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(b) The requirements of subpart I of 

this part apply to remanufactured 

engines beginning July 7, 2008. 

(c) See 40 CFR part 94 for 

requirements that apply to engines with 

maximum engine power at or above 37 

kW not yet subject to the requirements 

of this part 1042. See 40 CFR part 89 for 

requirements that apply to engines with 

maximum engine power below 37 kW 

not yet subject to the requirements of 

this part 1042. 

(d) The provisions of §§ 1042.620 and 

1042.901 apply for new engines used 

solely for competition beginning 

January 1, 2009. 

(e) Marine engines powered by 

natural gas with maximum engine 

power at or above 250 kW are deemed 

to be compression-ignition engines. 

These engines are therefore subject to all 

the requirements of this part even if 

they do not meet the definition of 

‘‘compression-ignition’’ in § 1042.901. 

§ 1042.2 Who is responsible for 

compliance? 

The regulations in this part 1042 

contain provisions that affect both 

engine manufacturers and others. 

However, the requirements of this part, 

other than those of subpart I of this part, 

are generally addressed to the engine 

manufacturer for freshly manufactured 

marine engines or other certificate 

holders. The term ‘‘you’’ generally 

means the engine manufacturer, as 

defined in § 1042.901, especially for 

issues related to certification (including 

production-line testing, reporting, etc.). 

§ 1042.5 Exclusions. 

This part does not apply to the 

following marine engines: 

(a) Foreign vessels. The requirements 

and prohibitions of this part do not 

apply to engines installed on foreign 

vessels, as defined in § 1042.901. 

(b) Hobby engines. Engines with percylinder displacement below 50 cubic 

centimeters are not subject to the 

provisions of this part 1042. 

§ 1042.10 Organization of this part. 

This part 1042 is divided into the 

following subparts: 

(a) Subpart A of this part defines the 

applicability of this part 1042 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 

§ 1042.145 discusses 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) Subpart D of this part describes 

general provisions for testing 

production-line engines. 

(e) Subpart E of this part describes 

general provisions for testing in-use 

engines. 

(f) Subpart F of this part and 40 CFR 

1065 describe how to test your engines. 

(g) Subpart G of this part and 40 CFR 

part 1068 describe requirements, 

prohibitions, and other provisions that 

apply to engine manufacturers, vessel 

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 describes how 

these regulations apply for 

remanufactured engines. 

(j) Subpart J of this part contains 

definitions and other reference 

information. 

§ 1042.15 Do any other regulation parts 

apply to me? 

(a) The evaporative emission 

requirements of part 1060 of this 

chapter apply to vessels that include 

installed engines fueled with a volatile 

liquid fuel as specified in § 1042.107. 

(Note: Conventional diesel fuel is not 

considered to be a volatile liquid fuel.) 

(b) Part 1065 of this chapter describes 

procedures and equipment 

specifications for testing engines. 

Subpart F of this part 1042 describes 

how to apply the provisions of part 1065 

of this chapter to determine whether 

engines meet the emission standards in 

this part. 

(c) 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 1042, or vessels 

containing these engines. Part 1068 of 

this chapter describes general 

provisions, including these seven areas: 

(1) Prohibited acts and penalties for 

engine manufacturers, vessel 

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. 

(d) Other parts of this chapter apply 

if referenced in this part. 

Subpart B—Emission Standards and 

Related Requirements 

§ 1042.101 Exhaust emission standards. 

(a) Duty-cycle standards. Exhaust 

emissions from your engines may not 

exceed emission standards, as follows: 

(1) Measure emissions using the test 

procedures described in subpart F of 

this part. 

(2) The following CO emission 

standards in this paragraph (a)(2) apply 

starting with the applicable model year 

identified in § 1042.1: 

(i) 8.0 g/kW-hr for engines below 8 

kW. 

(ii) 6.6 g/kW-hr for engines at or above 

8 kW and below 19 kW. 

(iii) 5.5 g/kW-hr for engines at or 

above 19 kW and below 37 kW. 

(iv) 5.0 g/kW-hr for engines at or 

above 37 kW. 

(3) Except as described in paragraphs 

(a)(4) and (5) of this section, the Tier 3 

standards for PM and NOX+HC 

emissions are described in the following 

tables: 

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BILLING CODE 1505–01–C 

TABLE 2 TO § 1042.101.—TIER 3 STANDARDS FOR CATEGORY 2 ENGINES BELOW 3700 KW a 

Displacement (L/cyl) Maximum engine power Model year PM 

(g/kW-hr) 

NOX+HC 

(g/kW-hr) 

7.0 ≤ disp. < 15.0 ............................................ 

15.0 ≤ disp. < 20.0 c ........................................ 

20.0 ≤ disp. < 25.0 c ........................................ 

25.0 ≤ disp. < 30.0 c ........................................ 

kW < 2000 ...................................................... 

2000 ≤ kW < 3700 ......................................... 

kW < 2000 ...................................................... 

kW < 2000 ...................................................... 

kW < 2000 ...................................................... 

2013+ 

2013+ 

2014+ 

2014+ 

2014+ 

0.14 

0.14 

0.34 

0.27 

0.27 

6.2 

b 7.8 

7.0 

9.8 

11.0 

a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines. b For engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standard specified in Appendix I of 

this part. c No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum engine power is at or above 

2000 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines. 

(4) For Tier 3 engines at or above 19 

kW and below 75 kW with displacement 

below 0.9 L/cyl, you may alternatively 

certify some or all of your engine 

families to a PM emission standard of 

0.20 g/kW-hr and a NOX+HC emission 

standard of 5.8 g/kW-hr for 2014 and 

later model years. 

(5) Starting with the 2014 model year, 

recreational marine engines at or above 

3700 kW (with any displacement) must 

be certified under this part 1042 to the 

Tier 3 standards specified in this section 

for 3.5 to 7.0 L/cyl recreational marine 

engines. 

(6) Interim Tier 4 PM standards apply 

for 2014 and 2015 model year engines 

between 2000 and 3700 kW as specified 

in this paragraph (a)(6). These engines 

are considered to be Tier 4 engines. 

(i) For Category 1 engines, the Tier 3 

PM standards from Table 1 to this 

section continue to apply. PM FELs for 

these engines may not be higher than 

the applicable Tier 2 PM standards 

specified in Appendix I of this part. 

(ii) For Category 2 engines with percylinder displacement below 15.0 liters, 

the Tier 3 PM standards from Table 2 to 

this section continue to apply. PM FELs 

for these engines may not be higher than 

0.27 g/kW-hr. 

(iii) For Category 2 engines with percylinder displacement at or above 15.0 

liters, the PM standard is 0.34 g/kW-hr 

for engines at or above 2000 kW and 
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below 3300 kW, and 0.27 g/kW-hr for 3700 kW. PM FELs for these engines standards for PM, NOX, and HC 

engines at or above 3300 kW and below may not be higher than 0.50 g/kW-hr. emissions are described in the following 

(7) Except as described in paragraph table: 

(a)(8) of this section, the Tier 4 

TABLE 3 TO § 1042.101.—TIER 4 STANDARDS FOR CATEGORY 2 AND COMMERCIAL CATEGORY 1 ENGINES ABOVE 600 

KW 

Maximum engine power Displacement 

(L/cyl) Model year PM (g/kW-hr) 

NOX 

(g/kW-hr) 

HC 

(g/kW-hr) 

600 ≤ kW < 1400 ...................................... 

1400 ≤ kW < 2000 .................................... 

2000 ≤ kW < 3700 a .................................. 

kW ≥ 3700 ................................................ 

all .............................................................. 

all .............................................................. 

all .............................................................. 

disp. <15.0 ................................................ 

15.0 ≤ disp.< 30.0 .................................... 

all .............................................................. 

2017+ 

2016+ 

2014+ 

2014–2015 

2014–2015 

2016+ 

0.04 

0.04 

0.04 

0.12 

0.25 

0.06 

1.8 

1.8 

1.8 

1.8 

1.8 

1.8 

0.19 

0.19 

0.19 

0.19 

0.19 

0.19 

a See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for engines between 2000 and 3700 

kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is 7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 

PM FEL cap for engines at or above 2000 kW and below 3700 kW is 0.34 g/kW-hr. 

(8) The following optional provisions 

apply for complying with the Tier 3 and 

Tier 4 standards specified in paragraphs 

(a)(3) and (6) of this section: 

(i) You may use NOX credits 

accumulated through the ABT program 

to certify Tier 4 engines to a NOX+HC 

emission standard of 1.9 g/kW-hr 

instead of the NOX and HC standards 

that would otherwise apply by 

certifying your family to a NOX+HC 

FEL. Calculate the NOX credits needed 

as specified in subpart H of this part 

using the NOX+HC emission standard 

and FEL in the calculation instead of the 

otherwise applicable NOX standard and 

FEL. You may not generate credits 

relative to the alternate standard or 

certify to the standard without using 

credits. 

(ii) For engines below 1000 kW, you 

may delay complying with the Tier 4 

standards in the 2017 model year for up 

to nine months, but you must comply 

no later than October 1, 2017. 

(iii) For engines at or above 3700 kW, 

you may delay complying with the Tier 

4 standards in the 2016 model year for 

up to twelve months, but you must 

comply no later than December 31, 

2016. 

(iv) For Category 2 engines at or above 

1400 kW, you may alternatively comply 

with the Tier 3 and Tier 4 standards 

specified in Table 4 of this section 

instead of the NOX, HC, NOX+HC, and 

PM standards specified in paragraphs 

(a)(3) and (6) of this section. The CO 

standards specified in paragraph (a)(2) 

of this section apply without regard to 

whether you choose this option. If you 

choose this option, you must do so for 

all engines at or above 1400 kW in the 

same displacement category (that is, 7– 

15, 15–20, 20–25, or 25–30 liters per 

cylinder) in model years 2012 through 

2015. 

TABLE 4 TO § 1042.101.—OPTIONAL TIER 3 AND TIER 4 STANDARDS FOR CATEGORY 2 ENGINES AT OR ABOVE 1400 KW 

Tier Maximum engine power Model year PM 

(g/kW-hr) 

NOX 

(g/kW-hr) 

HC 

(g/kW-hr) 

Tier 3 ........................................................ 

Tier 4 ........................................................ 

kW ≥ 1400 ................................................ 

1400 ≤ kW < 3700 .................................... 

kW ≥ 3700 ................................................ 

2012–2014 

2015 

2015 

0.14 

0.04 

0.06 

7.8 NOX+HC 

1.8 0.19 

1.8 0.19 

(b) Averaging, banking, and trading. 

You may generate or use emission 

credits under the averaging, banking, 

and trading (ABT) program as described 

in subpart H of this part for 

demonstrating compliance with NOX, 

NOX+HC, and PM emission standards 

for Category 1 and Category 2 engines. 

You may also use NOX or NOX+HC 

emission credits to comply with the 

alternate NOX+HC standard in 

paragraph (a)(8)(i) of this section. 

Generating or using emission credits 

requires that you specify a family 

emission limit (FEL) for each pollutant 

you include in the ABT program for 

each engine family. These FELs serve as 

the emission standards for the engine 

family with respect to all required 

testing instead of the standards 

specified in paragraph (a) of this 

section. The FELs determine the not-toexceed standards for your engine family, 

as specified in paragraph (c) of this 

section. Unless otherwise specified, the 

following FEL caps apply: 

(1) FELs for Tier 3 engines may not be 

higher than the applicable Tier 2 

standards specified in Appendix I of 

this part. 

(2) FELs for Tier 4 engines may not be 

higher than the applicable Tier 3 

standards specified in paragraph (a)(3) 

of this section. 

(c) Not-to-exceed standards. Except as 

noted in § 1042.145(e), exhaust 

emissions from all engines subject to the 

requirements of this part may not 

exceed the not-to-exceed (NTE) 

standards as follows: 

(1) Use the following equation to 

determine the NTE standards: 

(i) NTE standard for each pollutant = 

STD × M. 

Where: 

STD = The standard specified for that 

pollutant in this section if you certify 

without using ABT for that pollutant; or the 

FEL for that pollutant if you certify using 

ABT. 

M = The NTE multiplier for that pollutant. 

(ii) Round each NTE standard to the 

same number of decimal places as the 

emission standard. 

(2) Determine the applicable NTE 

zone and subzones as described in 

§ 1042.515. Determine NTE multipliers 

for specific zones and subzones and 

pollutants as follows: 

(i) For commercial marine engines 

certified using the duty cycle specified 

in § 1042.505(b)(1), except for variablespeed propulsion marine engines used 
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with controllable-pitch propellers or 

with electrically coupled propellers, 

apply the following NTE multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.5 for NOX+HC 

standards. 

(D) Subzone 2: 1.9 for PM and CO 

standards. 

(ii) For recreational marine engines 

certified using the duty cycle specified 

in § 1042.505(b)(2), except for variablespeed marine engines used with 

controllable-pitch propellers or with 

electrically coupled propellers, apply 

the following NTE multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzones 2 and 3: 1.5 for NOX+HC 

standards. 

(D) Subzones 2 and 3: 1.9 for PM and 

CO standards. 

(iii) For variable-speed marine 

engines used with controllable-pitch 

propellers or with electrically coupled 

propellers that are certified using the 

duty cycle specified in § 1042.505(b)(1), 

(2), or (3), apply the following NTE 

multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.5 for NOX+HC 

standards. 

(D) Subzone 2: 1.9 for PM and CO 

standards. However, there is no NTE 

standard in Subzone 2b for PM 

emissions if the engine family’s 

applicable standard for PM is at or 

above 0.07 g/kW-hr. 

(iv) For constant-speed engines 

certified using a duty cycle specified in 

§ 1042.505(b)(3) or (4), apply the 

following NTE multipliers: 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.5 for NOX+HC 

standards. 

(D) Subzone 2: 1.9 for PM and CO 

standards. However, there is no NTE 

standard for PM emissions if the engine 

family’s applicable standard for PM is at 

or above 0.07 g/kW-hr. 

(v) For variable-speed auxiliary 

marine engines certified using the duty 

cycle specified in § 1042.505(b)(5)(ii) or 

(iii): 

(A) Subzone 1: 1.2 for Tier 3 NOX+HC 

standards. 

(B) Subzone 1: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

(C) Subzone 2: 1.2 for Tier 3 NOX+HC 

standards. 

(D) Subzone 2: 1.5 for Tier 4 standards 

and Tier 3 PM and CO standards. 

However, there is no NTE standard for 

PM emissions if the engine family’s 

applicable standard for PM is at or 

above 0.07 g/kW-hr. 

(3) The NTE standards apply to your 

engines whenever they operate within 

the NTE zone for an NTE sampling 

period of at least thirty seconds, during 

which only a single operator demand set 

point may be selected. Engine operation 

during a change in operator demand is 

excluded from any NTE sampling 

period. There is no maximum NTE 

sampling period. 

(4) Collect emission data for 

determining compliance with the NTE 

standards using the procedures 

described in subpart F of this part. 

(5) You may ask us to accept as 

compliant an engine that does not fully 

meet specific requirements under the 

applicable NTE standards where such 

deficiencies are necessary for safety. 

(d) Fuel types. The exhaust emission 

standards in this section apply for 

engines using the fuel type on which the 

engines in the engine family are 

designed to operate. 

(1) You must meet the numerical 

emission standards for hydrocarbons in 

this section based on the following 

types of hydrocarbon emissions for 

engines powered by the following fuels: 

(i) Alcohol-fueled engines must 

comply with Tier 3 HC standards based 

on THCE emissions and with Tier 4 

standards based on NMHCE emissions. 

(ii) Natural gas-fueled engines must 

comply with HC standards based on 

NMHC emissions. 

(iii) Diesel-fueled and other engines 

must comply with Tier 3 HC standards 

based on THC emissions and with Tier 

4 standards based on NMHC emissions. 

(2) Tier 3 and later engines must 

comply with the exhaust emission 

standards when tested using test fuels 

containing 15 ppm or less sulfur (ultra 

low-sulfur diesel fuel). Manufacturers 

may use low-sulfur diesel fuel (without 

request) to certify an engine otherwise 

requiring an ultra low-sulfur test fuel; 

however, emissions may not be 

corrected to account for the effects of 

using higher sulfur fuel. 

(3) Engines designed to operate using 

residual fuel must comply with the 

standards and requirements of this part 

when operated using residual fuel in 

addition to complying with the 

requirements of this part when operated 

using diesel fuel. 

(e) Useful life. Your engines must 

meet the exhaust emission standards of 

this section over their full useful life, 

expressed as a period in years or hours 

of engine operation, whichever comes 

first. 

(1) The minimum useful life values 

are as follows, except as specified by 

paragraph (e)(2) or (3) of this section: 

(i) 10 years or 1,000 hours of 

operation for recreational Category 1 

engines 

(ii) 5 years or 3,000 hours of operation 

for commercial engines below 19 kW. 

(iii) 7 years or 5,000 hours of 

operation for commercial engines at or 

above 19 kW and below 37kW. 

(iv) 10 years or 10,000 hours of 

operation for commercial Category 1 

engines at or above 37 kW. 

(v) 10 years or 20,000 hours of 

operation for Category 2 engines. 

(2) Specify a longer useful life in 

hours for an engine family under either 

of two conditions: 

(i) If you design, advertise, or market 

your engine to operate longer than the 

minimum useful life (your 

recommended hours until rebuild 

indicates a longer design life). 

(ii) If your basic mechanical warranty 

is longer than the minimum useful life. 

(3) You may request in your 

application for certification that we 

approve a shorter useful life for an 

engine family. We may approve a 

shorter useful life, in hours of engine 

operation but not in years, if we 

determine that these engines will rarely 

operate longer than the shorter useful 

life. If engines identical to those in the 

engine family have already been 

produced and are in use, your 

demonstration must include 

documentation from such in-use 

engines. In other cases, your 

demonstration must include an 

engineering analysis of information 

equivalent to such in-use data, such as 

data from research engines or similar 

engine models that are already in 

production. Your demonstration must 

also include any overhaul interval that 

you recommend, any mechanical 

warranty that you offer for the engine or 

its components, and any relevant 

customer design specifications. Your 

demonstration may include any other 

relevant information. The useful life 

value may not be shorter than any of the 

following: 

(i) 1,000 hours of operation. 

(ii) Your recommended overhaul 

interval. 

(iii) Your mechanical warranty for the 

engine. 

(f) Applicability for testing. The dutycycle emission standards in this subpart 

apply to all testing performed according 

to the procedures in § 1042.505, 

including certification, production-line, 

and in-use testing. The not-to-exceed 

standards apply for all testing 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37249 

performed according to the procedures 

of subpart F of this part. 

§ 1042.107 Evaporative emission 

standards. 

You must design and produce engines 

fueled with a volatile liquid fuel to 

minimize evaporative emissions during 

normal operation, including periods 

when the engine is shut down. You 

must also design and produce them to 

minimize the escape of fuel vapors 

during refueling. Hoses used to refuel 

gaseous-fueled engines may not be 

designed to be bled or vented to the 

atmosphere under normal operating 

conditions. No valves or pressure-relief 

vents may be used on gaseous-fueled 

engines except as emergency safety 

devices that do not operate at normal 

system operating flows and pressures. 

§ 1042.110 Recording reductant use and 

other diagnostic functions. 

(a) Engines equipped with SCR 

systems using a reductant other than the 

engine’s fuel must meet the following 

requirements: 

(1) The diagnostic system must 

monitor reductant quality and tank 

levels and alert operators to the need to 

refill the reductant tank before it is 

empty, or to replace the reductant if it 

does not meet your concentration 

specifications. Unless we approve other 

alerts, use a malfunction-indicator light 

(MIL) and an audible alarm. You do not 

need to separately monitor reductant 

quality if you include an exhaust NOX 

sensor (or other sensor) that allows you 

to determine inadequate reductant 

quality. However, tank level must be 

monitored in all cases. 

(2) The onboard computer log must 

record in nonvolatile computer memory 

all incidents of engine operation with 

inadequate reductant injection or 

reductant quality. 

(b) If you determine your emission 

controls have failure modes that may 

reasonably be expected to affect safety, 

equip the engines with diagnostic 

features that will alert the operator to 

such failures. Use good engineering 

judgment to alert the operator before the 

failure occurs. 

(c) You may equip your engine with 

other diagnostic features. If you do, they 

must be designed to allow us to read 

and interpret the codes. Note that 

§§ 1042.115 and 1042.205 require that 

you provide us any information needed 

to read, record, and interpret all the 

information broadcast by an engine’s 

onboard computers and electronic 

control units. 

§ 1042.115 Other requirements. 

Engines that are required to comply 

with the emission standards of this part 

must meet the following requirements: 

(a) Crankcase emissions. Crankcase 

emissions may not be discharged 

directly into the ambient atmosphere 

from any engine throughout its useful 

life, except as follows: 

(1) Engines may discharge crankcase 

emissions to the ambient atmosphere if 

the emissions are added to the exhaust 

emissions (either physically or 

mathematically) during all emission 

testing. If you take advantage of this 

exception, you must do both of the 

following things: 

(i) Manufacture the engines so that all 

crankcase emissions can be routed into 

the applicable sampling systems 

specified in 40 CFR part 1065. 

(ii) Account for deterioration in 

crankcase emissions when determining 

exhaust deterioration factors. 

(2) For purposes of this paragraph (a), 

crankcase emissions that are routed to 

the exhaust upstream of exhaust 

aftertreatment during all operation are 

not considered to be discharged directly 

into the ambient atmosphere. 

(b) Torque broadcasting. 

Electronically controlled engines must 

broadcast their speed and output shaft 

torque (in newton-meters). Engines may 

alternatively broadcast a surrogate value 

for determining torque. Engines must 

broadcast engine parameters such that 

they can be read with a remote device, 

or broadcast them directly to their 

controller area networks. This 

information is necessary for testing 

engines in the field (see § 1042.515). 

(c) EPA access to broadcast 

information. If we request it, you must 

provide us any hardware or tools we 

would need to readily read, interpret, 

and record all information broadcast by 

an engine’s on-board computers and 

electronic control modules. If you 

broadcast a surrogate parameter for 

torque values, you must provide us 

what we need to convert these into 

torque units. We will not ask for 

hardware or tools if they are readily 

available commercially. 

(d) Adjustable parameters. An 

operating parameter is not considered 

adjustable if you permanently seal it or 

if it is not normally accessible using 

ordinary tools. The following provisions 

apply for adjustable parameters: 

(1) Category 1 engines that have 

adjustable parameters must meet all the 

requirements of this part for any 

adjustment in the physically adjustable 

range. We may require that you set 

adjustable parameters to any 

specification within the adjustable range 

during any testing, including 

certification testing, selective 

enforcement auditing, or in-use testing. 

(2) Category 2 engines that have 

adjustable parameters must meet all the 

requirements of this part for any 

adjustment in the specified adjustable 

range. You must specify in your 

application for certification the 

adjustable range of each adjustable 

parameter on a new engine to— 

(i) Ensure that safe engine operating 

characteristics are available within that 

range, as required by section 202(a)(4) of 

the Clean Air Act (42 U.S.C. 7521(a)(4)), 

taking into consideration the production 

tolerances. 

(ii) Limit the physical range of 

adjustability to the maximum extent 

practicable to the range that is necessary 

for proper operation of the engine. 

(e) Prohibited controls. You may not 

design your engines with emissioncontrol devices, systems, or elements of 

design that cause or contribute to an 

unreasonable risk to public health, 

welfare, or safety while operating. For 

example, this would apply if the engine 

emits a noxious or toxic substance it 

would otherwise not emit, that 

contributes to such an unreasonable 

risk. 

(f) Defeat devices. You may not equip 

your engines with a defeat device. A 

defeat device is an auxiliary emission 

control device that reduces the 

effectiveness of emission controls under 

conditions that the engine may 

reasonably be expected to encounter 

during normal operation and use. This 

does not apply to auxiliary emission 

control devices you identify in your 

certification application if any of the 

following is true: 

(1) The conditions of concern were 

substantially included in the applicable 

duty-cycle test procedures described in 

subpart F of this part (the portion during 

which emissions are measured). See 

paragraph (f)(4) of this section for other 

conditions. 

(2) You show your design is necessary 

to prevent engine (or vessel) damage or 

accidents. 

(3) The reduced effectiveness applies 

only to starting the engine. 

§ 1042.120 Emission-related warranty 

requirements. 

(a) General requirements. You must 

warrant to the ultimate purchaser and 

each subsequent purchaser that the new 

engine, including all parts of its 

emission control system, meets two 

conditions: 

(1) It is designed, built, and equipped 

so it conforms at the time of sale to the 

ultimate purchaser with the 

requirements of this part. 
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37250 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(2) It is free from defects in materials 

and workmanship that may keep it from 

meeting these requirements. 

(b) Warranty period. Your emissionrelated warranty must be valid for at 

least as long as the minimum warranty 

periods listed in this paragraph (b) in 

hours of operation and years, whichever 

comes first. You may offer an emissionrelated warranty more generous than we 

require. The emission-related warranty 

for the engine may not be shorter than 

any published warranty you offer 

without charge for the engine. Similarly, 

the emission-related warranty for any 

component may not be shorter than any 

published warranty you offer without 

charge for that component. If an engine 

has no hour meter, we base the warranty 

periods in this paragraph (b) only on the 

engine’s age (in years). 

The warranty period begins when the 

engine is placed into service. The 

following minimum warranty periods 

apply: 

(1) For Category 1 and Category 2 

engines, your emission-related warranty 

must be valid for at least 50 percent of 

the engine’s useful life in hours of 

operation or a number of years equal to 

at least 50 percent of the useful life in 

years, whichever comes first. 

(2) [Reserved] 

(c) Components covered. The 

emission-related warranty covers all 

components whose failure would 

increase an engine’s emissions of any 

pollutant, including those listed in 40 

CFR part 1068, Appendix I, and those 

from any other system you develop to 

control emissions. The emission-related 

warranty for freshly manufactured 

marine engines covers these 

components even if another company 

produces the component. Your 

emission-related warranty does not 

cover components whose failure would 

not increase an engine’s emissions of 

any pollutant. For remanufactured 

engines, your emission-related warranty 

does not cover used parts that are not 

replaced during the remanufacture. 

(d) Limited applicability. You may 

deny warranty claims under this section 

if the operator caused the problem 

through improper maintenance or use, 

as described in 40 CFR 1068.115. 

(e) Owners manual. Describe in the 

owners manual the emission-related 

warranty provisions from this section 

that apply to the engine. 

§ 1042.125 Maintenance instructions for 

Category 1 and Category 2 engines. 

Give the ultimate purchaser of each 

new engine written instructions for 

properly maintaining and using the 

engine, including the emission control 

system, as described in this section. The 

maintenance instructions also apply to 

service accumulation on your emissiondata engines as described in § 1042.245 

and in 40 CFR part 1065. This section 

applies only to Category 1 and Category 

2 engines. 

(a) Critical emission-related 

maintenance. Critical emission-related 

maintenance includes any adjustment, 

cleaning, repair, or replacement of 

critical emission-related components. 

This may also include additional 

emission-related maintenance that you 

determine is critical if we approve it in 

advance. You may schedule critical 

emission-related maintenance on these 

components if you meet the following 

conditions: 

(1) You demonstrate that the 

maintenance is reasonably likely to be 

done at the recommended intervals on 

in-use engines. We will accept 

scheduled maintenance as reasonably 

likely to occur if you satisfy any of the 

following conditions: 

(i) You present data showing that any 

lack of maintenance that increases 

emissions also unacceptably degrades 

the engine’s performance. 

(ii) You present survey data showing 

that at least 80 percent of engines in the 

field get the maintenance you specify at 

the recommended intervals. 

(iii) You provide the maintenance free 

of charge and clearly say so in 

maintenance instructions for the 

customer. 

(iv) You otherwise show us that the 

maintenance is reasonably likely to be 

done at the recommended intervals. 

(2) For engines below 130 kW, you 

may not schedule critical emissionrelated maintenance more frequently 

than the following minimum intervals, 

except as specified in paragraphs (a)(4), 

(b), and (c) of this section: 

(i) For EGR-related filters and coolers, 

PCV valves, and fuel injector tips 

(cleaning only), the minimum interval is 

1,500 hours. 

(ii) For the following components, 

including associated sensors and 

actuators, the minimum interval is 3,000 

hours: Fuel injectors, turbochargers, 

catalytic converters, electronic control 

units, particulate traps, trap oxidizers, 

components related to particulate traps 

and trap oxidizers, EGR systems 

(including related components, but 

excluding filters and coolers), and other 

add-on components. For particulate 

traps, trap oxidizers, and components 

related to either of these, maintenance is 

limited to cleaning and repair only. 

(3) For Category 1 and Category 2 

engines at or above 130 kW, you may 

not schedule critical emission-related 

maintenance more frequently than the 

following minimum intervals, except as 

specified in paragraphs (a)(4), (b), and 

(c) of this section: 

(i) For EGR-related filters and coolers, 

PCV valves, and fuel injector tips 

(cleaning only), the minimum interval is 

1,500 hours. 

(ii) For the following components, 

including associated sensors and 

actuators, the minimum interval is 4500 

hours: Fuel injectors, turbochargers, 

catalytic converters, electronic control 

units, particulate traps, trap oxidizers, 

components related to particulate traps 

and trap oxidizers, EGR systems 

(including related components, but 

excluding filters and coolers), and other 

add-on components. For particulate 

traps, trap oxidizers, and components 

related to either of these, maintenance is 

limited to cleaning and repair only. 

(4) We may approve shorter 

maintenance intervals than those listed 

in paragraph (a)(3) of this section where 

technologically necessary. 

(5) If your engine family has an 

alternate useful life under § 1042.101(e) 

that is shorter than the period specified 

in paragraph (a)(2) or (a)(3) of this 

section, you may not schedule critical 

emission-related maintenance more 

frequently than the alternate useful life, 

except as specified in paragraph (c) of 

this section. 

(b) Recommended additional 

maintenance. You may recommend any 

additional amount of maintenance on 

the components listed in paragraph (a) 

of this section, as long as you state 

clearly that these maintenance steps are 

not necessary to keep the emissionrelated warranty valid. If operators do 

the maintenance specified in paragraph 

(a) of this section, but not the 

recommended additional maintenance, 

this does not allow you to disqualify 

those engines from in-use testing or 

deny a warranty claim. Do not take 

these maintenance steps during service 

accumulation on your emission-data 

engines. 

(c) Special maintenance. You may 

specify more frequent maintenance to 

address problems related to special 

situations, such as atypical engine 

operation. You must clearly state that 

this additional maintenance is 

associated with the special situation you 

are addressing. 

(d) Noncritical emission-related 

maintenance. Subject to the provisions 

of this paragraph (d), you may schedule 

any amount of emission-related 

inspection or maintenance that is not 

covered by paragraph (a) of this section 

(that is, maintenance that is neither 

explicitly identified as critical emissionrelated maintenance, nor that we 

approve as critical emission-related 

maintenance). Noncritical emission-
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37251 

related maintenance generally includes 

maintenance on the components we 

specify in 40 CFR part 1068, Appendix 

I. You must state in the owners manual 

that these steps are not necessary to 

keep the emission-related warranty 

valid. If operators fail to do this 

maintenance, this does not allow you to 

disqualify those engines from in-use 

testing or deny a warranty claim. Do not 

take these inspection or maintenance 

steps during service accumulation on 

your emission-data engines. 

(e) Maintenance that is not emissionrelated. For maintenance unrelated to 

emission controls, you may schedule 

any amount of inspection or 

maintenance. You may also take these 

inspection or maintenance steps during 

service accumulation on your emissiondata engines, as long as they are 

reasonable and technologically 

necessary. This might include adding 

engine oil, changing air, fuel, or oil 

filters, servicing engine-cooling systems, 

and adjusting idle speed, governor, 

engine bolt torque, valve lash, or 

injector lash. You may perform this 

nonemission-related maintenance on 

emission-data engines at the least 

frequent intervals that you recommend 

to the ultimate purchaser (but not 

intervals recommended for severe 

service). 

(f) Source of parts and repairs. State 

clearly on the first page of your written 

maintenance instructions that a repair 

shop or person of the owner’s choosing 

may maintain, replace, or repair 

emission control devices and systems. 

Your instructions may not require 

components or service identified by 

brand, trade, or corporate name. Also, 

do not directly or indirectly condition 

your warranty on a requirement that the 

engine be serviced by your franchised 

dealers or any other service 

establishments with which you have a 

commercial relationship. You may 

disregard the requirements in this 

paragraph (f) if you do one of two 

things: 

(1) Provide a component or service 

without charge under the purchase 

agreement. 

(2) Get us to waive this prohibition in 

the public’s interest by convincing us 

the engine will work properly only with 

the identified component or service. 

(g) Payment for scheduled 

maintenance. Owners are responsible 

for properly maintaining their engines. 

This generally includes paying for 

scheduled maintenance. However, 

manufacturers must pay for scheduled 

maintenance during the useful life if it 

meets all the following criteria: 

(1) Each affected component was not 

in general use on similar engines before 

the applicable dates shown in paragraph 

(6) of the definition of ‘‘new marine 

engine’’ in § 1042.901. 

(2) The primary function of each 

affected component is to reduce 

emissions. 

(3) The cost of the scheduled 

maintenance is more than 2 percent of 

the price of the engine. 

(4) Failure to perform the 

maintenance would not cause clear 

problems that would significantly 

degrade the engine’s performance. 

