ 11 15
25............................................ 11 16
26............................................ 12 16
27............................................ 12 17
28............................................ 13 17
29............................................ 14 17
30............................................ 16 17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.
Table 4--Sampling Plan for Code Letter ``B''
[Sample Inspection Criteria]
------------------------------------------------------------------------
Stage Pass No. Fail No.
------------------------------------------------------------------------
1............................................. (\1\) (\2\)
2............................................. (\1\) (\2\)
3............................................. (\1\) (\2\)
4............................................. (\1\) (\2\)
5............................................. 0 (\2\)
6............................................. 1 6
7............................................. 1 7
8............................................. 2 7
9............................................. 2 8
10............................................ 3 8
11............................................ 3 9
12............................................ 4 9
13............................................ 4 10
14............................................ 5 10
15............................................ 5 11
16............................................ 6 12
17............................................ 6 12
18............................................ 7 13
19............................................ 8 13
20............................................ 8 14
21............................................ 9 14
22............................................ 9 15
23............................................ 10 15
24............................................ 10 16
25............................................ 11 16
26............................................ 11 17
27............................................ 12 17
28............................................ 12 18
29............................................ 13 18
30............................................ 13 19
31............................................ 14 19
32............................................ 14 20
33............................................ 15 20
34............................................ 16 21
35............................................ 16 21
36............................................ 17 22
37............................................ 17 22
38............................................ 18 22
39............................................ 18 22
40............................................ 21 22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.
[[Page 149]]
Table 5--Sampling Plan for Code Letter ``C''
[Sample Inspection Criteria]
------------------------------------------------------------------------
Stage Pass No. Fail No.
------------------------------------------------------------------------
1............................................. (\1\) (\2\)
2............................................. (\1\) (\2\)
3............................................. (\1\) (\2\)
4............................................. (\1\) (\2\)
5............................................. 0 (\2\)
6............................................. 0 6
7............................................. 1 7
8............................................. 2 7
9............................................. 2 8
10............................................ 3 9
11............................................ 3 9
12............................................ 4 10
13............................................ 4 10
14............................................ 5 11
15............................................ 5 11
16............................................ 6 12
17............................................ 6 12
18............................................ 7 13
19............................................ 7 13
20............................................ 8 14
21............................................ 8 14
22............................................ 9 15
23............................................ 10 15
24............................................ 10 16
25............................................ 11 16
26............................................ 11 17
27............................................ 12 17
28............................................ 12 18
29............................................ 13 18
30............................................ 13 19
31............................................ 14 19
32............................................ 14 20
33............................................ 15 20
34............................................ 15 21
35............................................ 16 21
36............................................ 16 22
37............................................ 17 22
38............................................ 18 23
39............................................ 18 23
40............................................ 19 24
41............................................ 19 24
42............................................ 20 25
43............................................ 20 25
44............................................ 21 26
45............................................ 21 27
46............................................ 22 27
47............................................ 22 27
48............................................ 23 27
49............................................ 23 27
50............................................ 26 27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.
Table 6--Sampling Plan for Code Letter ``D''
[Sample Inspection Criteria]
------------------------------------------------------------------------
Stage Pass No. Fail No.
------------------------------------------------------------------------
1............................................. (\1\) (\2\)
2............................................. (\1\) (\2\)
3............................................. (\1\) (\2\)
4............................................. (\1\) (\2\)
5............................................. 0 (\2\)
6............................................. 0 6
7............................................. 1 7
8............................................. 2 8
9............................................. 2 8
10............................................ 3 9
11............................................ 3 9
12............................................ 4 10
13............................................ 4 10
14............................................ 5 11
15............................................ 5 11
16............................................ 6 12
17............................................ 6 12
18............................................ 7 13
19............................................ 7 13
20............................................ 8 14
21............................................ 8 14
22............................................ 9 15
23............................................ 9 15
24............................................ 10 16
25............................................ 11 16
26............................................ 11 17
27............................................ 12 17
28............................................ 12 18
29............................................ 13 19
30............................................ 13 19
31............................................ 14 20
32............................................ 14 20
33............................................ 15 21
34............................................ 15 21
35............................................ 16 22
36............................................ 16 22
37............................................ 17 23
38............................................ 17 23
39............................................ 18 24
40............................................ 18 24
41............................................ 19 25
42............................................ 19 26
43............................................ 20 26
44............................................ 21 27
45............................................ 21 27
46............................................ 22 28
47............................................ 22 28
48............................................ 23 29
49............................................ 23 29
50............................................ 24 30
51............................................ 24 30
52............................................ 25 31
53............................................ 25 31
54............................................ 26 32
55............................................ 26 32
56............................................ 27 33
57............................................ 27 33
58............................................ 28 33
59............................................ 28 33
60............................................ 32 33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.
[59 FR 31335, June 17, 1994, as amended at 70 FR 40446, July 13, 2005]
Subpart G_Importation of Nonconforming Nonroad Engines
Sec. 89.601 Applicability.
(a) Except where otherwise indicated, this subpart is applicable to
nonroad engines for which the Administrator has promulgated regulations
under this part prescribing emission standards
[[Page 150]]
and nonroad vehicles and equipment containing such nonroad engines that
are offered for importation or imported into the United States, but
which engines, at the time of conditional importation, are not covered
by certificates of conformity issued under section 213 and section
206(a) of the Clean Air Act as amended (that is, which are nonconforming
nonroad engines as defined in Sec. 89.602), and this part. Compliance
with regulations under this subpart does not relieve any person or
entity from compliance with other applicable provisions of the Clean Air
Act.
(b) Regulations prescribing further procedures for the importation
of nonroad engines and nonroad vehicles and equipment into the customs
territory of the United States, as defined in 19 U.S.C. 1202, are set
forth in U.S. Bureau of Customs regulations.
(c) For the purposes of this subpart, the term ``nonroad engine''
includes all nonroad engines incorporated into nonroad equipment or
nonroad vehicles at the time they are imported or offered for import
into the United States.
(d) Importers must complete the appropriate EPA declaration form
before importing an engine. These forms are available on the Internet at
http://www.epa.gov/OTAQ/imports/ or by phone at 734-214-4100. Importers
must keep the forms for five years and make them available upon request.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998,
as amended at 72 FR 53129, Sept. 18, 2007]
Sec. 89.602 Definitions.
The definitions in subpart A of this part apply to this subpart. The
following definitions also apply to this subpart.
Certificate of conformity. The document issued by the Administrator
under section 213 and section 206(a) of the Act.
Currently valid certificate of conformity. A certificate of
conformity for which the current date is within the effective period as
specified on the certificate of conformity, and which has not been
withdrawn, superseded, voided, suspended, revoked, or otherwise rendered
invalid.
Fifteen working day hold period. The period of time between a
request for final admission and the automatic granting of final
admission (unless EPA intervenes) for a nonconforming nonroad engine
conditionally imported pursuant to Sec. 89.605 or Sec. 89.609. Day one
of the hold period is the first working day (see definition for
``working day'' in this section) after the Engine Programs and
Compliance Division of EPA receives a complete and valid application for
final admission.
Independent commercial importer (ICI). An importer who is not an
original engine manufacturer (OEM) (see definition below), but is the
entity in whose name a certificate of conformity for a class of nonroad
engines has been issued.
Model year for imported engines. The manufacturer's annual
production period (as determined by the Administrator) which includes
January 1 of the calendar year; provided, that if the manufacturer has
no annual production period, the term ``model year'' means the calendar
year in which a nonroad engine is modified. An independent commercial
importer (ICI) is deemed to have produced a nonroad engine when the ICI
has modified (including labeling) the nonconforming nonroad engine to
meet applicable emission requirements.
Nonconforming nonroad engine. A nonroad engine which is not covered
by a certificate of conformity prior to final or conditional admission
(or for which such coverage has not been adequately demonstrated to EPA)
and which has not been finally admitted into the United States under the
provisions of Sec. 89.605 or Sec. 89.609.
Original engine manufacturer (OEM). The entity which originally
manufactured the nonroad engine.
Original production (OP) year. The calendar year in which the
nonroad engine was originally produced by the OEM.
Original production (OP) years old. The age of a nonroad engine as
determined by subtracting the original production year of the nonroad
engine from the calendar year of importation.
Production changes. Those changes in nonroad engine configuration,
equipment, or calibration which are made by an OEM or ICI in the course
of nonroad engine production and required to be reported under
Sec. 89.123.
[[Page 151]]
United States. United States includes the customs territory of the
United States as defined in 19 U.S.C. 1202, and the Virgin Islands,
Guam, American Samoa, and the Commonwealth of the Northern Mariana
Islands.
