- § 1039.1 - Does this part apply for my engines?
- § 1039.2 - Who is responsible for compliance?
- § 1039.5 - Which engines are excluded from this part's requirements?
- § 1039.10 - How is this part organized?
- § 1039.15 - Do any other regulation parts apply to me?
- § 1039.20 - What requirements from this part apply to excluded stationary engines?
- § 1039.30 - Submission of information.
§ 1039.1 - Does this part apply for my engines?
(a) The regulations in this part 1039 apply for all new, compression-ignition nonroad engines (defined in § 1039.801), except as provided in § 1039.5.
(b) This part 1039 applies as follows:
(1) This part 1039 applies for all engines subject to the emission standards specified in subpart B of this part starting with the model years noted in the following table:
Table 1 of § 1039.1—Part 1039 Applicability by Model Year
| Power category | Model year | kW <19 | 1 2008 | 19 ≤kW <56 | 2 2008 | 56 ≤kW <130 | 2012 | 130 ≤kW ≤560 | 2011 | kW >560 | 2011 |
|---|
1 As described in § 1039.102, some engines below 19 kW may not be subject to the emission standards in this part until the 2010 model year.
2 As described in § 1039.102, some engines in the 19-56 kW power category may not be subject to the emission standards in this part until the 2012 model year.
(2) If you use the provisions of § 1039.104(a) to certify an engine to the emission standards of this part before the model years shown in Table 1 of this section, all the requirements of this part apply for those engines.
(3) Engines originally meeting Tier 1, Tier 2, or Tier 3 standards as specified in appendix I of this part remain subject to the standards in subpart B of this part. This includes uncertified engines that meet standards under 40 CFR 1068.265. Affected engines remain subject to recall provisions as specified in 40 CFR part 1068, subpart F, throughout the useful life corresponding to the original certification. Also, tampering and defeat-device prohibitions continue to apply for those engines as specified in 40 CFR 1068.101.
(4) This part 1039 applies for other compression-ignition engines as follows:
(i) The provisions of paragraph (c) of this section and § 1039.801 apply for stationary engines beginning January 1, 2006.
(ii) The provisions of § 1039.620 and § 1039.801 apply for engines used solely for competition beginning January 1, 2006.
(c) The definition of nonroad engine in 40 CFR 1068.30 excludes certain engines used in stationary applications. These engines may be required by 40 CFR part 60, subpart IIII, to comply with some of the provisions of this part; otherwise, these engines are only required to comply with the requirements in § 1039.20. In addition, the prohibitions in 40 CFR 1068.101 restrict the use of stationary engines for nonstationary purposes unless they are certified to the same standards that would apply to certain nonroad engines for the same model year.
(d) In certain cases, the regulations in this part 1039 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.
§ 1039.2 - Who is responsible for compliance?
The regulations in this part 1039 contain provisions that affect both manufacturers and others. However, the requirements of this part are generally addressed to the manufacturer. The term “you” generally means the manufacturer, as defined in § 1039.801, especially for issues related to certification. Note that for engines that become new after being placed into service (such as engines converted from highway or stationary use), the requirements that normally apply for manufacturers of freshly manufactured engines apply to the importer or any other entity we allow to obtain a certificate of conformity.
§ 1039.5 - Which engines are excluded from this part's requirements?
This part does not apply to certain nonroad engines, as follows:
(a) Locomotive engines. (1) The following locomotive engines are not subject to the provisions of this part 1039:
(i) Engines in locomotives certified under 40 CFR part 1033.
(ii) Engines in locomotives that are exempt from the standards of 40 CFR part 92 or 1033 pursuant to the provisions of 40 CFR part 1033 or 1068 (except for the provisions of 40 CFR 1033.150(e)).
(2) The following locomotive engines are subject to the provisions of this part 1039:
(i) Engines in locomotives exempt from 40 CFR part 1033 pursuant to the provisions of 40 CFR 1033.150(e).
(ii) Locomotive engines excluded from the definition of locomotive in 40 CFR 1033.901.