(h) Owners manual. Explain the 

owner’s responsibility for proper 

maintenance in the owners manual. 

§ 1042.130 Installation instructions for 

vessel manufacturers. 

(a) If you sell an engine for someone 

else to install in a vessel, give the engine 

installer instructions for installing it 

consistent with the requirements of this 

part. Include all information necessary 

to ensure that an engine will be 

installed in its certified configuration. 

(b) Make sure these instructions have 

the following information: 

(1) Include the heading: ‘‘Emissionrelated installation instructions’’. 

(2) State: ‘‘Failing to follow these 

instructions when installing a certified 

engine in a vessel violates federal law 

(40 CFR 1068.105(b)), subject to fines or 

other penalties as described in the Clean 

Air Act.’’. 

(3) Describe the instructions needed 

to properly install the exhaust system 

and any other components. Include 

instructions consistent with the 

requirements of § 1042.205(u). 

(4) Describe any necessary steps for 

installing the diagnostic system 

described in § 1042.110. 

(5) Describe any limits on the range of 

applications needed to ensure that the 

engine operates consistently with your 

application for certification. For 

example, if your engines are certified 

only for constant-speed operation, tell 

vessel manufacturers not to install the 

engines in variable-speed applications 

or modify the governor. 

(6) Describe any other instructions to 

make sure the installed engine will 

operate according to design 

specifications in your application for 

certification. This may include, for 

example, instructions for installing 

aftertreatment devices when installing 

the engines. 

(7) State: ‘‘If you install the engine in 

a way that makes the engine’s emission 

control information label hard to read 

during normal engine maintenance, you 

must place a duplicate label on the 

vessel, as described in 40 CFR 

1068.105.’’. 

(8) Describe any vessel labeling 

requirements specified in § 1042.135. 

(c) You do not need installation 

instructions for engines you install in 

your own vessels. 

(d) Provide instructions in writing or 

in an equivalent format. For example, 

you may post instructions on a publicly 

available Web site for downloading or 

printing. If you do not provide the 

instructions in writing, explain in your 

application for certification how you 

will ensure that each installer is 

informed of the installation 

requirements. 

§ 1042.135 Labeling. 

(a) Assign each engine a unique 

identification number and permanently 

affix, engrave, or stamp it on the engine 

in a legible way. 

(b) At the time of manufacture, affix 

a permanent and legible label 

identifying each engine. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(3) Durable and readable for the 

engine’s entire life. 

(4) Written in English. 

(c) The label must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. You may identify 

another company and use its trademark 

instead of yours if you comply with the 

provisions of § 1042.640. 

(3) Include EPA’s standardized 

designation for the engine family (and 

subfamily, where applicable). 

(4) Identify all the emission standards 

that apply to the engine (or FELs, if 

applicable). If you do not declare an FEL 

under subpart H of this part, you may 

alternatively state the engine’s category, 

displacement (in liters or L/cyl), 

maximum engine power (in kW), and 

power density (in kW/L) as needed to 

determine the emission standards for 

the engine family. You may specify 

displacement, maximum engine power, 

or power density as a range consistent 

with the ranges listed in § 1042.101. See 

§ 1042.140 for descriptions of how to 

specify per-cylinder displacement, 

maximum engine power, and power 

density. 

(5) State the date of manufacture 

[DAY (optional), MONTH, and YEAR]. 

However, you may omit this from the 

label if you stamp or engrave it on the 

engine, in which case you must also 

describe in your application for 

certification where you will identify the 

date on the engine. 

(6) Identify the application(s) for 

which the engine family is certified 
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37252 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(such as constant-speed auxiliary, 

variable-speed propulsion engines used 

with fixed-pitch propellers, etc.). If the 

engine is certified as a recreational 

engine, state: ‘‘INSTALLING THIS 

RECREATIONAL ENGINE IN A 

COMMERCIAL VESSEL OR USING THE 

VESSEL FOR COMMERCIAL 

PURPOSES MAY VIOLATE FEDERAL 

LAW SUBJECT TO CIVIL PENALTY (40 

CFR 1042.601).’’. 

(7) For engines requiring ULSD, state: 

‘‘ULTRA LOW SULFUR DIESEL FUEL 

ONLY’’. 

(8) State the useful life for your engine 

family if the applicable useful life is 

based on the provisions of 

§ 1042.101(e)(2) or (3). 

(9) Identify the emission control 

system. Use terms and abbreviations 

consistent with SAE J1930 (incorporated 

by reference in § 1042.910). You may 

omit this information from the label if 

there is not enough room for it and you 

put it in the owners manual instead. 

(10) State: ‘‘THIS MARINE ENGINE 

COMPLIES WITH U.S. EPA 

REGULATIONS FOR [MODEL YEAR].’’. 

(11) For an engine that can be 

modified to operate on residual fuel, but 

has not been certified to meet the 

standards on such a fuel, include the 

statement: ‘‘THIS ENGINE IS 

CERTIFIED FOR OPERATION ONLY 

WITH DIESEL FUEL. MODIFYING THE 

ENGINE TO OPERATE ON RESIDUAL 

OR INTERMEDIATE FUEL MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTIES.’’. 

(d) You may add information to the 

emission control information label as 

follows: 

(1) You may identify other emission 

standards that the engine meets or does 

not meet (such as international 

standards). You may include this 

information by adding it to the 

statement we specify or by including a 

separate statement. 

(2) You may add other information to 

ensure that the engine will be properly 

maintained and used. 

(3) You may add appropriate features 

to prevent counterfeit labels. For 

example, you may include the engine’s 

unique identification number on the 

label. 

(e) For engines requiring ULSD, create 

a separate label with the statement: 

‘‘ULTRA LOW SULFUR DIESEL FUEL 

ONLY’’. Permanently attach this label to 

the vessel near the fuel inlet or, if you 

do not manufacture the vessel, take one 

of the following steps to ensure that the 

vessel will be properly labeled: 

(1) Provide the label to each vessel 

manufacturer and include in the 

emission-related installation 

instructions the requirement to place 

this label near the fuel inlet. 

(2) Confirm that the vessel 

manufacturers install their own 

complying labels. 

(f) You may ask us to approve 

modified labeling requirements in this 

part 1042 if you show that it is 

necessary or appropriate. We will 

approve your request if your alternate 

label is consistent with the intent of the 

labeling requirements of this part. 

(g) If you obscure the engine label 

while installing the engine in the vessel 

such that the label will be hard to read 

during normal maintenance, you must 

place a duplicate label on the vessel. If 

others install your engine in their 

vessels in a way that obscures the 

engine label, we require them to add a 

duplicate label on the vessel (see 40 

CFR 1068.105); in that case, give them 

the number of duplicate labels they 

request and keep the following records 

for at least five years: 

(1) Written documentation of the 

request from the vessel manufacturer. 

(2) The number of duplicate labels 

you send for each family and the date 

you sent them. 

§ 1042.140 Maximum engine power, 

displacement, and power density. 

This section describes how to 

determine the maximum engine power, 

displacement, and power density of an 

engine for the purposes of this part. 

Note that maximum engine power may 

differ from the definition of ‘‘maximum 

test power’’ in § 1042.901. 

(a) An engine configuration’s 

maximum engine power is the 

maximum brake power point on the 

nominal power curve for the engine 

configuration, as defined in this section. 

Round the power value to the nearest 

whole kilowatt. 

(b) The nominal power curve of an 

engine configuration is the relationship 

between maximum available engine 

brake power and engine speed for an 

engine, using the mapping procedures 

of 40 CFR part 1065, based on the 

manufacturer’s design and production 

specifications for the engine. This 

information may also be expressed by a 

torque curve that relates maximum 

available engine torque with engine 

speed. 

(c) An engine configuration’s percylinder displacement is the intended 

swept volume of each cylinder. The 

swept volume of the engine is the 

product of the internal cross-section 

area of the cylinders, the stroke length, 

and the number of cylinders. Calculate 

the engine’s intended swept volume 

from the design specifications for the 

cylinders using enough significant 

figures to allow determination of the 

displacement to the nearest 0.02 liters. 

Determine the final value by truncating 

digits to establish the per-cylinder 

displacement to the nearest 0.1 liters. 

For example, for an engine with circular 

cylinders having an internal diameter of 

13.0 cm and a 15.5 cm stroke length, the 

rounded displacement would be: (13.0/ 

2) 2 × (π) × (15.5) ÷ 1000 = 2.0 liters. 

(d) The nominal power curve and 

intended swept volume must be within 

the range of the actual power curves and 

swept volumes of production engines 

considering normal production 

variability. If after production begins, it 

is determined that either your nominal 

power curve or your intended swept 

volume does not represent production 

engines, we may require you to amend 

your application for certification under 

§ 1042.225. 

(e) Throughout this part, references to 

a specific power value for an engine are 

based on maximum engine power. For 

example, the group of engines with 

maximum engine power above 600 kW 

may be referred to as engines above 600 

kW. 

(f) Calculate an engine family’s power 

density in kW/L by dividing the 

unrounded maximum engine power by 

the engine’s unrounded per-cylinder 

displacement, then dividing by the 

number of cylinders. Round the 

calculated value to the nearest whole 

number. 

§ 1042.145 Interim provisions. 

(a) General. The provisions in this 

section apply instead of other 

provisions in this part for Category 1 

and Category 2 engines. This section 

describes when these interim provisions 

expire. 

(b) Delayed standards. Postmanufacturer marinizers that are smallvolume engine manufacturers may delay 

compliance with the Tier 3 standards 

for engines below 600 kW as follows: 

(1) You may delay compliance with 

the Tier 3 standards for one model year, 

as long as the engines meet all the 

requirements that apply to Tier 2 

engines. 

(2) You may delay compliance with 

the NTE standards for Tier 3 engines for 

three model years in addition to the 

one-year delay specified in paragraph 

(b)(1) of this section, as long as the 

engines meet all other Tier 3 

requirements for the appropriate model 

year. 

(c) Part 1065 test procedures. You 

must generally use the test procedures 

specified in subpart F of this part, 

including the applicable test procedures 

in 40 CFR part 1065. As specified in this 

paragraph (c), you may use a 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37253 

combination of the test procedures 

specified in this part and the test 

procedures specified for Tier 2 engines 

before January 1, 2015. After this date, 

you must use test procedures only as 

specified in subpart F of this part. 

(1) You may determine maximum test 

speed for engines below 37 kW as 

specified in 40 CFR part 89 without 

request through the 2009 model year. 

(2) Before January 1, 2015, you may 

ask to use some or all of the procedures 

specified in 40 CFR part 94 (or 40 CFR 

part 89 for engines below 37 kW) for 

engines certified under this part 1042. If 

you ask to rely on a combination of 

procedures under this paragraph (c)(2), 

we will approve your request only if 

you show us that it does not affect your 

ability to demonstrate compliance with 

the applicable emission standards. This 

generally requires that the combined 

procedures would result in emission 

measurements at least as high as those 

that would be measured using the 

procedures specified in this part. 

Alternatively, you may demonstrate that 

the combined effects of the different 

procedures is small relative to your 

compliance margin (the degree to which 

your emissions are below the applicable 

standards). 

(d) [Reserved] 

(e) Delayed compliance with NTE 

standards. Engines below 56 kW may 

delay complying with the NTE 

standards specified in § 1042.101(c) 

until the 2013 model year. Engines at or 

above 56 kW and below 75 kW may 

delay complying with the NTE 

standards specified in § 1042.101(c) 

until the 2012 model year. 

(f) In-use compliance limits. The 

provisions of this paragraph (f) apply for 

the first three model years of the Tier 4 

standards. For purposes of determining 

compliance based on testing other than 

certification or production-line testing, 

calculate the applicable in-use 

compliance limits by adjusting the 

applicable standards/FELs. The PM 

adjustment does not apply for engines 

with a PM standard or FEL above 0.04 

g/kW-hr. The NOX adjustment does not 

apply for engines with a NOX FEL above 

2.7 g/kW-hr. Add the applicable 

adjustments in one of the following 

tables to the otherwise applicable 

standards and NTE limits. You must 

specify during certification which addons, if any, will apply for your engines. 

TABLE 1 TO § 1042.145.—IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF THE TIER 4 STANDARDS 

Fraction of useful life already used 

In-use adjustments (g/kW-hr) 

For Tier 4 NOX 

standards 

For Tier 4 

PM standards 

0 < hours ≤ 50% of useful life ......................................................................................................................... 

50 < hours ≤ 75% of useful life ....................................................................................................................... 

hours > 75% of useful life ............................................................................................................................... 

0.9 

1.3 

1.7 

0.02 

0.02 

0.02 

TABLE 2 TO § 1042.145.—OPTIONAL IN-USE ADJUSTMENTS FOR THE FIRST THREE MODEL YEARS OF THE TIER 4 


STANDARDS
 

Fraction of useful life already used 

In-use adjustments (g/kW-hr) 

For model year 

2017 and earlier 

Tier 4 NOX 

standards 

For model year 

2017 and earlier 

Tier 4 PM 

standards 

0 < hours ≤ 50% of useful life ......................................................................................................................... 

50 < hours ≤ 75% of useful life ....................................................................................................................... 

hours > 75% of useful life ............................................................................................................................... 

0.3 

0.4 

0.5 

0.05 

0.05 

0.05 

(g) Deficiencies for NTE standards. 

You may ask us to accept as compliant 

an engine that does not fully meet 

specific requirements under the 

applicable NTE standards. Such 

deficiencies are intended to allow for 

minor deviations from the NTE 

standards under limited conditions. We 

expect your engines to have functioning 

emission control hardware that allows 

you to comply with the NTE standards. 

(1) Request our approval for specific 

deficiencies in your application for 

certification, or before you submit your 

application. We will not approve 

deficiencies retroactively to cover 

engines already certified. In your 

request, identify the scope of each 

deficiency and describe any auxiliary 

emission control devices you will use to 

control emissions to the lowest practical 

level, considering the deficiency you are 

requesting. 

(2) We will approve a deficiency only 

if compliance would be infeasible or 

unreasonable considering such factors 

as the technical feasibility of the given 

hardware and the applicable lead time 

and production cycles. We may 

consider other relevant factors. 

(3) Our approval applies only for a 

single model year and may be limited to 

specific engine configurations. We may 

approve your request for the same 

deficiency in the following model year 

if correcting the deficiency would 

require unreasonable hardware or 

software modifications and we 

determine that you have demonstrated 

an acceptable level of effort toward 

complying. 

(4) You may ask for any number of 

deficiencies in the first three model 

years during which NTE standards 

apply for your engines. For the next four 

model years, we may approve up to 

three deficiencies per engine family. 

Deficiencies of the same type that apply 

similarly to different power ratings 

within a family count as one deficiency 

per family. We may condition approval 

of any such additional deficiencies 

during these four years on any 

additional conditions we determine to 

be appropriate. We will not approve 

deficiencies after the seven-year period 

specified in this paragraph (g)(4), unless 

they are related to safety. 

Subpart C—Certifying Engine Families 

§ 1042.201 General requirements for 

obtaining a certificate of conformity. 

(a) You must send us a separate 

application for a certificate of 

conformity for each engine family. A 
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37254 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

certificate of conformity is valid starting 

with the indicated effective date, but it 

is not valid for any production after 

December 31 of the model year for 

which it is issued. No certificate will be 

issued after December 31 of the model 

year. 

(b) The application must contain all 

the information required by this part 

and must not include false or 

incomplete statements or information 

(see § 1042.255). 

(c) We may ask you to include less 

information than we specify in this 

subpart, as long as you maintain all the 

information required by § 1042.250. 

(d) You must use good engineering 

judgment for all decisions related to 

your application (see 40 CFR 1068.5). 

(e) An authorized representative of 

your company must approve and sign 

the application. 

(f) See § 1042.255 for provisions 

describing how we will process your 

application. 

(g) We may require you to deliver 

your test engines to a facility we 

designate for our testing (see 

§ 1042.235(c)). 

(h) For engines that become new as a 

result of substantial modifications or for 

engines installed on imported vessels 

that become subject to the requirements 

of this part, we may specify alternate 

certification provisions consistent with 

the intent of this part. See the definition 

of ‘‘new marine engine’’ in § 1042.901. 

§ 1042.205 Application requirements. 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1042.201(c). We may require 

you to provide additional information to 

evaluate your application. 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the engine’s design and 

emission controls. List the fuel type on 

which your engines are designed to 

operate (for example, ultra low-sulfur 

diesel fuel). List each distinguishable 

engine configuration in the engine 

family. For each engine configuration, 

list the maximum engine power and the 

range of values for maximum engine 

power resulting from production 

tolerances, as described in § 1042.140. 

(b) Explain how the emission control 

system operates. Describe in detail all 

system components for controlling 

exhaust emissions, including all 

auxiliary emission control devices 

(AECDs) and all fuel-system 

components you will install on any 

production or test engine. Identify the 

part number of each component you 

describe. For this paragraph (b), treat as 

separate AECDs any devices that 

modulate or activate differently from 

each other. Include all the following: 

(1) Give a general overview of the 

engine, the emission control strategies, 

and all AECDs. 

(2) Describe each AECD’s general 

purpose and function. 

(3) Identify the parameters that each 

AECD senses (including measuring, 

estimating, calculating, or empirically 

deriving the values). Include vesselbased parameters and state whether you 

simulate them during testing with the 

applicable procedures. 

(4) Describe the purpose for sensing 

each parameter. 

(5) Identify the location of each sensor 

the AECD uses. 

(6) Identify the threshold values for 

the sensed parameters that activate the 

AECD. 

(7) Describe the parameters that the 

AECD modulates (controls) in response 

to any sensed parameters, including the 

range of modulation for each parameter, 

the relationship between the sensed 

parameters and the controlled 

parameters and how the modulation 

achieves the AECD’s stated purpose. 

Use graphs and tables, as necessary. 

(8) Describe each AECD’s specific 

calibration details. This may be in the 

form of data tables, graphical 

representations, or some other 

description. 

(9) Describe the hierarchy among the 

AECDs when multiple AECDs sense or 

modulate the same parameter. Describe 

whether the strategies interact in a 

comparative or additive manner and 

identify which AECD takes precedence 

in responding, if applicable. 

(10) Explain the extent to which the 

AECD is included in the applicable test 

procedures specified in subpart F of this 

part. 

(11) Do the following additional 

things for AECDs designed to protect 

engines or vessels: 

(i) Identify the engine and/or vessel 

design limits that make protection 

necessary and describe any damage that 

would occur without the AECD. 

(ii) Describe how each sensed 

parameter relates to the protected 

components’ design limits or those 

operating conditions that cause the need 

for protection. 

(iii) Describe the relationship between 

the design limits/parameters being 

protected and the parameters sensed or 

calculated as surrogates for those design 

limits/parameters, if applicable. 

(iv) Describe how the modulation by 

the AECD prevents engines and/or 

vessels from exceeding design limits. 

(v) Explain why it is necessary to 

estimate any parameters instead of 

measuring them directly and describe 

how the AECD calculates the estimated 

value, if applicable. 

(vi) Describe how you calibrate the 

AECD modulation to activate only 

during conditions related to the stated 

need to protect components and only as 

needed to sufficiently protect those 

components in a way that minimizes the 

emission impact. 

(c) If your engines are equipped with 

an engine diagnostic system, explain 

how it works, describing especially the 

engine conditions (with the 

corresponding diagnostic trouble codes) 

that cause the malfunction-indicator 

light to go on. 

(d) Describe the engines you selected 

for testing and the reasons for selecting 

them. 

(e) Describe the test equipment and 

procedures that you used, including the 

duty cycle(s) and the corresponding 

engine applications. Also describe any 

special or alternate test procedures you 

used. 

(f) Describe how you operated the 

emission-data engine before testing, 

including the duty cycle and the 

number of engine operating hours used 

to stabilize emission levels. Explain 

why you selected the method of service 

accumulation. Describe any scheduled 

maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065. 

(h) Identify the engine family’s useful 

life. 

(i) Include the maintenance and 

warranty instructions you will give to 

the ultimate purchaser of each new 

engine (see §§ 1042.120 and 1042.125). 

Describe your plan for meeting warranty 

obligations under §§ 1042.120. 

(j) Include the emission-related 

installation instructions you will 

provide if someone else installs your 

engines in a vessel (see § 1042.130). 

(k) Describe your emission control 

information label (see § 1042.135). 

(l) Identify the emission standards 

and/or FELs to which you are certifying 

engines in the engine family. 

(m) Identify the engine family’s 

deterioration factors and describe how 

you developed them (see § 1042.245). 

Present any emission test data you used 

for this. 

(n) State that you operated your 

emission-data engines as described in 

the application (including the test 

procedures, test parameters, and test 

fuels) to show you meet the 

requirements of this part. 

(o) Present emission data for HC, 

NOX, PM, and CO on an emission-data 

engine to show your engines meet 

emission standards as specified in 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37255 

§ 1042.101. Show emission figures 

before and after applying adjustment 

factors for regeneration and 

deterioration factors for each pollutant 

and for each engine. If we specify more 

than one grade of any fuel type (for 

example, high-sulfur and low-sulfur 

diesel fuel), you need to submit test data 

only for one grade, unless the 

regulations of this part specify 

otherwise for your engine. 

Include emission results for each 

mode if you do discrete-mode testing 

under § 1042.505. Note that §§ 1042.235 

and 1042.245 allows you to submit an 

application in certain cases without new 

emission data. 

(p) For Category 1 and Category 2 

engines, state that all the engines in the 

engine family comply with the 

applicable not-to-exceed emission 

standards in § 1042.101 for all normal 

operation and use when tested as 

specified in § 1042.515. Describe any 

relevant testing, engineering analysis, or 

other information in sufficient detail to 

support your statement. 

(q) [Reserved] 

(r) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

If you measure CO2, report those 

emission levels (in g/kW-hr). We may 

ask you to send other information to 

confirm that your tests were valid under 

the requirements of this part and 40 CFR 

part 1065. 

(s) Describe all adjustable operating 

parameters (see § 1042.115(d)), 

including production tolerances. 

Include the following in your 

description of each parameter: 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) For Category 1 engines, 

information showing why the limits, 

stops, or other means of inhibiting 

adjustment are effective in preventing 

adjustment of parameters on in-use 

engines to settings outside your 

intended physically adjustable ranges. 

(5) For Category 2 engines, propose a 

range of adjustment for each adjustable 

parameter, as described in 

§ 1042.115(d). Include information 

showing why the limits, stops, or other 

means of inhibiting adjustment are 

effective in preventing adjustment of 

parameters on in-use engines to settings 

outside your proposed adjustable 

ranges. 

(t) Provide the information to read, 

record, and interpret all the information 

broadcast by an engine’s onboard 

computers and electronic control units. 

State that, upon request, you will give 

us any hardware, software, or tools we 

would need to do this. If you broadcast 

a surrogate parameter for torque values, 

you must provide us what we need to 

convert these into torque units. You 

may reference any appropriate publicly 

released standards that define 

conventions for these messages and 

parameters. Format your information 

consistent with publicly released 

standards. 

(u) Confirm that your emission-related 

installation instructions specify how to 

ensure that sampling of exhaust 

emissions will be possible after engines 

are installed in vessels and placed in 

service. Show how to sample exhaust 

emissions in a way that prevents 

diluting the exhaust sample with 

ambient air. 

(v) State whether your certification is 

limited for certain engines. If this is the 

case, describe how you will prevent use 

of these engines in applications for 

which they are not certified. This 

applies for engines such as the 

following: 

(1) Constant-speed engines. 

(2) Engines used with controllablepitch propellers. 

(3) Recreational engines. 

(w) Unconditionally certify that all 

the engines in the engine family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(x) Include good-faith estimates of 

U.S.-directed production volumes. 

Include a justification for the estimated 

production volumes if they are 

substantially different than actual 

production volumes in earlier years for 

similar models. 

(y) Include the information required 

by other subparts of this part. For 

example, include the information 

required by § 1042.725 if you participate 

in the ABT program. 

(z) Include other applicable 

information, such as information 

specified in this part or 40 CFR part 

1068 related to requests for exemptions. 

(aa) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(bb) The following provisions apply 

for imported engines: 

(1) Describe your normal practice for 

importing engines. For example, this 

may include identifying the names and 

addresses of any agents you have 

authorized to import your engines. 

Engines imported by nonauthorized 

agents are not covered by your 

certificate. 

(2) For engines below 560 kW, 

identify a test facility in the United 

States where you can test your engines 

if we select them for testing under a 

selective enforcement audit, as specified 

in 40 CFR part 1068. 

§ 1042.210 Preliminary approval. 

If you send us information before you 

finish the application, we will review it 

and make any appropriate 

determinations, especially for questions 

related to engine family definitions, 

auxiliary emission control devices, 

deterioration factors, useful life, testing 

for service accumulation, maintenance, 

and compliance with not-to-exceed 

standards. See § 1042.245 for specific 

provisions that apply for deterioration 

factors. Decisions made under this 

section are considered to be preliminary 

approval, subject to final review and 

approval. We will generally not reverse 

a decision where we have given you 

preliminary approval, unless we find 

new information supporting a different 

decision. If you request preliminary 

approval related to the upcoming model 

year or the model year after that, we will 

make best-efforts to make the 

appropriate determinations as soon as 

practicable. We will generally not 

provide preliminary approval related to 

a future model year more than two years 

ahead of time. 

§ 1042.220 Amending maintenance 

instructions. 

You may amend your emissionrelated maintenance instructions after 

you submit your application for 

certification, as long as the amended 

instructions remain consistent with the 

provisions of § 1042.125. You must send 

the Designated Compliance Officer a 

written request to amend your 

application for certification for an 

engine family if you want to change the 

emission-related maintenance 

instructions in a way that could affect 

emissions. In your request, describe the 

proposed changes to the maintenance 

instructions. We will approve your 

request if we determine that the 

amended instructions are consistent 

with maintenance you performed on 

emission-data engines such that your 

durability demonstration would remain 

valid. If operators follow the original 

maintenance instructions rather than 

the newly specified maintenance, this 

does not allow you to disqualify those 

engines from in-use testing or deny a 

warranty claim. 

(a) If you are decreasing, replacing, or 

eliminating or any specified 

maintenance, you may distribute the 
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37256 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

new maintenance instructions to your 

customers 30 days after we receive your 

request, unless we disapprove your 

request. We may approve a shorter time 

or waive this requirement. 

(b) If your requested change would 

not decrease the specified maintenance, 

you may distribute the new 

maintenance instructions anytime after 

you send your request. For example, 

this paragraph (b) would cover adding 

instructions to increase the frequency of 

a maintenance step for engines in 

severe-duty applications. 

(c) You do not need to request 

approval if you are making only minor 

corrections (such as correcting 

typographical mistakes), clarifying your 

maintenance instructions, or changing 

instructions for maintenance unrelated 

to emission control. 

§ 1042.225 Amending applications for 

certification. 

Before we issue you a certificate of 

conformity, you may amend your 

application to include new or modified 

engine configurations, subject to the 

provisions of this section. After we have 

issued your certificate of conformity, 

you may send us an amended 

application requesting that we include 

new or modified engine configurations 

within the scope of the certificate, 

subject to the provisions of this section. 

You must amend your application if any 

changes occur with respect to any 

information included in your 

application. 

(a) You must amend your application 

before you take any of the following 

actions: 

(1) Add an engine configuration to an 

engine family. In this case, the engine 

configuration added must be consistent 

with other engine configurations in the 

engine family with respect to the criteria 

listed in § 1042.230. 

(2) Change an engine configuration 

already included in an engine family in 

a way that may affect emissions, or 

change any of the components you 

described in your application for 

certification. This includes production 

and design changes that may affect 

emissions any time during the engine’s 

lifetime. 

(3) Modify an FEL for an engine 

family as described in paragraph (f) of 

this section. 

(b) To amend your application for 

certification as specified in paragraph 

(a) of this section, send the Designated 

Compliance Officer the following 

information: 

(1) Describe in detail the addition or 

change in the engine model or 

configuration you intend to make. 

(2) Include engineering evaluations or 

data showing that the amended engine 

family complies with all applicable 

requirements. You may do this by 

showing that the original emission-data 

engine is still appropriate with respect 

to showing compliance of the amended 

family with all applicable requirements. 

(3) If the original emission-data 

engine for the engine family is not 

appropriate to show compliance for the 

new or modified engine configuration, 

include new test data showing that the 

new or modified engine configuration 

meets the requirements of this part. 

(c) We may ask for more test data or 

engineering evaluations. You must give 

us these within 30 days after we request 

them. 

(d) For engine families already 

covered by a certificate of conformity, 

we will determine whether the existing 

certificate of conformity covers your 

newly added or modified engine. You 

may ask for a hearing if we deny your 

request (see § 1042.920). 

(e) For engine families already 

covered by a certificate of conformity, 

you may start producing the new or 

modified engine configuration anytime 

after you send us your amended 

application and before we make a 

decision under paragraph (d) of this 

section. However, if we determine that 

the affected engines do not meet 

applicable requirements, we will notify 

you to cease production of the engines 

and may require you to recall the 

engines at no expense to the owner. 

Choosing to produce engines under this 

paragraph (e) is deemed to be consent to 

recall all engines that we determine do 

not meet applicable emission standards 

or other requirements and to remedy the 

nonconformity at no expense to the 

owner. If you do not provide 

information required under paragraph 

(c) of this section within 30 days, you 

must stop producing the new or 

modified engines. 

(f) You may ask us to approve a 

change to your FEL in certain cases after 

the start of production. The changed 

FEL may not apply to engines you have 

already introduced into U.S. commerce, 

except as described in this paragraph (f). 

If we approve a changed FEL after the 

start of production, you must include 

the new FEL on the emission control 

information label for all engines 

produced after the change. You may ask 

us to approve a change to your FEL in 

the following cases: 

(1) You may ask to raise your FEL for 

your emission family at any time. In 

your request, you must show that you 

will still be able to meet the emission 

standards as specified in subparts B and 

H of this part. If you amend your 

application by submitting new test data 

to include a newly added or modified 

engine or fuel-system component, as 

described in paragraph (b)(3) of this 

section, use the appropriate FELs with 

corresponding production volumes to 

calculate your production-weighted 

average FEL for the model year, as 

described in subpart H of this part. If 

you amend your application without 

submitting new test data, you must use 

the higher FEL for the entire family to 

calculate your production-weighted 

average FEL under subpart H of this 

part. 

(2) You may ask to lower the FEL for 

your emission family only if you have 

test data from production engines 

showing that emissions are below the 

proposed lower FEL. The lower FEL 

applies only to engines you produce 

after we approve the new FEL. Use the 

appropriate FELs with corresponding 

production volumes to calculate your 

production-weighted average FEL for 

the model year, as described in subpart 

H of this part. 

§ 1042.230 Engine families. 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout the useful life as described 

in this section. You may not group 

Category 1 and Category 2 engines in the 

same family. Your engine family is 

limited to a single model year. 

(b) For Category 1 engines, group 

engines in the same engine family if 

they are the same in all the following 

aspects: 

(1) The combustion cycle and the fuel 

with which the engine is intended or 

designed to be operated. 

(2) The cooling system (for example, 

raw-water vs. separate-circuit cooling). 

(3) Method of air aspiration. 

(4) Method of exhaust aftertreatment 

(for example, catalytic converter or 

particulate trap). 

(5) Combustion chamber design. 

(6) Nominal bore and stroke. 

(7) Number of cylinders (for engines 

with aftertreatment devices only). 

(8) Cylinder arrangement (for engines 

with aftertreatment devices only). 

(9) Method of control for engine 

operation other than governing (i.e., 

mechanical or electronic). 

(10) Application (commercial or 

recreational). 

(11) Numerical level of the emission 

standards that apply to the engine, 

except as allowed under paragraphs (f) 

and (g) of this section. 

(c) For Category 2 engines, group 

engines in the same engine family if 

they are the same in all the following 

aspects: 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37257 

(1) The combustion cycle (e.g., diesel 

cycle). 

(2) The fuel with which the engine is 

intended or designed to be operated and 

the fuel system configuration. 

(3) The cooling system (for example, 

air-cooled or water-cooled), and 

procedure(s) employed to maintain 

engine temperature within desired 

limits (thermostat, on-off radiator fans, 

radiator shutters, etc.). 

(4) The method of air aspiration 

(turbocharged, supercharged, naturally 

aspirated, Roots blown). 

(5) The turbocharger or supercharger 

general performance characteristics 

(e.g., approximate boost pressure, 

approximate response time, 

approximate size relative to engine 

displacement). 

(6) The type of air inlet cooler (air-toair, air-to-liquid, approximate degree to 

which inlet air is cooled). 

(7) The type of exhaust aftertreatment 

system (oxidation catalyst, particulate 

trap), and characteristics of the 

aftertreatment system (catalyst loading, 

converter size vs. engine size). 

(8) The combustion chamber 

configuration and the surface-to-volume 

ratio of the combustion chamber when 

the piston is at top dead center position, 

using nominal combustion chamber 

dimensions. 

(9) Nominal bore and stroke 

dimensions. 

(10) The location of the piston rings 

on the piston. 

(11) The intake manifold induction 

port size and configuration. 

(12) The exhaust manifold port size 

and configuration. 

(13) The location of the intake and 

exhaust valves (or ports). 

(14) The size of the intake and 

exhaust valves (or ports). 

(15) The approximate intake and 

exhaust event timing and duration 

(valve or port). 