Useful life. A period of time as specified in subpart B of this part
which for a nonconforming nonroad engine begins at the time of resale
(for a nonroad engine owned by the ICI at the time of importation) or
release to the owner (for a nonroad engine not owned by the ICI at the
time of importation) of the nonroad engine by the ICI after modification
and/or testing pursuant to Sec. 89.605 or Sec. 89.609.
Working day. Any day on which federal government offices are open
for normal business. Saturdays, Sundays, and official federal holidays
are not working days.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57021, Oct. 23, 1998]
Sec. 89.603 General requirements for importation of nonconforming
nonroad engines.
(a) A nonconforming nonroad engine offered for importation into the
United States is to be imported only by an Independent Commercial
Importer (ICI) who is a holder of a currently valid certificate of
conformity unless an exemption or exclusion is granted by the
Administrator under Sec. 89.611 of this subpart. For a nonroad engine
imported pursuant to Sec. 89.605, the ICI must hold a currently valid
certificate of conformity for that specific nonroad engine model.
(b) Any nonroad engine imported into the United States must have a
legible unique engine identification number permanently affixed to or
engraved on the engine.
(c) Final admission may not be granted unless:
(1) The nonroad engine is covered by a certificate of conformity
issued under subpart B of this part in the name of the ICI and the ICI
has complied with all requirements of Sec. 89.605; or
(2) The nonroad engine is modified and emission tested in accordance
with the provisions of Sec. 89.609 and the ICI has complied with all
other requirements of Sec. 89.609; or
(3) The nonroad engine is exempted or excluded under Sec. 89.611.
(d) The ICI must submit to the Engine Programs and Compliance
Division of EPA a copy of all approved applications for certification
used to obtain certificates of conformity for the purpose of importing
nonconforming nonroad engines pursuant to Sec. 89.605 or Sec. 89.609. In
addition, the ICI must submit to the Engine Programs and Compliance
Division a copy of all approved production changes implemented pursuant
to Sec. 89.605 or subpart B of this part. Documentation submitted
pursuant to this paragraph (d) must be provided to the Engine Programs
and Compliance Division within 10 working days of approval of the
certification application (or production change) by EPA.
(e)(1) The applicable emission standards for engines imported by an
ICI under this subpart are the emission standards applicable to the
Original Production (OP) year of the engine.
(2) Where engine manufacturers have choices in emission standards
for one or more pollutants in a given model year, the standard that
applies to the ICI is the least stringent standard for that pollutant
applicable to the OP year for the appropriate power category.
(3) ICIs may not generate, use or trade emission credits or
otherwise participate in any way in the averaging, banking and trading
program.
(4) An ICI may import no more than a total of five engines under
this part for any given model year, except as allowed by paragraph
(e)(5) of this section. For ICIs owned by a parent company, the
importation limit includes importation by the parent company and all its
subsidiaries.
(5) An ICI may exceed the limit outlined in paragraph (e)(4) of this
section, provided that any engines in excess of the limit meet the
emission standards and other requirements outlined in the applicable
provisions of Part 89 or 1039 of this chapter for the model year in
which the engine is modified (instead
[[Page 152]]
of the emission standards and other requirements applicable for the OP
year of the vehicle/engine).
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57021, Oct. 23, 1998; 70 FR 40446, July 13, 2005]
Sec. 89.604 Conditional admission.
(a) A nonroad engine offered for importation under Sec. 89.605 or
Sec. 89.609 may be conditionally admitted into the United States. These
engines are refused final admission, unless at the time of conditional
admission the importer has submitted to the Administrator a written
report that the subject nonroad engine has been permitted conditional
admission pending EPA approval of its application for final admission
under Sec. 89.605 or Sec. 89.609. This written report is to contain the
following:
(1) Identification of the importer of the nonroad engine and the
importer's address, telephone number, and taxpayer identification
number;
(2) Identification of the nonroad engine owner, the owner's address,
telephone number, and taxpayer identification number;
(3) Identification of the nonroad engine including make, model,
identification number, and original production year;
(4) Information indicating under what provision of these regulations
the nonroad engine is to be imported;
(5) Identification of the place where the subject nonroad engine is
to be stored until EPA approval of the importer's application to the
Administrator for final admission;
(6) Authorization for EPA enforcement officers to conduct
inspections or testing otherwise permitted by the Act or regulations
thereunder;
(7) Identification of the Independent Commercial Importer's (ICI)
certificate of conformity that permits the ICI to import that nonroad
engine (for importation under Sec. 89.605 or Sec. 89.609); and
(8) Such other information as is deemed necessary by the
Administrator.
(b) EPA will not require a U.S. Customs Service bond for a
nonconforming nonroad engine which is imported under Sec. 89.605 or
Sec. 89.609. The period of conditional admission may not exceed 120
days. Nonroad engines imported under Sec. 89.605 or Sec. 89.609 may not
be operated during the period of conditional admission except for that
operation necessary to comply with the requirements of this subpart.
During the period of conditional admission applicable to Sec. 89.605 or
Sec. 89.609, the importer must store the nonroad engine at a location
where the Administrator has reasonable access to the nonroad engine for
inspection.
(c) During the period of conditional admission under Sec. 89.605 or
Sec. 89.609, an ICI may transfer responsibility of a nonroad engine to
another qualified ICI for the purposes of complying with this subpart.
(1) The transferee ICI must be a holder of a currently valid
certificate of conformity for the specific nonroad engine being
transferred or be authorized to import the nonroad engine pursuant to
Sec. 89.609 as of the transfer date. The transferee ICI must comply with
all the requirements of Sec. 89.603, Sec. 89.604, and either Sec. 89.605
or Sec. 89.609, as applicable.
(2) For the purpose of this subpart, the transferee ICI has
``imported'' the nonroad engine as of the transfer date as designated in
a written record that is signed by both ICIs.
(3) The ICI that originally imported the nonroad engine is
responsible for all requirements of this subpart from the actual date of
importation until the date of transfer as designated in the written
record. The transferee ICI is responsible for all requirements of this
subpart beginning on the date of transfer.
(4) A copy of the written record is to be submitted to the Engine
Programs and Compliance Division of EPA within five working days of the
transfer date.
(d) Notwithstanding any other requirement of this subpart or U.S.
Customs Service regulations, an ICI may also assume responsibility for
the modification and testing of a nonconforming nonroad engine which was
previously imported by another party. The ICI must be a holder of a
currently valid certificate of conformity for that specific nonroad
engine or authorized to import it pursuant to Sec. 89.609 at the time of
assuming such responsibility.
[[Page 153]]
The ICI must comply with all the requirements of Sec. 89.603,
Sec. 89.604, and either Sec. 89.605 or Sec. 89.609, as applicable. For
the purposes of this subpart, the ICI has ``imported'' the nonroad
engine as of the date the ICI assumes responsibility for the
modification and testing of the nonroad engine. The ICI must submit
written notification to the Engine Programs and Compliance Division of
EPA within 10 working days of the assumption of that responsibility.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57021, Oct. 23, 1998]
Sec. 89.605 Final admission of certified nonroad engines.
(a) A nonroad engine may be finally admitted into the United States
upon approval of the ICI's application to the Administrator. The
application is made by completing EPA forms in accordance with EPA
instructions. The application contains:
(1) The information required in Sec. 89.604(a);
(2) Information demonstrating that the nonroad engine has been
modified in accordance with a valid certificate of conformity.
Demonstration is made in one of the following ways:
(i) The ICI attests that the nonroad engine has been modified in
accordance with the provisions of the ICI's certificate of conformity;
presents to EPA a statement written by the applicable Original Engine
Manufacturer that the Original Engine Manufacturer must provide to the
ICI, and to EPA, information concerning production changes to the class
of nonroad engines described in the ICI's application for certification;
delivers to the Engine Programs and Compliance Division of EPA
notification by the ICI of any production changes already implemented by
the Original Engine Manufacturer at the time of application and their
effect on emissions; and obtains from EPA written approval to use this
demonstration option; or
(ii) The ICI attests that the nonroad engine has been modified in
accordance with the provisions of the ICI's certificate of conformity.
The ICI also attests that it has conducted, within 120 days of entry, an
applicable and valid emission test on every third nonroad engine
imported under that certificate of conformity to demonstrate compliance
with Federal emission requirements. The test is to be conducted at a
laboratory located within the United States. Sequencing of the tests is
determined by the date of importation of each nonroad engine beginning
with the prototype nonroad engine used to obtain the applicable
certificate of conformity. Should the ICI exceed a threshold of 300
nonroad engines imported under the certificate of conformity without
adjustments or other changes in accordance with paragraph (a)(3) of this
section, the amount of required testing is reduced to every fifth
nonroad engine.
(3) The results of every emission test which the ICI conducted on
the nonroad engine pursuant to paragraph (a)(2)(ii) of this section.
