1

Stout, Alan

Subject: FW: EPA's draft regulatory amendments

From: Taricco, Peggy@ARB [mailto:peggy.tarrico@arb.ca.gov] 

Sent: Tuesday, September 23, 2014 2:59 PM 

To: Stout, Alan 

Cc: Donohoue, Dan@ARB; Milkey, Paul@ARB; Samulski, Michael 

Subject: RE: EPA's draft regulatory amendments 

Hi Alan – Thank you for sharing the redraft with us. Based on our review, the changes are responsive to our comments 

and we are ok with the revised approach. Thank you for addressing our concerns. Do you need anything else from us? 

Thanks, Peggy 

From: Stout, Alan [mailto:stout.alan@epa.gov] 

Sent: Thursday, September 11, 2014 12:08 PM 

To: Taricco, Peggy@ARB 

Cc: Donohoue, Dan@ARB; Milkey, Paul@ARB; Samulski, Michael 

Subject: RE: EPA's draft regulatory amendments 

Peggy, 

I came close to getting things lined up to send you an updated draft before I left for vacation, but that didn’t work 

out. In the meantime, we were able to get some additional internal review to confirm a revised approach. The attached 

draft shows an updated set of changes to part 1043. The noteworthy changes involved removing all the edits from 

§1043.1 and 1043.55, which should address the principal issues you and your colleagues raised. We hope that the 

remaining content is truly mundane. We’ll be eager to hear back to see whether you agree. It would be best if we could 

get some feedback next week, but do what you can. 

The redline text shows what will change relative to the CFR. I can create a redline showing what has changed since the 

last version if that is better for you. Feel free to distribute to the other participants from the conference, at your 

discretion. 

Alan 

From: Taricco, Peggy@ARB [mailto:peggy.tarrico@arb.ca.gov] 

Sent: Thursday, August 28, 2014 12:57 PM 

To: Stout, Alan 

Cc: Donohoue, Dan@ARB; Milkey, Paul@ARB 

Subject: RE: EPA's draft regulatory amendments 

Hi Alan – During our conference call a couple weeks ago with SCAQMD, EPA, and ARB I believe the action item was for 

EPA to revise the draft proposal based on our discussion and then share with us – what is the status on that? Thanks, 

Peggy 

From: Stout, Alan [mailto:stout.alan@epa.gov] 

Sent: Thursday, August 07, 2014 1:39 PM 

To: Taricco, Peggy@ARB 

Cc: Donohoue, Dan@ARB; Revelt, Jean-Marie; Aranda, Amber; Samulski, Michael; Kerns, Deborah@ARB; Milkey, 
2

Paul@ARB 

Subject: RE: EPA's draft regulatory amendments 

Let’s do it – Aug. 12 @ 11:30 PDT. Should we set up a call-in number? 

From: Stout, Alan [mailto:stout.alan@epa.gov] 

Sent: Thursday, August 07, 2014 4:07 AM 

To: Taricco, Peggy@ARB 

Cc: Donohoue, Dan@ARB; Revelt, Jean-Marie; Aranda, Amber; Samulski, Michael 

Subject: RE: EPA's draft regulatory amendments 

Peggy, 

I would hope we could start with a conference call to get all the interested people together to compare notes before you 

go through the effort to coordinate input that commits ARB to a formal position. Timing looks good if we want to set 

something up for next Monday or Tuesday. 

If/when you send input, e-mail is best. We can certainly allow for an exchange through next week. 

Alan 

From: Taricco, Peggy@ARB [mailto:peggy.tarrico@arb.ca.gov] 

Sent: Wednesday, August 06, 2014 4:19 PM 

To: Stout, Alan 

Cc: Donohoue, Dan@ARB 

Subject: RE: EPA's draft regulatory amendments 

Hi Alan – We have discussed internally the proposed amendments here at ARB and we do have concerns with the 

proposal and will be providing you with comments. Would you like them via a formal letter or by email? Also, we will 

try our best to get them to you by the end of the week but it may end up being next week – is that ok with you? Thanks, 

Peggy 

From: Stout, Alan [mailto:stout.alan@epa.gov] 

Sent: Thursday, July 24, 2014 8:52 AM 

To: bvahey@vesselalliance.com; bwoodthomas@worldshipping.org; Joe.Angelo@intertanko.com; nbm@bimco.org; 

kmetcalf@knowships.org; tgarrett@pmsaship.com; weakley@lcaships.com; tfrench@emamail.org; TJ Tarabulski; 

Naomi.Katsumi@ec.gc.ca; paul.topping@tc.gc.ca; Taricco, Peggy@ARB 

Cc: Sutton, Tia; Revelt, Jean-Marie; Samulski, Michael

Subject: EPA's draft regulatory amendments 

Dear colleagues, 

The attached file includes a variety of draft amendments to EPA’s regulations for marine diesel engines and vessels in 40 

CFR part 1043. These amendments involve several corrections, clarifications, and minor adjustments to the regulations, 

most notably to reference the updated version of MARPOL Annex VI. We do not anticipate that any of these changes 

add new requirements or involve any controversial elements. We therefore intend to include them in a direct final rule 

that we hope to complete later this year. Since this rulemaking process depends on us not receiving adverse comments, 

we want to share the draft language just to make sure people have a chance to weigh in before we go ahead with the 

published final rule. Feel free to share this with others as appropriate to help us make sure everything is on target. 