(16) The configuration of the fuel 

injectors and approximate injection 

pressure. 

(17) The type of fuel injection system 

controls (i.e., mechanical or electronic). 

(18) The overall injection timing 

characteristics, or as appropriate 

ignition timing characteristics (i.e., the 

deviation of the timing curves from the 

optimal fuel economy timing curve 

must be similar in degree). 

(19) The type of smoke control 

system. 

(d) [Reserved] 

(e) You may subdivide a group of 

engines that is identical under 

paragraph (b) or (c) of this section into 

different engine families if you show the 

expected emission characteristics are 

different during the useful life. 

However, for the purpose of applying 

small-volume family provisions of this 

part, we will consider the otherwise 

applicable engine family criteria of this 

section. 

(f) You may group engines that are not 

identical with respect to the things 

listed in paragraph (b) or (c) of this 

section in the same engine family, as 

follows: 

(1) In unusual circumstances, you 

may group such engines in the same 

engine family if you show that their 

emission characteristics during the 

useful life will be similar. 

(2) If you are a small-volume engine 

manufacturer, you may group any 

Category 1 engines into a single engine 

family or you may group any Category 

2 engines into a single engine family. 

This also applies if you are a postmanufacture marinizer modifying a base 

engine that has a valid certificate of 

conformity for any kind of nonroad or 

heavy-duty highway engine under this 

chapter. 

(3) The provisions of this paragraph 

(f) do not exempt any engines from 

meeting the standards and requirements 

in subpart B of this part. 

(g) If you combine engines that are 

subject to different emission standards 

into a single engine family under 

paragraph (f) of this section, you must 

certify the engine family to the more 

stringent set of standards for that model 

year. 

§ 1042.235 Emission testing required for a 

certificate of conformity. 

This section describes the emission 

testing you must perform to show 

compliance with the emission standards 

in § 1042.101(a). See § 1042.205(p) 

regarding emission testing related to the 

NTE standards. See §§ 1042.240 and 

1042.245 and 40 CFR part 1065, subpart 

E, regarding service accumulation before 

emission testing. 

(a) Select an emission-data engine 

from each engine family for testing. For 

engines at or above 560 kW, you may 

use a development engine that is 

equivalent in design to the engine being 

certified. Using good engineering 

judgment, select the engine 

configuration most likely to exceed an 

applicable emission standard over the 

useful life, considering all exhaust 

emission constituents and the range of 

installation options available to vessel 

manufacturers. 

(b) Test your emission-data engines 

using the procedures and equipment 

specified in subpart F of this part. 

(c) We may measure emissions from 

any of your test engines or other engines 

from the engine family, as follows: 

(1) We may decide to do the testing 

at your plant or any other facility. If we 

do this, you must deliver the test engine 

to a test facility we designate. The test 

engine you provide must include 

appropriate manifolds, aftertreatment 

devices, electronic control units, and 

other emission-related components not 

normally attached directly to the engine 

block. If we do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments, 

personnel, and equipment we need. 

(2) If we measure emissions from one 

of your test engines, the results of that 

testing become the official emission 

results for the engine. Unless we later 

invalidate these data, we may decide 

not to consider your data in determining 

if your engine family meets applicable 

requirements. 

(3) Before we test one of your engines, 

we may set its adjustable parameters to 

any point within the specified 

adjustable ranges (see § 1042.115(d)). 

(4) Before we test one of your engines, 

we may calibrate it within normal 

production tolerances for anything we 

do not consider an adjustable parameter. 

(d) You may ask to use emission data 

from a previous model year instead of 

doing new tests, but only if all the 

following are true: 

(1) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

unrelated to emissions. You may also 

ask to add a configuration subject to 

§ 1042.225. 

(2) The emission-data engine from the 

previous model year remains the 

appropriate emission-data engine under 

paragraph (b) of this section. 

(3) The data show that the emissiondata engine would meet all the 

requirements that apply to the engine 

family covered by the application for 

certification. For engines originally 

tested under the provisions of 40 CFR 

part 94, you may consider those test 

procedures to be equivalent to the 

procedures we specify in subpart F of 

this part. 

(e) We may require you to test a 

second engine of the same or different 

configuration in addition to the engine 

tested under paragraph (b) of this 

section. 

(f) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 
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37258 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

§ 1042.240 Demonstrating compliance with 

exhaust emission standards. 

(a) For purposes of certification, your 

engine family is considered in 

compliance with the emission standards 

in § 1042.101(a) if all emission-data 

engines representing that family have 

test results showing deteriorated 

emission levels at or below these 

standards. Note that your FELs are 

considered to be the applicable 

emission standards with which you 

must comply if you participate in the 

ABT program in subpart H of this part. 

(b) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family has test results 

showing a deteriorated emission level 

above an applicable emission standard 

for any pollutant. 

(c) To compare emission levels from 

the emission-data engine with the 

applicable emission standards for 

Category 1 and Category 2 engines, 

apply deterioration factors to the 

measured emission levels for each 

pollutant. Section 1042.245 specifies 

how to test your engine to develop 

deterioration factors that represent the 

deterioration expected in emissions over 

your engines’ full useful life. Your 

deterioration factors must take into 

account any available data from in-use 

testing with similar engines. Smallvolume engine manufacturers and postmanufacture marinizers may use 

assigned deterioration factors that we 

establish. Apply deterioration factors as 

follows: 

(1) Additive deterioration factor for 

exhaust emissions. Except as specified 

in paragraph (c)(2) of this section, use 

an additive deterioration factor for 

exhaust emissions. An additive 

deterioration factor is the difference 

between exhaust emissions at the end of 

the useful life and exhaust emissions at 

the low-hour test point. In these cases, 

adjust the official emission results for 

each tested engine at the selected test 

point by adding the factor to the 

measured emissions. If the deterioration 

factor is less than zero, use zero. 

Additive deterioration factors must be 

specified to one more decimal place 

than the applicable standard. 

(2) Multiplicative deterioration factor 

for exhaust emissions. Use a 

multiplicative deterioration factor if 

good engineering judgment calls for the 

deterioration factor for a pollutant to be 

the ratio of exhaust emissions at the end 

of the useful life to exhaust emissions at 

the low-hour test point. For example, if 

you use aftertreatment technology that 

controls emissions of a pollutant 

proportionally to engine-out emissions, 

it is often appropriate to use a 

multiplicative deterioration factor. 

Adjust the official emission results for 

each tested engine at the selected test 

point by multiplying the measured 

emissions by the deterioration factor. If 

the deterioration factor is less than one, 

use one. A multiplicative deterioration 

factor may not be appropriate in cases 

where testing variability is significantly 

greater than engine-to-engine variability. 

Multiplicative deterioration factors must 

be specified to one more significant 

figure than the applicable standard. 

(3) Deterioration factor for crankcase 

emissions. If your engine vents 

crankcase emissions to the exhaust or to 

the atmosphere, you must account for 

crankcase emission deterioration, using 

good engineering judgment. You may 

use separate deterioration factors for 

crankcase emissions of each pollutant 

(either multiplicative or additive) or 

include the effects in combined 

deterioration factors that include 

exhaust and crankcase emissions 

together for each pollutant. 

(d) Collect emission data using 

measurements to one more decimal 

place than the applicable standard. 

Apply the deterioration factor to the 

official emission result, as described in 

paragraph (c) of this section, then round 

the adjusted figure to the same number 

of decimal places as the emission 

standard. Compare the rounded 

emission levels to the emission standard 

for each emission-data engine. In the 

case of NOX+HC standards, apply the 

deterioration factor to each pollutant 

and then add the results before 

rounding. 

§ 1042.245 Deterioration factors. 

For Category 1 and Category 2 

engines, establish deterioration factors, 

as described in § 1042.240, to determine 

whether your engines will meet 

emission standards for each pollutant 

throughout the useful life. This section 

describes how to determine 

deterioration factors, either with an 

engineering analysis, with pre-existing 

test data, or with new emission 

measurements. 

(a) You may ask us to approve 

deterioration factors for an engine 

family with established technology 

based on engineering analysis instead of 

testing. Engines certified to a NOX+HC 

standard or FEL greater than the Tier 3 

NOX+HC standard are considered to rely 

on established technology for gaseous 

emission control, except that this does 

not include any engines that use 

exhaust-gas recirculation or 

aftertreatment. In most cases, 

technologies used to meet the Tier 1 and 

Tier 2 emission standards would be 

considered to be established technology. 

We must approve your plan to establish 

a deterioration factor under this 

paragraph (a) before you submit your 

application for certification. 

(b) You may ask us to approve 

deterioration factors for an engine 

family based on emission measurements 

from similar highway, stationary, or 

nonroad engines (including locomotive 

engines or other marine engines) if you 

have already given us these data for 

certifying the other engines in the same 

or earlier model years. Use good 

engineering judgment to decide whether 

the two engines are similar. We must 

approve your plan to establish a 

deterioration factor under this 

paragraph (b) before you submit your 

application for certification. We will 

approve your request if you show us 

that the emission measurements from 

other engines reasonably represent inuse deterioration for the engine family 

for which you have not yet determined 

deterioration factors. 

(c) If you are unable to determine 

deterioration factors for an engine 

family under paragraph (a) or (b) of this 

section, first get us to approve a plan for 

determining deterioration factors based 

on service accumulation and related 

testing. We will respond to your 

proposed plan within 45 days of 

receiving your request. Your plan must 

involve measuring emissions from an 

emission-data engine at least three 

times, which are evenly spaced over the 

service-accumulation period unless we 

specify otherwise, such that the 

resulting measurements and 

calculations will represent the 

deterioration expected from in-use 

engines over the full useful life. You 

may use extrapolation to determine 

deterioration factors once you have 

established a trend of changing 

emissions with age for each pollutant. 

You may use an engine installed in a 

vessel to accumulate service hours 

instead of running the engine only in 

the laboratory. You may perform 

maintenance on emission-data engines 

as described in § 1042.125 and 40 CFR 

part 1065, subpart E. 

(d) Include the following information 

in your application for certification: 

(1) If you determine your 

deterioration factors based on test data 

from a different engine family, explain 

why this is appropriate and include all 

the emission measurements on which 

you base the deterioration factor. 

(2) If you determine your 

deterioration factors based on 

engineering analysis, explain why this 

is appropriate and include a statement 

that all data, analyses, evaluations, and 

other information you used are available 

for our review upon request. 
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(3) If you do testing to determine 

deterioration factors, describe the form 

and extent of service accumulation, 

including a rationale for selecting the 

service-accumulation period and the 

method you use to accumulate hours. 

§ 1042.250 Recordkeeping and reporting. 

(a) If you produce engines under any 

provisions of this part that are related to 

production volumes, send the 

Designated Compliance Officer a report 

within 30 days after the end of the 

model year describing the total number 

of engines you produced in each engine 

family. For example, if you use special 

provisions intended for small-volume 

engine manufacturers, report your U.S.-

directed production volumes to show 

that you do not exceed the applicable 

limits. 

(b) Organize and maintain the 

following records: 

(1) A copy of all applications and any 

summary information you send us. 

(2) Any of the information we specify 

in § 1042.205 that you were not required 

to include in your application. 

(3) A detailed history of each 

emission-data engine. For each engine, 

describe all of the following: 

(i) The emission-data engine’s 

construction, including its origin and 

buildup, steps you took to ensure that 

it represents production engines, any 

components you built specially for it, 

and all the components you include in 

your application for certification. 

(ii) How you accumulated engine 

operating hours (service accumulation), 

including the dates and the number of 

hours accumulated. 

(iii) All maintenance, including 

modifications, parts changes, and other 

service, and the dates and reasons for 

the maintenance. 

(iv) All your emission tests (valid and 

invalid), including documentation on 

routine and standard tests, as specified 

in part 40 CFR part 1065, and the date 

and purpose of each test. 

(v) All tests to diagnose engine or 

emission control performance, giving 

the date and time of each and the 

reasons for the test. 

(vi) Any other significant events. 

(4) Production figures for each engine 

family divided by assembly plant. 

(5) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

(c) Keep data from routine emission 

tests (such as test cell temperatures and 

relative humidity readings) for one year 

after we issue the associated certificate 

of conformity. Keep all other 

information specified in paragraph (a) of 

this section for eight years after we issue 

your certificate. 

(d) 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. 

(e) Send us copies of any engine 

maintenance instructions or 

explanations if we ask for them. 

§ 1042.255 EPA decisions. 

(a) If we determine your application is 

complete and shows that the engine 

family meets all the requirements of this 

part and the Clean Air Act, we will 

issue a certificate of conformity for your 

engine family for that model year. We 

may make the approval subject to 

additional conditions. 

(b) We may deny your application for 

certification if we determine that your 

engine family fails to comply with 

emission standards or other 

requirements of this part or the Clean 

Air Act. Our decision may be based on 

a review of all information available to 

us. If we deny your application, we will 

explain why in writing. 

(c) In addition, we may deny your 

application or suspend or revoke your 

certificate if you do any of the 

following: 

(1) Refuse to comply with any testing 

or reporting requirements. 

(2) Submit false or incomplete 

information (paragraph (e) of this 

section applies if this is fraudulent). 

(3) Render inaccurate any test data. 

(4) Deny us from completing 

authorized activities (see 40 CFR 

1068.20). This includes a failure to 

provide reasonable assistance. 

(5) Produce engines for importation 

into the United States at a location 

where local law prohibits us from 

carrying out authorized activities. 

(6) Fail to supply requested 

information or amend your application 

to include all engines being produced. 

(7) Take any action that otherwise 

circumvents the intent of the Clean Air 

Act or this part. 

(d) We may void your certificate if 

you do not keep the records we require 

or do not give us information as 

required under this part or the Clean Air 

Act. 

(e) We may void your certificate if we 

find that you intentionally submitted 

false or incomplete information. 

(f) If we deny your application or 

suspend, revoke, or void your 

certificate, you may ask for a hearing 

(see § 1042.920). 

Subpart D—Testing Production-line 

Engines 

§ 1042.301 General provisions. 

(a) If you produce engines that are 

subject to the requirements of this part, 

you must test them as described in this 

subpart, except as follows: 

(1) Small-volume engine 

manufacturers may omit testing under 

this subpart. 

(2) We may exempt Category 1 engine 

families with a projected U.S.-directed 

production volume below 100 engines 

from routine testing under this subpart. 

Request this exemption in your 

application for certification and include 

your basis for projecting a production 

volume below 100 units. You must 

promptly notify us if your actual 

production exceeds 100 units during the 

model year. If you exceed the 

production limit or if there is evidence 

of a nonconformity, we may require you 

to test production-line engines under 

this subpart, or under 40 CFR part 1068, 

subpart D, even if we have approved an 

exemption under this paragraph (a)(2). 

(3) [Reserved] 

(b) We may suspend or revoke your 

certificate of conformity for certain 

engine families if your production-line 

engines do not meet the requirements of 

this part or you do not fulfill your 

obligations under this subpart (see 

§§ 1042.325 and 1042.340). 

(c) Other requirements apply to 

engines that you produce. Other 

regulatory provisions authorize us to 

suspend, revoke, or void your certificate 

of conformity, or order recalls for engine 

families without regard to whether they 

have passed these production-line 

testing requirements. The requirements 

of this subpart do not affect our ability 

to do selective enforcement audits, as 

described in 40 CFR part 1068. 

Individual engines in families that pass 

these production-line testing 

requirements must also conform to all 

applicable regulations of this part and 

40 CFR part 1068. 

(d) You may use alternate programs or 

measurement methods for testing 

production-line engines in the following 

circumstances: 

(1) [Reserved] 

(2) You may test your engines using 

the CumSum procedures specified in 40 

CFR part 1045 or 1051 instead of the 

procedures specified in this subpart, 

except that the threshold for 

establishing quarterly or annual test 

periods is based on U.S.-directed 

production volumes of 800 instead of 

1600. This alternate program does not 

require prior approval. 

(3) You may ask to use another 

alternate program or measurement 
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37260 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

method for testing production-line 

engines. In your request, you must show 

us that the alternate program gives equal 

assurance that your engines meet the 

requirements of this part. We may waive 

some or all of this subpart’s 

requirements if we approve your 

alternate program. 

(e) If you certify an engine family with 

carryover emission data, as described in 

§ 1042.235(d), and these equivalent 

engine families consistently pass the 

production-line testing requirements 

over the preceding two-year period, you 

may ask for a reduced testing rate for 

further production-line testing for that 

family. The minimum testing rate is one 

engine per engine family. If we reduce 

your testing rate, we may limit our 

approval to any number of model years. 

In determining whether to approve your 

request, we may consider the number of 

engines that have failed the emission 

tests. 

(f) We may ask you to make a 

reasonable number of production-line 

engines available for a reasonable time 

so we can test or inspect them for 

compliance with the requirements of 

this part. See 40 CFR 1068.27. 

§ 1042.305 Preparing and testing 

production-line engines. 

This section describes how to prepare 

and test production-line engines. You 

must assemble the test engine in a way 

that represents the assembly procedures 

for other engines in the engine family. 

You must ask us to approve any 

deviations from your normal assembly 

procedures for other production engines 

in the engine family. 

(a) Test procedures. Test your 

production-line engines using the 

applicable testing procedures in subpart 

F of this part to show you meet the dutycycle emission standards in subpart B of 

this part. The not-to-exceed standards 

apply for this testing, but you need not 

do additional testing to show that 

production-line engines meet the not-toexceed standards. 

(b) Modifying a test engine. Once an 

engine is selected for testing (see 

§ 1042.310), you may adjust, repair, 

prepare, or modify it or check its 

emissions only if one of the following is 

true: 

(1) You document the need for doing 

so in your procedures for assembling 

and inspecting all your production 

engines and make the action routine for 

all the engines in the engine family. 

(2) This subpart otherwise specifically 

allows your action. 

(3) We approve your action in 

advance. 

(c) Engine malfunction. If an engine 

malfunction prevents further emission 

testing, ask us to approve your decision 

to either repair the engine or delete it 

from the test sequence. 

(d) Setting adjustable parameters. 

Before any test, we may require you to 

adjust any adjustable parameter on a 

Category 1 engine to any setting within 

its physically adjustable range. We may 

adjust or require you to adjust any 

adjustable parameter on a Category 2 

engine to any setting within its specified 

adjustable range. 

(1) We may require you to adjust idle 

speed outside the physically adjustable 

range as needed, but only until the 

engine has stabilized emission levels 

(see paragraph (e) of this section). We 

may ask you for information needed to 

establish an alternate minimum idle 

speed. 

(2) We may specify adjustments 

within the physically adjustable range 

or the specified adjustable range by 

considering their effect on emission 

levels, as well as how likely it is 

someone will make such an adjustment 

with in-use engines. 

(e) Stabilizing emission levels. You 

may stabilize emission levels (or 

establish a Green Engine Factor for 

Category 2 engines) before you test 

production-line engines, as follows: 

(1) You may stabilize emission levels 

by operating the engine in a way that 

represents the way production engines 

will be used, using good engineering 

judgment, for no more than the greater 

of two periods: 

(i) 300 hours. 

(ii) The number of hours you operated 

your emission-data engine for certifying 

the engine family (see 40 CFR part 1065, 

subpart E, or the applicable regulations 

governing how you should prepare your 

test engine). 

(2) For Category 2 engines, you may 

ask us to approve a Green Engine Factor 

for each regulated pollutant for each 

engine family. Use the Green Engine 

Factor to adjust measured emission 

levels to establish a stabilized low-hour 

emission level. 

(f) Damage during shipment. If 

shipping an engine to a remote facility 

for production-line testing makes 

necessary an adjustment or repair, you 

must wait until after the initial emission 

test to do this work. We may waive this 

requirement if the test would be 

impossible or unsafe, or if it would 

permanently damage the engine. Report 

to us in your written report under 

§ 1042.345 all adjustments or repairs 

you make on test engines before each 

test. 

(g) Retesting after invalid tests. You 

may retest an engine if you determine 

an emission test is invalid under 

subpart F of this part. Explain in your 

written report reasons for invalidating 

any test and the emission results from 

all tests. If you retest an engine, you 

may ask us to substitute results of the 

new tests for the original ones. You 

must ask us within ten days of testing. 

We will generally answer within ten 

days after we receive your information. 

§ 1042.310 Engine selection. 

(a) Determine minimum sample sizes 

as follows: 

(1) For Category 1 engines, the 

minimum sample size is one engine or 

one percent of the projected U.S.-

directed production volume for all your 

Category 1 engine families, whichever is 

greater. 

(2) For Category 2 engines, the 

minimum sample size is one engine or 

one percent of the projected U.S.-

directed production volume for all your 

Category 2 engine families, whichever is 

greater. 

(b) Randomly select one engine from 

each engine family early in the model 

year. For further testing to reach the 

minimum sample size, randomly select 

a proportional sample from each engine 

family, with testing distributed evenly 

over the course of the model year, 

unless we specify a different schedule 

for your tests. For example, we may 

require you to disproportionately select 

engines from the early part of a model 

year for a new engine model that has not 

previously been subject to productionline testing. 

(c) For each engine that fails to meet 

emission standards, test two engines 

from the same engine family from the 

next fifteen engines produced or within 

seven days, whichever is later. If an 

engine fails to meet emission standards 

for any pollutant, count it as a failing 

engine under this paragraph (c). 

(d) Continue testing until one of the 

following things happens: 

(1) You test the number of engines 

specified in paragraphs (a) and (c) of 

this section. 

(2) The engine family does not 

comply according to § 1042.315 or you 

choose to declare that the engine family 

does not comply with the requirements 

of this subpart. 

(3) You test 30 engines from the 

engine family. 

(e) You may elect to test more 

randomly chosen engines than we 

require under this section. 

§ 1042.315 Determining compliance. 

This section describes the pass-fail 

criteria for the production-line testing 

requirements. We apply these criteria on 

an engine-family basis. See § 1042.320 

for the requirements that apply to 

individual engines that fail a 

production-line test. 
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(a) Calculate your test results as 

follows: 

(1) Initial and final test results. 

Calculate the test results for each 

engine. If you do several tests on an 

engine, calculate the initial test results, 

then add them together and divide by 

the number of tests for the final test 

results on that engine. Include the Green 

Engine Factor to determine low-hour 

emission results, if applicable. 

(2) Final deteriorated test results. 

Apply the deterioration factor for the 

engine family to the final test results 

(see § 1042.240(c)). 

(3) Round deteriorated test results. 

Round the results to one more decimal 

place than the applicable emission 

standard. 

(b) If a production-line engine fails to 

meet emission standards and you test 

two additional engines as described in 

§ 1042.310, calculate the average 

emission level for each pollutant for the 

three engines. If the calculated average 

emission level for any pollutant exceeds 

the applicable emission standard, the 

engine family fails the production-line 

testing requirements of this subpart. Tell 

us within ten working days if this 

happens. You may request to amend the 

application for certification to raise the 

FEL of the engine family as described in 

§ 1042.225(f). 

§ 1042.320 What happens if one of my 

production-line engines fails to meet 

emission standards? 

(a) If you have a production-line 

engine with final deteriorated test 

results exceeding one or more emission 

standards (see § 1042.315(a)), the 

certificate of conformity is automatically 

suspended for that failing engine. You 

must take the following actions before 

your certificate of conformity can cover 

that engine: 

(1) Correct the problem and retest the 

engine to show it complies with all 

emission standards. 

(2) Include in your written report a 

description of the test results and the 

remedy for each engine (see § 1042.345). 

(b) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family at this 

point (see § 1042.225). 

(c) For catalyst-equipped engines, you 

may ask us to allow you to exclude an 

initial failed test if all of the following 

are true: 

(1) The catalyst was in a green 

condition when tested initially. 

(2) The engine met all emission 

standards when retested after 

degreening the catalyst. 

(3) No additional emission-related 

maintenance or repair was performed 

between the initial failed test and the 

subsequent passing test. 

§ 1042.325 What happens if an engine 

family fails the production-line testing 

requirements? 

(a) We may suspend your certificate of 

conformity for an engine family if it fails 

under § 1042.315. The suspension may 

apply to all facilities producing engines 

from an engine family, even if you find 

noncompliant engines only at one 

facility. 

(b) We will tell you in writing if we 

suspend your certificate in whole or in 

part. We will not suspend a certificate 

until at least 15 days after the engine 

family fails. The suspension is effective 

when you receive our notice. 

(c) Up to 15 days after we suspend the 

certificate for an engine family, you may 

ask for a hearing (see § 1042.920). If we 

agree before a hearing occurs that we 

used erroneous information in deciding 

to suspend the certificate, we will 

reinstate the certificate. 

(d) Section 1042.335 specifies steps 

you must take to remedy the cause of 

the engine family’s production-line 

failure. All the engines you have 

produced since the end of the last test 

period are presumed noncompliant and 

should be addressed in your proposed 

remedy. We may require you to apply 

the remedy to engines produced earlier 

if we determine that the cause of the 

failure is likely to have affected the 

earlier engines. 

(e) You may request to amend the 

application for certification to raise the 

FEL of the entire engine family as 

described in § 1051.225(f). We will 

approve your request if it is clear that 

you used good engineering judgment in 

establishing the original FEL. 

§ 1042.330 Selling engines from an engine 

family with a suspended certificate of 

conformity. 

You may sell engines that you 

produce after we suspend the engine 

family’s certificate of conformity under 

§ 1042.315 only if one of the following 

occurs: 

(a) You test each engine you produce 

and show it complies with emission 

standards that apply. 

(b) We conditionally reinstate the 

certificate for the engine family. We may 

do so if you agree to recall all the 

affected engines and remedy any 

noncompliance at no expense to the 

owner if later testing shows that the 

engine family still does not comply. 

§ 1042.335 Reinstating suspended 

certificates. 

(a) Send us a written report asking us 

to reinstate your suspended certificate. 

In your report, identify the reason for 

noncompliance, propose a remedy for 

the engine family, and commit to a date 

for carrying it out. In your proposed 

remedy include any quality control 

measures you propose to keep the 

problem from happening again. 

(b) Give us data from production-line 

testing that shows the remedied engine 

family complies with all the emission 

standards that apply. 

§ 1042.340 When may EPA revoke my 

certificate under this subpart and how may 

I sell these engines again? 

(a) We may revoke your certificate for 

an engine family in the following cases: 

(1) You do not meet the reporting 

requirements. 

(2) Your engine family fails to comply 

with the requirements of this subpart 

and your proposed remedy to address a 

suspended certificate under § 1042.325 

is inadequate to solve the problem or 

requires you to change the engine’s 

design or emission control system. 

(b) To sell engines from an engine 

family with a revoked certificate of 

conformity, you must modify the engine 

family and then show it complies with 

the requirements of this part. 

(1) If we determine your proposed 

design change may not control 

emissions for the engine’s full useful 

life, we will tell you within five working 

days after receiving your report. In this 

case we will decide whether 

production-line testing will be enough 

for us to evaluate the change or whether 

you need to do more testing. 

(2) Unless we require more testing, 

you may show compliance by testing 

production-line engines as described in 

this subpart. 

(3) We will issue a new or updated 

certificate of conformity when you have 

met these requirements. 

§ 1042.345 Reporting. 

(a) Within 45 days of the end of each 

quarter in which production-line testing 

occurs, send us a report with the 

following information: 

(1) Describe any facility used to test 

production-line engines and state its 

location. 

(2) State the total U.S.-directed 

production volume and number of tests 

for each engine family. 

(3) Describe how you randomly 

selected engines. 

(4) Describe each test engine, 

including the engine family’s 

identification and the engine’s model 

year, build date, model number, 

identification number, and number of 

hours of operation before testing. Also 

describe how you developed and 

applied the Green Engine Factor, if 

applicable. 

(5) Identify how you accumulated 

hours of operation on the engines and 
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describe the procedure and schedule 

you used. 

(6) Provide the test number; the date, 

time and duration of testing; test 

procedure; initial test results before and 

after rounding; final test results; and 

final deteriorated test results for all 

tests. Provide the emission results for all 

measured pollutants. Include 

information for both valid and invalid 

tests and the reason for any 

invalidation. 

(7) Describe completely and justify 

any nonroutine adjustment, 

modification, repair, preparation, 

maintenance, or test for the test engine 

if you did not report it separately under 

this subpart. Include the results of any 

emission measurements, regardless of 

the procedure or type of engine. 

(8) Report on each failed engine as 

described in § 1042.320. 

(9) Identify when the model year ends 

for each engine family. 

(b) We may ask you to add 

information to your written report so we 

can determine whether your new 

engines conform with the requirements 

of this subpart. 

(c) An authorized representative of 

your company must sign the following 

statement: 

We submit this report under sections 

208 and 213 of the Clean Air Act. Our 

production-line testing conformed 

completely with the requirements of 40 

CFR part 1042. We have not changed 

production processes or quality-control 

procedures for test engines in a way that 

might affect emission controls. All the 

information in this report is true and 

accurate to the best of my knowledge. I 

know of the penalties for violating the 

Clean Air Act and the regulations. 

(Authorized Company Representative) 

(d) Send electronic reports of 

production-line testing to the 

Designated Compliance Officer using an 

approved information format. If you 

want to use a different format, send us 

a written request with justification for a 

waiver. 

(e) We will send copies of your 

reports to anyone from the public who 

asks for them. See § 1042.915 for 

information on how we treat 

information you consider confidential. 

§ 1042.350 Recordkeeping. 

(a) Organize and maintain your 

records as described in this section. We 

may review your records at any time. 

(b) Keep records of your productionline testing for eight years after you 

complete all the testing required for an 

engine family in a model year. You may 

use any appropriate storage formats or 

media. 

(c) Keep a copy of the written reports 

described in § 1042.345. 

(d) Keep the following additional 

records: 

(1) A description of all test equipment 

for each test cell that you can use to test 

production-line engines. 

(2) The names of supervisors involved 

in each test. 

(3) The name of anyone who 

authorizes adjusting, repairing, 

preparing, or modifying a test engine 

and the names of all supervisors who 

oversee this work. 

(4) If you shipped the engine for 

testing, the date you shipped it, the 

associated storage or port facility, and 

the date the engine arrived at the testing 

facility. 

(5) Any records related to your 

production-line tests that are not in the 

written report. 

(6) A brief description of any 

significant events during testing not 

otherwise described in the written 

report or in this section. 

(7) Any information specified in 

§ 1042.345 that you do not include in 

your written reports. 

(e) If we ask, you must give us 

projected or actual production figures 

for an engine family. We may ask you 

to divide your production figures by 

maximum engine power, displacement, 

fuel type, or assembly plant (if you 

produce engines at more than one 

plant). 

(f) Keep a list of engine identification 

numbers for all the engines you produce 

under each certificate of conformity. 

Give us this list within 30 days if we ask 

for it. 

(g) We may ask you to keep or send 

other information necessary to 

implement this subpart. 

Subpart E—In-use Testing 

§ 1042.401 General Provisions. 

We may perform in-use testing of any 

engine subject to the standards of this 

part. 

Subpart F—Test Procedures 

§ 1042.501 How do I run a valid emission 

test? 

(a) Use the equipment and procedures 

for compression-ignition engines in 40 

CFR part 1065 to determine whether 

Category 1 and Category 2 engines meet 

the duty-cycle emission standards in 

§ 1042.101(a). Measure the emissions of 

all regulated pollutants as specified in 

40 CFR part 1065. Use the applicable 

duty cycles specified in § 1042.505. 

(b) Section 1042.515 describes the 

supplemental test procedures for 

evaluating whether engines meet the 

not-to-exceed emission standards in 

§ 1042.101(c). 

(c) Use the fuels and lubricants 

specified in 40 CFR part 1065, subpart 

H, for all the testing we require in this 

part, except as specified in § 1042.515. 

(1) For service accumulation, use the 

test fuel or any commercially available 

fuel that is representative of the fuel that 

in-use engines will use. 

(2) For diesel-fueled engines, use the 

appropriate diesel fuel specified in 40 

CFR part 1065, subpart H, for emission 

testing. Unless we specify otherwise, the 

appropriate diesel test fuel is the ultra 

low-sulfur diesel fuel. If we allow you 

to use a test fuel with higher sulfur 

levels, identify the test fuel in your 

application for certification and ensure 

that the emission control information 

label is consistent with your selection of 

the test fuel (see § 1042.135(c)(11)). For 

Category 2 engines, you may ask to use 

commercially available diesel fuel 

similar but not necessarily identical to 

the applicable fuel specified in 40 CFR 

part 1065, subpart H; we will approve 

your request if you show us that it does 

not affect your ability to demonstrate 

compliance with the applicable 

emission standards. 

(3) For Category 1 and Category 2 

engines that are expected to use a type 

of fuel (or mixed fuel) other than diesel 

fuel (such as natural gas, methanol, or 

residual fuel), use a commercially 

available fuel of that type for emission 

testing. If an engine is designed to 

operate on different fuels, we may (at 

our discretion) require testing on each 

fuel. Propose test fuel specifications that 

take into account the engine design and 

the properties of commercially available 

fuels. Describe these test fuel 

specifications in the application for 

certification. 

(4) [Reserved] 

(d) You may use special or alternate 

procedures to the extent we allow them 

under 40 CFR 1065.10. 

(e) This subpart is addressed to you as 

a manufacturer, but it applies equally to 

anyone who does testing for you, and to 

us when we perform testing to 

determine if your engines meet emission 

standards. 

(f) Duty-cycle testing is limited to 

ambient temperatures of 20 to 30 °C. 