Should a subject nonroad engine fail an emission test at any time, the
following procedures are applicable:
(i) The ICI may either:
(A) Conduct one retest that involves no adjustment of the nonroad
engine from the previous test (for example, adjusting the RPM, timing,
air-to-fuel ratio, and so forth) other than adjustments to adjustable
parameters that, upon inspection, were found to be out of tolerance.
When such an allowable adjustment is made, the parameter may be reset
only to the specified (that is, nominal) value (and not any other value
within the tolerance band); or
(B) Initiate a change in production (production change) under the
provisions of subpart B of this part that causes the nonroad engine to
meet federal emission requirements.
(ii) If the ICI chooses to retest in accordance with paragraph
(a)(3)(i)(A) of this section:
(A) The retests are to be completed no later than five working days
subsequent to the first emission test;
(B) Should the subject nonroad engine fail the second emission test,
then the ICI must initiate a change in production (a production change)
under the provisions of subpart B of this part that causes the nonroad
engine to meet federal emission requirements.
(iii) If the ICI chooses to initiate a change in production (a
production change) under the provisions of subpart B of this part that
causes the nonroad
[[Page 154]]
engine to meet federal requirements, a change involving adjustments of
adjustable nonroad engine parameters (for example, adjusting the RPM,
timing, air/fuel ratio) represents a change in the specified (that is,
nominal) value to be deemed acceptable by EPA.
(iv) A production change made in accordance with this section is to
be implemented on all subsequent nonroad engines imported under the
certificate of conformity after the date of importation of the nonroad
engine which gave rise to the production change.
(v) Commencing with the first nonroad engine receiving the
production change, every third nonroad engine imported under the
certificate of conformity is to be emission tested to demonstrate
compliance with federal emission requirements until, as in paragraph
(a)(2)(ii) of this section, a threshold of 300 nonroad engines imported
under the certificate of conformity is exceeded without adjustments or
other changes in accordance with paragraph (a)(3)(i)(A) of this section,
at which time the amount of required emission testing is reduced to
every fifth nonroad engine.
(vi) A report concerning these production changes is to be made to
the Engine Programs and Compliance Division of EPA within ten working
days of initiation of the production change. The cause of any failure of
an emission test is to be identified, if known;
(4) The applicable deterioration factor, if any;
(5) The emission test results adjusted by the deterioration factor;
(6) Other information that may be specified by applicable
regulations or on the certificate of conformity under which the nonroad
engine has been modified in order to assure compliance with requirements
of the Act;
(7) All information required under Sec. 89.610 related to
maintenance, warranties, and labeling;
(8) An attestation by the ICI that the ICI is responsible for the
nonroad engine's compliance with federal emission requirements,
regardless of whether the ICI owns the nonroad engine imported under
this section;
(9) The name, address, and telephone number of the person who the
ICI prefers to receive EPA notification under Sec. 89.605(c);
(10) An attestation by the ICI that all requirements of Sec. 89.607
and Sec. 89.610 have been met; and
(11) Other information as is deemed necessary by the Administrator.
(b) EPA approval for final admission of a nonroad engine under this
section is to be presumed not to have been granted if a requirement of
this subpart has not been met. This includes, but is not limited to,
properly modifying the nonroad engine to be in conformity in all
material respects with the description in the application for
certification or not complying with the provisions of Sec. 89.605(a)(2)
or if the final emission test results, adjusted by the deterioration
factor, if applicable, do not comply with applicable emission standards.
(c) Except as provided in paragraph (b) of this section, EPA
approval for final admission of a nonroad engine under this section is
presumed to have been granted if the ICI does not receive oral or
written notice from EPA to the contrary within 15 working days of the
date that the Engine Programs and Compliance Division of EPA receives
the ICI's application under paragraph (a) of this section. EPA notice of
nonapproval may be made to any employee of the ICI. It is the
responsibility of the ICI to ensure that the Engine Programs and
Compliance Division of EPA receives the application and to confirm the
date of receipt. During this 15 working day hold period, the nonroad
engine is to be stored at a location where the Administrator has
reasonable access to the nonroad engine for the Administrator's
inspection. The storage is to be within 50 miles of the ICI's testing
facility to allow the Administrator reasonable access for inspection and
testing. A storage facility not meeting this criterion must be approved
in writing by the Administrator prior to the submittal of the ICI's
application under paragraph (a) of this section.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57021, Oct. 23, 1998]
[[Page 155]]
Sec. 89.606 Inspection and testing of imported nonroad engines.
(a) In order to allow the Administrator to determine whether an
ICI's production nonroad engines comply with applicable emission
requirements or requirements of this subpart, an EPA enforcement officer
or authorized representative is authorized to conduct inspections and/or
tests of nonroad engines imported by the ICI. The ICI must admit an EPA
enforcement officer or authorized representative during operating hours
to any of the following places upon demand and upon presentation of
credentials:
(1) Any facility where any nonroad engine imported by the ICI under
this subpart was or is being modified, tested, or stored and
(2) Any facility where any record or other document relating to
modification, testing, or storage of the nonroad engine, or required to
be kept by Sec. 89.607, is located. EPA may require inspection or
testing of nonroad engines at the test facility used by the ICI or at an
EPA-designated testing facility, with transportation and/or testing
costs to be borne by the ICI.
(b) Upon admission to any facility referred to in paragraph (a) of
this section, an EPA enforcement officer or authorized representative is
allowed during operating hours:
(1) To inspect and monitor any part or aspect of activities relating
to the ICI's modification, testing, and/or storage of nonroad engines
imported under this subpart;
(2) To inspect and make copies of record(s) or document(s) related
to modification, testing, and storage of a nonroad engine, or required
by Sec. 89.607; and
(3) To inspect and photograph any part or aspect of the nonroad
engine and any component used in the assembly thereof.
(c) An EPA enforcement officer or authorized representative is to be
furnished, by those in charge of a facility being inspected, with such
reasonable assistance as the officer or representative may request to
help discharge any function listed in this subpart. An ICI must make
arrangements with those in charge of a facility operated for its benefit
to furnish such reasonable assistance without charge to EPA. Reasonable
assistance includes, but is not limited to, clerical, copying,
interpretation and translation services, and the making available on
request of personnel of the facility being inspected during their
working hours to inform the EPA enforcement officer or authorized
representative of how the facility operates and to answer any questions.
(d) The requirements of paragraphs (a), (b), and (c) of this section
apply whether or not the ICI owns or controls the facility in question.
It is the ICI's responsibility to make such arrangements as may be
necessary to assure compliance with paragraphs (a), (b), and (c) of this
section. Failure to do so, or other failure to comply with paragraphs
(a), (b), or (c), may result in sanctions as provided for in the Act or
Sec. 89.612(e).
(e) Duly designated enforcement officers are authorized to proceed
ex parte to seek warrants authorizing the inspection or testing of the
nonroad engines described in paragraph (a) of this section whether or
not the enforcement officers first attempted to seek permission from the
ICI or facility owner to inspect such nonroad engines.
(f) The results of the Administrator's test under this section
comprise the official test data for the nonroad engine for purposes of
determining whether the nonroad engine should be permitted final entry
under Sec. 89.605 or Sec. 89.609.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.607 Maintenance of independent commercial importer's records.
(a) The Independent Commercial Importer (ICI) subject to any of the
provisions of this subpart must establish and maintain adequately
organized and indexed records, correspondence and other applicable
documents relating to the certification, modification, test, purchase,
sale, storage, registration, and importation of that nonroad engine. The
ICI must retain such records for 8 years from the date of final
admission or exportation of a nonconforming nonroad engine imported by
the ICI. These records include, but are not limited to:
[[Page 156]]
(1) The declaration required by U.S. Bureau of Customs regulations.
(2) Any documents or other written information required by a federal
government agency to be submitted or retained in conjunction with the
certification, importation or emission testing (if applicable) of
nonroad engines;
(3) All bills of sale, invoices, purchase agreements, purchase
orders, principal or agent agreements, and correspondence between the
ICI and the ultimate purchaser of each nonroad engine and between any
agents of the above parties;
(4) For nonroad engines imported by an ICI pursuant to Sec. 89.605
or Sec. 89.609, documents providing parts identification data (including
calibration changes and part numbers and location of such parts on each
nonroad engine) associated with the emission control system installed on
each nonroad engine demonstrating that such emission control system was
properly installed on such nonroad engine;
(5) For nonroad engines imported by an ICI pursuant to Sec. 89.605
or Sec. 89.609, documents demonstrating that, where applicable, each
nonroad engine was emission tested in accordance with subpart E of this
part and part 86, subpart I of this chapter;
(6) Documents providing evidence that the requirements of
Sec. 89.610 have been met;
(7) Documents providing evidence of compliance with all relevant
requirements of the Clean Air Act;
(8) Documents providing evidence of the initiation of the 15 working
day hold period (that is, evidence that the application submitted
pursuant to Sec. 89.605(a) or Sec. 89.609(b) was received by EPA) for
each nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
(9) For nonroad engines owned by the ICI at the time of importation,
documents providing evidence of the date of sale and date of delivery to
the ultimate purchaser, together with the name, address, and telephone
number of the ultimate purchaser for each nonroad engine imported
pursuant to Sec. 89.605 or Sec. 89.609;
(10) For nonroad engines not owned by the ICI at the time of
importation, documents providing evidence and date of release to the
owner (including owner's name, address, and telephone number) for each
nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
(11) Documents providing evidence of the date of original
manufacture of the nonroad engine. The importer may substitute an
alternate date in lieu of the date of original manufacture, provided
that the substitution of such alternate date is approved in advance by
the Administrator.