(iii) Locomotive engines produced under the provisions of 40 CFR 1033.625.
(b) Marine engines. (1) The following marine engines are not subject to the provisions of this part 1039:
(i) Engines subject to the standards of 40 CFR part 94.
(ii) Engines not subject to the standards of 40 CFR part 94 only because they were produced before the standards of 40 CFR part 94 started to apply.
(iii) Engines that are exempt from the standards of 40 CFR part 94 pursuant to the provisions of 40 CFR part 94 (except for the provisions of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under 40 CFR 94.906 because it is a manufacturer-owned engine is not subject to the provisions of this part 1039.
(iv) Engines with rated power below 37 kW.
(v) Engines on foreign vessels.
(2) Marine engines are subject to the provisions of this part 1039 if they are exempt from 40 CFR part 94 based on the engine-dressing provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR 94.912.
(c) Mining engines. Engines used in underground mining or in underground mining equipment and regulated by the Mining Safety and Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75 are not subject to the provisions of this part 1039.
(d) Hobby engines. Engines installed in reduced-scale models of vehicles that are not capable of transporting a person are not subject to the provisions of this part 1039.
(e) Engines used in recreational vehicles. Engines certified to meet the requirements of 40 CFR part 1051 are not subject to the provisions of this part 1039.
§ 1039.10 - How is this part organized?
This part 1039 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of part 1039 and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify engines under this part. Note that § 1039.102 and § 1039.104 discuss certain interim requirements and compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate of conformity.
(d) [Reserved]
(e) Subpart E of this part describes general provisions for testing in-use engines.
(f) Subpart F of this part describes how to test your engines (including references to other parts of the Code of Federal Regulations).
(g) Subpart G of this part and 40 CFR part 1068 describe requirements, prohibitions, and other provisions that apply to engine manufacturers, equipment manufacturers, owners, operators, rebuilders, and all others.
(h) Subpart H of this part describes how you may generate and use emission credits to certify your engines.
(i) Subpart I of this part contains definitions and other reference information.
§ 1039.15 - Do any other regulation parts apply to me?
(a) Part 1065 of this chapter describes procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part 1039 describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the exhaust emission standards in this part.
(b) The requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part 1039, or equipment containing these engines. Part 1068 of this chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, equipment manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(c) Other parts of this chapter apply if referenced in this part.
§ 1039.20 - What requirements from this part apply to excluded stationary engines?
The provisions of this section apply for engines built on or after January 1, 2006.
(a) You must add a permanent label or tag to each new engine you produce or import that is excluded under § 1039.1(c) as a stationary engine and is not required by 40 CFR part 60, subpart IIII, to meet the requirements described in this part, or the requirements described in 40 CFR part 1042, that are equivalent to the requirements applicable to marine or land-based nonroad engines for the same model year. To meet labeling requirements, you must do the following things:
(1) Attach the label or tag in one piece so no one can remove it without destroying or defacing it.
(2) Secure it to a part of the engine needed for normal operation and not normally requiring replacement.
(3) Make sure it is durable and readable for the engine's entire life.
(4) Write it in English.
(5) Follow the requirements in § 1039.135(g) regarding duplicate labels if the engine label is obscured in the final installation.
(b) Engine labels or tags required under this section must have the following information:
(1) Include the heading “EMISSION CONTROL INFORMATION.”
(2) Include your full corporate name and trademark.
(3) State the engine displacement (in liters) and maximum engine power (or in the case of fire pumps, NFPA nameplate engine power).
(4) State: “THIS ENGINE IS EXEMPTED FROM NONROAD CERTIFICATION REQUIREMENTS AS A “STATIONARY ENGINE.” INSTALLING OR USING THIS ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.”
(c) Stationary engines required by 40 CFR part 60, subpart IIII, to meet the requirements described in this part or 40 CFR part 1042, must meet the labeling requirements of 40 CFR 60.4210.
§ 1039.30 - Submission of information.
Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1039.801). See § 1039.825 for additional reporting and recordkeeping provisions.