Atmospheric pressure must be between 

91.000 and 103.325 kPa, and must be 

within ±5 percent of the value recorded 

at the time of the last engine map. 

Testing may be performed with any 

ambient humidity level. Correct dutycycle NOX emissions for humidity as 

specified in 40 CFR part 1065. 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37263 

§ 1042.505 Testing engines using discretemode or ramped-modal duty cycles. 

This section describes how to test 

engines under steady-state conditions. 

In some cases, we allow you to choose 

the appropriate steady-state duty cycle 

for an engine. In these cases, you must 

use the duty cycle you select in your 

application for certification for all 

testing you perform for that engine 

family. If we test your engines to 

confirm that they meet emission 

standards, we will use the duty cycles 

you select for your own testing. We may 

also perform other testing as allowed by 

the Clean Air Act. 

(a) You may perform steady-state 

testing with either discrete-mode or 

ramped-modal cycles, as follows: 

(1) For discrete-mode testing, sample 

emissions separately for each mode, 

then calculate an average emission level 

for the whole cycle using the weighting 

factors specified for each mode. 

Calculate cycle statistics and compare 

with the established criteria as specified 

in 40 CFR 1065.514 to confirm that the 

test is valid. Operate the engine and 

sampling system as follows: 

(i) Engines with NOX aftertreatment. 

For engines that depend on 

aftertreatment to meet the NOX emission 

standard, operate the engine for 5–6 

minutes, then sample emissions for 1– 

3 minutes in each mode. You may 

extend the sampling time to improve 

measurement accuracy of PM emissions, 

using good engineering judgment. If you 

have a longer sampling time for PM 

emissions, calculate and validate cycle 

statistics separately for the gaseous and 

PM sampling periods. 

(ii) Engines without NOX 

aftertreatment. For other engines, 

operate the engine for at least 5 minutes, 

then sample emissions for at least 1 

minute in each mode. 

(2) For ramped-modal testing, start 

sampling at the beginning of the first 

mode and continue sampling until the 

end of the last mode. Calculate 

emissions and cycle statistics the same 

as for transient testing as specified in 40 

CFR part 1065, subpart G. 

(b) Measure emissions by testing the 

engine on a dynamometer with one of 

the following duty cycles (as specified) 

to determine whether it meets the 

emission standards in § 1042.101(a): 

(1) General cycle. Use the 4-mode 

duty cycle or the corresponding 

ramped-modal cycle described in 

paragraph (a) of Appendix II of this part 

for commercial propulsion marine 

engines that are used with (or intended 

to be used with) fixed-pitch propellers, 

propeller-law auxiliary engines, and any 

other engines for which the other duty 

cycles of this section do not apply. Use 

this duty cycle also for commercial 

variable-speed propulsion marine 

engines that are used with (or intended 

to be used with) controllable-pitch 

propellers or with electrically coupled 

propellers, unless these engines are not 

intended for sustained operation (e.g., 

for at least 30 minutes) at all four modes 

when installed in the vessel. 

(2) Recreational marine engines. 

Except as specified in paragraph (b)(3) 

of this section, use the 5-mode duty 

cycle or the corresponding rampedmodal cycle described in paragraph (b) 

of Appendix II of this part for 

recreational marine engines with 

maximum engine power at or above 37 

kW. 

(3) Controllable-pitch and electrically 

coupled propellers. Use the 4-mode 

duty cycle or the corresponding 

ramped-modal cycle described in 

paragraph (c) of Appendix II of this part 

for constant-speed propulsion marine 

engines that are used with (or intended 

to be used with) controllable-pitch 

propellers or with electrically coupled 

propellers. Use this duty cycle also for 

variable-speed propulsion marine 

engines that are used with (or intended 

to be used with) controllable-pitch 

propellers or with electrically coupled 

propellers if the duty cycles in 

paragraph (b)(1) and (b)(2) of this 

section do not apply. 

(4) Constant-speed auxiliary engines. 

Use the 5-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix II, paragraph (a) for constantspeed auxiliary engines. 

(5) Variable-speed auxiliary engines. 

(i) Use the duty cycle specified in 

paragraph (b)(1) of this section for 

propeller-law auxiliary engines. 

(ii) Use the 6-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix II, paragraph (b) for variablespeed auxiliary engines with maximum 

engine power below 19 kW that are not 

propeller-law engines. 

(iii) Use the 8-mode duty cycle or the 

corresponding ramped-modal cycle 

described in 40 CFR part 1039, 

Appendix III, paragraph (c) for variablespeed auxiliary engines with maximum 

engine power at or above 19 kW that are 

not propeller-law engines. 

(c) During idle mode, operate the 

engine at its warm idle speed as 

described in 40 CFR part 1065. 

(d) For constant-speed engines whose 

design prevents full-load operation for 

extended periods, you may ask for 

approval under 40 CFR 1065.10(c) to 

replace full-load operation with the 

maximum load for which the engine is 

designed to operate for extended 

periods. 

(e) See 40 CFR part 1065 for detailed 

specifications of tolerances and 

calculations. 

§ 1042.515 Test procedures related to notto-exceed standards. 

(a) This section describes the 

procedures to determine whether your 

engines meet the not-to-exceed emission 

standards in § 1042.101(c). These 

procedures may include any normal 

engine operation and ambient 

conditions that the engines may 

experience in use. Paragraphs (c) 

through (e) of this section define the 

limits of what we will consider normal 

engine operation and ambient 

conditions. 

(b) Measure emissions with one of the 

following procedures: 

(1) Remove the selected engines for 

testing in a laboratory. You may use an 

engine dynamometer to simulate normal 

operation, as described in this section. 

Use the equipment and procedures 

specified in 40 CFR part 1065 to 

conduct laboratory testing. 

(2) Test the selected engines while 

they remain installed in a vessel. Use 

the equipment and procedures specified 

in 40 CFR part 1065 subpart J, to 

conduct field testing. Use fuel meeting 

the specifications of 40 CFR part 1065, 

subpart H, or a fuel typical of what you 

would expect the engine to use in 

service. 

(c) Engine testing may occur under 

the following ranges of ambient 

conditions without correcting measured 

emission levels: 

(1) Atmospheric pressure must be 

between 96.000 and 103.325 kPa, except 

that manufacturers may test at lower 

atmospheric pressures if their test 

facility is located at an altitude that 

makes it impractical to stay within this 

range. This pressure range is intended to 

allow testing under most weather 

conditions at all altitudes up to 1,100 

feet above sea level. 

(2) Ambient air temperature must be 

between 13 and 35 °C (or between 13 °C 

and 30 °C for engines not drawing 

intake air directly from a space that 

could be heated by the engine). 

(3) Ambient water temperature must 

be between 5 and 27 °C. 

(4) Ambient humidity must be 

between 7.1 and 10.7 grams of moisture 

per kilogram of dry air. 

(d) Engine testing may occur at any 

conditions expected during normal 

operation but that are outside the 

conditions described in paragraph (b) of 

this section, as long as measured values 

are corrected to be equivalent to the 

nearest end of the specified range, using 
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37264 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

good engineering judgment. Correct 

NOX emissions for humidity as 

specified in 40 CFR part 1065, subpart 

G. 

(e) The sampling period may not 

begin until the engine has reached 

stable operating temperatures. For 

example, this would include only 

engine operation after starting and after 

the engine thermostat starts modulating 

the engine’s coolant temperature. The 

sampling period may not include engine 

starting. 

(f) Apply the NTE standards specified 

in § 1042.101(c) to an engine family 

based on the zones and subzones 

corresponding to specific duty cycles 

and engine types as defined in 

Appendix III of this part. For an engine 

family certified to multiple duty cycles, 

the broadest applicable NTE zone 

applies for that family at the time of 

certification. Whenever an engine 

family is certified to multiple duty 

cycles and a specific engine from that 

family is tested for NTE compliance in 

use, determine the applicable NTE zone 

for that engine according to its in-use 

application. An engine family’s NTE 

zone may be modified as follows: 

(1) You may ask us to approve a 

narrower NTE zone for an engine family 

at the time of certification, based on 

information such as how that engine 

family is expected to normally operate 

in use. For example, if an engine family 

is always coupled to a pump or jet 

drive, the engine might be able to 

operate only within a narrow range of 

engine speed and power. 

(2) You may ask us to approve a 

Limited Testing Region (LTR). An LTR 

is a region of engine operation, within 

the applicable NTE zone, where you 

have demonstrated that your engine 

family operates for no more than 5.0 

percent of its normal in-use operation, 

on a time-weighted basis. You must 

specify an LTR using boundaries based 

on engine speed and power (or torque), 

where the LTR boundaries must 

coincide with some portion of the 

boundary defining the overall NTE 

zone. Any emission data collected 

within an LTR for a time duration that 

exceeds 5.0 percent of the duration of its 

respective NTE sampling period (as 

defined in paragraph (c)(3) of this 

section) will be excluded when 

determining compliance with the 

applicable NTE standards. Any 

emission data collected within an LTR 

for a time duration of 5.0 percent or less 

of the duration of the respective NTE 

sampling period will be included when 

determining compliance with the NTE 

standards. 

(3) You must notify us if you design 

your engines for normal in-use 

operation outside the applicable NTE 

zone. If we learn that normal in-use 

operation for your engines includes 

other speeds and loads, we may specify 

a broader NTE zone, as long as the 

modified zone is limited to normal inuse operation for speeds greater than 70 

percent of maximum test speed and 

loads greater than 30 percent of 

maximum power at maximum test 

speed (or 30 percent of maximum test 

torque for constant-speed engines). 

(4) You may exclude emission data 

based on ambient or engine parameter 

limit values as follows: 

(i) NOX catalytic aftertreatment 

minimum temperature. For an engine 

equipped with a catalytic NOX 

aftertreatment system, exclude NOX 

emission data that is collected when the 

exhaust temperature is less than 250 °C, 

as measured within 30 cm downstream 

of the last NOX aftertreatment device. 

Where there are parallel paths, measure 

the temperature 30 cm downstream of 

the last NOX aftertreatment device in the 

path with the greatest exhaust flow. 

(ii) Oxidizing aftertreatment 

minimum temperature. For an engine 

equipped with an oxidizing catalytic 

aftertreatment system, exclude HC, CO, 

and PM emission data that is collected 

when the exhaust temperature is less 

than 250 °C, as measured within 30 cm 

downstream of the last oxidizing 

aftertreatment device. Where there are 

parallel paths, measure the temperature 

30 cm downstream of the last oxidizing 

aftertreatment device in the path with 

the greatest exhaust flow. 

(iii) Other parameters. You may 

request our approval for other minimum 

or maximum ambient or engine 

parameter limit values at the time of 

certification. 

(g) For engines equipped with 

emission controls that include discrete 

regeneration events, if a regeneration 

event occurs during the NTE test, the 

averaging period must be at least as long 

as the time between the events 

multiplied by the number of full 

regeneration events within the sampling 

period. This requirement applies only 

for engines that send an electronic 

signal indicating the start of the 

regeneration event. 

§ 1042.520 What testing must I perform to 

establish deterioration factors? 

Sections 1042.240 and 1042.245 

describe the required methods for 

testing to establish deterioration factors 

for an engine family. 

§ 1042.525 How do I adjust emission levels 

to account for infrequently regenerating 

aftertreatment devices? 

This section describes how to adjust 

emission results from engines using 

aftertreatment technology with 

infrequent regeneration events. See 

paragraph (e) of this section for how to 

adjust ramped-modal testing. See 

paragraph (f) of this section for how to 

adjust discrete-mode testing. For this 

section, ‘‘regeneration’’ means an 

intended event during which emission 

levels change while the system restores 

aftertreatment performance. For 

example, exhaust gas temperatures may 

increase temporarily to remove sulfur 

from adsorbers or to oxidize 

accumulated particulate matter in a 

trap. For this section, ‘‘infrequent’’ 

refers to regeneration events that are 

expected to occur on average less than 

once over the applicable transient duty 

cycle or ramped-modal cycle, or on 

average less than once per typical mode 

in a discrete-mode test. 

(a) Developing adjustment factors. 

Develop an upward adjustment factor 

and a downward adjustment factor for 

each pollutant based on measured 

emission data and observed 

regeneration frequency. Adjustment 

factors should generally apply to an 

entire engine family, but you may 

develop separate adjustment factors for 

different engine configurations within 

an engine family. If you use adjustment 

factors for certification, you must 

identify the frequency factor, F, from 

paragraph (b) of this section in your 

application for certification and use the 

adjustment factors in all testing for that 

engine family. You may use carryover or 

carry-across data to establish adjustment 

factors for an engine family, as 

described in § 1042.235(d), consistent 

with good engineering judgment. All 

adjustment factors for regeneration are 

additive. Determine adjustment factors 

separately for different test segments. 

For example, determine separate 

adjustment factors for different modes of 

a discrete-mode steady-state test. You 

may use either of the following different 

approaches for engines that use 

aftertreatment with infrequent 

regeneration events: 

(1) You may disregard this section if 

regeneration does not significantly affect 

emission levels for an engine family (or 

configuration) or if it is not practical to 

identify when regeneration occurs. If 

you do not use adjustment factors under 

this section, your engines must meet 

emission standards for all testing, 

without regard to regeneration. 

(2) If your engines use aftertreatment 

technology with extremely infrequent 

regeneration and you are unable to 

apply the provisions of this section, you 

may ask us to approve an alternate 

methodology to account for regeneration 

events. 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37265 

(b) Calculating average adjustment 

factors. Calculate the average 

adjustment factor (EFA) based on the 

following equation: 

EFA = (F)(EFH) + (1¥F)(EFL) 

Where: 

F = the frequency of the regeneration event 

during normal in-use operation, 

expressed in terms of the fraction of 

equivalent tests during which the 

regeneration occurs. You may determine 

F from in-use operating data or running 

replicate tests. For example, if you 

observe that the regeneration occurs 125 

times during 1000 MW-hrs of operation, 

and your engine typically accumulates 1 

MW-hr per test, F would be (125) ÷ 

(1000) ÷ (1) = 0.125. 

EFH = Measured emissions from a test 

segment in which the regeneration 

occurs. 

EFL = Measured emissions from a test 

segment in which the regeneration does 

not occur. 

(c) Applying adjustment factors. 

Apply adjustment factors based on 

whether regeneration occurs during the 

test run. You must be able to identify 

regeneration in a way that is readily 

apparent during all testing. 

(1) If regeneration does not occur 

during a test segment, add an upward 

adjustment factor to the measured 

emission rate. Determine the upward 

adjustment factor (UAF) using the 

following equation: 

UAF = EFA¥EFL 

(2) If regeneration occurs or starts to 

occur during a test segment, subtract a 

downward adjustment factor from the 

measured emission rate. Determine the 

downward adjustment factor (DAF) 

using the following equation: 

DAF = EFH¥EFA 

(d) Sample calculation. If EFL is 0.10 

g/kW-hr, EFH is 0.50 g/kW-hr, and F is 

0.1 (the regeneration occurs once for 

each ten tests), then: 

EFA = (0.1)(0.5 g/kW-hr) + (1.0¥0.1)(0.1 

g/kW-hr) = 0.14 g/kW-hr. 

UAF = 0.14 g/kW-hr¥0.10 g/kW-hr = 

0.04 g/kW-hr. 

DAF = 0.50 g/kW-hr¥0.14 g/kW-hr = 

0.36 g/kW-hr. 

(e) Ramped-modal testing. Develop a 

single sets of adjustment factors for the 

entire test. If a regeneration has started 

but has not been completed when you 

reach the end of a test, use good 

engineering judgment to reduce your 

downward adjustments to be 

proportional to the emission impact that 

occurred in the test. 

(f) Discrete-mode testing. Develop 

separate adjustment factors for each test 

mode. If a regeneration has started but 

has not been completed when you reach 

the end of the sampling time for a test 

mode extend the sampling period for 

that mode until the regeneration is 

completed. 

Subpart G—Special Compliance 

Provisions 

§ 1042.601 General compliance provisions 

for marine engines and vessels. 

Engine and vessel manufacturers, as 

well as owners, operators, and 

rebuilders of engines and vessels subject 

to the requirements of this part, and all 

other persons, must observe the 

provisions of this part, the requirements 

and prohibitions in 40 CFR part 1068, 

and the provisions of the Clean Air Act. 

The provisions of 40 CFR part 1068 

apply for compression-ignition marine 

engines as specified in that part, subject 

to the following provisions: 

(a) The following prohibitions apply 

with respect to recreational marine 

engines and recreational vessels: 

(1) Installing a recreational marine 

engine in a vessel that is not a 

recreational vessel is a violation of 40 

CFR 1068.101(a)(1). 

(2) For a vessel with an engine that is 

certified and labeled as a recreational 

marine engine, using it in a manner 

inconsistent with its intended use as a 

recreational vessel violates 40 CFR 

1068.101(a)(1), except as allowed by this 

chapter. 

(b) Subpart I of this part describes 

how the prohibitions of 40 CFR 

1068.101(a)(1) apply for remanufactured 

engines. The provisions of 40 CFR 

1068.105 do not allow the installation of 

a new remanufactured engine in a vessel 

that is defined as a ‘‘new vessel’’ unless 

the remanufactured engine is subject to 

the same standards as the standards 

applicable to freshly manufactured 

engines of the required model year. 

(c) The provisions of 40 CFR 1068.120 

apply when rebuilding marine engines, 

except as specified in subpart I of this 

part. The following additional 

requirements also apply when 

rebuilding marine engines equipped 

with exhaust aftertreatment: 

(1) Follow all instructions from the 

engine manufacturer and aftertreatment 

manufacturer for checking, repairing, 

and replacing aftertreatment 

components. For example, you must 

replace the catalyst if the catalyst 

assembly is stamped with a build date 

more than ten years ago and the 

manufacturer’s instructions state that 

catalysts over ten years old must be 

replaced when the engine is rebuilt. 

(2) Measure pressure drop across the 

catalyst assembly to ensure that it is 

neither higher nor lower than the 

manufacturer’s specifications and repair 

or replace exhaust-system components 

as needed to bring the pressure drop 

within the manufacturer’s 

specifications. 

(3) For engines equipped with exhaust 

sensors, verify that sensor outputs are 

within the manufacturer’s 

recommended range and repair or 

replace any malfunctioning components 

(sensors, catalysts, or other 

components). 

(d) The provisions of § 1042.635 for 

the national security exemption apply 

instead of 40 CFR 1068.225. 

(e) For replacement engines, apply the 

provisions of 40 CFR 1068.240 as 

described in § 1042.615. 

(f) For the purpose of meeting the 

defect-reporting requirements in 40 CFR 

1068.501, if you manufacture other 

nonroad engines that are substantially 

similar to your marine engines, you may 

consider defects using combined marine 

and non-marine families. 

(g) For a marine engine labeled as 

requiring the use of ultra low-sulfur 

diesel fuel, is a violation of 40 CFR 

1068.101(b)(1) to operate it with highersulfur fuel. It is also a violation of 40 

CFR 1068.101(b)(1) if an engine installer 

or vessel manufacturer fails to follow 

the engine manufacturer’s emissionrelated installation instructions when 

installing a certified engine in a marine 

vessel. 

§ 1042.605 Dressing engines already 

certified to other standards for nonroad or 

heavy-duty highway engines for marine 

use. 

(a) General provisions. If you are an 

engine manufacturer (including 

someone who marinizes a land-based 

engine), this section allows you to 

introduce new marine engines into U.S. 

commerce if they are already certified to 

the requirements that apply to 

compression-ignition engines under 40 

CFR parts 85 and 86 or 40 CFR part 89, 

92, 1033, or 1039 for the appropriate 

model year. If you comply with all the 

provisions of this section, we consider 

the certificate issued under 40 CFR part 

86, 89, 92, 1033, or 1039 for each engine 

to also be a valid certificate of 

conformity under this part 1042 for its 

model year, without a separate 

application for certification under the 

requirements of this part 1042. 

(b) Vessel-manufacturer provisions. If 

you are not an engine manufacturer, you 

may install an engine certified for the 

appropriate model year under 40 CFR 

part 86, 89, 92, 1033, or 1039 in a 

marine vessel as long as you do not 

make any of the changes described in 

paragraph (d)(3) of this section and you 

meet the requirements of paragraph (e) 

of this section. If you modify the nonmarine engine in any of the ways 
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37266 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

described in paragraph (d)(3) of this 

section, we will consider you a 

manufacturer of a new marine engine. 

Such engine modifications prevent you 

from using the provisions of this 

section. 

(c) Liability. Engines for which you 

meet the requirements of this section are 

exempt from all the requirements and 

prohibitions of this part, except for 

those specified in this section. Engines 

exempted under this section must meet 

all the applicable requirements from 40 

CFR parts 85 and 86 or 40 CFR part 89, 

92, 1033, or 1039. This paragraph (c) 

applies to engine manufacturers, vessel 

manufacturers that use such an engine, 

and all other persons as if the engine 

were used in its originally intended 

application. The prohibited acts of 40 

CFR 1068.101(a)(1) apply to these new 

engines and vessels; however, we 

consider the certificate issued under 40 

CFR part 86, 89, 92, 1033, or 1039 for 

each engine to also be a valid certificate 

of conformity under this part 1042 for 

its model year. If we make a 

determination that these engines do not 

conform to the regulations during their 

useful life, we may require you to recall 

them under 40 CFR part 85, 89, 92, or 

1068. 

(d) Specific criteria and requirements. 

If you are an engine manufacturer and 

meet all the following criteria and 

requirements regarding your new 

marine engine, the engine is eligible for 

an exemption under this section: 

(1) You must produce it by marinizing 

an engine covered by a valid certificate 

of conformity from one of the following 

programs: 

(i) Heavy-duty highway engines (40 

CFR part 86). 

(ii) Land-based compression-ignition 

nonroad engines (40 CFR part 89 or 

1039). 

(iii) Locomotives (40 CFR part 92 or 

1033). To be eligible for dressing under 

this section, the engine must be from a 

locomotive certified to standards that 

are at least as stringent as either the 

standards applicable to new marine 

engines or freshly manufactured 

locomotives in the model year that the 

engine is being dressed. 

(2) The engine must have the label 

required under 40 CFR part 86, 89, 92, 

1033, or 1039. 

(3) You must not make any changes to 

the certified engine that could 

reasonably be expected to increase its 

emissions. For example, if you make 

any of the following changes to one of 

these engines, you do not qualify for the 

engine dressing exemption: 

(i) Change any fuel system parameters 

from the certified configuration, or 

change, remove, or fail to properly 

install any other component, element of 

design, or calibration specified in the 

engine manufacturer’s application for 

certification. This includes 

aftertreatment devices and all related 

components. 

(ii) Replacing an original 

turbocharger, except that small-volume 

engine manufacturers may replace an 

original turbocharger on a recreational 

engine with one that matches the 

performance of the original 

turbocharger. 

(iii) Modify or design the marine 

engine cooling or aftercooling system so 

that temperatures or heat rejection rates 

are outside the original engine 

manufacturer’s specified ranges. 

(4) You must show that fewer than 10 

percent of the engine family’s total sales 

in the United States are used in marine 

applications. This includes engines 

used in any application, without regard 

to which company manufactures the 

vessel or equipment. Show this as 

follows: 

(i) If you are the original manufacturer 

of the engine, base this showing on your 

sales information. 

(ii) In all other cases, you must 

confirm this based on your best estimate 

of the original manufacturer’s sales 

information. 

(e) Labeling and documentation. If 

you are an engine manufacturer or 

vessel manufacturer using this 

exemption, you must do all of the 

following: 

(1) Make sure the original engine label 

will remain clearly visible after 

installation in the vessel. 

(2) Add a permanent supplemental 

label to the engine in a position where 

it will remain clearly visible after 

installation in the vessel. In your engine 

label, do the following: 

(i) Include the heading: ‘‘Marine 

Engine Emission Control Information’’. 

(ii) Include your full corporate name 

and trademark. 

(iii) State: ‘‘This engine was 

marinized without affecting its emission 

controls.’’. 

(iv) State the date you finished 

marinizing the engine (month and year). 

(3) Send the Designated Compliance 

Officer a signed letter by the end of each 

calendar year (or less often if we tell 

you) with all the following information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the engine models for which 

you expect to use this exemption in the 

coming year and describe your basis for 

meeting the sales restrictions of 

paragraph (d)(4) of this section. 

(iii) State: ‘‘We prepare each listed 

engine model for marine application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1042.605.’’. 

(f) Failure to comply. If your engines 

do not meet the criteria listed in 

paragraph (d) of this section, they will 

be subject to the standards, 

requirements, and prohibitions of this 

part 1042 and the certificate issued 

under 40 CFR part(s) 86, 89, 92, 1033, 

or 1039 will not be deemed to also be 

a certificate issued under this part 1042. 

Introducing these engines into U.S. 

commerce as marine engines without a 

valid exemption or certificate of 

conformity under this part violates the 

prohibitions in 40 CFR 1068.101(a)(1). 

(g) Data submission. (1) If you are 

both the original manufacturer and 

marinizer of an exempted engine, you 

must send us emission test data on the 

appropriate marine duty cycles. You can 

include the data in your application for 

certification or in the letter described in 

paragraph (e)(3) of this section. 

(2) If you are the original 

manufacturer of an exempted engine 

that is marinized by a post-manufacture 

marinizer, you may be required to send 

us emission test data on the appropriate 

marine duty cycles. If such data are 

requested you will be allowed a 

reasonable amount of time to collect the 

data. 

(h) Participation in averaging, 

banking and trading. Engines adapted 

for marine use under this section may 

not generate or use emission credits 

under this part 1042. These engines may 

generate credits under the ABT 

provisions in 40 CFR part(s) 86, 89, 92, 

1033, or 1039, as applicable. These 

engines must use emission credits under 

40 CFR part(s) 86, 89, 92, 1033, or 1039 

as applicable if they are certified to an 

FEL that exceeds an emission standard. 

(i) Operator requirements. The 

requirements specified for vessel 

manufacturers, owners, and operators in 

this subpart (including requirements in 

40 CFR part 1068) apply to these 

engines whether they are certified under 

this part 1042 or another part as allowed 

by this section. 

§ 1042.610 Certifying auxiliary marine 

engines to land-based standards. 

This section applies to auxiliary 

marine engines that are identical to 

certified land-based engines. See 

§ 1042.605 for provisions that apply to 

propulsion marine engines or auxiliary 

marine engines that are modified for 

marine applications. 

(a) General provisions. If you are an 

engine manufacturer, this section allows 

you to introduce new marine engines 

into U.S. commerce if they are already 

certified to the requirements that apply 

to compression-ignition engines under 
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40 CFR part 89 or 1039 for the 

appropriate model year. If you comply 

with all the provisions of this section, 

we consider the certificate issued under 

40 CFR part 89 or 1039 for each engine 

to also be a valid certificate of 

conformity under this part 1042 for its 

model year, without a separate 

application for certification under the 

requirements of this part 1042. 

(b) Vessel-manufacturer provisions. If 

you are not an engine manufacturer, you 

may install an engine certified for landbased applications in a marine vessel as 

long as you meet all the qualifying 

criteria and requirements specified in 

paragraphs (d) and (e) of this section. If 

you modify the non-marine engine, we 

will consider you a manufacturer of a 

new marine engine. Such engine 

modifications prevent you from using 

the provisions of this section. 

(c) Liability. Engines for which you 

meet the requirements of this section are 

exempt from all the requirements and 

prohibitions of this part, except for 

those specified in this section. Engines 

exempted under this section must meet 

all the applicable requirements from 40 

CFR part 89 or 1039. This paragraph (c) 

applies to engine manufacturers, vessel 

manufacturers that use such an engine, 

and all other persons as if the engine 

were used in its originally intended 

application. The prohibited acts of 40 

CFR 1068.101(a)(1) apply to these new 

engines and vessels; however, we 

consider the certificate issued under 40 

CFR part 89 or 1039 for each engine to 

also be a valid certificate of conformity 

under this part 1042 for its model year. 

If we make a determination that these 

engines do not conform to the 

regulations during their useful life, we 

may require you to recall them under 40 

CFR part 89 or 1068. 

(d) Qualifying criteria. If you are an 

engine manufacturer and meet all the 

following criteria and requirements 

regarding your new marine engine, the 

engine is eligible for an exemption 

under this section: 

(1) The marine engine must be 

identical in all material respects to a 

land-based engine covered by a valid 

certificate of conformity for the 

appropriate model year showing that it 

meets emission standards for engines of 

that power rating under 40 CFR part 89 

or 1039. 

(2) The engines may not be used as 

propulsion marine engines. 

(3) You must show that the number of 

auxiliary marine engines from the 

engine family must be smaller than the 

number of land-based engines from the 

engine family sold in the United States, 

as follows: 

(i) If you are the original manufacturer 

of the engine, base this showing on your 

sales information. 

(ii) In all other cases, you must get the 

original manufacturer of the engine to 

confirm this based on its sales 

information. 

(e) Specific requirements. If you are 

an engine manufacturer or vessel 

manufacturer using this exemption, you 

must do all of the following: 

(1) Make sure the original engine label 

will remain clearly visible after 

installation in the vessel. This label or 

a supplemental label must identify that 

the original certification is valid for 

auxiliary marine applications. 

(2) Send a signed letter to the 

Designated Compliance Officer by the 

end of each calendar year (or less often 

if we tell you) with all the following 

information: 

(i) Identify your full corporate name, 

address, and telephone number. 

(ii) List the engine models you expect 

to produce under this exemption in the 

coming year and describe your basis for 

meeting the sales restrictions of 

paragraph (d)(3) of this section. 

(iii) State: ‘‘We produce each listed 

engine model for marine application 

without making any changes that could 

increase its certified emission levels, as 

described in 40 CFR 1042.610.’’. 

(3) If you are the certificate holder, 

you must describe in your application 

for certification how you plan to 

produce engines for both land-based 

and auxiliary marine applications, 

including projected sales of auxiliary 

marine engines to the extent this can be 

determined. If the projected marine 

sales are substantial, we may ask for the 

year-end report of production volumes 

to include actual auxiliary marine 

engine sales. 

(f) Failure to comply. If your engines 

do not meet the criteria listed in 

paragraph (d) of this section, they will 

be subject to the standards, 

requirements, and prohibitions of this 

part 1042 and the certificate issued 

under 40 CFR part 89 or 1039 will not 

be deemed to also be a certificate issued 

under this part 1042. Introducing these 

engines into U.S. commerce as marine 

engines without a valid exemption or 

certificate of conformity under this part 

1042 violates the prohibitions in 40 CFR 

1068.101(a)(1). 

(g) Participation in averaging, banking 

and trading. Engines using this 

exemption may not generate or use 

emission credits under this part 1042. 

These engines may generate credits 

under the ABT provisions in 40 CFR 

part 89 or 1039, as applicable. These 

engines must use emission credits under 

40 CFR part 89 or 1039 as applicable if 

they are certified to an FEL that exceeds 

an emission standard. 

(h) Operator requirements. The 

requirements specified for vessel 

manufacturers, owners, and operators in 

this subpart (including requirements in 

40 CFR part 1068) apply to these 

engines whether they are certified under 

this part 1042 or another part as allowed 

by this section. 

§ 1042.615 Replacement engine 

exemption. 

For replacement engines, apply the 

provisions of 40 CFR 1068.240 as 

described in this section. 

(a) This paragraph (a) applies instead 

of the provisions of 40 CFR 

1068.240(b)(3). The prohibitions in 40 

CFR 1068.101(a)(1) do not apply for a 

new replacement engine meeting Tier 3 

standards if the engine being replaced is 

a Tier 3 or earlier engine (this applies 

where new engines would otherwise be 

subject to Tier 4 or later standards). For 

other cases, the prohibitions in 40 CFR 

1068.101(a)(1) do not apply to a new 

replacement engine if all the following 

conditions are met: 

(1) You use good engineering 

judgment to determine that no engine 

certified to the current requirements of 

this part is produced by any 

manufacturer with the appropriate 

physical or performance characteristics 

to repower the vessel. 

(2) You make a record of your 

determination for each replacement 

engine with the following information 

and keep these records for eight years: 

(i) If you determine that no engine 

certified to the current requirements of 

this part is available with the 

appropriate performance characteristics, 

explain why certified engines produced 

by you and other manufacturers cannot 

be used as a replacement because they 

are not similar to the engine being 

replaced in terms of power or speed. 

(ii) You may determine that all 

engines certified to the current 

requirements of this part that have 

appropriate performance characteristics 

are not available because they do not 

have the appropriate physical 

characteristics. If this is the case, 

explain why these certified engines 

produced by you and other 

manufacturers cannot be used as a 

replacement because their weight or 

dimensions are substantially different 

than those of the engine being replaced, 

or because they will not fit within the 

vessel’s engine compartment or engine 

room. 

(iii) In evaluating appropriate 

physical or performance characteristics, 

you may account for compatibility with 

vessel components you would not 
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37268 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

otherwise replace when installing a new 

engine, including transmissions or 

reduction gears, drive shafts or propeller 

shafts, propellers, cooling systems, 

operator controls, or electrical systems 

for generators or indirect-drive 

configurations. If you make your 

determination on this basis, you must 

identify the vessel components that are 

incompatible with engines certified to 

current standards and explain how they 

are incompatible and why it would be 

unreasonable to replace them. 