(b) The ICI is responsible for ensuring the maintenance of records
required by this section, regardless of whether or not facilities used
by the ICI to comply with requirements of this subpart are under the
control of the ICI.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.608 ``In Use'' inspections and recall requirements.
(a) Nonroad engines which have been imported by an Independent
Commercial Importer (ICI) pursuant to Sec. 89.605 or Sec. 89.609 and
finally admitted by EPA may be inspected and emission tested by EPA for
the recall period specified in Sec. 89.104(b).
(b) ICIs must maintain for eight years, and provide to EPA upon
request, a list of owners or ultimate purchasers of all nonroad engines
imported by the ICI under this subpart.
(c) The Administrator must notify the ICI whenever the Administrator
has determined that a substantial number of a class or category of the
ICI's nonroad engines, although properly maintained and used, do not
conform to the regulations prescribed under section 213 of the Act when
in actual use throughout their useful lives. After such notification,
the recall regulations at subpart H of this part govern the ICI's
responsibilities. References to a manufacturer in the recall regulations
apply to the ICI.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Sec. 89.609 Final admission of modification nonroad engines and test nonroad engines.
(a) A nonroad engine may be imported under this section by an
Independent Commercial Importer (ICI) possessing a currently valid
certificate of conformity only if:
[[Page 157]]
(1) The nonroad engine is six original production years old or
older; and
(2) The ICI's name has not been placed on a currently effective EPA
list of ICIs ineligible to import such modification/test nonroad
engines, as described in paragraph (e) of this section; and
(3) The ICI has a currently valid certificate of conformity for the
same nonroad engine class and fuel type as the nonroad engine being
imported.
(b) A nonroad engine conditionally imported under this section may
be finally admitted into the United States upon approval of the ICI's
application by the Administrator. The application is to be made by
completing EPA forms, in accordance with EPA instructions. The ICI
includes in the application:
(1) The identification information required in Sec. 89.604;
(2) An attestation by the ICI that the nonroad engine has been
modified and tested in accordance with the applicable emission tests as
specified in Subpart B Sec. 89.119(a) of this part at a laboratory
within the United States;
(3) The results of all emission tests;
(4) The applicable deterioration factor assigned by EPA, if any;
(5) The emission test results adjusted by the applicable
deterioration factor;
(6) All information required under Sec. 89.610 related to
maintenance, warranties, and labeling;
(7) An attestation by the ICI that the ICI is responsible for the
nonroad engine's compliance with federal emission requirements,
regardless of whether the ICI owns the nonroad engine imported under
this section;
(8) The applicable address and telephone number of the ICI, or the
name, address, and telephone number of the person who the ICI prefers to
receive EPA notification under Sec. 89.609(d);
(9) An attestation by the ICI that all requirements of Sec. 89.607-
95 and Sec. 89.610 have been met; and
(10) Such other information as is deemed necessary by the
Administrator.
(c) EPA approval for final admission of a nonroad engine under this
section is presumed not to have been granted if any requirement of this
subpart has not been met.
(d) Except as provided in paragraph (c) of this section, EPA
approval for final admission of a nonroad engine under this section is
presumed to have been granted if the ICI does not receive oral or
written notice from EPA to the contrary within 15 working days of the
date that the Engine Programs and Compliance Division of EPA receives
the ICI's application under paragraph (b) of this section. Such EPA
notice of nonapproval may be made to any employee of the ICI. It is the
responsibility of the ICI to ensure that the Engine Programs and
Compliance Division of EPA receives the application and to confirm the
date of receipt. During this 15 working day hold period, the nonroad
engine is stored at a location where the Administrator has reasonable
access to the nonroad engine for the Administrator's inspection. The
storage is to be within 50 miles of the ICI's testing facility to allow
the Administrator reasonable access for inspection and testing. A
storage facility not meeting this criterion must be approved in writing
by the Administrator prior to the submittal of the ICI's application
under paragraph (b) of this section.
(e) EPA list of ICIs ineligible to import nonroad engines for
modification/test. EPA maintains a current list of ICIs who have been
determined to be ineligible to import nonroad engines under this
section. The determination of ineligibility is made in accordance with
the criteria and procedures in Sec. 89.612(e) of this subpart.
(f) Inspections. Prior to final admission, a nonroad engine imported
under this section is subject to special inspections as described in
Sec. 89.606 with these additional provisions:
(1) If, in the judgment of the Administrator, a significant number
of nonroad engines imported by an ICI fail to comply with emission
requirements upon inspection or retest or if the ICI fails to comply
with a provision of these regulations that pertain to nonroad engines
imported pursuant to Sec. 89.609, the ICI may be placed on the EPA list
of ICIs ineligible to import nonroad engines under this section as
specified in paragraph (e) of this section and Sec. 89.612(e).
[[Page 158]]
(2) An individual nonroad engine which fails a retest or inspection
is to be repaired and retested, as applicable, to demonstrate compliance
with emission requirements before final admission is granted by EPA.
(3) Unless otherwise specified by EPA, the ICI bears the costs of
all retesting under this subsection, including transportation.
(g) In-use inspection and testing. A nonroad engine imported under
this section may be tested or inspected by EPA at any time during the
recall period specified in Sec. 89.104(b), in accordance with
Sec. 89.608(a). If, in the judgment of the Administrator, a significant
number of properly maintained and used nonroad engines imported by the
ICI pursuant to this section fail to meet emission requirements, the
name of the ICI may be placed on the EPA list of ICIs ineligible to
import nonroad engines under the modification/test provision as
specified in paragraph (e) of this section and Sec. 89.612(e).
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57021, Oct. 23, 1998]
Sec. 89.610 Maintenance instructions, warranties, emission labeling.
The provisions of this section are applicable to all nonroad engines
imported under the provisions of Sec. 89.605 or Sec. 89.609.
(a) Maintenance instructions. (1) The Independent Commercial
Importer (ICI) must furnish to the purchaser, or to the owner of each
nonroad engine imported under Sec. 89.605 or Sec. 89.609 of this
subpart, written instructions for the maintenance and use of the nonroad
engine by the purchaser or owner. Each application for final admission
of a nonroad engine is to provide an attestation that such instructions
have been or will be (if the ultimate purchaser is unknown) furnished to
the purchaser or owner of such nonroad engine at the time of sale or
delivery. The ICI must maintain a record of having furnished such
instructions.
(2) For each nonroad engine imported under Sec. 89.609, a copy of
the maintenance and use instructions is to be maintained in a file
containing the records for that nonroad engine.
(3) The maintenance and use instructions are not to contain
requirements more restrictive than those set forth in Sec. 89.109
(Maintenance Instructions) and are to be in sufficient detail and
clarity that a mechanic of average training and ability can maintain or
repair the nonroad engine.
(4) For each nonroad engine imported pursuant to Sec. 89.605 or
Sec. 89.609, ICIs must furnish with each nonroad engine a list of the
emission control parts, emission-related parts added by the ICI, and the
emission control and emission-related parts furnished by the Original
Engine Manufacturer (OEM).
(5) The information required in this section to be furnished to the
ultimate purchaser or owner is to be copied and maintained in a file
containing the records for that nonroad engine prior to submitting each
application for final admission pursuant to Sec. 89.605(a) or
Sec. 89.609(b).
(b) Warranties. (1) ICIs must submit to the Engine Programs and
Compliance Division of EPA sample copies (including revisions) of any
warranty documents required by this section prior to importing nonroad
engines under this subpart.
(2) ICIs must provide to nonroad engine owners emission warranties
identical to those required by sections 207(a) of the Act. The warranty
period for each nonroad engine is to commence on the date the nonroad
engine is delivered by the ICI to the ultimate purchaser or owner.
(3) ICIs must provide warranty insurance coverage by a prepaid
mandatory service insurance policy underwritten by an independent
insurance company. The policy is to:
(i) Be subject to the approval of the Administrator if the insurance
coverage is less than the required warranty;
(ii) At a minimum, provide coverage for emission-related components
installed or modified by the ICI and, to the maximum extent possible,
the emission-related components installed by the OEM;
(iii) Be transferable to each successive owner for the periods
specified in Sec. 89.104(c); and
[[Page 159]]
(iv) Provide that in the absence of an ICI's facility being
reasonably available (that is, within 50 miles) for performance of
warranty repairs, the warranty repairs may be performed anywhere.