(iv) In evaluating appropriate physical 

or performance characteristics, you may 

account for compatibility in a set of two 

or more propulsion engines on a vessel 

where only one of the engines needs 

replacement, but only if each engine not 

needing replacement has operated for 

less than 75 percent of its applicable 

useful life in hours or years (see 

§ 1042.101). If any engine not otherwise 

needing replacement exceeds this 75 

percent threshold, your determination 

must consider replacement of all the 

propulsion engines. 

(v) In addition to the determination 

specified in paragraph (a)(1) of this 

section, you must make a separate 

determination for your own product line 

addressing every tier of emission 

standards that is more stringent than the 

emission standards for the engine being 

replaced. For example, if the engine 

being replaced was built before the Tier 

1 standards started to apply and engines 

of that size are currently subject to Tier 

3 standards, you must consider whether 

any Tier 1 or Tier 2 engines that you 

produce have the appropriate physical 

and performance characteristics for 

replacing the old engine; if you can 

produce a Tier 2 engine with the 

appropriate physical and performance 

characteristics, you must use it as the 

replacement engine. 

(3) You must notify us within 30 days 

after you ship each replacement engine 

under this section. Your notification 

must include all the following things 

and be signed by an authorized 

representative of your company: 

(i) A copy of your records describing 

how you made the determination 

described in paragraph (a)(2) of this 

section for this particular engine. 

(ii) The total number of replacement 

engines you have shipped in the 

applicable calendar year, from all your 

marine engine models. 

(iii) The following statement: 

I certify that the statements and 

information in the enclosed document 

are true, accurate, and complete to the 

best of my knowledge. I am aware that 

there are significant civil and criminal 

penalties for submitting false statements 

and information, or omitting required 

statements and information. 

(4) We may reduce the reporting and 

recordkeeping requirements in this 

section. 

(b) Modifying a vessel to significantly 

increase its value within six months 

after installing a replacement engine 

produced under this section is a 

violation of 40 CFR 1068.101(a)(1). 

(c) We may void an exemption for an 

engine if we determine that any of the 

conditions described in paragraph (a) of 

this section are not met. 

§ 1042.620 Engines used solely for 

competition. 

The provisions of this section apply 

for new engines and vessels built on or 

after January 1, 2009. 

(a) We may grant you an exemption 

from the standards and requirements of 

this part for a new engine on the 

grounds that it is to be used solely for 

competition. The requirements of this 

part, other than those in this section, do 

not apply to engines that we exempt for 

use solely for competition. The 

prohibitions in § 1068.101(a)(1) do not 

apply to engines exempted under this 

section. 

(b) We will exempt engines that we 

determine will be used solely for 

competition. The basis of our 

determination is described in 

paragraphs (c) and (d) of this section. 

Exemptions granted under this section 

are good for only one model year and 

you must request renewal for each 

subsequent model year. We will not 

approve your renewal request if we 

determine the engine will not be used 

solely for competition. 

(c) Engines meeting all the following 

criteria are considered to be used solely 

for competition: 

(1) Neither the engine nor any vessels 

containing the engine may be displayed 

for sale in any public dealership or 

otherwise offered for sale to the general 

public. 

(2) Sale of the vessel in which the 

engine is installed must be limited to 

professional racing teams, professional 

racers, or other qualified racers. Keep 

records documenting this, such as a 

letter requesting an exempted engine. 

(3) The engine and the vessel in 

which it is installed must have 

performance characteristics that are 

substantially superior to noncompetitive 

models. 

(4) The engines are intended for use 

only as specified in paragraph (e) of this 

section. 

(d) You may ask us to approve an 

exemption for engines not meeting the 

applicable criteria listed in paragraph 

(c) of this section as long as you have 

clear and convincing evidence that the 

engines will be used solely for 

competition. 

(e) Engines will not be considered to 

be used solely for competition if they 

are ever used for any recreational or 

other noncompetitive purpose. This 

means that their use must be limited to 

competition events sanctioned by the 

U.S. Coast Guard or another public 

organization with authorizing permits 

for participating competitors. Operation 

for such engines may include only 

racing events or trials to qualify for 

racing events. Authorized attempts to 

set speed records (and the associated 

official trials) are also considered racing 

events. Any use of exempt engines in 

recreational events, such as poker runs 

and lobsterboat races, is a violation of 

40 CFR 1068.101(b)(4). 

(f) You must permanently label 

engines exempted under this section to 

clearly indicate that they are to be used 

only for competition. Failure to properly 

label an engine will void the exemption 

for that engine. 

(g) If we request it, you must provide 

us any information we need to 

determine whether the engines or 

vessels are used solely for competition. 

This would include documentation 

regarding the number of engines and the 

ultimate purchaser of each engine. Keep 

these records for five years. 

§ 1042.625 Special provisions for engines 

used in emergency applications. 

(a) Except as specified in paragraph 

(d) of this section, the prohibitions in 

§ 1068.101(a)(1) do not apply to a new 

engine that is subject to Tier 4 standards 

if the following conditions are met: 

(1) The engine is intended for 

installation in one of the following 

vessels or applications: 

(i) A lifeboat approved by the U.S. 

Coast Guard under approval series 

160.135 (see for example 46 CFR 

199.201(a)(1)), as long as such a vessel 

is not also used as a launch or tender. 

(ii) A rescue boat approved by the 

U.S. Coast Guard under approval series 

160.156 (see for example 46 CFR 

199.202(a)). 

(iii) Generator sets or other auxiliary 

equipment that qualify as final 

emergency power sources under 46 CFR 

part 112. 

(2) The engine meets the Tier 3 

emission standards specified in 

§ 1042.101 as specified in 40 CFR 

1068.265. 

(3) The engine is used only for its 

intended purpose, as specified on the 

emission control information label. 

(b) Except as specified in paragraph 

(d) of this section, the prohibitions in 

§ 1068.101(a)(1) do not apply to a new 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37269 

engine that is subject to Tier 3 standards 

according to the following provisions: 

(1) The engine must be intended for 

installation in a lifeboat or a rescue boat 

as specified in paragraph (a)(1)(i) or (ii) 

of this section. 

(2) This exemption is available from 

the initial effective date for the Tier 3 

standards until the engine model (or one 

of comparable size, weight, and 

performance) has been certified as 

complying with the Tier 3 standards 

and Coast Guard requirements. 

(3) The engine must meet the Tier 2 

emission standards specified in 

Appendix I of this part as specified in 

40 CFR 1068.265. 

(c) If you introduce an engine into 

U.S. commerce under this section, you 

must meet the labeling requirements in 

§ 1042.135, but add one of the following 

statements instead of the compliance 

statement in § 1042.135(c)(10): 

(1) For lifeboats and rescue boats, add 

the following statement: 

THIS ENGINE DOES NOT COMPLY 

WITH CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1042.625 

AND IS FOR USE SOLELY IN 

LIFEBOATS OR RESCUE BOATS 

(COAST GUARD APPROVAL SERIES 

160.135 OR 160.156). INSTALLATION 

OR USE OF THIS ENGINE IN ANY 

OTHER APPLICATION MAY BE A 

VIOLATION OF FEDERAL LAW 

SUBJECT TO CIVIL PENALTY. 

(2) For engines serving as final 

emergency power sources, add the 

following statement: 

THIS ENGINE DOES NOT COMPLY 

WITH CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1042.625 

AND IS FOR USE SOLELY IN 

EMERGENCY EQUIPMENT 

REGULATED BY 46 CFR 112. 

INSTALLATION OR USE OF THIS 

ENGINE IN ANY OTHER 

APPLICATION MAY BE A VIOLATION 

OF FEDERAL LAW SUBJECT TO CIVIL 

PENALTY. 

(d) Introducing into commerce a 

vessel containing an engine exempted 

under this section violates the 

prohibitions in 40 CFR 1068.101(a)(1) 

where the vessel is not covered by 

paragraph (a) or (b) of this section, 

unless it is exempt under a different 

provision. Similarly, using such an 

engine or vessel as something other than 

a lifeboat, rescue boat, or emergency 

engine as specified in paragraph (a)(1) of 

this section violates the prohibitions in 

40 CFR 1068.101(a)(1), unless it is 

exempt under a different provision. 

§ 1042.630 Personal-use exemption. 

This section applies to individuals 

who manufacture vessels for personal 

use. If you and your vessel meet all the 

conditions of this section, the vessel and 

its engine are considered to be exempt 

from the standards and requirements of 

this part that apply to new engines and 

new vessels. The prohibitions in 

§ 1068.101(a)(1) do not apply to engines 

exempted under this section. For 

example, you may install an engine that 

was not certified as a marine engine. 

(a) The vessel may not be 

manufactured from a previously 

certified vessel, nor may it be 

manufactured from a partially complete 

vessel that is equivalent to a certified 

vessel. The vessel must be 

manufactured primarily from 

unassembled components, but may 

incorporate some preassembled 

components. For example, fully 

preassembled steering assemblies may 

be used. You may also power the vessel 

with an engine that was previously used 

in a highway or land-based nonroad 

application. 

(b) The vessel may not be sold within 

five years after the date of final 

assembly. 

(c) No individual may manufacture 

more than one vessel in any ten-year 

period under this exemption. 

(d) You may not use the vessel in any 

revenue-generating service or for any 

other commercial purpose, except that 

you may use a vessel exempt under this 

section for commercial fishing that you 

personally do. 

(e) This exemption may not be used 

to circumvent the requirements of this 

part or the requirements of the Clean Air 

Act. For example, this exemption would 

not cover a case in which a person sells 

an almost completely assembled vessel 

to another person, who would then 

complete the assembly. This would be 

considered equivalent to the sale of the 

complete new vessel. This section also 

does not allow engine manufacturers to 

produce new engines that are exempt 

from emission standards and it does not 

provide an exemption from the 

prohibition against tampering with 

certified engines. 

(f) The vessel must be a vessel that is 

not classed or subject to Coast Guard 

inspections or surveys. 

§ 1042.635 National security exemption. 

The standards and requirements of 

this part and prohibitions in 

§ 1068.101(a)(1) do not apply to engines 

exempted under this section. 

(a) You are eligible for the exemption 

for national security only if you are a 

manufacturer. 

(b) Your engine is exempt without a 

request if it will be used or owned by 

an agency of the federal government 

responsible for national defense, where 

the vessel has armor, permanently 

attached weaponry, specialized 

electronic warfare systems, unique 

stealth performance requirements, and/ 

or unique combat maneuverability 

requirements. 

(c) You may request a national 

security exemption for engines not 

meeting the conditions of paragraph (b) 

of this section, as long as your request 

is endorsed by an agency of the federal 

government responsible for national 

defense. In your request, explain why 

you need the exemption. 

(d) Add a legible label, written in 

English, to all engines 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, family 

identification, and model year of the 

engine (as applicable), or whom to 

contact for further information. 

(4) The statement ‘‘THIS ENGINE 

HAS AN EXEMPTION FOR NATIONAL 

SECURITY UNDER 40 CFR 1042.635.’’. 

§ 1042.640 Special provisions for branded 

engines. 

The following provisions apply if you 

identify the name and trademark of 

another company instead of your own 

on your emission control information 

label, as provided by § 1042.135(c)(2): 

(a) You must have a contractual 

agreement with the other company that 

obligates that company to take the 

following steps: 

(1) Meet the emission warranty 

requirements that apply under 

§ 1042.120. This may involve a separate 

agreement involving reimbursement of 

warranty-related expenses. 

(2) Report all warranty-related 

information to the certificate holder. 

(b) In your application for 

certification, identify the company 

whose trademark you will use. 

(c) You remain responsible for 

meeting all the requirements of this 

chapter, including warranty and defectreporting provisions. 

§ 1042.650 Migratory vessels. 

The provisions of this section address 

concerns for vessel owners related to 

extended use of vessels with Tier 4 

engines outside the United States where 

ultra low-sulfur diesel fuel is not 

available. 

(a) Temporary exemption. A vessel 

owner may ask us for a temporary 
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37270 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

exemption from the tampering 

prohibition in 40 CFR 1068.101(b)(1) for 

a vessel if it will operate only in areas 

outside the United States where ULSD 

is not available. In your request, 

describe where the vessel will operate, 

how long it will operate there, why 

ULSD will be unavailable, and how you 

will modify the engine, including its 

emission controls. If we approve your 

request, you may modify the engine, but 

only as needed to disable or remove the 

emission controls needed for meeting 

the Tier 4 standards. You must return 

the engine to its original certified 

configuration before the vessel returns 

to the United States to avoid violating 

the tampering prohibition in 40 CFR 

1068.101(b)(1). We may set additional 

conditions to prevent circumvention of 

the provisions of this part. 

(b) SOLAS exemption. We may 

approve a permanent exemption from 

the prohibitions in 40 CFR 

1068.101(a)(1) for an engine that is 

subject to Tier 4 standards as described 

in this paragraph (b). 

(1) Vessel owners may ask for a 

permanent exemption from the Tier 4 

standards for an engine that will be 

installed on vessels that will operate for 

extended periods outside the United 

States, provided they demonstrate all of 

the following are true: 

(i) Prior to introduction into service, 

the vessel will comply with applicable 

certification requirements for 

international safety pursuant to the U.S. 

Coast Guard and the International 

Convention for the Protection of Life at 

Sea (SOLAS). The vessel owner must 

maintain compliance with these 

requirements for the life of the 

exempted engine. 

(ii) The vessel will be used in areas 

outside of the United States where 

ULSD will not be available. 

(iii) The mix of vessels with engines 

certified to Tier 3 or earlier standards in 

the owner’s current fleet and the 

owner’s current business operation of 

those vessels makes the exemption 

necessary. Note that because of the large 

fraction of pre-Tier 4 engines in the fleet 

prior to 2021, a request for a Tier 4 

exemption prior to that year must 

clearly demonstrate that unusual 

circumstances apply. 

(2) An engine exempted under this 

paragraph (b) must meet the Tier 3 

emission standards described in 

§ 1402.101, subject to the procedural 

requirements of 40 CFR 1068.265. 

(3) If you introduce an engine into 

U.S. commerce under this section, you 

must meet the labeling requirements in 

§ 1042.135, but add the following 

statement instead of the compliance 

statement in § 1042.135(c)(10): 

THIS ENGINE DOES NOT COMPLY 

WITH CURRENT U.S. EPA EMISSION 

STANDARDS UNDER 40 CFR 1042.650 

AND IS FOR USE SOLELY IN SOLAS 

VESSELS. INSTALLATION OR USE OF 

THIS ENGINE IN ANY OTHER 

APPLICATION MAY BE A VIOLATION 

OF FEDERAL LAW SUBJECT TO CIVIL 

PENALTY. 

(4) Operating a vessel containing an 

engine exempted under this paragraph 

(b) violates the prohibitions in 40 CFR 

1068.101(a)(1) if the vessel in not in full 

compliance with applicable 

requirements for international safety 

specified in paragraph (b)(1)(i) of this 

section. 

(c) Vessels less than 500 gross tons. In 

unusual circumstances for vessels less 

than 500 gross tons, we may approve a 

vessel owner’s request for a permanent 

exemption from the prohibitions in 40 

CFR 1068.101(a)(1) for an engine that is 

subject to Tier 4 standards that will 

operate for extended periods outside the 

United States without it being in 

compliance with applicable certification 

requirements for international safety. 

We may set appropriate additional 

conditions on such exemptions, and 

may void the exemption if those 

conditions are not met. 

§ 1042.660 Requirements for vessel 

manufacturers, owners, and operators. 

(a) The provisions of 40 CFR part 94, 

subpart K, apply to manufacturers, 

owners, and operators of marine vessels 

that contain Category 3 engines subject 

to the provisions of 40 CFR part 94, 

subpart A. 

(b) For vessels equipped with 

emission controls requiring the use of 

specific fuels, lubricants, or other fluids, 

owners and operators must comply with 

the manufacturer/remanufacturer’s 

specifications for such fluids when 

operating the vessels. Failure to comply 

with the requirements of this paragraph 

is a violation of 40 CFR 1068.101(b)(1). 

(c) For vessels equipped with SCR 

systems requiring the use of urea or 

other reductants, owners and operators 

must report to us within 30 days any 

operation of such vessels without the 

appropriate reductant. Failure to 

comply with the requirements of this 

paragraph is a violation of 40 CFR 

1068.101(a)(2). 

Subpart H—Averaging, Banking, and 

Trading for Certification 

§ 1042.701 General provisions. 

(a) You may average, bank, and trade 

(ABT) emission credits for purposes of 

certification as described in this subpart 

to show compliance with the standards 

of this part. Participation in this 

program is voluntary. 

(b) The definitions of subpart J of this 

part apply to this subpart. The following 

definitions also apply: 

(1) Actual emission credits means 

emission credits you have generated 

that we have verified by reviewing your 

final report. 

(2) Applicable emission standard 

means an emission standard that is 

specified in subpart B of this part. Note 

that for other subparts, ‘‘applicable 

emission standard’’ is defined to also 

include FELs. 

(3) Averaging set means a set of 

engines in which emission credits may 

be exchanged only with other engines in 

the same averaging set. 

(4) Broker means any entity that 

facilitates a trade of emission credits 

between a buyer and seller. 

(5) Buyer means the entity that 

receives emission credits as a result of 

a trade. 

(6) Reserved emission credits means 

emission credits you have generated 

that we have not yet verified by 

reviewing your final report. 

(7) Seller means the entity that 

provides emission credits during a 

trade. 

(8) Standard means the emission 

standard that applies under subpart B of 

this part for engines not participating in 

the ABT program of this subpart. 

(9) Trade means to exchange emission 

credits, either as a buyer or seller. 

(c) Emission credits may be 

exchanged only within an averaging set. 

Except as specified in paragraph (d) of 

this section, the following criteria define 

the applicable averaging sets: 

(1) Recreational engines. 

(2) Commercial Category 1 engines. 

(3) Category 2 engines. 

(d) Emission credits generated by 

commercial Category 1 engine families 

may be used for compliance by Category 

2 engine families. Such credits must be 

discounted by 25 percent. 

(e) You may not use emission credits 

generated under this subpart to offset 

any emissions that exceed an FEL or 

standard. This applies for all testing, 

including certification testing, in-use 

testing, selective enforcement audits, 

and other production-line testing. 

However, if emissions from an engine 

exceed an FEL or standard (for example, 

during a selective enforcement audit), 

you may use emission credits to 

recertify the engine family with a higher 

FEL that applies only to future 

production. 

(f) Engine families that use emission 

credits for one or more pollutants may 

not generate positive emission credits 

for another pollutant. 

(g) Emission credits may be used in 

the model year they are generated or in 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37271 

future model years. Emission credits 

may not be used for past model years. 

(h) You may increase or decrease an 

FEL during the model year by amending 

your application for certification under 

§ 1042.225. 

(i) You may use NOX+HC credits to 

show compliance with a NOX emission 

standard or use NOX credits to show 

compliance with a NOX+HC emission 

standard. 

§ 1042.705 Generating and calculating 

emission credits. 

The provisions of this section apply 

separately for calculating emission 

credits for NOX, NOX+HC, or PM. 

(a) For each participating family, 

calculate positive or negative emission 

credits relative to the otherwise 

applicable emission standard. Calculate 

positive emission credits for a family 

that has an FEL below the standard. 

Calculate negative emission credits for a 

family that has an FEL above the 

standard. Sum your positive and 

negative credits for the model year 

before rounding. Round calculated 

emission credits to the nearest kilogram 

(kg), using consistent units throughout 

the following equation: 

Emission credits (kg) = (Std ¥ FEL) × 

(Volume) × (Power) × (LF) × (UL) × 

(10¥3) 

Where: 

Std = The emission standard, in g/kW-hr. 

FEL = The family emission limit for the 

engine family, in g/kW-hr. 

Volume = The number of engines eligible to 

participate in the averaging, banking, 

and trading program within the given 

engine family during the model year, as 

described in paragraph (c) of this section. 

Power = The average value of maximum 

engine power of all the engine 

configurations within an engine family, 

calculated on a production-weighted 

basis, in kilowatts. 

LF = Load factor. Use 0.69 for propulsion 

marine engines and 0.51 for auxiliary 

marine engines. We may specify a 

different load factor if we approve the 

use of special test procedures for an 

engine family under 40 CFR 

1065.10(c)(2), consistent with good 

engineering judgment. 

UL = The useful life for the given engine 

family, in hours. 

(b) [Reserved] 

(c) In your application for 

certification, base your showing of 

compliance on projected production 

volumes for engines whose point of first 

retail sale is in the United States. As 

described in § 1042.730, compliance 

with the requirements of this subpart is 

determined at the end of the model year 

based on actual production volumes for 

engines whose point of first retail sale 

is in the United States. Do not include 

any of the following engines to calculate 

emission credits: 

(1) Engines permanently exempted 

under subpart G of this part or under 40 

CFR part 1068. 

(2) Exported engines. 

(3) Engines not subject to the 

requirements of this part, such as those 

excluded under § 1042.5. 

(4) [Reserved] 

(5) Any other engines, where we 

indicate elsewhere in this part 1042 that 

they are not to be included in the 

calculations of this subpart. 

§ 1042.710 Averaging emission credits. 

(a) Averaging is the exchange of 

emission credits among your engine 

families. 

(b) You may certify one or more 

engine families to an FEL above the 

emission standard, subject to the FEL 

caps and other provisions in subpart B 

of this part, if you show in your 

application for certification that your 

projected balance of all emission-credit 

transactions in that model year is greater 

than or equal to zero. 

(c) If you certify an engine family to 

an FEL that exceeds the otherwise 

applicable emission standard, you must 

obtain enough emission credits to offset 

the engine family’s deficit by the due 

date for the final report required in 

§ 1042.730. The emission credits used to 

address the deficit may come from your 

other engine families that generate 

emission credits in the same model 

year, from emission credits you have 

banked, or from emission credits you 

obtain through trading. 

§ 1042.715 Banking emission credits. 

(a) Banking is the retention of 

emission credits by the manufacturer 

generating the emission credits for use 

in averaging or trading in future model 

years. 

(b) You may use banked emission 

credits from the previous model year for 

averaging or trading before we verify 

them, but we may revoke these emission 

credits if we are unable to verify them 

after reviewing your reports or auditing 

your records. 

(c) Reserved credits become actual 

emission credits only when we verify 

them in reviewing your final report. 

§ 1042.720 Trading emission credits. 

(a) Trading is the exchange of 

emission credits between 

manufacturers. You may use traded 

emission credits for averaging, banking, 

or further trading transactions. 

(b) You may trade actual emission 

credits as described in this subpart. You 

may also trade reserved emission 

credits, but we may revoke these 

emission credits based on our review of 

your records or reports or those of the 

company with which you traded 

emission credits. You may trade banked 

credits to any certifying manufacturer. 

(c) If a negative emission credit 

balance results from a transaction, both 

the buyer and seller are liable, except in 

cases we deem to involve fraud. See 

§ 1042.255(e) for cases involving fraud. 

We may void the certificates of all 

engine families participating in a trade 

that results in a manufacturer having a 

negative balance of emission credits. 

See § 1042.745. 

§ 1042.725 Information required for the 

application for certification. 

(a) You must declare in your 

application for certification your intent 

to use the provisions of this subpart for 

each engine family that will be certified 

using the ABT program. You must also 

declare the FELs you select for the 

engine family for each pollutant for 

which you are using the ABT program. 

Your FELs must comply with the 

specifications of subpart B of this part, 

including the FEL caps. FELs must be 

expressed to the same number of 

decimal places as the emission 

standards. 

(b) Include the following in your 

application for certification: 

(1) A statement that, to the best of 

your belief, you will not have a negative 

balance of emission credits for any 

averaging set when all emission credits 

are calculated at the end of the year. 

(2) Detailed calculations of projected 

emission credits (positive or negative) 

based on projected production volumes. 

§ 1042.730 ABT reports. 

(a) If any of your engine families are 

certified using the ABT provisions of 

this subpart, you must send an end-ofyear report within 90 days after the end 

of the model year and a final report 

within 270 days after the end of the 

model year. We may waive the 

requirement to send the end-of-year 

report, as long as you send the final 

report on time. 

(b) Your end-of-year and final reports 

must include the following information 

for each engine family participating in 

the ABT program: 

(1) Engine-family designation. 

(2) The emission standards that would 

otherwise apply to the engine family. 

(3) The FEL for each pollutant. If you 

changed an FEL during the model year, 

identify each FEL you used and 

calculate the positive or negative 

emission credits under each FEL. Also, 

describe how the FEL can be identified 

for each engine you produced. For 

example, you might keep a list of engine 
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identification numbers that correspond 

with certain FEL values. 

(4) The projected and actual 

production volumes for the model year 

with a point of first retail sale in the 

United States, as described in 

§ 1042.705(c). If you changed an FEL 

during the model year, identify the 

actual production volume associated 

with each FEL. 

(5) Maximum engine power for each 

engine configuration, and the 

production-weighted average engine 

power for the engine family. 

(6) Useful life. 

(7) Calculated positive or negative 

emission credits for the whole engine 

family. Identify any emission credits 

that you traded, as described in 

paragraph (d)(1) of this section. 

(c) Your end-of-year and final reports 

must include the following additional 

information: 

(1) Show that your net balance of 

emission credits from all your 

participating engine families in each 

averaging set in the applicable model 

year is not negative. 

(2) State whether you will retain any 

emission credits for banking. 

(3) State that the report’s contents are 

accurate. 

(d) If you trade emission credits, you 

must send us a report within 90 days 

after the transaction, as follows: 

(1) Sellers must include the following 

information in their report: 

(i) The corporate names of the buyer 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) The engine families that 

generated emission credits for the trade, 

including the number of emission 

credits from each family. 

(2) Buyers must include the following 

information in their report: 

(i) The corporate names of the seller 

and any brokers. 

(ii) A copy of any contracts related to 

the trade. 

(iii) How you intend to use the 

emission credits, including the number 

of emission credits you intend to apply 

to each engine family (if known). 

(e) Send your reports electronically to 

the Designated Compliance Officer 

using an approved information format. 

If you want to use a different format, 

send us a written request with 

justification for a waiver. 

(f) Correct errors in your end-of-year 

report or final report as follows: 

(1) You may correct any errors in your 

end-of-year report when you prepare the 

final report, as long as you send us the 

final report by the time it is due. 

(2) If you or we determine within 270 

days after the end of the model year that 

errors mistakenly decreased your 

balance of emission credits, you may 

correct the errors and recalculate the 

balance of emission credits. You may 

not make these corrections for errors 

that are determined more than 270 days 

after the end of the model year. If you 

report a negative balance of emission 

credits, we may disallow corrections 

under this paragraph (f)(2). 

(3) If you or we determine anytime 

that errors mistakenly increased your 

balance of emission credits, you must 

correct the errors and recalculate the 

balance of emission credits. 

§ 1042.735 Recordkeeping. 

(a) You must organize and maintain 

your records as described in this 

section. We may review your records at 

any time. 

(b) Keep the records required by this 

section for eight years after the due date 

for the end-of-year report. You may not 

use emission credits on any engines if 

you do not keep all the records required 

under this section. You must therefore 

keep these records to continue to bank 

valid credits. 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. 

(c) Keep a copy of the reports we 

require in § 1042.730. 

(d) Keep the following additional 

records for each engine you produce 

that generates or uses emission credits 

under the ABT program: 

(1) Engine family designation. 

(2) Engine identification number. You 

may identify these numbers as a range. 

(3) FEL and useful life. If you change 

the FEL after the start of production, 

identify the date that you started using 

the new FEL and give the engine 

identification number for the first 

engine covered by the new FEL. 

(4) Maximum engine power. 

(5) Purchaser and destination. 

(e) We may require you to keep 

additional records or to send us relevant 

information not required by this section, 

as allowed under the Clean Air Act. 

§ 1042.745 Noncompliance. 

(a) For each engine family 

participating in the ABT program, the 

certificate of conformity is conditional 

upon full compliance with the 

provisions of this subpart during and 

after the model year. You are 

responsible to establish to our 

satisfaction that you fully comply with 

applicable requirements. We may void 

the certificate of conformity for an 

engine family if you fail to comply with 

any provisions of this subpart. 

(b) You may certify your engine 

family to an FEL above an emission 

standard based on a projection that you 

will have enough emission credits to 

offset the deficit for the engine family. 

However, we may void the certificate of 

conformity if you cannot show in your 

final report that you have enough actual 

emission credits to offset a deficit for 

any pollutant in an engine family. 

(c) We may void the certificate of 

conformity for an engine family if you 

fail to keep records, send reports, or give 

us information we request. 

(d) You may ask for a hearing if we 

void your certificate under this section 

(see § 1042.920). 

Subpart I—Special Provisions for 

Remanufactured Marine Engines 

§ 1042.801 General provisions. 

This section describes how the 

provisions of this part 1042 apply for 

certain remanufactured marine engines. 

(a) The requirements of this subpart 

apply for remanufactured Tier 2 and 

earlier commercial marine engines at or 

above 600 kW, excluding those engines 

originally manufactured before 1973. 

Note that the requirements of this 

subpart do not apply for engines below 

600 kW, engines installed on 

recreational vessels, or Tier 3 and later 

engines. 

(b) Any person meeting the definition 

of ‘‘remanufacturer’’ in § 1042.901 may 

apply for a certificate of conformity for 

a remanufactured engine family. 

(c) The rebuilding requirements of 40 

CFR 1068.120 do not apply to 

remanufacturing of engines using a 

certified remanufacturing system under 

this subpart. However, the requirements 

of 40 CFR 1068.120 do apply to all other 

remanufacturing of engines. 

(d) Unless specified otherwise, 

engines certified under this subpart are 

also subject to the other requirements of 

this part. 

(e) For remanufactured engines 

required to have a valid certificate of 

conformity, placing a new marine 

engine back into service following 

remanufacturing is a violation of 40 CFR 

1068.101(a)(1), unless it has a valid 

certificate of conformity for its model 

year and the required label. 

(f) Remanufacturing systems that 

require a fuel change or use of a fuel 

additive may be certified under this 

part. However, they are not considered 

to be ‘‘available’’ with respect to 

triggering the requirement for an engine 

to be covered by a certificate of 

conformity under § 1042.815. The 

following provisions apply: 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37273 

(i) Only fuels and additives registered 

under 40 CFR part 79 may be used 

under this paragraph. 

(ii) You must demonstrate in your 

application that the fuel or additive will 

actually be used by operators, including 

a description of how the vessels and 

dispensing tanks will be labeled. We 

may require you to provide the labels to 

the operators. 

(iii) You must also describe analytical 

methods that can be used by EPA or 

others to verify that fuel meets your 

specifications. 

(iv) You must provide clear 

instructions to the operators specifying 

that they may only use the specified 

fuel/additive, label their vessels and 

fuel dispensing tanks, and keep records 

of their use of the fuel/additive in order 

for their engine to be covered by your 

certificate. Use of the incorrect fuel (or 

fuel without the specified additive) or 

any other failure to comply with the 

requirements of this paragraph is a 

violation of 40 CFR 1068.101(b)(1). 

(g) Vessels equipped with emission 

controls as part of a state or local retrofit 

program prior to January 1, 2017 are 

exempt from the requirements of this 

subpart, as specified in this paragraph 

(g). 

(1) This exemption only applies for 

retrofit programs sponsored by a state 

government (or one of its political 

subdivisions) for the purpose of 

reducing emissions. The exemption 

does not apply where the sponsoring 

government specifies that inclusion in 

the retrofit program is not intended to 

provide an exemption from the 

requirements of this subpart. 

(2) The prohibitions against tampering 

and defeat devices in 40 CFR 

1068.101(b) and the rebuilding 

requirements in 40 CFR 1068.120 apply 

for the exempt engines in the same 

manner as if they were covered by a 

certificate. 

(3) Vessel owners must request an 

exemption prior to remanufacturing the 

engine. Your request must include 

documentation that your vessel has 

been retrofitted consistent with the 

specifications of paragraph (g)(1) of this 

section, and a signed statement 

declaring that to be true. Except for the 

initial request for a specific vessel and 

a specific retrofit, you may consider 

your request to be approved unless we 

notify you otherwise within 30 days of 

the date that we receive your request. 

§ 1042.810 Requirements for owner/ 

operators and installers during 

remanufacture. 

This section describes how the 

remanufacturing regulations affect 

owner/operators and installers for 

engines subject to this subpart. 

(a) See the definition of 

‘‘remanufacture’’ in § 1042.901 to 

determine if you are remanufacturing 

your engine. (Note: Replacing cylinders 

one at a time may qualify as 

remanufacturing, depending on the 

interval between replacement.) 

(b) See the definition of ‘‘new marine 

engine’’ in § 1042.901 to determine if 

remanufacturing your engine makes it 

subject to the requirements of this part. 

If the engine is considered to be new, it 

is subject to the certification 

requirements of this subpart, unless it is 

exempt under subpart G of this part. 

(c) Your engine is not subject to the 

standards of this part if we determine 

that no certified remanufacturing system 

is available for your engine as described 

in § 1042.815. For engines that are 

remanufactured during multiple events 

within a five-year period, you are not 

required to use a certified system until 

all of your engine’s cylinders have been 

replaced after the system became 

available. For example, if you 

remanufacture your 16-cylinder engine 

by replacing four cylinders each January 

and a system becomes available for your 

engine June 1, 2010, your engine must 

be in a certified configuration when you 

replace four cylinders in January of 

2014. At that point, all 16 cylinders 

would have been replaced after June 1, 

2010. 