(4) ICIs must attest in each application for final admission that
the warranty requirements have been met, that the mandatory insurance
has been paid and is in effect, and that certificates and statements of
the warranties have been or will be provided to the owner or ultimate
purchaser. A copy of the warranties and evidence that the warranties are
paid and in effect is to be maintained in a file containing the records
for each nonroad engine prior to submitting each application for final
admission pursuant to Sec. 89.605(a) or Sec. 89.609(b).
(c) Emission labeling. (1) For each nonroad engine imported pursuant
to Sec. 89.605 or Sec. 89.609, the ICI must affix a permanent legible
label which identifies each nonroad engine and also satisfies the
following:
(i) The label meets all the requirements of Sec. 89.110 and contains
the following statement ``This nonroad engine was originally produced in
(month and year of original production). It has been imported and
modified by (ICI's name, address, and telephone number) to conform to
United States emission regulations applicable to the (year) model
year.''
(ii) If the nonroad engine is owned by the ICI at the time of
importation, the label also states ``This nonroad engine is warranted
for five years or 3000 hours of operation from the date of purchase,
whichever first occurs.''
(iii) If the nonroad engine is not owned by the ICI at the time of
importation, the label states ``This nonroad engine is warranted for
five years or 3000 hours of operation from the date of release to the
owner, whichever first occurs.''
(iv) For nonroad engines imported under Sec. 89.609, the label
clearly states in bold letters that ``This nonroad engine has not been
manufactured under a certificate of conformity but conforms to United
States emission regulations under a modification/test program.'' For all
nonroad engines imported pursuant to Sec. 89.605 or Sec. 89.609, the
label contains the vacuum hose routing diagram applicable to the nonroad
engines.
(2) As part of the application to the Administrator for final
admission of each individual nonroad engine under Sec. 89.609, the ICI
must maintain a copy of the labels for each nonroad engine in a file
containing the records for that nonroad engine prior to submitting each
application for final admission. ICIs importing under Sec. 89.605 or
Sec. 89.609 must attest to compliance with the preceding labeling
requirements of this section in each application for final admission.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57021, Oct. 23, 1998]
Sec. 89.611 Exemptions and exclusions.
(a) Individuals, as well as ICIs, are eligible for importing nonroad
engines into the United States under the provisions of this section,
unless otherwise specified.
(b) Notwithstanding other requirements of this subpart, a nonroad
engine entitled to one of the temporary exemptions of this paragraph may
be conditionally admitted into the United States if prior written
approval for the conditional admission is obtained from the
Administrator. Conditional admission is to be under bond. The
Administrator may request that the U.S. Customs Service require a
specific bond amount to ensure compliance with the requirements of the
Act and this subpart. A written request for approval from the
Administrator is to contain the identification required in
Sec. 89.604(a) (except for Sec. 89.604(a)(5)) and information that
demonstrates that the importer is entitled to the exemption.
Noncompliance with provisions of this section may result in the
forfeiture of the total amount of the bond or exportation of the nonroad
engine. The following temporary exemptions are permitted by this
paragraph:
(1) Exemption for repairs or alterations. A person may conditionally
import under bond a nonconforming engine solely for purpose of repairs
or alterations. The engine may not be operated in the United States
other than for the sole purpose of repair or alteration or shipment to
the point of repair or alteration and to the port of export. It
[[Page 160]]
may not be sold or leased in the United States and is to be exported
upon completion of the repairs or alterations.
(2) Testing exemption. A test nonroad engine may be conditionally
imported by a person subject to the requirements of Sec. 89.905. A test
nonroad engine may be operated in the United States provided that the
operation is an integral part of the test. This exemption is limited to
a period not exceeding one year from the date of importation unless a
request is made by the appropriate importer concerning the nonroad
engine in accordance with Sec. 89.905(f) for a subsequent one-year
period.
(3) Precertification exemption. A prototype nonroad engine for use
in applying to EPA for certification pursuant to this subpart may be
conditionally imported subject to applicable provisions of Sec. 89.906
and the following requirements:
(i) No more than one prototype nonroad engine for each engine family
for which an importer is seeking certification is to be imported.
(ii) The granting of precertification exemptions by the
Administrator is discretionary. Normally, no more than three outstanding
precertification exemptions are allowed for each importer. No
precertification exemption is allowed if the importer requesting the
exemption is in noncompliance with any requirement of this subpart until
the noncompliance is corrected.
(iii) Unless a certificate of conformity is issued for the prototype
nonroad engine and the nonroad engine is finally admitted pursuant to
the requirements of Sec. 89.605 within 180 days from the date of entry,
the total amount of the bond is to be forfeited or the nonroad engine
exported unless an extension is granted by the Administrator. A request
for an extension is to be in writing and received by the Administrator
prior to the date that the precertification exemption expires.
(iv) Such precertification nonroad engine may not be operated in the
United States other than for the sole purpose of the precertification
exemption.
(4) Display exemptions. (i) A nonroad engine intended solely for
display may be conditionally imported subject to the requirements of
Sec. 89.907.
(ii) A display nonroad engine may be imported by any person for
purposes related to a business or the public interest. Such purposes do
not include collections normally inaccessible or unavailable to the
public on a daily basis, display of a nonroad engine at a dealership,
private use, or other purpose that the Administrator determines is not
appropriate for display exemptions. A display nonroad engine may not be
sold in the United States and may not be operated in the United States
except for the operation incident and necessary to the display purpose.
(iii) A temporary display exemption is granted for 12 months or for
the duration of the display purpose, whichever is shorter. Two
extensions of up to 12 months each are available upon approval by the
Administrator. In no circumstances, however, may the total period of
exemption exceed 36 months. The U.S. Customs Service bonds a temporary
display exemption.
(c) Notwithstanding any other requirement of this subpart, a nonroad
engine may be finally admitted into the United States under this
paragraph if prior written approval for such final admission is obtained
from the Administrator. Conditional admission of these nonroad engines
under this subpart is not permitted for the purpose of obtaining such
written approval from the Administrator. A request for approval is to
contain the identification information required in Sec. 89.604(a)
(except for Sec. 89.604(a)(5)) and information that demonstrates that
the importer is entitled to the exemption or exclusion. The following
exemptions or exclusions are permitted by this paragraph:
(1) National security exemption. A nonroad engine may be imported
under the national security exemption found at Sec. 89.908.
(2) Hardship exemption. The Administrator may exempt on a case-by-
case basis a nonroad engine from federal emission requirements to
accommodate unforeseen cases of extreme hardship or extraordinary
circumstances.
(3) Exemption for nonroad engines identical to United States
certified versions. (i)
[[Page 161]]
A person (including businesses) is eligible for importing a nonroad
engine into the United States under the provisions of this paragraph. An
exemption will be granted if the nonroad engine:
(A) is owned by the importer;
(B) is not offered for importation for the purpose of resale; and
(C) is proven to be identical, in all material respects, to a
nonroad engine certified by the Original Engine Manufacturer (OEM) for
sale in the United States or is proven to have been modified to be
identical, in all material respects, to a nonroad engine certified by
the OEM for sale in the United States according to complete written
instructions provided by the OEM's United States representative, or his/
her designee.
(ii) Proof of conformity. (A) Documentation submitted pursuant to
this section for the purpose of proving conformity of individual nonroad
engines is to contain sufficiently organized data or evidence
demonstrating that the nonroad engine identified pursuant to
Sec. 89.604(a) is identical, in all material respects, to a nonroad
engine identified in an OEM's application for certification.
(B) If the documentation does not contain all the information
required by this part, or is not sufficiently organized, EPA notifies
the importer of any areas of inadequacy, and that the documentation does
not receive further consideration until the required information or
organization is provided.
(C) If EPA determines that the documentation does not clearly or
sufficiently demonstrate that a nonroad engine is eligible for
importation, EPA notifies the importer in writing.
(D) If EPA determines that the documentation clearly and
sufficiently demonstrates that a nonroad engine is eligible for
importation, EPA grants approval for importation and notifies the
importer in writing. Notwithstanding any other requirement of this
subpart, the notice constitutes approval for final admission into the
United States.
(d) Foreign diplomatic and military personnel may import a
nonconforming nonroad engine without bond. At the time of admission, the
importer must submit to the Administrator the written report required in
Sec. 89.604(a) (except for information required by Sec. 89.604(a)(5))
and a statement from the U.S. Department of State confirming
qualification for this exemption. The nonroad engine may not be sold in
the United States and must be exported if the individual's diplomatic
status is no longer applicable, as determined by the Department of
State, unless subsequently brought into conformity in accordance with
Secs. 89.605, 89.609, or 89.611(c)(3).
(e) Competition exclusion. A nonconforming engine may be imported by
any person provided the importer demonstrates to the Administrator that
the engine is used to propel a vehicle used solely for competition and
obtains prior written approval from the Administrator. A nonconforming
engine imported pursuant to this paragraph may not be operated in the
United States except for that operation incident and necessary for the
competition purpose, unless subsequently brought into conformity with
United States emission requirements in accordance with Secs. 89.605,
89.609, or 89.611(c)(3).
(f) Exclusions/exemptions based on date of original manufacture. (1)
Notwithstanding any other requirements of this subpart, the following
nonroad engines are excluded, as determined by the engine's gross power
output, from the requirements of the Act in accordance with section 213
of the Act and may be imported by any person:
(i) All nonroad engines greater than or equal to 37 kW but less than
75 kW originally manufactured prior to January 1, 1998.
(ii) All nonroad engines greater than or equal to 75 kW but less
than 130 kW originally manufactured prior to January 1, 1997.
(iii) All nonroad engines greater than or equal to 130 kW but less
than or equal to 560 kW originally manufactured prior to January 1,
1996.
(iv) All nonroad engines greater than 560 kW originally manufactured
prior to January 1, 2000.
(v) All nonroad engines greater than or equal to 19 kW but less than
37 kW originally manufactured prior to January 1, 1999.
[[Page 162]]
(vi) All nonroad engines less than 19 kW originally manufactured
prior to January 1, 2000.
(2) Notwithstanding other requirements of this subpart, a nonroad
engine not subject to an exclusion under Sec. 89.611(f)(1) but greater
than 20 original production (OP) years old is entitled to an exemption
from the requirements of the Act, provided that it has not been modified
in those 20 OP years and it is imported into the United States by an
ICI. At the time of admission, the ICI must submit to the Administrator
the written report required in Sec. 89.604(a) (except for information
required by Sec. 89.604(a)(5)).
(g) An application for exemption and exclusion provided for in
paragraphs (b), (c), and (e) of this section is to be mailed to: U.S.
Environmental Protection Agency, Office of Mobile Sources, Engine
Programs and Compliance Division (6405-J), 1200 Pennsylvania Ave., NW.,
Washington, DC 20460, Attention: Imports.
[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996,
57022, Oct. 23, 1998; 70 FR 40446, July 13, 2005; 72 FR 53129, Sept. 18,
2007]
Sec. 89.612 Prohibited acts; penalties.
(a) The importation of a nonroad engine, including a nonroad engine
incorporated into a nonroad vehicle or nonroad equipment, which is not
covered by a certificate of conformity other than in accordance with
this subpart and the entry regulations of the U.S. Customs Service is
prohibited. Failure to comply with this section is a violation of
section 213(d) and section 203 of the Act.
(b) Unless otherwise permitted by this subpart, during a period of
conditional admission, the importer of a nonroad engine may not:
(1) Register, license, or operate the nonroad engine in the United
States;
(2) Sell or offer the nonroad engine for sale;
(3) Store the nonroad engine on the premises of a dealer (unless
approved by the Administrator), owner, or purchaser;
(4) Relinquish control of the nonroad engine to the owner or
purchaser; or
(5) Cause a nonroad engine to be altered in any manner subsequent to
modification and testing, if applicable, for which an application for
final admission is based and submitted to the Administrator, unless
approved in advance by the Administrator.
(c) A nonroad engine conditionally admitted pursuant to Sec. 89.604
and not granted final admission within 120 days of such conditional
admission, or within such additional time as the Administrator and the
U.S. Customs Service may allow, is deemed to be unlawfully imported into
the United States in violation of section 213(d) and section 203 of the
Act, unless the nonroad engine has been delivered to the U.S. Customs
Service for export or other disposition under applicable Customs laws
and regulations. A nonroad engine not so delivered is subject to seizure
by the U.S. Customs Service.
(d) An importer who violates section 213(d) and section 203 of the
Act is subject to the provisions of section 209 of the Act and is also
subject to a civil penalty under section 205 of the Act of not more than
$32,500 for each nonroad engine subject to the violation.
In addition to the penalty provided in the Act, where applicable, a
person or entity who imports an engine under the exemption provisions of
Sec. 89.611(b) and, who fails to deliver the nonroad engine to the U.S.
Customs Service is liable for liquidated damages in the amount of the
bond required by applicable Customs laws and regulations. The maximum
penalty value listed in this paragraph (d) is shown for calendar year
2004. Maximum penalty limits for later years may be adjusted based on
the Consumer Price Index. The specific regulatory provisions for
changing the maximum penalties, published in 40 CFR part 19, reference
the applicable U.S. Code citation on which the prohibited action is
based.
(e)(1) An ICI whose nonroad engines imported under Sec. 89.605 or
Sec. 89.609 fail to conform to federal emission requirements after
modification and/or testing or who fails to comply with applicable
provisions of this subpart, may, in addition to any other applicable
sanctions and penalties, be subject to any, or all, of the following
sanctions:
(i) The ICI's currently held certificates of conformity may be
revoked or suspended;
[[Page 163]]
(ii) The ICI may be deemed ineligible to apply for new certificates
of conformity for up to three years; and
(iii) The ICI may be deemed ineligible to import nonroad engines
under Sec. 89.609 in the future and be placed on a list of ICIs
ineligible to import nonroad engines under the provisions of
Sec. 89.609.
(2) Grounds for the actions described in paragraph (e)(1) of this
section include, but are not limited to, the following:
(i) Action or inaction by the ICI or the laboratory performing the
emission test on behalf of the ICI, which results in fraudulent,
deceitful, or grossly inaccurate representation of any fact or condition
which affects a nonroad engine's eligibility for admission to the United
States under this subpart;
(ii) Failure of a significant number of imported nonroad engines to
comply with federal emission requirements upon EPA inspection or retest;
or
(iii) Failure by an ICI to comply with requirements of this subpart.
(3) The following procedures govern any decision to suspend, revoke,
or refuse to issue certificates of conformity under this subpart:
(i) When grounds appear to exist for the actions described in
paragraph (e)(1) of this section, the Administrator must notify the ICI
in writing of any intended suspension or revocation of a certificate of
conformity, proposed ineligibility to apply for new certificates of
conformity, or intended suspension of eligibility to conduct
modification/testing under Sec. 89.609, and the grounds for such action.
(ii) Except as provided by paragraph (e)(3)(iv), the ICI must take
the following actions before the Administrator will consider withdrawing
notice of intent to suspend or revoke the ICI's certificate of
conformity or to deem the ICI ineligible to apply for new certification
or to deem the ICI ineligible to perform modification/testing under
Sec. 89.609:
(A) Submit a written report to the Administrator which identifies
the reason for the noncompliance of the nonroad engine, describes the
proposed remedy, including a description of any proposed quality control
and/or quality assurance measures to be taken by the ICI to prevent the
future occurrence of the problem, and states the date on which the
remedies are to be implemented or
(B) Demonstrate that the nonroad engine does in fact comply with
applicable regulations in this chapter by retesting, if applicable, the
nonroad engine in accordance with the applicable emission test specified
in subpart E of this part.
(iii) An ICI may request, within 15 calendar days of the
Administrator's notice of intent to suspend or revoke the ICI's
certificate of conformity or to deem the ICI ineligible to apply for new
certificates or to deem the ICI ineligible to perform modification/
testing under Sec. 89.609, that the Administrator grant such ICI a
hearing:
(A) As to whether the tests, if applicable, have been properly
conducted,
(B) As to any substantial factual issue raised by the
Administrator's proposed action.
(iv) If, after the Administrator notifies an ICI of the intent to
suspend or revoke the ICI's certificate of conformity or to deem the ICI
ineligible to apply for new certificates or to deem the ICI ineligible
to perform modification/testing under Sec. 89.609 and prior to any final
suspension or revocation, the ICI demonstrates to the Administrator's
satisfaction that the decision to initiate suspension or revocation of
the certificate of conformity or eligibility to perform modification/
testing under Sec. 89.609 was based on erroneous information, the
Administrator will withdraw the notice of intent.
(4) Hearings on suspensions and revocations of certificates of
conformity or of eligibility to apply for new certificates or of
eligibility to perform modification/testing under Sec. 89.609 will be
held in accordance with the following:
(i) The procedures prescribed by this section will apply whenever an
ICI requests a hearing pursuant to paragraph (e)(3)(iii) of this
section.
(ii) Hearings under paragraph (e)(3)(iii) will be held in accordance
with the procedures outlined in Sec. 86.614 of this chapter, where
applicable, provided that where Sec. 86.612 is referred to in
Sec. 86.614: Sec. 86.612(a) is replaced by Sec. 89.612(e)(2); and
Sec. 86.612(i) is replaced by Sec. 89.612(e)(3)(iii).