(d) You may comply with the 

certification requirements of this part 

for your remanufactured engine by 

either obtaining your own certificate of 

conformity as specified in subpart C of 

this part or by having a certifying 

remanufacturer include your engine 

under its certificate of conformity. In 

either case, your remanufactured engine 

must be covered by a certificate before 

it is reintroduced into service. 

(e) Contact a certifying 

remanufacturer to have your engine 

included under its certificate of 

conformity. You must comply with the 

certificate holder’s emission-related 

installation instructions. 

§ 1042.815 Demonstrating availability. 

(a) A certified remanufacturing system 

is considered to be available for a 

specific engine only if EPA has certified 

the remanufacturing system as being in 

compliance with the provisions of this 

part and the certificate holder has 

demonstrated during certification that 

the system meets the criteria of this 

paragraph (a). We may issue a certificate 

for a remanufacturing system that does 

not meet these criteria, but such systems 

would not be considered available. 

(1) The engine configuration must be 

included in the engine family for the 

remanufacturing system. 

(2) The total marginal cost of the 

remanufacturing system, as calculated 

under paragraph (c) of this section, must 

be less than $45,000 per ton of PM 

reduction. 

(3) It must be possible to obtain and 

install the remanufacturing system in a 

timely manner consistent with normal 

remanufacturing procedures. For 

example, a remanufacturing system 

would generally not be considered to be 

available if it required that the engine be 

removed from the vessel and shipped to 

a factory to be remanufactured. 

(4) The remanufacturing system may 

result in increased maintenance costs, 

provided the incremental maintenance 

costs are included in the total costs. The 

remanufacturing system may not 

adversely affect engine reliability or 

power. Note that owner/operators may 

ask us to determine that a 

remanufacturing system is not 

considered available for their vessels 

because of excessive costs under 

§ 1042.850. 

(b) We will maintain a list of available 

remanufacturing systems. A new 

remanufacturing system is considered to 

be available 120 days after we first issue 

a certificate of conformity for it. Where 

we issue a certificate of conformity 

based on carryover data for a system 

that is already considered to be 

available for the configuration, the 120-

day delay does not apply and the new 

system is considered to be available 

when we issue the certificate. 

(c) For the purpose of paragraph (a)(2) 

of this section, marginal cost means the 

difference in costs between 

remanufacturing the engine using the 

remanufacturing system and 

remanufacturing the engine 

conventionally, divided by the projected 

amount that PM emissions will be 

reduced over the engine’s useful life. 

(1) Total costs include: 

(i) Incremental hardware costs. 

(ii) Incremental labor costs. 

(iii) Incremental operating costs over 

one useful life period. 

(iv) Other costs (such as shipping). 

(2) Calculate the projected amount 

that PM emissions will be reduced over 

the engine’s useful life using the 

following equation: 

PM tons = (EFbase ¥ EFcont) × (PR) × (UL) 

× (LF) × (10¥6) 

Where: 

EFbase = deteriorated baseline PM emission 

rate (g/kW-hr). 

EFcont = deteriorated controlled PM emission 

rate (g/kW-hr). 

PR = maximum engine power for the engine 

(kW). 
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37274 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

UL = useful life (hr). 

LF = the load factor that would apply for 

your engine under § 1042.705. 

§ 1042.820 Emission standards and 

required emission reductions for 

remanufactured engines. 

(a) The requirements of this section 

apply with respect to emissions as 

measured according to subpart F of this 

part. See paragraph (g) of this section for 

special provisions related to 

remanufacturing systems certified for 

both locomotive and marine engines. 

Remanufactured Tier 2 and earlier 

engines may be certified under this 

subpart only if they have NOX emissions 

equivalent to or less than baseline NOX 

levels and PM emissions at least 25.0 

percent less than baseline PM emission 

levels. See § 1042.825 for provisions for 

determining baseline NOX and PM 

emissions. See § 1042.835 for provisions 

related to demonstrating compliance 

with these requirements. 

(b) The NTE and ABT provisions of 

this part do not apply for 

remanufactured engines. 

(c) The exhaust emission standards in 

this section apply for engines using the 

fuel type on which the engines in the 

engine family are designed to operate. 

Engines designed to operate using 

residual fuel must comply with the 

standards and requirements of this part 

when operated using residual fuel. 

(d) Your engines must meet the 

exhaust emission standards of this 

section over their full useful life, as 

defined in § 1042.101(e). 

(e) The duty-cycle emission standards 

in this subpart apply to all testing 

performed according to the procedures 

in § 1042.505, including certification, 

production-line, and in-use testing. 

(f) Sections 1042.120, 1042.125, 

1042.130, 1042.140 apply for 

remanufactured engines as written. 

Section 1042.115 applies for 

remanufactured engines as written, 

except for the requirement that 

electronically controlled engines 

broadcast their speed and output shaft 

torque. 

(g) A remanufacturing system certified 

for locomotive engines under 40 CFR 

part 1033 may be deemed to also meet 

the requirements of this section, as 

specified in § 1042.836. 

§ 1042.825 Baseline determination. 

(a) For the purpose of this subpart, the 

term ‘‘baseline emissions’’ means the 

average measured emission rate 

specified by this section. Baseline 

emissions are specific to a given 

certificate holder and a given engine 

configuration. 

(b) Select a used engine to be the 

emission-data engine for the engine 

family for testing. Using good 

engineering judgment, select the engine 

configuration expected to represent the 

most common configuration in the 

family. 

(c) Remanufacture the engine 

according to OEM specifications (or 

equivalent). The engine is considered 

‘‘the baseline engine’’ at this point. If 

the OEM specifications include a range 

of adjustment for any parameter, set the 

parameter to the midpoint of the range. 

You may ask us to allow you to adjust 

it differently, consistent with good 

engineering judgment. 

(d) Test the baseline engine four times 

according to the test procedures in 

subpart F of this part. The baseline 

emissions are the average of those four 

tests. 

(e) We may require you to test a 

second engine of the same or different 

configuration in addition to the engine 

tested under this section. If we require 

you to test the same configuration, 

average the results of the testing with 

previous results, unless we determine 

that your previous results are not valid. 

(f) Use good engineering judgment for 

all aspects of the baseline 

determination. We may reject your 

baseline if we determine that you did 

not use good engineering judgment, 

consistent with the provisions of 40 CFR 

1068.5. 

§ 1042.830 Labeling. 

(a) At the time of remanufacture, affix 

a permanent and legible label 

identifying each engine. The label must 

be— 

(1) Attached in one piece so it is not 

removable without being destroyed or 

defaced. 

(2) Secured to a part of the engine 

needed for normal operation and not 

normally requiring replacement. 

(3) Durable and readable for the 

engine’s entire useful life. 

(4) Written in English. 

(b) The label must— 

(1) Include the heading ‘‘EMISSION 

CONTROL INFORMATION’’. 

(2) Include your full corporate name 

and trademark. 

(3) Include EPA’s standardized 

designation for the engine family. 

(4) State the engine’s category, 

displacement (in liters or L/cyl), 

maximum engine power (in kW), and 

power density (in kW/L) as needed to 

determine the emission standards for 

the engine family. You may specify 

displacement, maximum engine power, 

and power density as ranges consistent 

with the ranges listed in § 1042.101. See 

§ 1042.140 for descriptions of how to 

specify per-cylinder displacement, 

maximum engine power, and power 

density. 

(5) State: ‘‘THIS MARINE ENGINE 

COMPLIES WITH 40 CFR 1042, 

SUBPART I, FOR [CALENDAR YEAR 

OF REMANUFACTURE].’’. 

(c) You may add information to the 

emission control information label to 

identify other emission standards that 

the engine meets or does not meet (such 

as international standards). You may 

also add other information to ensure 

that the engine will be properly 

maintained and used. 

(d) You may ask us to approve 

modified labeling requirements in this 

section if you show that it is necessary 

or appropriate. We will approve your 

request if your alternate label is 

consistent with the intent of the labeling 

requirements of this section. 

§ 1042.835 Certification of remanufactured 

engines. 

(a) General requirements. See 

§§ 1042.201, 1042.210, 1042.220, 

1042.225, 1042.250, and 1042.255 for 

the general requirements related to 

obtaining a certificate of conformity. See 

§ 1042.836 for special certification 

provisions for remanufacturing systems 

certified for locomotive engines under 

40 CFR 1033.936. 

(b) Applications. See § 1042.840 for a 

description of what you must include in 

your application. 

(c) Engine families. See § 1042.845 for 

instruction about dividing your engines 

into engine families. 

(d) Test data. (1) Measure baseline 

emissions for the test configuration as 

specified in § 1042.825. 

(2) Measure emissions from the test 

engine for your remanufacturing system 

according to the procedures of subpart 

F of this part. 

(3) We may measure emissions from 

any of your test engines or other engines 

from the engine family, as follows: 

(i) We may decide to do the testing at 

your plant or any other facility. If we do 

this, you must deliver the test engine to 

a test facility we designate. The test 

engine you provide must include 

appropriate manifolds, aftertreatment 

devices, electronic control units, and 

other emission-related components not 

normally attached directly to the engine 

block. If we do the testing at your plant, 

you must schedule it as soon as possible 

and make available the instruments, 

personnel, and equipment we need. 

(ii) If we measure emissions from one 

of your test engines, the results of that 

testing become the official emission 

results for the engine. Unless we later 

invalidate these data, we may decide 

not to consider your data in determining 

if your engine family meets applicable 

requirements. 
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(iii) Before we test one of your 

engines, we may set its adjustable 

parameters to any point within the 

specified adjustable ranges (see 

§ 1042.115(d)). 

(iv) Before we test one of your 

engines, we may calibrate it within 

normal production tolerances for 

anything we do not consider an 

adjustable parameter. 

(4) You may ask to use emission data 

from a previous model year instead of 

doing new tests, but only if all the 

following are true: 

(i) The engine family from the 

previous model year differs from the 

current engine family only with respect 

to model year or other characteristics 

unrelated to emissions. You may also 

ask to add a configuration subject to 

§ 1042.225. 

(ii) The emission-data engine from the 

previous model year remains the 

appropriate emission-data engine. 

(iii) The data show that the emissiondata engine would meet all the 

requirements that apply to the engine 

family covered by the application for 

certification. 

(5) We may require you to test a 

second engine of the same or different 

configuration in addition to the engine 

tested under this section. 

(6) If you use an alternate test 

procedure under 40 CFR 1065.10 and 

later testing shows that such testing 

does not produce results that are 

equivalent to the procedures specified 

in subpart F of this part, we may reject 

data you generated using the alternate 

procedure. 

(e) Demonstrating compliance. (1) For 

purposes of certification, your engine 

family is considered in compliance with 

the emission standards in § 1042.820 if 

all emission-data engines representing 

that family have test results showing 

compliance with the standards and 

percent reductions required by that 

section. To compare emission levels 

from the emission-data engine with the 

applicable emission standards, apply an 

additive deterioration factor of 0.015 

g/kW-hr to the measured emission 

levels for PM. Alternatively, you may 

test your engine as specified in 

§ 1042.245 to develop deterioration 

factors that represent the deterioration 

expected in emissions over your 

engines’ full useful life. 

(2) Collect emission data using 

measurements to one more decimal 

place than the applicable standard. 

Apply the deterioration factor to the 

official emission result, then round the 

adjusted figure to the same number of 

decimal places as the emission 

standard. Compare the rounded 

emission levels to the emission standard 

for each emission-data engine. 

(3) Your applicable NOX standard for 

each configuration is the baseline NOX 

emission rate for that configuration plus 

5.0 percent (to account for test-to-test 

and engine-to-engine variability). Your 

applicable PM standard for each 

configuration is the baseline PM 

emission rate for that configuration 

multiplied by 0.750 plus the 

deterioration factor. If you choose to 

include configurations in your engine 

family for which you do not measure 

baseline emissions, you must 

demonstrate through engineering 

analysis that your remanufacturing 

system will reduce PM emissions by at 

least 25.0 percent for those 

configurations and not increase NOX 

emissions. 

(4) Your engine family is deemed not 

to comply if any emission-data engine 

representing that family for certification 

has test results showing a deteriorated 

emission level above an applicable 

emission standard for any pollutant. 

(f) Safety Evaluation. You must 

exercise due diligence in ensuring that 

your system will not adversely affect 

safety or otherwise violate the 

prohibition of § 1042.115(e). 

(g) Compatibility Evaluation. If you 

are not the original manufacturer of the 

engine, you must contact the original 

manufacturer of the engine to verify that 

your system is compatible with the 

engine. Keep records of your contact 

with the original manufacturer. 

§ 1042.836 Marine certification of 

locomotive remanufacturing systems. 

If you certify a Tier 0, Tier 1, or Tier 

2 remanufacturing system for 

locomotives under 40 CFR part 92 or 

part 1033, you may also certify the 

system under this part 1042, according 

to the provisions of this section. 

(a) Include the following with your 

application for certification under 40 

CFR part 1033: 

(1) A statement of your intent to use 

your remanufacturing system for marine 

engines. Include a list of marine engine 

models for which your system may be 

used. 

(2) If there are significant differences 

in how your remanufacture system will 

be applied to marine engines relative to 

locomotives, in an engineering analysis 

demonstrating that your system will 

achieve emission reductions from 

marine engines similar to those from 

locomotives. 

(3) A description of modifications 

needed for marine applications. 

(4) A demonstration of availability as 

described in § 1042.815, except that the 

total marginal cost threshold does not 

apply. 

(5) An unconditional statement that 

all the engines in the engine family 

comply with the requirements of this 

part, other referenced parts of the CFR, 

and the Clean Air Act. 

(b) Sections 1042.835 and 1042.840 

do not apply for engines certified under 

this section. 

(c) Systems certified under 40 CFR 

part 92 are subject to the following 

restrictions: 

(1) Tier 0 locomotives systems may 

not be used for any Category 1 engines 

or Tier 1 or later Category 2 engines. 

(2) Where systems certified under 40 

CFR part 1033 are also available for an 

engine, you may not use a system 

certified under 40 CFR part 92. 

§ 1042.840 Application requirements for 

remanufactured engines. 

This section specifies the information 

that must be in your application, unless 

we ask you to include less information 

under § 1042.201(c). We may require 

you to provide additional information to 

evaluate your application. 

(a) Describe the engine family’s 

specifications and other basic 

parameters of the engine’s design and 

emission controls. List the fuel type on 

which your engines are designed to 

operate (for example, ultra low-sulfur 

diesel fuel). List each distinguishable 

engine configuration in the engine 

family. For each engine configuration, 

list the maximum engine power and the 

range of values for maximum engine 

power resulting from production 

tolerances, as described in § 1042.140. 

(b) Explain how the emission control 

system operates. Describe in detail all 

system components for controlling 

exhaust emissions, including any 

auxiliary emission control devices 

(AECDs) you add to the engine. Identify 

the part number of each component you 

describe. 

(c) Summarize your cost effectiveness 

analysis used to demonstrate your 

system will meet the availability criteria 

of § 1042.815. Identify the maximum 

allowable costs for vessel modifications 

to meet the these criteria. 

(d) Describe the engines you selected 

for testing and the reasons for selecting 

them. 

(e) Describe the test equipment and 

procedures that you used, including the 

duty cycle(s) and the corresponding 

engine applications. Also describe any 

special or alternate test procedures you 

used. 

(f) Describe how you operated the 

emission-data engine before testing, 

including the duty cycle and the 

number of engine operating hours used 
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to stabilize emission levels. Explain 

why you selected the method of service 

accumulation. Describe any scheduled 

maintenance you did. 

(g) List the specifications of the test 

fuel to show that it falls within the 

required ranges we specify in 40 CFR 

part 1065. See § 1042.801 if your 

certification is based on the use of 

special fuels or additives. 

(h) Identify the engine family’s useful 

life. 

(i) Include the maintenance and 

warranty instructions you will give to 

the owner/operator (see §§ 1042.120 and 

1042.125). 

(j) Include the emission-related 

installation instructions you will 

provide if someone else installs your 

engines in a vessel (see § 1042.130). 

(k) Describe your emission control 

information label (see § 1042.830). 

(l) Identify the engine family’s 

deterioration factors and describe how 

you developed them (see § 1042.245). 

Present any emission test data you used 

for this. 

(m) State that you operated your 

emission-data engines as described in 

the application (including the test 

procedures, test parameters, and test 

fuels) to show you meet the 

requirements of this part. 

(n) Present emission data for HC, 

NOX, PM, and CO as required by 

§ 1042.820. Show emission figures 

before and after applying adjustment 

factors for regeneration and 

deterioration factors for each pollutant 

and for each engine. 

(o) Report all test results, including 

those from invalid tests, whether or not 

they were conducted according to the 

test procedures of subpart F of this part. 

If you measure CO2, report those 

emission levels. We may ask you to 

send other information to confirm that 

your tests were valid under the 

requirements of this part and 40 CFR 

part 1065. 

(p) Describe all adjustable operating 

parameters (see § 1042.115(d)), 

including production tolerances. 

Include the following in your 

description of each parameter: 

(1) The nominal or recommended 

setting. 

(2) The intended physically adjustable 

range. 

(3) The limits or stops used to 

establish adjustable ranges. 

(4) For Category 1 engines, 

information showing why the limits, 

stops, or other means of inhibiting 

adjustment are effective in preventing 

adjustment of parameters on in-use 

engines to settings outside your 

intended physically adjustable ranges. 

(5) For Category 2 engines, propose a 

range of adjustment for each adjustable 

parameter, as described in 

§ 1042.115(d). Include information 

showing why the limits, stops, or other 

means of inhibiting adjustment are 

effective in preventing adjustment of 

parameters on in-use engines to settings 

outside your proposed adjustable 

ranges. 

(q) Unconditionally certify that all the 

engines in the engine family comply 

with the requirements of this part, other 

referenced parts of the CFR, and the 

Clean Air Act. 

(r) Include the information required 

by other subparts of this part. 

(s) Include other applicable 

information, such as information 

specified in this part or 40 CFR part 

1068 related to requests for exemptions. 

(t) Name an agent for service located 

in the United States. Service on this 

agent constitutes service on you or any 

of your officers or employees for any 

action by EPA or otherwise by the 

United States related to the 

requirements of this part. 

(u) If you are not the original 

manufacturer of the engine, include a 

summary of your contact with the 

original manufacturer of the engine and 

provide to us any documentation 

provided to you by the original 

manufacturer. 

§ 1042.845 Remanufactured engine 

families. 

(a) For purposes of certification, 

divide your product line into families of 

engines that are expected to have 

similar emission characteristics 

throughout the useful life as described 

in this section. You may not group 

Category 1 and Category 2 engines in the 

same family. 

(b) In general, group engines in the 

same engine family if they are the same 

in all the following aspects: 

(1) The combustion cycle and fuel 

(the fuels with which the engine is 

intended or designed to be operated). 

(2) The cooling system (for example, 

raw-water vs. separate-circuit cooling). 

(3) Method of air aspiration. 

(4) Method of exhaust aftertreatment 

(for example, catalytic converter or 

particulate trap). 

(5) Combustion chamber design. 

(6) Nominal bore and stroke. 

(7) Method of control for engine 

operation other than governing (i.e., 

mechanical or electronic). 

(8) Original engine manufacturer. 

(c) Alternatively, you may ask us to 

allow you to include other engine 

configurations in your engine family, 

consistent with good engineering 

judgment. 

(d) Do not include in your family any 

configurations for which good 

engineering judgment indicates that 

your emission controls are unlikely to 

provide PM emission reductions similar 

to the configuration(s) tested. 

§ 1042.850 Exemptions and hardship 

relief. 

This section describes exemption and 

hardship provisions that are available 

for owner/operators of engine subject to 

the provisions of this subpart. 

(a) Vessels owned and operated by 

entities that meet the size criterion of 

this paragraph (a) are exempt from the 

requirements of this subpart I. To be 

exempt, your gross annual revenue for 

the calendar year before the 

remanufacture must be less than 

$5,000,000 in 2008 dollars or the 

equivalent value for future years based 

on the Bureau of Labor Statistics’ 

Producer Price Index (see www.bls.gov). 

Include all revenues from any parent 

company and its subsidiaries. The 

exemption applies only for years in 

which you meet this criterion. 

(b) In unusual circumstances, we may 

exempt you from an otherwise 

applicable requirement that you apply a 

certified remanufacturing system when 

remanufacturing your marine engine. 

(1) To be eligible, you must 

demonstrate that all of the following are 

true: 

(i) Unusual circumstances prevent 

you from meeting requirements from 

this chapter. 

(ii) You have taken all reasonable 

steps to minimize the extent of the 

nonconformity. 

(iii) Not having the exemption will 

jeopardize the solvency of your 

company. 

(iv) No other allowances are available 

under the regulations in this chapter to 

avoid the impending violation. 

(2) Send the Designated Compliance 

Officer a written request for an 

exemption before you are in violation. 

(3) We may impose other conditions, 

including provisions to use an engine 

meeting less stringent emission 

standards or to recover the lost 

environmental benefit. 

(4) In determining whether to grant 

the exemptions, we will consider all 

relevant factors, including the 

following: 

(i) The number of engines to be 

exempted. 

(ii) The size of your company and 

your ability to endure the hardship. 

(iii) The length of time a vessel is 

expected to remain in service. 

(c) If you believe that a 

remanufacturing system that we 

identified as being available cannot be 
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installed without significant 

modification of your vessel, you may 

ask us to determine that a 

remanufacturing system is not 

considered available for your vessel 

because the cost would be excessive. 

Subpart J—Definitions and Other 

Reference Information 

§ 1042.901 Definitions. 

The following definitions apply to 

this part. The definitions apply to all 

subparts unless we note otherwise. All 

undefined terms have the meaning the 

Clean Air Act gives to them. The 

definitions follow: 

Adjustable parameter means any 

device, system, or element of design that 

someone can adjust (including those 

which are difficult to access) and that, 

if adjusted, may affect emissions or 

engine performance during emission 

testing or normal in-use operation. This 

includes, but is not limited to, 

parameters related to injection timing 

and fueling rate. You may ask us to 

exclude a parameter that is difficult to 

access if it cannot be adjusted to affect 

emissions without significantly 

degrading engine performance, or if you 

otherwise show us that it will not be 

adjusted in a way that affects emissions 

during in-use operation. 

Aftertreatment means relating to a 

catalytic converter, particulate filter, or 

any other system, component, or 

technology mounted downstream of the 

exhaust valve (or exhaust port) whose 

design function is to decrease emissions 

in the engine exhaust before it is 

exhausted to the environment. Exhaustgas recirculation and turbochargers are 

not aftertreatment. 

Amphibious vehicle means a vehicle 

with wheels or tracks that is designed 

primarily for operation on land and 

secondarily for operation in water. 

Annex VI Technical Code means the 

‘‘Technical Code on Control of Emission 

of Nitrogen Oxides from Marine Diesel 

Engines, 1997,’’ adopted by the 

International Maritime Organization 

(incorporated by reference in 

§ 1042.910). 

Applicable emission standard or 

applicable standard means an emission 

standard to which an engine is subject; 

or, where an engine has been or is being 

certified to another standard or FEL, 

applicable emission standards means 

the FEL and other standards to which 

the engine has been or is being certified. 

This definition does not apply to 

subpart H of this part. 

Auxiliary emission control device 

means any element of design that senses 

temperature, vessel 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. 

Base engine means a land-based 

engine to be marinized, as configured 

prior to marinization. 

Baseline emissions has the meaning 

given in § 1042.825. 

Brake power means the usable power 

output of the engine, not including 

power required to fuel, lubricate, or heat 

the engine, circulate coolant to the 

engine, or to operate aftertreatment 

devices. 

Calibration means the set of 

specifications and tolerances specific to 

a particular design, version, or 

application of a component or assembly 

capable of functionally describing its 

operation over its working range. 

Carryover means the process of 

obtaining a certificate for one model 

year using the same test data from the 

preceding model year, as described in 

§ 1042.235(d). This generally requires 

that the locomotives in the engine 

family do not differ in any aspect 

related to emissions. 

Category 1 means relating to a marine 

engine with specific engine 

displacement below 7.0 liters per 

cylinder. 

Category 2 means relating to a marine 

engine with a specific engine 

displacement at or above 7.0 liters per 

cylinder but less than 30.0 liters per 

cylinder. 

Category 3 means relating to a marine 

engine with a specific engine 

displacement at or above 30.0 liters per 

cylinder. 

Certification means relating to the 

process of obtaining a certificate of 

conformity for an engine family that 

complies with the emission standards 

and requirements in this part. 

Certified emission level means the 

highest deteriorated emission level in an 

engine family for a given pollutant from 

either transient or steady-state testing. 

Clean Air Act means the Clean Air 

Act, as amended, 42 U.S.C. 7401–7671q. 

Commercial means relating to an 

engine or vessel that is not a 

recreational marine engine or a 

recreational vessel. 

Compression-ignition means relating 

to a type of reciprocating, internalcombustion engine that is not a sparkignition engine. Note that marine 

engines powered by natural gas with 

maximum engine power at or above 250 

kW are deemed to be compressionignition engines in § 1042.1. 

Constant-speed engine means an 

engine whose certification is limited to 

constant-speed operation. Engines 

whose constant-speed governor function 

is removed or disabled are no longer 

constant-speed engines. 

Constant-speed operation has the 

meaning given in 40 CFR 1065.1001. 

Crankcase emissions means airborne 

substances emitted to the atmosphere 

from any part of the engine crankcase’s 

ventilation or lubrication systems. The 

crankcase is the housing for the 

crankshaft and other related internal 

parts. 

Critical emission-related component 

means any of the following components: 

(1) Electronic control units, 

aftertreatment devices, fuel-metering 

components, EGR-system components, 

crankcase-ventilation valves, all 

components related to charge-air 

compression and cooling, and all 

sensors and actuators associated with 

any of these components. 

(2) Any other component whose 

primary purpose is to reduce emissions. 

Days means calendar days, unless 

otherwise specified. For example, where 

we specify working days, we mean 

calendar days excluding weekends and 

U.S. national holidays. 

Designated Compliance Officer means 

the Manager, Heavy-Duty and Nonroad 

Engine Group (6403-J), U.S. 

Environmental Protection Agency, 1200 

Pennsylvania Ave., NW., Washington, 

DC 20460. 

Deteriorated emission level means the 

emission level that results from 

applying the appropriate deterioration 

factor to the official emission result of 

the emission-data engine. 

Deterioration factor means the 

relationship between emissions at the 

end of useful life and emissions at the 

low-hour test point (or between highest 

and lowest emission levels, if 

applicable), expressed in one of the 

following ways: 

(1) For multiplicative deterioration 

factors, the ratio of emissions at the end 

of useful life to emissions at the lowhour test point. 

(2) For additive deterioration factors, 

the difference between emissions at the 

end of useful life and emissions at the 

low-hour test point. 

Diesel fuel has the meaning given in 

40 CFR 80.2. This generally includes 

No. 1 and No. 2 petroleum diesel fuels 

and biodiesel fuels. 

Discrete-mode means relating to the 

discrete-mode type of steady-state test 

described in § 1042.505. 

Emission control system means any 

device, system, or element of design that 

controls or reduces the emissions of 

regulated pollutants from an engine. 

Emission-data engine means an 

engine that is tested for certification. 

This includes engines tested to establish 

deterioration factors. 
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Emission-related maintenance means 

maintenance that substantially affects 

emissions or is likely to substantially 

affect emission deterioration. 

Engine has the meaning given in 40 

CFR 1068.30. This includes complete 

and partially complete engines. 

Engine configuration means a unique 

combination of engine hardware and 

calibration within an engine family. 

Engines within a single engine 

configuration differ only with respect to 

normal production variability. 

Engine family has the meaning given 

in § 1042.230. 

Engine manufacturer means a 

manufacturer of an engine. See the 

definition of ‘‘manufacturer’’ in this 

section. 

Engineering analysis means a 

summary of scientific and/or 

engineering principles and facts that 

support a conclusion made by a 

manufacturer, with respect to 

compliance with the provisions of this 

part. 

Excluded means relating to an engine 

that either: 

(1) Has been determined not to be a 

nonroad engine, as specified in 40 CFR 

1068.30; or 

(2) Is a nonroad engine that, according 

to § 1042.5, is not subject to this part 

1042. 

Exempted has the meaning given in 

40 CFR 1068.30. 

Exhaust-gas recirculation means a 

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 before 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 before or during combustion is not 

considered exhaust-gas recirculation for 

the purposes of this part. 

Family emission limit (FEL) means an 

emission level declared by the 

manufacturer to serve in place of an 

otherwise applicable emission standard 

under the ABT program in subpart H of 

this part. The family emission limit 

must be expressed to the same number 

of decimal places as the emission 

standard it replaces. The family 

emission limit serves as the emission 

standard for the engine family with 

respect to all required testing. 

Freshly manufactured marine engine 

means a new marine engine that has not 

been remanufactured. An engine 

becomes freshly manufactured when it 

is originally manufactured. 

Foreign vessel means a vessel of 

foreign registry or a vessel operated 

under the authority of a country other 

than the United States. 

Fuel system means all components 

involved in transporting, metering, and 

mixing the fuel from the fuel tank to the 

combustion chamber(s), including the 

fuel tank, fuel tank cap, fuel pump, fuel 

filters, fuel lines, carburetor or fuelinjection components, and all fuelsystem vents. 

Fuel type means a general category of 

fuels such as gasoline, diesel fuel, 

residual fuel, or natural gas. There can 

be multiple grades within a single fuel 

type, such as high-sulfur or low-sulfur 

diesel fuel. 

Good engineering judgment has the 

meaning given in 40 CFR 1068.30. See 

40 CFR 1068.5 for the administrative 

process we use to evaluate good 

engineering judgment. 

Green Engine Factor means a factor 

that is applied to emission 

measurements from a Category 2 engine 

that has had little or no service 

accumulation. The Green Engine Factor 

adjusts emission measurements to be 

equivalent to emission measurements 

from an engine that has had 

approximately 300 hours of use. 

High-sulfur diesel fuel means one of 

the following: 

(1) For in-use fuels, high-sulfur diesel 

fuel means a diesel fuel with a 

maximum sulfur concentration above 

500 parts per million. 

(2) For testing, high-sulfur diesel fuel 

has the meaning given in 40 CFR part 

1065. 

Hydrocarbon (HC) means the 

hydrocarbon group on which the 

emission standards are based for each 

fuel type, as described in § 1042.101(d). 

Identification number means a unique 

specification (for example, a model 

number/serial number combination) 

that allows someone to distinguish a 

particular engine from other similar 

engines. 

Low-hour means relating to an engine 

that has stabilized emissions and 

represents the undeteriorated emission 

level. This would generally involve less 

than 125 hours of operation for engines 

below 560 kW and less than 300 hours 

for engines at or above 560 kW. 

Low-sulfur diesel fuel means one of 

the following: 

(1) For in-use fuels, low-sulfur diesel 

fuel means a diesel fuel market as lowsulfur diesel fuel having a maximum 

sulfur concentration of 500 parts per 

million. 

(2) For testing, low-sulfur diesel fuel 

has the meaning given in 40 CFR part 

1065. 

Manufacture means the physical and 

engineering process of designing, 

constructing, and assembling an engine 

or a vessel. 

Manufacturer has the meaning given 

in section 216(1) of the Clean Air Act 

(42 U.S.C. 7550(1)). In general, this term 

includes any person who manufactures 

an engine or vessel for sale in the 

United States or otherwise introduces a 

new marine engine into U.S. commerce. 

This includes importers who import 

engines or vessels for resale. It also 

includes post-manufacture marinizers, 

but not dealers. All manufacturing 

entities under the control of the same 

person are considered to be a single 

manufacturer. 

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. A fueling system is considered 

integral to the vessel only if one or more 

essential elements are permanently 

affixed to 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. 

Maximum engine power has the 

meaning given in § 1042.140. 

Maximum test power means the 

power output observed at the maximum 

test speed with the maximum fueling 

rate possible. 

Maximum test speed has the meaning 

given in 40 CFR 1065.1001. 

Maximum test torque has the meaning 

given in 40 CFR 1065.1001. 

Model year means one of the 

following things: 

(1) For freshly manufactured marine 

engines (see definition of ‘‘new marine 

engine,’’ paragraph (1)), model year 

means one of the following: 

(i) Calendar year. 

(ii) Your annual new model 

production period if it is different than 

the calendar year. This must include 

January 1 of the calendar year for which 

the model year is named. It may not 

begin before January 2 of the previous 

calendar year and it must end by 

December 31 of the named calendar 

year. 

(2) For an engine that is converted to 

a marine engine after originally being 

placed into service as a motor-vehicle 
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engine, a nonroad engine that is not a 

marine engine, or a stationary engine, 

model year means the calendar year in 

which the engine was converted (see 

definition of ‘‘new marine engine,’’ 

paragraph (2)). 

(3) For a marine engine excluded 

under § 1042.5 that is later converted to 

operate in an application that is not 

excluded, model year means the 

calendar year in which the engine was 

converted (see definition of ‘‘new 

marine engine, (paragraph (3)). 

(4) For engines that are not freshly 

manufactured but are installed in new 

vessels, model year means the calendar 

year in which the engine is installed in 

the new vessel (see definition of ‘‘new 

marine engine,’’ paragraph (4)). 

(5) For imported engines: 

(i) For imported engines described in 

paragraph (5)(i) of the definition of 

‘‘new marine engine,’’ model year has 

the meaning given in paragraphs (1) 

through (4) of this definition. 