[[Page 164]]
(5) When a hearing is requested under this section and it clearly
appears from the data or other information contained in the request for
a hearing, or submitted at the hearing, that no genuine and substantial
question of fact exists with respect to the issue of whether the ICI
failed to comply with this subpart, the Administrator will enter an
order denying the request for a hearing, or terminating the hearing, and
suspending or revoking the certificate of conformity and/or deeming the
ICI ineligible to apply for new certificates or to perform modification/
testing under Sec. 89.609.
(6) In lieu of requesting a hearing under paragraph (e)(3)(iii) of
this section, an ICI may respond in writing to EPA's charges in the
notice of intent to suspend or revoke. An ICI's written response must be
received by EPA within 30 days of the date of EPA's notice of intent. No
final decision to suspend or revoke will be made before that time.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998,
as amended at 70 FR 40446, July 13, 2005]
Sec. 89.613 Treatment of confidential information.
The provisions for treatment of confidential information as
described in Sec. 89.7 apply.
[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]
Subpart H_Recall Regulations
Sec. 89.701 Applicability.
The requirements of subpart H are applicable to all nonroad engines
subject to the provisions of subpart A of part 89.
Sec. 89.702 Definitions.
The definitions in subpart A of this part apply to this subpart.
Sec. 89.703 Applicability of part 85, subpart S.
(a) Nonroad engines subject to provisions of subpart B of this part
are subject to recall regulations specified in part 85, subpart S of
this title, except for the items set forth in this section.
(b) Reference to section 214 of the Clean Air Act in Sec. 85.1801 is
replaced by reference to section 216 of the Clean Air Act.
(c) Reference to section 202 of the Act in Sec. 85.1802(a) is
replaced by reference to section 213 of the Act.
(d) Reference to ``family particulate emission limits as defined in
Part 86 promulgated under section 202 of the Act'' in Sec. 85.1803(a)
and Sec. 85.1805(a)(1) is replaced by reference to family emission
limits as defined in part 89 promulgated under section 213 of the Act.
(e) Reference to ``vehicles or engines'' throughout the subpart is
replaced by reference to ``engines.''
Subpart I_Emission Defect Reporting Requirements
Sec. 89.801 Applicability.
The requirements of subpart I are applicable to all nonroad engines
subject to the provisions of subpart A of part 89. The requirement to
report emission-related defects affecting a given class or category of
engines remains applicable for five years from the end of the model year
in which such engines were manufactured.
Sec. 89.802 Definitions.
The definitions in subpart A of this part apply to this subpart.
Sec. 89.803 Applicability of part 85, subpart T.
(a) Nonroad engines subject to provisions of subpart B of this part
are subject to emission defect reporting requirements specified in part
85, subpart T of this chapter, except for the items set forth in this
section.
(b) Section 85.1901 is replaced by Sec. 89.801.
(c) Reference to the Clean Air Act, 42 U.S.C. 1857 in
Sec. 85.1902(a) is replaced by reference to the Clean Air Act, 42 U.S.C.
7401.
(d) Reference to the ``approved Application for Certification
required by 40 CFR 86.077-22 and like provisions of Part 85 and Part 86
of Title 40 of the Code of Federal Regulations'' in Sec. 85.1902(b) is
replaced by reference to the approved application for certification
required by Sec. 89.115 and like provisions of part 89 of this chapter.
[[Page 165]]
(e) Reference to section 202(d) of the Act in Sec. 85.1902(c) is
replaced by reference to section 202(d) and section 213 of the Act.
(f) Reference to section 214 of the Act in Sec. 85.1902 (e) and (f)
is replaced by reference to section 216 of the Act.
(g) Reference to ``vehicles or engines'' throughout the subpart is
replaced by reference to ``engines.''
Subpart J_Exemption Provisions
Sec. 89.901 Applicability.
The requirements of subpart J are applicable to all nonroad engines
subject to the provisions of subpart A of part 89.
Sec. 89.902 Definitions.
The definitions in subpart A of this part apply to this subpart. The
following definitions also apply to this subpart.
Exemption means exemption from the prohibitions of Sec. 89.1006.
Export exemption means an exemption granted under Sec. 89.1004(b)
for the purpose of exporting new nonroad engines.
National security exemption means an exemption which may be granted
under Sec. 89.1004(b) for the purpose of national security.
Manufacturer-owned nonroad engine means an uncertified nonroad
engine owned and controlled by a nonroad engine manufacturer and used in
a manner not involving lease or sale by itself or in a vehicle or piece
of equipment employed from year to year in the ordinary course of
business for product development, production method assessment, and
market promotion purposes.
Testing exemption means an exemption which may be granted under
Sec. 89.1004(b) for the purpose of research investigations, studies,
demonstrations or training, but not including national security.
Sec. 89.903 Application of section 216(10) of the Act.
(a) For the purpose of determining the applicability of section
216(10) of the Act, an internal combustion engine (including the fuel
system) that is not used in a motor vehicle is deemed a nonroad engine
if it meets the definition in subpart A of this part.
(b) EPA will maintain a list of nonroad engines that have been
determined to be excluded because they are used solely for competition.
This list will be available to the public and may be obtained by writing
to the following address: Chief, Selective Enforcement Auditing Section,
Engine Programs and Compliance Division (6405-J), Environmental
Protection Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
(c) Upon written request, EPA will make written determinations as to
whether certain engines are or are not nonroad engines. Engines that are
determined not to be nonroad engines are excluded from regulations under
this part.
[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]
Sec. 89.904 Who may request an exemption.
(a) Any person may request a testing exemption under Sec. 89.905.
(b) Any nonroad engine manufacturer may request a national security
exemption under Sec. 89.908.
(c) For nonroad engine manufacturers, nonroad engines manufactured
for export purposes are exempt without application, subject to the
provisions of Sec. 89.909.
(d) For eligible manufacturers, as determined by Sec. 89.906,
manufacturer-owned nonroad engines are exempt without application,
subject to the provisions of Sec. 89.906.
(e) For any person, display nonroad engines are exempt without
application, subject to the provisions of Sec. 89.907.
Sec. 89.905 Testing exemption.
(a) Any person requesting a testing exemption must demonstrate the
following:
(1) That the proposed test program has a purpose which constitutes
an appropriate basis for an exemption in accordance with this section;
(2) That the proposed test program necessitates the granting of an
exemption;
(3) That the proposed test program exhibits reasonableness in scope;
and
(4) That the proposed test program exhibits a degree of control
consonant
[[Page 166]]
with the purpose of the test program and EPA's monitoring requirements.
(5) Paragraphs (b), (c), (d), and (e) of this section describe what
constitutes a sufficient demonstration for each of the four identified
elements.
(b) With respect to the purpose of the proposed test program, an
appropriate purpose would be research, investigations, studies,
demonstrations, or training, but not national security. A concise
statement of purpose is a required item of information.
(c) With respect to the necessity that an exemption be granted,
necessity arises from an inability to achieve the stated purpose in a
practicable manner without performing or causing to be performed one or
more of the prohibited acts under Sec. 89.1003. In appropriate
circumstances, time constraints may be a sufficient basis for necessity,
but the cost of certification alone, in the absence of extraordinary
circumstances, is not a basis for necessity.
(d) With respect to reasonableness, a test program must exhibit a
duration of reasonable length and affect a reasonable number of engines.
In this regard, required items of information include:
(1) An estimate of the program's duration, and
(2) The maximum number of nonroad engines involved.
(e) With respect to control, the test program must incorporate
procedures consistent with the purpose of the test and be capable of
affording EPA monitoring capability. As a minimum, required items of
information include:
(1) The technical nature of the test;
(2) The site of the test;
(3) The time or mileage duration of the test;
(4) The ownership arrangement with regard to the engines involved in
the test;
(5) The intended final disposition of the engines;
(6) The manner in which the engine identification numbers will be
identified, recorded, and made available; and
(7) The means or procedure whereby test results will be recorded.
(f) A manufacturer of new nonroad engines may request a testing
exemption to cover nonroad engines intended for use in test programs
planned or anticipated over the course of a subsequent one-year period.
Unless otherwise required by the Director, Engine Programs and
Compliance Division, a manufacturer requesting such an exemption need
only furnish the information required by paragraphs (a)(1) and (d)(2) of
this section along with a description of the record-keeping and control
procedures that will be employed to assure that the engines are used for
purposes consistent with paragraph (a) of this section.
[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]
Sec. 89.906 Manufacturer-owned exemption and precertification
exemption.