(ii) For imported engines described in 

paragraph (5)(ii) of the definition of new 

marine engine,’’ model year means the 

calendar year in which the engine is 

modified. 

(iii) For imported engines described 

in paragraph (5)(iii) of the definition of 

‘‘new marine engine,’’ model year 

means the calendar year in which the 

importation occurs. 

(6) For freshly manufactured vessels, 

model year means the calendar year in 

which the keel is laid or the vessel is at 

a similar stage of construction. For 

vessels that become new as a result of 

substantial modifications, model year 

means the calendar year in which the 

modifications physically begin. 

(7) For remanufactured engines, 

model year means the calendar year in 

which the remanufacture takes place. 

Motor vehicle has the meaning given 

in 40 CFR 85.1703(a). 

New marine engine means any of the 

following things: 

(1) A freshly manufactured marine 

engine for which the ultimate purchaser 

has never received the equitable or legal 

title. This kind of engine might 

commonly be thought of as ‘‘brand 

new.’’ In the case of this paragraph (1), 

the engine is new from the time it is 

produced until the ultimate purchaser 

receives the title or the product is 

placed into service, whichever comes 

first. 

(2) An engine intended to be installed 

in a vessel that was originally 

manufactured as a motor-vehicle engine, 

a nonroad engine that is not a marine 

engine, or a stationary engine. In this 

case, the engine is no longer a motorvehicle, nonmarine, or stationary engine 

and becomes a ‘‘new marine engine.’’ 

The engine is no longer new when it is 

placed into marine service. 

(3) A marine engine that has been 

previously placed into service in an 

application we exclude under § 1042.5, 

where that engine is installed in a vessel 

that is covered by this part 1042. The 

engine is no longer new when it is 

placed into marine service covered by 

this part 1042. For example, this would 

apply to an engine that is no longer used 

in a foreign vessel. 

(4) An engine not covered by 

paragraphs (1) through (3) of this 

definition that is intended to be 

installed in a new vessel. The engine is 

no longer new when the ultimate 

purchaser receives a title for the vessel 

or it is placed into service, whichever 

comes first. This generally includes 

installation of used engines in new 

vessels. 

(5) A remanufactured marine engine. 

An engine becomes new when it is 

remanufactured (as defined in this 

section) and ceases to be new when 

placed back into service. 

(6) An imported marine engine, 

subject to the following provisions: 

(i) An imported marine engine 

covered by a certificate of conformity 

issued under this part that meets the 

criteria of one or more of paragraphs (1) 

through (4) of this definition, where the 

original engine manufacturer holds the 

certificate, is new as defined by those 

applicable paragraphs. 

(ii) An imported remanufactured 

engine that would have been required to 

be certified if it had been 

remanufactured in the United States. 

(iii) An imported engine that will be 

covered by a certificate of conformity 

issued under this part, where someone 

other than the original engine 

manufacturer holds the certificate (such 

as when the engine is modified after its 

initial assembly), is a new marine 

engine when it is imported. It is no 

longer new when the ultimate purchaser 

receives a title for the engine or it is 

placed into service, whichever comes 

first. 

(iv) An imported marine engine that 

is not covered by a certificate of 

conformity issued under this part at the 

time of importation is new, but only if 

it was produced on or after the dates 

shown in the following table. This 

addresses uncertified engines and 

vessels initially placed into service that 

someone seeks to import into the United 

States. Importation of this kind of 

engine (or vessel containing such an 

engine) is generally prohibited by 40 

CFR part 1068. 

APPLICABILITY OF EMISSION STANDARDS FOR COMPRESSION-IGNITION MARINE ENGINES 

Engine category and type Power (kW) Per-cylinder displacement 

(L/cyl) 

Initial model 

year of emission standards 

Category 1 ................................................................................ 

Category 1 ................................................................................ 

Category 1, Recreational .......................................................... 

Category 1, Recreational .......................................................... 

Category 1, Recreational .......................................................... 

Category 1, Commercial ........................................................... 

Category 1, Commercial ........................................................... 

Category 2 and 3 ...................................................................... 

P < 19 ..................................... 

19 ≤ P < 37 ............................. 

P ≥ 37 ..................................... 

All ............................................ 

All ............................................ 

P ≥ 37 ..................................... 

All ............................................ 

All ............................................ 

All ............................................ 

All ............................................ 

disp. < 0.9 ............................... 

0.9 ≤ disp. < 2.5 ...................... 

disp. ≥ 2.5 ............................... 

disp. < 0.9 ............................... 

disp. ≥ 0.9 ............................... 

disp. ≥ 5.0 ............................... 

2000 

1999 

2007 

2006 

2004 

2005 

2004 

2004 

New vessel means any of the 

following: 

(1) A vessel for which the ultimate 

purchaser has never received the 

equitable or legal title. The vessel is no 

longer new when the ultimate purchaser 

receives this title or it is placed into 

service, whichever comes first. 

(2) For vessels with no Category 3 

engines, a vessel that has been modified 

such that the value of the modifications 

exceeds 50 percent of the value of the 

modified vessel, excluding temporary 

modifications (as defined in this 

section). The value of the modification 

is the difference in the assessed value of 

the vessel before the modification and 

the assessed value of the vessel after the 

modification. The vessel is no longer 

new when it is placed into service. Use 
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37280 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

the following equation to determine if 

the fractional value of the modification 

exceeds 50 percent: 

Percent of value = [(Value after 

modification)¥(Value before 

modification)] × 100% ÷ (Value 

after modification) 

(3) For vessels with Category 3 

engines, a vessel that has undergone a 

modification that substantially alters the 

dimensions or carrying capacity of the 

vessel, changes the type of vessel, or 

substantially prolongs the vessel’s life. 

(4) An imported vessel that has 

already been placed into service, where 

it has an engine not covered by a 

certificate of conformity issued under 

this part at the time of importation that 

was manufactured after the 

requirements of this part start to apply 

(see § 1042.1). 

Noncompliant engine means an 

engine that was originally covered by a 

certificate of conformity but is not in the 

certified configuration or otherwise does 

not comply with the conditions of the 

certificate. 

Nonconforming engine means an 

engine not covered by a certificate of 

conformity that would otherwise be 

subject to emission standards. 

Nonmethane hydrocarbon has the 

meaning given in 40 CFR 1065.1001. 

This generally means the difference 

between the emitted mass of total 

hydrocarbons and the emitted mass of 

methane. 

Nonroad means relating to nonroad 

engines, or vessels, or equipment that 

include nonroad engines. 

Nonroad engine has the meaning 

given in 40 CFR 1068.30. In general, this 

means all internal-combustion engines 

except motor vehicle engines, stationary 

engines, engines used solely for 

competition, or engines used in aircraft. 

Official emission result means the 

measured emission rate for an emissiondata engine on a given duty cycle before 

the application of any deterioration 

factor, but after the applicability of 

regeneration adjustment factors. 

Operator demand has the meaning 

given in 40 CFR 1065.1001. 

Owners manual means a document or 

collection of documents prepared by the 

engine manufacturer for the owner or 

operator to describe appropriate engine 

maintenance, applicable warranties, and 

any other information related to 

operating or keeping the engine. The 

owners manual is typically provided to 

the ultimate purchaser at the time of 

sale. The owners manual may be in 

paper or electronic format. 

Oxides of nitrogen has the meaning 

given in 40 CFR 1065.1001. 

Particulate trap means a filtering 

device that is designed to physically 

trap particulate matter above a certain 

size. 

Passenger means a person that 

provides payment as a condition of 

boarding a vessel. This does not include 

the owner or any paid crew members. 

Placed into service means put into 

initial use for its intended purpose. 

Point of first retail sale means the 

location at which the initial retail sale 

occurs. This generally means a vessel 

dealership or manufacturing facility, but 

may also include an engine seller or 

distributor in cases where loose engines 

are sold to the general public for uses 

such as replacement engines. 

Post-manufacture marinizer means an 

entity that produces a marine engine by 

modifying a non-marine engine, 

whether certified or uncertified, 

complete or partially complete, where 

the entity is not controlled by the 

manufacturer of the base engine or by an 

entity that also controls the 

manufacturer of the base engine. In 

addition, vessel manufacturers that 

substantially modify marine engines are 

post-manufacture marinizers. For the 

purpose of this definition, 

‘‘substantially modify’’ means changing 

an engine in a way that could change 

engine emission characteristics. 

Power density has the meaning given 

in § 1042.140. 

Ramped-modal means relating to the 

ramped-modal type of steady-state test 

described in § 1042.505. 

Rated speed means the maximum 

full-load governed speed for governed 

engines and the speed of maximum 

power for ungoverned engines. 

Recreational marine engine means a 

Category 1 propulsion marine engine 

that is intended by the manufacturer to 

be installed on a recreational vessel. 

Recreational vessel means a vessel 

that is intended by the vessel 

manufacturer to be operated primarily 

for pleasure or leased, rented or 

chartered to another for the latter’s 

pleasure. However, this does not 

include the following vessels: 

(1) Vessels below 100 gross tons that 

carry more than 6 passengers. 

(2) Vessels at or above 100 gross tons 

that carry one or more passengers. 

(3) Vessels used solely for 

competition (see § 1042.620). 

Remanufacture means to replace 

every cylinder liner in a commercial 

engine with maximum engine power at 

or above 600 kW, whether during a 

single maintenance event or 

cumulatively within a five-year period. 

For the purpose of this definition, 

‘‘replace’’ includes removing, 

inspecting, and requalifying a liner. 

Rebuilding a recreational engine or an 

engine with maximum engine power 

below 600 kW is not remanufacturing. 

Remanufacture system or 

remanufacturing system means all 

components (or specifications for 

components) and instructions necessary 

to remanufacture an engine in 

accordance with applicable 

requirements of this part 1042. 

Remanufacturer has the meaning 

given to ‘‘manufacturer’’ in section 

216(1) of the Clean Air Act (42 U.S.C. 

7550(1)) with respect to remanufactured 

marine engines. This term includes any 

person that is engaged in the 

manufacture or assembly of 

remanufactured engines, such as 

persons who: 

(1) Design or produce the emissionrelated parts used in remanufacturing. 

(2) Install parts in or on an existing 

engine to remanufacture it. 

(3) Own or operate the engine and 

provide specifications as to how an 

engine is to be remanufactured (i.e., 

specifying who will perform the work, 

when the work is to be performed, what 

parts are to be used, or how to calibrate 

the adjustable parameters of the engine). 

Residual fuel has the meaning given 

in 40 CFR 80.2. This generally includes 

all RM grades of marine fuel without 

regard to whether they are known 

commercially as residual fuel. For 

example, fuel marketed as intermediate 

fuel may be residual fuel. 

Revoke has the meaning given in 40 

CFR 1068.30. In general this means to 

terminate the certificate or an 

exemption for an engine family. 

Round has the meaning given in 40 

CFR 1065.1001. 

Scheduled maintenance means 

adjusting, repairing, removing, 

disassembling, cleaning, or replacing 

components or systems periodically to 

keep a part or system from failing, 

malfunctioning, or wearing prematurely. 

It also may mean actions you expect are 

necessary to correct an overt indication 

of failure or malfunction for which 

periodic maintenance is not 

appropriate. 

Small volume boat builder means a 

boat manufacturer with fewer than 500 

employees and with annual worldwide 

production of fewer than 100 boats. For 

manufacturers owned by a parent 

company, these limits apply to the 

combined production and number of 

employees of the parent company and 

all its subsidiaries. 

Small-volume engine manufacturer 

means a manufacturer with annual 

worldwide production of fewer than 

1,000 internal combustion engines 

(marine and nonmarine). For 

manufacturers owned by a parent 

company, the limit applies to the 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37281 

production of the parent company and 

all its subsidiaries. 

Spark-ignition means relating to a 

gasoline-fueled engine or any other type 

of engine with a spark plug (or other 

sparking device) and with operating 

characteristics significantly similar to 

the theoretical Otto combustion cycle. 

Spark-ignition engines usually use a 

throttle to regulate intake air flow to 

control power during normal operation. 

Specified adjustable range means a 

range of adjustment for an adjustable 

parameter that is approved as part of 

certification. Note that Category 1 

engines must comply with emission 

standards over the full physically 

adjustable range for any adjustable 

parameters. 

Steady-state has the meaning given in 

40 CFR 1065.1001. 

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 of 

300 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. 

Suspend has the meaning given in 40 

CFR 1068.30. In general this means to 

temporarily discontinue the certificate 

or an exemption for an engine family. 

Temporary modification means a 

modification to a vessel based on a 

written contract for marine services 

such that the modifications will be 

removed from the vessel when the 

contract expires. This provision is 

intended to address short-term contracts 

that would generally be less than 12 

months in duration. You may ask us to 

consider modifications that will be in 

place longer than 12 months as 

temporary modifications. 

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. 

This may include testing for 

certification, production-line testing, or 

in-use testing. 

Tier 1 means relating to the Tier 1 

emission standards, as shown in 

Appendix I. 

Tier 2 means relating to the Tier 2 

emission standards, as shown in 

Appendix I. 

Tier 3 means relating to the Tier 3 

emission standards, as shown in 

§ 1042.101. 

Tier 4 means relating to the Tier 4 

emission standards, as shown in 

§ 1042.101. 

Total hydrocarbon has the meaning 

given in 40 CFR 1065.1001. This 

generally means the combined mass of 

organic compounds measured by the 

specified procedure for measuring total 

hydrocarbon, expressed as a 

hydrocarbon with an atomic hydrogento-carbon ratio of 1.85:1. 

Total hydrocarbon equivalent has the 

meaning given in 40 CFR 1065.1001. 

This generally means the sum of the 

carbon mass contributions of nonoxygenated hydrocarbons, alcohols and 

aldehydes, or other organic compounds 

that are measured separately as 

contained in a gas sample, expressed as 

exhaust hydrocarbon from petroleumfueled locomotives. The hydrogen-tocarbon ratio of the equivalent 

hydrocarbon is 1.85:1. 

Ultimate purchaser means, with 

respect to any new vessel or new marine 

engine, the first person who in good 

faith purchases such new vessel or new 

marine engine for purposes other than 

resale. 

Ultra low-sulfur diesel fuel means one 

of the following: 

(1) For in-use fuels, ultra low-sulfur 

diesel fuel means a diesel fuel marketed 

as ultra low-sulfur diesel fuel having a 

maximum sulfur concentration of 15 

parts per million. 

(2) For testing, ultra low-sulfur diesel 

fuel has the meaning given in 40 CFR 

part 1065. 

United States has the meaning given 

in 40 CFR 1068.30. 

Upcoming model year means for an 

engine family the model year after the 

one currently in production. 

U.S.-directed production volume 

means the number of engine units, 

subject to the requirements of this part, 

produced by a manufacturer for which 

the manufacturer has a reasonable 

assurance that sale was or will be made 

to ultimate purchasers in the United 

States. 

Useful life means the period during 

which the engine is designed to 

properly function in terms of reliability 

and fuel consumption, without being 

remanufactured, specified as a number 

of hours of operation or calendar years, 

whichever comes first. It is the period 

during which a new engine is required 

to comply with all applicable emission 

standards. See § 1042.101(e). 

Variable-speed engine means an 

engine that is not a constant-speed 

engine. 

Vessel means a marine vessel. 

Vessel operator means any individual 

that physically operates or maintains a 

vessel or exercises managerial control 

over the operation of the vessel. 

Vessel owner means the individual or 

company that holds legal title to a 

vessel. 

Void has the meaning given in 40 CFR 

1068.30. In general this means to 

invalidate a certificate or an exemption 

both retroactively and prospectively. 

Volatile liquid fuel means any fuel 

other than diesel fuel or biodiesel that 

is a liquid at atmospheric pressure and 

has a Reid Vapor Pressure higher than 

2.0 pounds per square inch. 

We (us, our) means the Administrator 

of the Environmental Protection Agency 

and any authorized representatives. 

§ 1042.905 Symbols, acronyms, and 

abbreviations. 

The following symbols, acronyms, 

and abbreviations apply to this part: 

ABT Averaging, banking, and trading. 


AECD auxiliary-emission control device. 


CFR Code of Federal Regulations. 


CO carbon monoxide. 


CO2 carbon dioxide. 


cyl cylinder. 


disp. displacement. 


EPA Environmental Protection Agency. 


FEL Family Emission Limit. 


g grams. 


HC hydrocarbon. 


hr hours. 


kPa kilopascals. 


kW kilowatts. 


L liters. 


LTR Limited Testing Region. 


NARA National Archives and Records 


Administration. 

NMHC nonmethane hydrocarbons. 

NOX oxides of nitrogen (NO and NO2). 

NTE not-to-exceed. 

PM particulate matter. 

RPM revolutions per minute. 

SAE Society of Automotive Engineers. 

SCR selective catalytic reduction. 

THC total hydrocarbon. 

THCE total hydrocarbon equivalent. 

ULSD ultra low-sulfur diesel fuel. 

U.S.C. United States Code. 

§ 1042.910 Reference materials. 

Documents listed in this section have 

been incorporated by reference into this 

part. The Director of the Federal 

Register approved the incorporation by 

reference as prescribed in 5 U.S.C. 

552(a) and 1 CFR part 51. Anyone may 

inspect copies at the U.S. EPA, Air and 

Radiation Docket and Information 

Center, 1301 Constitution Ave., NW., 

Room B102, EPA West Building, 

Washington, DC 20460 or at the 

National Archives and Records 

Administration (NARA). For 

information on the availability of this 

material at NARA, call 202–741–6030, 

or go to: http://www.archives.gov/ 

federal_register/ 

code_of_federal_regulations/ 

ibr_locations.html. 
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37282 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(a) SAE material. Table 1 to this 

section lists material from the Society of 

Automotive Engineers that we have 

incorporated by reference. The first 

column lists the number and name of 

the material. The second column lists 

the sections of this part where we 

reference it. Anyone may purchase 

copies of these materials from the 

Society of Automotive Engineers, 400 

Commonwealth Drive, Warrendale, PA 

15096 or www.sae.org. Table 1 follows: 

TABLE 1 TO §1042.910.—SAE 


MATERIALS
 

Document 

No. and name 

Part 1042 

reference 

SAE J1930, Electrical/Electronic Systems Diagnostic 

Terms, Definitions, Abbreviations, and Acronyms, 

revised May 1998 ............. 1042.135 

(b) IMO material. Table 2 to this 

section lists material from the 

International Maritime Organization 

that we have incorporated by reference. 

The first column lists the number and 

name of the material. The second 

column lists the section of this part 

where we reference it. Anyone may 

purchase copies of these materials from 

the International Maritime Organization, 

4 Albert Embankment, London SE1 7SR, 

United Kingdom or www.imo.org. Table 

2 follows: 

TABLE 2 TO §1042.910.—IMO 


MATERIALS
 

Document No. and name Part 1042 

reference 

Resolutions of the 1997 

MARPOL Conference: 

Resolution 2—Technical 

Code on Control of Emission of Nitrogen Oxides 

from Marine Diesel Engines, 1997 ....................... 1042.901 

§ 1042.915 Confidential information. 

(a) Clearly show what you consider 

confidential by marking, circling, 

bracketing, stamping, or some other 

method. 

(b) 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. This applies 

both to any information you send us and 

to any information we collect from 

inspections, audits, or other site visits. 

(c) If you send us a second copy 

without the confidential information, 

we will assume it contains nothing 

confidential whenever we need to 

release information from it. 

(d) 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. 

§ 1042.920 Hearings. 

(a) You may request a hearing under 

certain circumstances, as described 

elsewhere in this part. To do this, you 

must file a written request, including a 

description of your objection and any 

supporting data, within 30 days after we 

make a decision. 

(b) For a hearing you request under 

the provisions of this part, we will 

approve your request if we find that 

your request raises a substantial factual 

issue. 

(c) If we agree to hold a hearing, we 

will use the procedures specified in 40 

CFR part 1068, subpart G. 

§ 1042.925 Reporting and recordkeeping 

requirements. 

Under the Paperwork Reduction Act 

(44 U.S.C. 3501 et seq.), the Office of 

Management and Budget approves the 

reporting and recordkeeping specified 

in the applicable regulations. The 

following items illustrate the kind of 

reporting and recordkeeping we require 

for engines regulated under this part: 

(a) We specify the following 

requirements related to engine 

certification in this part 1042: 

(1) In §1042.135 we require engine 

manufacturers to keep certain records 

related to duplicate labels sent to vessel 

manufacturers. 

(2) In §1042.145 we state the 

requirements for interim provisions. 

(3) In subpart C of this part we 

identify a wide range of information 

required to certify engines. 

(4) In §§1042.345 and 1042.350 we 

specify certain records related to 

production-line testing. 

(5) In subpart G of this part we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various special compliance 

provisions. 

(6) In §§1042.725, 1042.730, and 

1042.735 we specify certain records 

related to averaging, banking, and 

trading. 

(7) In subpart I of this part we specify 

certain records related to meeting 

requirements for remanufactured 

engines. 

(b) We specify the following 

requirements related to testing in 40 

CFR part 1065: 

(1) In 40 CFR 1065.2 we give an 

overview of principles for reporting 

information. 

(2) In 40 CFR 1065.10 and 1065.12 we 

specify information needs for 

establishing various changes to 

published test procedures. 

(3) In 40 CFR 1065.25 we establish 

basic guidelines for storing test 

information. 

(4) In 40 CFR 1065.695 we identify 

data that may be appropriate for 

collecting during testing of in-use 

engines using portable analyzers. 

(c) We specify the following 

requirements related to the general 

compliance provisions in 40 CFR part 

1068: 

(1) In 40 CFR 1068.5 we establish a 

process for evaluating good engineering 

judgment related to testing and 

certification. 

(2) In 40 CFR 1068.25 we describe 

general provisions related to sending 

and keeping information. 

(3) In 40 CFR 1068.27 we require 

manufacturers to make engines available 

for our testing or inspection if we make 

such a request. 

(4) In 40 CFR 1068.105 we require 

vessel manufacturers to keep certain 

records related to duplicate labels from 

engine manufacturers. 

(5) In 40 CFR 1068.120 we specify 

recordkeeping related to rebuilding 

engines. 

(6) In 40 CFR part 1068, subpart C, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to various exemptions. 

(7) In 40 CFR part 1068, subpart D, we 

identify several reporting and 

recordkeeping items for making 

demonstrations and getting approval 

related to importing engines. 

(8) In 40 CFR 1068.450 and 1068.455 

we specify certain records related to 

testing production-line engines in a 

selective enforcement audit. 

(9) In 40 CFR 1068.501 we specify 

certain records related to investigating 

and reporting emission-related defects. 

(10) In 40 CFR 1068.525 and 1068.530 

we specify certain records related to 

recalling nonconforming engines. 

Appendix I to Part 1042.—Summary of 

Previous Emission Standards 

The following standards apply to 

compression-ignition marine engines 

produced before the model years specified in 

§ 1042.1: 

(a) Engines below 37 kW. Tier 1 and Tier 

2 standards for engines below 37 kW apply 

as specified in 40 CFR part 89 and 

summarized in the following table: 
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Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 37283 

TABLE 1 TO APPENDIX I.—EMISSION STANDARDS FOR ENGINES BELOW 37 KW (G/KW-HR) 

Rated power (kW) Tier Model year NMHC + NOX CO PM 

kW<8 ................................................ 

8≤kW<19 .......................................... 

19≤kW<37 ........................................ 

Tier 1 ............................................... 

Tier 2 ............................................... 

Tier 1 ............................................... 

Tier 2 ............................................... 

Tier 1 ............................................... 

Tier 2 ............................................... 

2000 

2005 

2000 

2005 

1999 

2004 

10.5 

7.5 

9.5 

7.5 

9.5 

7.5 

8.0 

8.0 

6.6 

6.6 

5.5 

5.5 

1 .0 

0 .80 

0 .80 

0 .80 

0 .8 

0 .6 

(b) Engines at or above 37 kW. Tier 1 and cylinder may not exceed the following calculated standard to the nearest 0.1 g/kWTier 2 standards for engines at or above 37 values: hr. 

kW apply as specified in 40 CFR part 94 and (i) 17.0 g/kW-hr when maximum test speed (ii) 9.8 g/kW-hr when maximum test speed is less than 130 rpm. summarized as follows: is 2000 rpm or more. (ii) 45.0 × N¥0.20 when maximum test (1) Tier 1 standards. NOX emissions from (2) Tier 2 primary standards. Exhaust speed is at or above 130 but below 2000 rpm, model year 2004 and later engines with emissions may not exceed the values shown where N is the maximum test speed of the displacement of 2.5 or more liters per in the following table: engine in revolutions per minute. Round the 

TABLE 2 TO APPENDIX I.—PRIMARY TIER 2 EMISSION STANDARDS FOR COMMERCIAL AND RECREATIONAL MARINE
 

ENGINES AT OR ABOVE 37 KW (G/KW-HR) 


Engine size 

liters/cylinder 

Maximum engine 

power Category Model year 

NOX + THC 

g/kW-hr 

CO 

g/kW-hr 

PM 

g/kW-hr 

disp. < 0.9 .................... power ≥ 37 kW ............ Category 1 Commercial ............... 2005 7.5 5.0 0.40 

Category 1 Recreational .............. 2007 7.5 5.0 0.40 

0.9 ≤ disp. < 1.2 ........... All ................................ Category 1 Commercial ............... 2004 7.2 5.0 0.30 

Category 1 Recreational .............. 2006 7.2 5.0 0.30 

1.2 ≤ disp. < 2.5 ........... All ................................ Category 1 Commercial ............... 2004 7.2 5.0 0.20 

Category 1 Recreational .............. 2006 7.2 5.0 0.20 

2.5 ≤ disp. < 5.0 ........... All ................................ Category 1 Commercial ............... 2007 7.2 5.0 0.20 

Category 1 Recreational .............. 2009 7.2 5.0 0.20 

5.0 ≤ disp. < 15.0 ......... All ................................ Category 2 ................................... 2007 7.8 5.0 0.27 

15.0 ≤ disp. < 20.0 ....... power < 3300 kW ....... Category 2 ................................... 2007 8.7 5.0 0.50 

power ≥ 3300 kW ........ Category 2 ................................... 2007 9.8 5.0 0.50 

20.0 ≤ disp. < 25.0 ....... All ................................ Category 2 ................................... 2007 9.8 5.0 0.50 

25.0 ≤ disp. < 30.0 ....... All ................................ Category 2 ................................... 2007 11 5.0 0.5 

(3) Tier 2 supplemental standards. Not-to- Appendix II to Part 1042—Steady-State (1) The following duty cycle applies for 

exceed emission standards apply for Tier 2 Duty Cycles discrete-mode testing: 

engines as specified in 40 CFR 94.8(e). (a) The following duty cycles apply as 

specified in § 1042.505(b)(1): 

E3 mode 

No. Engine speed 1 

Percent of 

maximum test 

power 

Weighting 

factors 

1 ............... 

2 ............... 

3 ............... 

4 ............... 

Maximum test speed ....................................................................................................................... 

91% .................................................................................................................................................. 

80% .................................................................................................................................................. 

63% .................................................................................................................................................. 

100 

75 

50 

25 

0 .2 

0 .5 

0 .15 

0 .15 

1 Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

(seconds) Engine speed 1, 3 Power (percent) 2, 3 

1a 

1b 

2a 

2b 

3a 

3b 

4a 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

229 

20 

166 

20 

570 

20 

175 

Maximum test speed ............................... 

Linear transition ....................................... 

63% ......................................................... 

Linear transition ....................................... 

91% ......................................................... 

Linear transition ....................................... 

80% ......................................................... 

100%. 

Linear transition in torque. 

25%. 

Linear transition in torque. 

75%. 

Linear transition in torque. 

50%. 

1 Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed. 

2 The percent power is relative to the maximum test power. 
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37284 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine 

speed if there is a change in speed setting. 

(b) The following duty cycles apply as (1) The following duty cycle applies for 

specified in § 1042.505(b)(2): discrete-mode testing: 

E5 mode 

No. Engine speed 1 

Percent of 

maximum test 

power 

Weighting 

factors 

1 ............... 

2 ............... 

3 ............... 

4 ............... 

5 ............... 

Maximum test speed ....................................................................................................................... 

91% .................................................................................................................................................. 

80% .................................................................................................................................................. 

63% .................................................................................................................................................. 

Warm idle ........................................................................................................................................ 

100 

75 

50 

25 

0 

0 .08 

0 .13 

0 .17 

0 .32 

0 .3 

1 Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed. 

(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

(seconds) Engine speed 1, 3 Power (percent) 2, 3 

1a 

1b 

2a 

2b 

3a 

3b 

4a 

4b 

5a 

5b 

6 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ....................................... 

167 

20 

85 

20 

354 

20 

141 

20 

182 

20 

171 

Warm idle ................................................ 

Linear transition ....................................... 

Maximum test speed ............................... 

Linear transition ....................................... 

63% ......................................................... 

Linear transition ....................................... 

91% ......................................................... 

Linear transition ....................................... 

80% ......................................................... 

Linear transition ....................................... 

Warm idle ................................................ 

0. 

Linear transition in torque. 

100%. 

Linear transition in torque. 

25%. 

Linear transition in torque. 

75%. 

Linear transition in torque. 

50%. 

Linear transition in torque. 

0. 

1 Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed. 

2 The percent power is relative to the maximum test power. 

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode, and simultaneously command a similar linear progression for engine 

speed if there is a change in speed setting. 

(c) The following duty cycles apply as (1) The following duty cycle applies for 

specified in § 1042.505(b)(3): discrete-mode testing: 

E2 mode 

No. Engine speed 1 Torque 

(percent) 2 

Weighting 

factors 

1 ............... 

2 ............... 

3 ............... 

4 ............... 

Engine Governed ............................................................................................................................. 

Engine Governed ............................................................................................................................. 

Engine Governed ............................................................................................................................. 

Engine Governed ............................................................................................................................. 

100 

75 

50 

25 

0 .2 

0 .5 

0 .15 

0 .15 

1 Speed terms are defined in 40 CFR part 1065. 


2 The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065. 


(2) The following duty cycle applies for 

ramped-modal testing: 

RMC mode Time in mode 

(seconds) Engine speed Torque (percent) 1, 2 

1a 

1b 

2a 

2b 

3a 

3b 

4a 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

Transition ......................................... 

Steady-state ..................................... 

234 

20 

571 

20 

165 

20 

170 

Engine Governed .................................... 

Engine Governed .................................... 

Engine Governed .................................... 

Engine Governed .................................... 

Engine Governed .................................... 

Engine Governed .................................... 

Engine Governed .................................... 

100%. 

Linear transition. 

25%. 

Linear transition. 

75%. 

Linear transition. 

50%. 

1 The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065. 

2 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a linear progression from the 

torque setting of the current mode to the torque setting of the next mode. 

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Appendix III to Part 1042—Not-toExceed Zones 

(a) The following definitions apply for this 

Appendix III: 

(1) Percent power means the percentage of 

the maximum power achieved at Maximum 

Test Speed (or at Maximum Test Torque for 

constant-speed engines). 

(2) Percent speed means the percentage of 

Maximum Test Speed. 

(b) Figure 1 of this Appendix illustrates the 

default NTE zone for commercial marine 

engines certified using the duty cycle 

specified in § 1042.505(b)(1), except for 

variable-speed propulsion marine engines 

used with controllable-pitch propellers or 

with electrically coupled propellers, as 

follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power ≥ 3.0 · (100%—percent 

speed). 

(2) Subzone 2 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power < 3.0 · (100% ¥ percent 

speed). 

(iv) Percent speed ≥ 70 percent. 

BILLING CODE 1505–01–D 

(c) Figure 2 of this Appendix illustrates the 

default NTE zone for recreational marine 

engines certified using the duty cycle 

specified in § 1042.505(b)(2), except for 

variable-speed marine engines used with 

controllable-pitch propellers or with 

electrically coupled propellers, as follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power ≥ 3.0 · (100%¥percent 

speed). 

(iv) Percent power ≤ 95 percent. 

(2) Subzone 2 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≤ (percent speed/0.9)3.5. 

(iii) Percent power < 3.0 · (100%¥percent 

speed). 

(iv) Percent speed ≥ 70 percent. 

(3) Subzone 3 is defined by the following 

boundaries: 

(i) Percent power ≤ (percent speed/0.9)3.5. 

(ii) Percent power > 95 percent. 

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(d) Figure 3 of this Appendix illustrates the 

default NTE zone for variable-speed marine 

engines used with controllable-pitch 

propellers or with electrically coupled 

propellers that are certified using the duty 

cycle specified in § 1042.505(b)(1), (2), or (3), 

as follows: 

(1) Subzone 1 is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent power ≥ 3.0 · (100%¥percent 

speed). 

(iii) Percent speed ≥ 78.9 percent. 

(2) Subzone 2a is defined by the following 

boundaries: 

(i) Percent power ≥ 0.7 · (percent speed)2.5. 

(ii) Percent speed ≥ 70 percent. 

(iii) Percent speed < 78.9 percent, for 

Percent power > 63.3 percent. 

(iv) Percent power < 3.0 · (100%¥percent 

speed), for Percent speed ≥ 78.9 percent. 

(3) Subzone 2b is defined by the following 

boundaries: 

(i) The line formed by connecting the 

following two points on a plot of speed-vs.-

power: 

(A) Percent speed = 70 percent; Percent 

power = 28.7 percent. 

(B) Percent speed = 40 percent at governed 

speed; Percent power = 40 percent. 

(ii) Percent power < 0.7 · (percent speed)2.5. 

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(e) Figure 4 of this Appendix illustrates the (1) Subzone 1 is defined by the following (2) Subzone 2 is defined by the following 

default NTE zone for constant-speed engines boundaries: boundaries: 

certified using a duty cycle specified in (i) Percent power ≥ 70 percent. (i) Percent power < 70 percent. 

§ 1042.505(b)(3) or (b)(4), as follows: (ii) [Reserved] (ii) Percent power ≥ 40 percent. 

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(f) Figure 5 of this Appendix illustrates the (1) The default NTE zone is defined by the 

default NTE zone for variable-speed auxiliary boundaries specified in 40 CFR 86.1370– 

marine engines certified using the duty cycle 2007(b)(1) and (2). 

specified in § 1042.505(b)(5)(ii) or (iii), as (2) A special PM subzone is defined in 40 

follows: CFR 1039.515(b). 

PART 1065—ENGINE-TESTING 

PROCEDURES 

■ 45. The authority citation for part 

1065 continues to read as follows: 

Authority: 42 U.S.C. 7401–7671q. 

Subpart A—[Amended] 

■ 46. Section 1065.1 is revised to read 

as follows: 

§ 1065.1 Applicability. 

(a) This part describes the procedures 

that apply to testing we require for the 

following engines or for vehicles using 

the following engines: 

(1) Locomotives we regulate under 40 

CFR part 1033. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 92 according to 

§ 1065.10. 

(2) Model year 2010 and later heavyduty highway engines we regulate under 

40 CFR part 86. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 86, subpart N, 

according to § 1065.10. 

(3) Nonroad diesel engines we 

regulate under 40 CFR part 1039 and 

stationary diesel engines that are 

certified to the standards in 40 CFR part 

1039 as specified in 40 CFR part 60, 

subpart IIII. For earlier model years, 

manufacturers may use the test 

procedures in this part or those 

specified in 40 CFR part 89 according to 

§ 1065.10. 

(4) Marine diesel engines we regulate 

under 40 CFR part 1042. For earlier 

model years, manufacturers may use the 

test procedures in this part or those 

specified in 40 CFR part 94 according to 

§ 1065.10. 

(5) [Reserved] 

(6) Large nonroad spark-ignition 

engines we regulate under 40 CFR part 

1048, and stationary engines that are 

certified to the standards in 40 CFR part 

1048 or as otherwise specified in 40 

CFR part 60, subpart JJJJ. 

(7) Vehicles we regulate under 40 CFR 

part 1051 (such as snowmobiles and offhighway motorcycles) based on engine 

testing. See 40 CFR part 1051, subpart 

F, for standards and procedures that are 

based on vehicle testing. 

(8) [Reserved] 

(b) The procedures of this part may 

apply to other types of engines, as 

described in this part and in the 

standard-setting part. 

(c) The term ‘‘you’’ means anyone 

performing testing under this part other 

than EPA. 

(1) This part is addressed primarily to 

manufacturers of engines, vehicles, 

equipment, and vessels, but it applies 

equally to anyone who does testing 

under this part for such manufacturers. 

(2) This part applies to any 

manufacturer or supplier of test 

equipment, instruments, supplies, or 

any other goods or services related to 

the procedures, requirements, 

recommendations, or options in this 

part. 

(d) Paragraph (a) of this section 

identifies the parts of the CFR that 

define emission standards and other 

requirements for particular types of 

engines. In this part, we refer to each of 

these other parts generically as the 

‘‘standard-setting part.’’ For example, 40 

CFR part 1051 is always the standardsetting part for snowmobiles and part 86 

is the standard-setting part for heavyduty highway engines. 

(e) Unless we specify otherwise, the 

terms ‘‘procedures’’ and ‘‘test 

procedures’’ in this part include all 

aspects of engine testing, including the 

equipment specifications, calibrations, 

calculations, and other protocols and 

procedural specifications needed to 

measure emissions. 

(f) For vehicles, equipment, or vessels 

subject to this part and regulated under 
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vehicle-based, equipment-based, or 

vessel-based standards, use good 

engineering judgment to interpret the 

term ‘‘engine’’ in this part to include 

vehicles, equipment, or vessels, where 

appropriate. 

(g) For additional information 

regarding these test procedures, visit our 

Web site at www.epa.gov, and in 

particular http://www.epa.gov/otaq/ 

testingregs.htm. 

■ 47. Section 1065.2 is revised to read 

as follows: 

§ 1065.2 Submitting information to EPA 

under this part. 

(a) You are responsible for statements 

and information in your applications for 

certification, requests for approved 

procedures, selective enforcement 

audits, laboratory audits, productionline test reports, field test reports, or any 

other statements you make to us related 

to this part 1065. 

(b) In the standard-setting part and in 

40 CFR 1068.101, we describe your 

obligation to report truthful and 

complete information and the 

consequences of failing to meet this 

obligation. See also 18 U.S.C. 1001 and 

42 U.S.C. 7413(c)(2). 

(c) We may void any certificates or 

approvals associated with a submission 

of information if we find that you 

intentionally submitted false, 

incomplete, or misleading information. 

For example, if we find that you 

intentionally submitted incomplete 

information to mislead EPA when 

requesting approval to use alternate test 

procedures, we may void the certificates 

for all engines families certified based 

on emission data collected using the 

alternate procedures. This would also 

apply if you ignore data from 

incomplete tests or from repeat tests 

with higher emission results. 

(d) We may require an authorized 

representative of your company to 

approve and sign the submission, and to 

certify that all of the information 

submitted is accurate and complete. 

This includes everyone who submits 

information, including manufacturers 

and others. 

(e) See 40 CFR 1068.10 for provisions 

related to confidential information. Note 

however that under 40 CFR 2.301, 

emission data is generally not eligible 

for confidential treatment. 

(f) Nothing in this part should be 

interpreted to limit our ability under 

Clean Air Act section 208 (42 U.S.C. 

7542) to verify that engines conform to 

the regulations. 

■ 48. Section 1065.5 is revised to read 

as follows: 

§ 1065.5 Overview of this part 1065 and its 

relationship to the standard-setting part. 

(a) This part specifies procedures that 

apply generally to testing various 

categories of engines. See the standardsetting part for directions in applying 

specific provisions in this part for a 

particular type of engine. Before using 

this part’s procedures, read the 

standard-setting part to answer at least 

the following questions: 

(1) What duty cycles must I use for 

laboratory testing? 

(2) Should I warm up the test engine 

before measuring emissions, or do I 

need to measure cold-start emissions 

during a warm-up segment of the duty 

cycle? 

(3) Which exhaust gases do I need to 

measure? 

(4) Do any unique specifications 

apply for test fuels? 

(5) What maintenance steps may I 

take before or between tests on an 

emission-data engine? 

(6) Do any unique requirements apply 

to stabilizing emission levels on a new 

engine? 

(7) Do any unique requirements apply 

to test limits, such as ambient 

temperatures or pressures? 

(8) Is field testing required or allowed, 

and are there different emission 

standards or procedures that apply to 

field testing? 

(9) Are there any emission standards 

specified at particular engine-operating 

conditions or ambient conditions? 

(10) Do any unique requirements 

apply for durability testing? 

(b) The testing specifications in the 

standard-setting part may differ from the 

specifications in this part. In cases 

where it is not possible to comply with 

both the standard-setting part and this 

part, you must comply with the 

specifications in the standard-setting 

part. The standard-setting part may also 

allow you to deviate from the 

procedures of this part for other reasons. 

(c) The following table shows how 

this part divides testing specifications 

into subparts: 

TABLE 1 OF § 1065.5.—DESCRIPTION OF PART 1065 SUBPARTS 

This subpart Describes these specifications or procedures 

Subpart A ............................. Applicability and general provisions. 

Subpart B ............................. Equipment for testing. 

Subpart C ............................. Measurement instruments for testing. 

Subpart D ............................. Calibration and performance verifications for measurement systems. 

Subpart E ............................. How to prepare engines for testing, including service accumulation. 

Subpart F ............................. How to run an emission test over a predetermined duty cycle. 

Subpart G ............................. Test procedure calculations. 

Subpart H ............................. Fuels, engine fluids, analytical gases, and other calibration standards. 

Subpart I ............................... Special procedures related to oxygenated fuels. 

Subpart J .............................. How to test with portable emission measurement systems (PEMS). 

■ 49. Section 1065.10 is amended by 

revising paragraphs (c)(1), (c)(2), (c)(6), 

and (c)(7) introductory text to read as 

follows: 

§ 1065.10 Other procedures. 

* * * * * 

(c) * * * 

(1) The objective of the procedures in 

this part is to produce emission 

measurements equivalent to those that 

would result from measuring emissions 

during in-use operation using the same 

engine configuration as installed in a 

vehicle, equipment, or vessel. However, 

in unusual circumstances where these 

procedures may result in measurements 

that do not represent in-use operation, 

you must notify us if good engineering 

judgment indicates that the specified 

procedures cause unrepresentative 

emission measurements for your 

engines. Note that you need not notify 

us of unrepresentative aspects of the test 

procedure if measured emissions are 

equivalent to in-use emissions. This 

provision does not obligate you to 

pursue new information regarding the 

different ways your engine might 

operate in use, nor does it obligate you 

to collect any other in-use information 

to verify whether or not these test 

procedures are representative of your 

engine’s in-use operation. If you notify 

us of unrepresentative procedures under 

this paragraph (c)(1), we will cooperate 
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37290 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

with you to establish whether and how 

the procedures should be appropriately 

changed to result in more representative 

measurements. While the provisions of 

this paragraph (c)(1) allow us to be 

responsive to issues as they arise, we 

would generally work toward making 

these testing changes generally 

applicable through rulemaking. We will 

allow reasonable lead time for 

compliance with any resulting change 

in procedures. We will consider the 

following factors in determining the 

importance of pursuing changes to the 

procedures: 

(i) Whether supplemental emission 

standards or other requirements in the 

standard-setting part address the type of 

operation of concern or otherwise 

prevent inappropriate design strategies. 

(ii) Whether the unrepresentative 

aspect of the procedures affect your 

ability to show compliance with the 

applicable emission standards. 

(iii) The extent to which the 

established procedures require the use 

of emission-control technologies or 

strategies that are expected to ensure a 

comparable degree of emission control 

under the in-use operation that differs 

from the specified procedures. 

(2) You may request to use special 

procedures if your engine cannot be 

tested using the specified procedures. 

For example, this may apply if your 

engine cannot operate on the specified 

duty cycle. In this case, tell us in 

writing why you cannot satisfactorily 

test your engine using this part’s 

procedures and ask to use a different 

approach. We will approve your request 

if we determine that it would produce 

emission measurements that represent 

in-use operation and we determine that 

it can be used to show compliance with 

the requirements of the standard-setting 

part. 

* * * * * 

(6) During the 12 months following 

the effective date of any change in the 

provisions of this part 1065, you may 

use data collected using procedures 

specified in the previously applicable 

version of this part 1065. This paragraph 

(c)(6) does not restrict the use of 

carryover certification data otherwise 

allowed by the standard-setting part. 

(7) You may request to use alternate 

procedures, or procedures that are more 

accurate or more precise than the 

allowed procedures. The following 

provisions apply to requests for 

alternate procedures: 

* * * * * 

■ 50. Section 1065.12 is amended by 

revising paragraphs (a) and (d)(1) to read 

as follows: 

§ 1065.12 Approval of alternate 

procedures. 

(a) To get approval for an alternate 

procedure under § 1065.10(c), send the 

Designated Compliance Officer an 

initial written request describing the 

alternate procedure and why you 

believe it is equivalent to the specified 

procedure. Anyone may request 

alternate procedure approval. This 

means that an individual engine 

manufacturer may request to use an 

alternate procedure. This also means 

that an instrument manufacturer may 

request to have an instrument, 

equipment, or procedure approved as an 

alternate procedure to those specified in 

this part. We may approve your request 

based on this information alone, or, as 

described in this section, we may ask 

you to submit to us in writing 

supplemental information showing that 

your alternate procedure is consistently 

and reliably at least as accurate and 

repeatable as the specified procedure. 

* * * * * 

(d) * * * 

(1) Theoretical basis. Give a brief 

technical description explaining why 

you believe the proposed alternate 

procedure should result in emission 

measurements equivalent to those using 

the specified procedure. You may 

include equations, figures, and 

references. You should consider the full 

range of parameters that may affect 

equivalence. For example, for a request 

to use a different NOX measurement 

procedure, you should theoretically 

relate the alternate detection principle 

to the specified detection principle over 

the expected concentration ranges for 

NO, NO2, and interference gases. For a 

request to use a different PM 

measurement procedure, you should 

explain the principles by which the 

alternate procedure quantifies 

particulate mass similarly to the 

specified procedures. 

* * * * * 

■ 51. Section 1065.15 is amended by 

revising paragraphs (c)(1) and (e) and 

adding paragraph (f) to read as follows: 

§ 1065.15 Overview of procedures for 

laboratory and field testing. 

* * * * * 

(c) * * * 

(1) Engine operation. Engine 

operation is specified over a test 

interval. A test interval is the time over 

which an engine’s total mass of 

emissions and its total work are 

determined. Refer to the standardsetting part for the specific test intervals 

that apply to each engine. Testing may 

involve measuring emissions and work 

in a laboratory-type environment or in 

the field, as described in paragraph (f) 

of this section. 

* * * * * 

(e) The following figure illustrates the 

allowed measurement configurations 

described in this part 1065: 

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BILLING CODE 1505–01–C 
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37292 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

(f) This part 1065 describes how to 

test engines in a laboratory-type 

environment or in the field. 

(1) This affects test intervals and duty 

cycles as follows: 

(i) For laboratory testing, you 

generally determine brake-specific 

emissions for duty-cycle testing by 

using an engine dynamometer in a 

laboratory or other environment. This 

typically consists of one or more test 

intervals, each defined by a duty cycle, 

which is a sequence of modes, speeds, 

and/or torques (or powers) that an 

engine must follow. If the standardsetting part allows it, you may also 

simulate field testing with an engine 

dynamometer in a laboratory or other 

environment. 

(ii) Field testing consists of normal inuse engine operation while an engine is 

installed in a vehicle, equipment, or 

vessel rather than following a specific 

engine duty cycle. The standard-setting 

part specifies how test intervals are 

defined for field testing. 

(2) The type of testing may also affect 

what test equipment may be used. You 

may use ‘‘lab-grade’’ test equipment for 

any testing. The term ‘‘lab-grade’’ refers 

to equipment that fully conforms to the 

applicable specifications of this part. 

For some testing you may alternatively 

use ‘‘field-grade’’ equipment. The term 

‘‘field-grade’’ refers to equipment that 

fully conforms to the applicable 

specifications of subpart J of this part, 

but does not fully conform to other 

specifications of this part. You may use 

‘‘field-grade’’ equipment for field 

testing. We also specify in this part and 

in the standard-setting parts certain 

cases in which you may use ‘‘fieldgrade’’ equipment for testing in a 

laboratory-type environment. (Note: 

Although ‘‘field-grade’’ equipment is 

generally more portable than ‘‘labgrade’’ test equipment, portability is not 

relevant to whether equipment is 

considered to be ‘‘field-grade’’ or ‘‘labgrade’’.) 

■ 52. Section 1065.20 is amended by 

revising paragraphs (a)(2), (b)(2), (f), and 

(g) to read as follows: 

§ 1065.20 Units of measure and overview 

of calculations. 

(a) * * * 

(2) We designate brake-specific 

emissions in grams per kilowatt-hour (g/ 

(kW·hr)), rather than the SI unit of 

grams per megajoule (g/MJ). In addition, 

we use the symbol hr to identify hour, 

rather than the SI convention of using 

h. This is based on the fact that engines 

are generally subject to emission 

standards expressed in g/kW·hr. If we 

specify engine standards in grams per 

horsepower·hour (g/(hp·hr)) in the 

standard-setting part, convert units as 

specified in paragraph (d) of this 

section. 

* * * * * 

(b) * * * 

(2) For all substances, cm3/m3, 

formerly ppm (volume). 

* * * * * 

(f) Interpretation of ranges. Interpret a 

range as a tolerance unless we explicitly 

identify it as an accuracy, repeatability, 

linearity, or noise specification. See 

§ 1065.1001 for the definition of 

tolerance. In this part, we specify two 

types of ranges: 

(1) Whenever we specify a range by a 

single value and corresponding limit 

values above and below that value, 

target any associated control point to 

that single value. Examples of this type 

of range include ‘‘± 10% of maximum 

pressure’’, or ‘‘(30 ± 10) kPa’’. 

(2) Whenever we specify a range by 

the interval between two values, you 

may target any associated control point 

to any value within that range. An 

example of this type of range is ‘‘(40 to 

50) kPa’’. 

(g) Scaling of specifications with 

respect to an applicable standard. 

Because this part 1065 is applicable to 

a wide range of engines and emission 

standards, some of the specifications in 

this part are scaled with respect to an 

engine’s applicable standard or 

maximum power. This ensures that the 

specification will be adequate to 

determine compliance, but not overly 

burdensome by requiring unnecessarily 

high-precision equipment. Many of 

these specifications are given with 

respect to a ‘‘flow-weighted mean’’ that 

is expected at the standard or during 

testing. Flow-weighted mean is the 

mean of a quantity after it is weighted 

proportional to a corresponding flow 

rate. For example, if a gas concentration 

is measured continuously from the raw 

exhaust of an engine, its flow-weighted 

mean concentration is the sum of the 

products of each recorded concentration 

times its respective exhaust flow rate, 

divided by the sum of the recorded flow 

rates. As another example, the bag 

concentration from a CVS system is the 

same as the flow-weighted mean 

concentration, because the CVS system 

itself flow-weights the bag 

concentration. Refer to § 1065.602 for 

information needed to estimate and 

calculate flow-weighted means. 

Wherever a specification is scaled to a 

value based upon an applicable 

standard, interpret the standard to be 

the family emission limit if the engine 

is certified under an emission credit 

program in the standard-setting part. 

Subpart B—[Amended] 

■ 53. Section 1065.101 is amended by 

revising paragraph (a) and adding 

paragraph (e) before the figures to read 

as follows: 

§ 1065.101 Overview. 

(a) This subpart specifies equipment, 

other than measurement instruments, 

related to emission testing. The 

provisions of this subpart apply for all 

engine dynamometer testing where 

engine speeds and loads are controlled 

to follow a prescribed duty cycle. See 

subpart J of this part to determine which 

of the provisions of this subpart apply 

for field testing. This equipment 

includes three broad categoriesdynamometers, engine fluid systems 

(such as fuel and intake-air systems), 

and emission-sampling hardware. 

* * * * * 

(e) Dynamometer testing involves 

engine operation over speeds and loads 

that are controlled to a prescribed duty 

cycle. Field testing involves measuring 

emissions over normal in-use operation 

of a vehicle or piece of equipment. Field 

testing does not involve operating an 

engine over a prescribed duty cycle. 

* * * * * 

■ 54. Section 1065.110 is amended by 

revising paragraphs (a) introductory text 

and (e) and adding paragraphs (a)(1)(iv) 

and (f) to read as follows: 

§ 1065.110 Work inputs and outputs, 

accessory work, and operator demand. 

(a) Work. Use good engineering 

judgment to simulate all engine work 

inputs and outputs as they typically 

would operate in use. Account for work 

inputs and outputs during an emission 

test by measuring them; or, if they are 

small, you may show by engineering 

analysis that disregarding them does not 

affect your ability to determine the net 

work output by more than ± 0.5% of the 

net expected work output over the test 

interval. Use equipment to simulate the 

specific types of work, as follows: 

(1) * * * 

(iv) You may use any device that is 

already installed on a vehicle, 

equipment, or vessel to absorb work 

from the engine’s output shaft(s). 

Examples of these types of devices 

include a vessel’s propeller and a 

locomotive’s generator. 

* * * * * 

(e) Operator demand for shaft work. 

Operator demand is defined in 

§ 1065.1001. Command the operator 

demand and the dynamometer(s) to 

follow a prescribed duty cycle with set 

points for engine speed and torque as 

specified in § 1065.512. Refer to the 
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standard-setting part to determine the 

specifications for your duty cycle(s). 

Use a mechanical or electronic input to 

control operator demand such that the 

engine is able to meet the validation 

criteria in § 1065.514 over each 

applicable duty cycle. Record feedback 

values for engine speed and torque as 

specified in § 1065.512. Using good 

engineering judgment, you may improve 

control of operator demand by altering 

on-engine speed and torque controls. 

However, if these changes result in 

unrepresentative testing, you must 

notify us and recommend other test 

procedures under § 1065.10(c)(1). 

(f) Other engine inputs. If your 

electronic control module requires 

specific input signals that are not 

available during dynamometer testing, 

such as vehicle speed or transmission 

signals, you may simulate the signals 

using good engineering judgment. Keep 

records that describe what signals you 

simulate and explain why these signals 

are necessary for representative testing. 

■ 55. Section 1065.120 is amended by 

revising paragraph (a) to read as follows: 

§ 1065.120 Fuel properties and fuel 

temperature and pressure. 

(a) Use fuels as specified in the 

standard-setting part, or as specified in 

subpart H of this part if fuels are not 

specified in the standard-setting part. 

* * * * * 

■ 56. Section 1065.122 is amended by 

revising paragraphs (a) introductory 

text, (a)(1), and (c) to read as follows: 

§ 1065.122 Engine cooling and lubrication. 

(a) Engine cooling. Cool the engine 

during testing so its intake-air, oil, 

coolant, block, and head temperatures 

are within their expected ranges for 

normal operation. You may use 

auxiliary coolers and fans. 

(1) For air-cooled engines only, if you 

use auxiliary fans you must account for 

work input to the fan(s) according to 

§ 1065.110. 

* * * * * 

(c) Lubricating oil. Use lubricating oils 

specified in § 1065.740. For two-stroke 

engines that involve a specified mixture 

of fuel and lubricating oil, mix the 

lubricating oil with the fuel according to 

the manufacturer’s specifications. 

* * * * * 

■ 57. Section 1065.125 is amended by 

revising paragraphs (c) and (d) and 

adding paragraph (e) to read as follows: 

§ 1065.125 Engine intake air. 

* * * * * 

(c) Unless stated otherwise in the 

standard-setting part, maintain the 

temperature of intake air to (25 ± 5) °C, 

as measured upstream of any engine 

component. 

(d) Use an intake-air restriction that 

represents production engines. Make 

sure the intake-air restriction is between 

the manufacturer’s specified maximum 

for a clean filter and the manufacturer’s 

specified maximum allowed. Measure 

the static differential pressure of the 

restriction at the location and at the 

speed and torque set points specified by 

the manufacturer. If the manufacturer 

does not specify a location, measure this 

pressure upstream of any turbocharger 

or exhaust gas recirculation system 

connection to the intake air system. If 

the manufacturer does not specify speed 

and torque points, measure this pressure 

while the engine outputs maximum 

power. As the manufacturer, you are 

liable for emission compliance for all 

values up to the maximum restriction 

you specify for a particular engine. 

(e) This paragraph (e) includes 

provisions for simulating charge-air 

cooling in the laboratory. This approach 

is described in paragraph (e)(1) of this 

section. Limits on using this approach 

are described in paragraphs (e)(2) and 

(3) of this section. 

(1) Use a charge-air cooling system 

with a total intake-air capacity that 

represents production engines’ in-use 

installation. Design any laboratory 

charge-air cooling system to minimize 

accumulation of condensate. Drain any 

accumulated condensate and 

completely close all drains before 

emission testing. Keep the drains closed 

during the emission test. Maintain 

coolant conditions as follows: 

(i) Maintain a coolant temperature of 

at least 20 °C at the inlet to the chargeair cooler throughout testing. 

(ii) At the engine conditions specified 

by the manufacturer, set the coolant 

flow rate to achieve an air temperature 

within ± 5 °C of the value specified by 

the manufacturer after the charge-air 

cooler’s outlet. Measure the air-outlet 

temperature at the location specified by 

the manufacturer. Use this coolant flow 

rate set point throughout testing. If the 

engine manufacturer does not specify 

engine conditions or the corresponding 

charge-air cooler air outlet temperature, 

set the coolant flow rate at maximum 

engine power to achieve a charge-air 

cooler air outlet temperature that 

represents in-use operation. 

(iii) If the engine manufacturer 

specifies pressure-drop limits across the 

charge-air cooling system, ensure that 

the pressure drop across the charge-air 

cooling system at engine conditions 

specified by the manufacturer is within 

the manufacturer’s specified limit(s). 

Measure the pressure drop at the 

manufacturer’s specified locations. 

(2) The objective of this section is to 

produce emission results that are 

representative of in-use operation. If 

good engineering judgment indicates 

that the specifications in this section 

would result in unrepresentative testing 

(such as overcooling of the intake air), 

you may use more sophisticated 

setpoints and controls of charge-air 

pressure drop, coolant temperature, and 

flowrate to achieve more representative 

results. 

(3) This approach does not apply for 

field testing. You may not correct 

measured emission levels from field 

testing to account for any differences 

caused by the simulated cooling in the 

laboratory. 

■ 58. Section 1065.130 is revised to read 

as follows: 

§ 1065.130 Engine exhaust. 

(a) General. Use the exhaust system 

installed with the engine or one that 

represents a typical in-use 

configuration. This includes any 

applicable aftertreatment devices. 

(b) Aftertreatment configuration. If 

you do not use the exhaust system 

installed with the engine, configure any 

aftertreatment devices as follows: 

(1) Position any aftertreatment device 

so its distance from the nearest exhaust 

manifold flange or turbocharger outlet is 

within the range specified by the engine 

manufacturer in the application for 

certification. If this distance is not 

specified, position aftertreatment 

devices to represent typical in-use 

vehicle configurations. 

(2) You may use exhaust tubing that 

is not from the in-use exhaust system 

upstream of any aftertreatment device 

that is of diameter(s) typical of in-use 

configurations. If you use exhaust 

tubing that is not from the in-use 

exhaust system upstream of any 

aftertreatment device, position each 

aftertreatment device according to 

paragraph (b)(1) of this section. 

(c) Sampling system connections. 

Connect an engine’s exhaust system to 

any raw sampling location or dilution 

stage, as follows: 

(1) Minimize laboratory exhaust 

tubing lengths and use a total length of 

laboratory tubing of no more than 10 m 

or 50 outside diameters, whichever is 

greater. The start of laboratory exhaust 

tubing should be specified as the exit of 

the exhaust manifold, turbocharger 

outlet, last aftertreatment device, or the 

in-use exhaust system, whichever is 

furthest downstream. The end of 

laboratory exhaust tubing should be 

specified as the sample point, or first 

point of dilution. If laboratory exhaust 

tubing consists of several different 

outside tubing diameters, count the 
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37294 Federal Register / Vol. 73, No. 126 / Monday, June 30, 2008 / Rules and Regulations 

number of diameters of length of each 

individual diameter, then sum all the 

diameters to determine the total length 

of exhaust tubing in diameters. Use the 

mean outside diameter of any 

converging or diverging sections of 

tubing. Use outside hydraulic diameters 

of any noncircular sections. For 

multiple stack configurations where all 

the exhaust stacks are combined, the 

start of the laboratory exhaust tubing 

may be taken at the last joint of where 

all the stacks are combined. 

(2) You may install short sections of 

flexible laboratory exhaust tubing at any 

location in the engine or laboratory 

exhaust systems. You may use up to a 

combined total of 2 m or 10 outside 

diameters of flexible exhaust tubing. 

(3) Insulate any laboratory exhaust 

tubing downstream of the first 25 

outside diameters of length. 

(4) Use laboratory exhaust tubing 

materials that are smooth-walled, 

electrically conductive, and not reactive 

with exhaust constituents. Stainless 

steel is an acceptable material. 

(5) We recommend that you use 

laboratory exhaust tubing that has either 

a wall thickness of less than 2 mm or 

is air gap-insulated to minimize 

temperature differences between the 

wall and the exhaust. 

(6) We recommend that you connect 

multiple exhaust stacks from a single 

engine into one stack upstream of any 

emission sampling. To ensure mixing of 

the multiple exhaust streams before 

emission sampling, you may configure 

the exhaust system with turbulence 

generators, such as orifice plates or fins, 

to achieve good mixing. We recommend 

a minimum Reynolds number, Re#, of 

4000 for the combined exhaust stream, 

where Re# is based on the inside 

diameter of the single stack. Re# is 

defined in § 1065.640. 

(d) In-line instruments. You may 

insert instruments into the laboratory 

exhaust tubing, such as an in-line smoke 

meter. If you do this, you may leave a 

length of up to 5 outside diameters of 

laboratory exhaust tubing uninsulated 

on each side of each instrument, but you 

must leave a length of no more than 25 

outside diameters of laboratory exhaust 

tubing uninsulated in total, including 

any lengths adjacent to in-line 

instruments. 

(e) Leaks. Minimize leaks sufficiently 

to ensure your ability to demonstrate 

compliance with the applicable 

standards. We recommend performing a 

chemical balance of fuel, intake air, and 

exhaust according to § 1065.655 to 

verify exhaust system integrity. 

(f) Grounding. Electrically ground the 

entire exhaust system. 

(g) Forced cooldown. You may install 

a forced cooldown system for an 

exhaust aftertreatment device according 

to § 1065.530(a)(1)(i). 

(h) Exhaust restriction. As the 

manufacturer, you are liable for 

emission compliance for all values up to 

the maximum restriction(s) you specify 

for a particular engine. Measure and set 

exhaust restriction(s) at the location(s) 

and at the engine speed and torque 

values specified by the manufacturer. 

Also, for variable-restriction 

aftertreatment devices, measure and set 

exhaust restriction(s) at the 

aftertreatment condition (degreening/ 

aging and regeneration/loading level) 

specified by the manufacturer. If the 

manufacturer does not specify a 

location, measure this pressure 

downstream of any turbocharger. If the 

manufacturer does not specify speed 

and torque points, measure pressure 

while the engine produces maximum 

power. Use an exhaust-restriction 

setpoint that represents a typical in-use 

value, if available. If a typical in-use 

value for exhaust restriction is not 

available, set the exhaust restriction at 

(80 to 100)% of the maximum exhaust 

restriction specified by the 

manufacturer, or if the maximum is 5 

kPa or less, the set point must be no less 

than 1.0 kPa from the maximum. For 

example, if the maximum back pressure 

is 4.5 kPa, do not use an exhaust 

restriction set point that is less than 3.5 

kPa. 

(i) Open crankcase emissions. If the 

standard-setting part requires measuring 

open crankcase emissions, you may 

either measure open crankcase 

emissions separately using a method 

that we approve in advance, or route 

open crankcase emissions directly into 

the exhaust system for emission 

measurement. If the engine is not 

already configured to route open 

crankcase emissions for emission 

measurement, route open crankcase 

emissions as follows: 

(1) Use laboratory tubing materials 

that are smooth-walled, electrically 

conductive, and not reactive with 

crankcase emissions. Stainless steel is 

an acceptable material. Minimize tube 

lengths. We also recommend using 

heated or thin-walled or air gapinsulated tubing to minimize 

temperature differences between the 

wall and the crankcase emission 

constituents. 

(2) Minimize the number of bends in 

the laboratory crankcase tubing and 

maximize the radius of any unavoidable 

bend. 

(3) Use laboratory crankcase exhaust 

tubing that meets the engine 

manufacturer’s specifications for 

crankcase back pressure. 

(4) Connect the crankcase exhaust 

tubing into the raw exhaust downstream 

of any aftertreatment system, 

downstream of any installed exhaust 

restriction, and sufficiently upstream of 

any sample probes to ensure complete 

mixing with the engine’s exhaust before 

sampling. Extend the crankcase exhaust 

tube into the free stream of exhaust to 

avoid boundary-layer effects and to 

promote mixing. You may orient the 

crankcase exhaust tube’s outlet in any 

direction relative to the raw exhaust 

flow. 

■ 59. Section 1065.140 is revised to read 

as follows: 

§ 1065.140 Dilution for gaseous and PM 

constituents. 

(a) General. You may dilute exhaust 

with ambient air, synthetic air, or 

nitrogen. For gaseous emission 

measurement the diluent must be at 

least 15°C. Note that the composition of 

the diluent affects some gaseous 

emission measurement instruments’ 

response to emissions. We recommend 

diluting exhaust at a location as close as 

possible to the location where ambient 

air dilution would occur in use. 

(b) Dilution-air conditions and 

background concentrations. Before a 

diluent is mixed with exhaust, you may 

precondition it by increasing or 

decreasing its temperature or humidity. 

You may also remove constituents to 

reduce their background concentrations. 

The following provisions apply to 

removing constituents or accounting for 

background concentrations: 

(1) You may measure constituent 

concentrations in the diluent and 

compensate for background effects on 

test results. See § 1065.650 for 

calculations that compensate for 

background concentrations. 

(2) Either measure these background 

concentrations the same way you 

measure diluted exhaust constituents, or 

measure them in a way that does not 

affect your ability to demonstrate 

compliance with the applicable 

standards. For example, you may use 

the following simplifications for 

background sampling: 

(i) You may disregard any 

proportional sampling requirements. 

(ii) You may use unheated gaseous 

sampling systems. 

(iii) You may use unheated PM 

sampling systems. 

(iv) You may use continuous 

sampling if you use batch sampling for 

diluted emissions. 

(v) You may use batch sampling if you 

use continuous sampling for diluted 

emissions.