(a) Except as provided in paragraph (b) of this section, any
manufacturer-owned nonroad engine, as defined by Sec. 89.902, is exempt
from Sec. 89.1003, without application, if the manufacturer complies
with the following terms and conditions:
(1) The manufacturer must establish, maintain, and retain the
following adequately organized and indexed information on each exempted
engine:
(i) Engine identification number,
(ii) Use of the engine on exempt status and
(iii) Final disposition of any engine removed from exempt status;
and
(2) The manufacturer must provide right of entry and access to these
records to EPA authorized representatives as outlined in Sec. 89.506.
(3) Unless the requirement is waived or an alternate procedure is
approved by the Director, Engine Programs and Compliance Division, the
manufacturer must permanently affix a label to each nonroad engine on
exempt status. This label should:
(i) Be affixed in a readily visible portion of the engine,
(ii) Be attached in such a manner that cannot be removed without
destruction or defacement,
(iii) State in the English language and in block letters and
numerals of a color that contrasts with the background of the label, the
following information:
(A) The label heading ``Emission Control Information;''
[[Page 167]]
(B) Full corporate name and trademark of manufacturer;
(C) Engine displacement, engine family identification, and model
year of engine; or person of office to be contacted for further
information about the engine;
(D) The statement ``This nonroad engine is exempt from the
prohibitions of 40 CFR 89.1003.''
(4) No provision of paragraph (a)(3) of this section prevents a
manufacturer from including any other information it desires on the
label.
(b) Any independent commercial importer that desires a
precertification exemption pursuant to Sec. 89.611(b)(3) and is in the
business of importing, modifying, or testing uncertified nonroad engines
for resale under the provisions of subpart G of this part, must apply to
the Director, Engine Programs and Compliance Division. The Director may
require such independent commercial importer to submit information
regarding the general nature of the fleet activities, the number of
nonroad engines involved, and a demonstration that adequate record-
keeping procedures for control purposes will be employed.
[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]
Sec. 89.907 Display exemption.
Where an uncertified nonroad engine is a display engine to be used
solely for display purposes, will only be operated incident and
necessary to the display purpose, and will not be sold unless an
applicable certificate of conformity has been received or the engine has
been finally admitted pursuant to subpart G of this part, no request for
exemption of the engine is necessary.
Sec. 89.908 National security exemption.
(a)(1) Any nonroad engine, otherwise subject to this part, which is
used in a vehicle that exhibits substantial features ordinarily
associated with military combat such as armor and/or permanently affixed
weaponry and which will be owned and/or used by an agency of the federal
government with responsibility for national defense, will be considered
exempt from these regulations for purposes of national security. No
request for exemption is necessary.
(2) Manufacturers may request a national security exemption for any
nonroad engine, otherwise subject to this part, which does not meet the
conditions described in paragraph (a)(1) of this section. A manufacturer
requesting a national security exemption must state the purpose for
which the exemption is required and the request must be endorsed by an
agency of the federal government charged with responsibility for
national defense.
(b) EPA will maintain a list of models of nonroad engines (and the
vehicles which use them) that have been granted a national security
exemption under paragraph (a)(2) of this section. This list will be
available to the public and may be obtained by writing to the following
address: Group Manager, Engine Compliance Programs Group, Engine
Programs and Compliance Division (6403J) Environmental Protection
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
(c) Manufacturers must add a legible label, written in block letters
in English, to each engine exempted under this section. The label must
be permanently secured to a readily visible part of the engine needed
for normal operation and not normally requiring replacement, such as the
engine block. This label must include at least the following items:
(1) The label heading ``EMISSION CONTROL INFORMATION''.
(2) Your corporate name and trademark.
(3) Engine displacement, engine family identification (as
applicable), and model year of the engine or whom to contact for further
information.
(4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL
SECURITY UNDER 40 CFR 89.908.''.
[61 FR 52102, Oct. 4, 1996, as amended at 69 FR 39213, June 29, 2004]
Sec. 89.909 Export exemptions.
(a) A new nonroad engine intended solely for export, and so labeled
or tagged on the outside of the container and on the engine itself, is
subject to the provisions of Sec. 89.1003, unless the importing country
has new nonroad engine emission standards which differ from EPA
standards.
[[Page 168]]
(b) For the purpose of paragraph (a) of this section, a country
having no standards, whatsoever, is deemed to be a country having
emission standards which differ from EPA standards.
(c) EPA will maintain a list of foreign countries that have in force
nonroad emission standards identical to EPA standards and have so
notified EPA. This list may be obtained by writing to the following
address: Chief, Selective Enforcement Auditing Section, Manufacturers
Operations Division (6405-J), Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460. New nonroad engines
exported to such countries must comply with EPA certification
regulations.
(d) It is a condition of any exemption for the purpose of export
under paragraph (a) of this section, that such exemption is void ab
initio with respect to a new nonroad engine intended solely for export,
where such nonroad engine is sold, or offered for sale, to an ultimate
purchaser or otherwise distributed or introduced into commerce in the
United States for purposes other than export.
Sec. 89.910 Granting of exemptions.
(a) If upon completion of the review of an exemption request made
pursuant to Sec. 89.905 or Sec. 89.908, EPA determines it is appropriate
to grant such an exemption, a memorandum of exemption is to be prepared
and submitted to the person requesting the exemption. The memorandum is
to set forth the basis for the exemption, its scope, and such terms and
conditions as are deemed necessary. Such terms and conditions generally
include, but are not limited to, agreements by the applicant to conduct
the exempt activity in the manner described to EPA, create and maintain
adequate records accessible to EPA at reasonable times, employ labels
for the exempt engines setting forth the nature of the exemption, take
appropriate measures to assure that the terms of the exemption are met,
and advise EPA of the termination of the activity and the ultimate
disposition of the engines.
(b) Any exemption granted pursuant to paragraph (a) of this section
is deemed to cover any subject engine only to the extent that the
specified terms and conditions are complied with. A breach of any term
or condition causes the exemption to be void ab initio with respect to
any engine. Consequently, the causing or the performing of an act
prohibited under Sec. 89.1003(a)(1) or (a)(3), other than in strict
conformity with all terms and conditions of this exemption, renders the
person to whom the exemption is granted, and any other person to whom
the provisions of Sec. 89.1003(a) are applicable, liable to suit under
sections 204 and 205 of the Act.
(c) Manufacturers may ask EPA to apply the provisions of 40 CFR
1068.201(i) to engines exempted or excluded under this subpart.
[59 FR 31335, June 17, 1994, as amended at 69 FR 39213, June 29, 2004]
Sec. 89.911 Submission of exemption requests.
Requests for exemption or further information concerning exemptions
and/or the exemption request review procedure should be addressed to:
Chief, Selective Enforcement Auditing Section, Engine Programs and
Compliance Division (6405-J), Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
[63 FR 57022, Oct. 23, 1998]
Sec. 89.912 Treatment of confidential information.
The provisions for treatment of confidential information as
described in Sec. 89.7 apply.
Sec. 89.913 What provisions apply to engines certified under the
motor-vehicle program?
You may use the provisions of 40 CFR 1039.605 to introduce new
nonroad engines into commerce if they are already certified to the
requirements that apply to compression-ignition engines under 40 CFR
parts 85 and 86. However, when using the provisions of 40 CFR 1039.605,
references to this part 89 or sections in this part shall be used
instead of references to 40 CFR part 1039 or sections in that part.
[70 FR 40447, July 13, 2005]
[[Page 169]]
Sec. 89.914 What provisions apply to vehicles certified under
the motor-vehicle program?
You may use the provisions of 40 CFR 1039.610 to introduce new
nonroad engines or equipment into commerce if the vehicle is already
certified to the requirements that apply under 40 CFR parts 85 and 86.
However, when using the provisions of 40 CFR 1039.610, references to
this part 89 or sections in this part shall be used instead of
references to 40 CFR part 1039 or sections in that part.
[70 FR 40447, July 13, 2005]
Sec. 89.915 Staged-assembly exemption.
You may ask us to provide a temporary exemption to allow you to
complete production of your engines at different facilities, as long as
you maintain control of the engines until they are in their certified
configuration. We may require you to take specific steps to ensure that
such engines are in their certified configuration before reaching the
ultimate purchaser. You may request an exemption under this section in
your application for certification, or in a separate submission.
[70 FR 40447, July 13, 2005]
Sec. 89.916 Emergency-vessel exemption for marine engines below 37 kW.
The prohibitions in Sec. 89.1003(a)(1) do not apply to new marine
engines used in lifeboats and rescue boats as described in 40 CFR
94.914.
[73 FR 37194, June 30, 2008]
Subpart K_General Enforcement Provisions and Prohibited Acts
Sec. 89.1001 Applicability.
The requirements of subpart K are applicable to all nonroad engines
subject to the provisions of subpart A of part 89, and to all nonroad
vehicles and equipment that contain such nonroad engines.
Sec. 89.1002 Definitions.
The definitions in subpart A of this part apply to this subpart.