If we can get any comments on the draft text by August 8, that would keep us on a good track for finishing the rule in an 

orderly timeframe. 

Thanks for your help. 

Alan 
3

_______________ 

Alan Stout 

U.S. EPA Office of Transportation and Air Quality 

2000 Traverwood Dr. 

Ann Arbor, MI 48105 

734-214-4805 

734-214-4816 (fax) 

stout.alan@epa.gov 

www.epa.gov/otaq/
PART 1043—CONTROL OF NOx, SOx, AND PM EMISSIONS FROM MARINE 

ENGINES AND VESSELS SUBJECT TO THE MARPOL PROTOCOL

1001. The authority citation for part 1043 is revised to read as follows: 

Authority: 33 U.S.C. 1901– 19121915. 

1002. Section 1043.5 is amended by removing and reserving paragraph (b). 

§1043.5 Effective dates. 

* * * * * 

(b) [Reserved]The amendments to Annex VI adopted on October 8, 2008 enter into force July 1, 

2010. The requirement of APPS for marine vessels to comply with the amended Annex VI is 

effective July 1, 2010, although some requirements do not become applicable until later dates.

* * * * * 

1003. Section 1043.10 is amended by revising paragraphs (a)(2) introductory text, (a)(2)(iii), 

and (b)(2) to read as follows: 

§1043.10 Applicability.

(a) * * * 

(2) Vessels that operate only domestically and conform to the requirements of this paragraph 

(a)(2) are excluded from Regulation 13 of Annex VI (including the requirement to obtain an 

EIAPP certificate) and the NOx-related requirements of this part (including the requirement to 

obtain an EIAPP certificate and to keep a Technical File and an Engine Book of Record 

Parameters). For the purpose of this exclusion, the phrase “operate only domestically” means the 

vessels do not enter waters subject to the jurisdiction or control of any foreign country, except 

for Canadian portions of the Great Lakes. (See §§1043.60 and 1043.70 for provisions related to 

fuel use by such vessels). To be excluded, the vessel must conform to each of the following 

provisions: 

* * * * * 

(iii) Any engine installed in the vessel that is not covered by an EIAPP certificate must be 

labeled as specified in 40 CFR 1042.135 with respect to whether it meets the requirements of 

Regulation 13 of Annex VI. 

(b) * * * 

(2) For non-public vessels flagged by a country that is not a party to Annex VI, the requirements 

of this part apply in the same manner as apply for Party vessels, except as otherwise provided in 

this part. For example, see §1043.30(b)(3) (c)(4) for provisions related to showing compliance 

with this requirement without an EIAPP certificate. See §1043.60 for specific operating 

requirements. 

* * * * * 

1004. Section 1043.20 is amended by revising the definitions for “2008 Annex VI”, “Emission 

control area (ECA)”, and “Public vessels” to read as follows: 

§ 1043.20 Definitions.

* * * * *

2008 Annex VI means Annex VI to the MARPOL Protocol, including amendments adopted 

through April 2014in October 2008. The 2008 Annex VI is (incorporated by reference in 

§1043.100). Note that this version of Annex VI does not include any amendments that may be 
adopted in the future. This 2008 version applies for certain provisions of this part such as those 

applicable for internal waters and for non-Party vessels. 

* * * * * 

Emission control area (ECA) means an area designated pursuant to Annex VI as an Emission 

Control Area that: (1) is in force; and (2) includes waters of the U.S. territorial sea and/or EEZ. 

* * * * * 

Public vessels means warships, naval auxiliary vessels, and other vessels owned or operated by a 

sovereign country when engaged in noncommercial service. Vessels with a national security 

exemption under 40 CFR 80.606 or 1042.635 are deemed to be public vessels.

* * * * * 

1005. Section 1043.40 is amended as follows: 

a. By redesignating paragraphs (d), (e), and (f) as paragraphs (e), (f), and (g). 

b. By adding a new paragraph (d). 

c. By revising the redesignated paragraph (g). 

§ 1043.40 EIAPP certificates. 

* * * * * 

(d) EPA may issue both an EPA certificate and an EIAPP certificate for the same engine, as long 

as the manufacturer and the engine meet all applicable requirements. EPA may not issue an 

EIAPP certificate if the engine is certified with an FEL under 40 CFR part 1042 that is higher 

than the applicable NOx emission standard under Annex VI.

(ed) The process for obtaining an EIAPP certificate is described in §1043.41. That section 

references regulations in 40 CFR part 1042, which apply under the Clean Air Act. References in 

that part to certificates of conformity are deemed to mean EIAPP certificates. References in that 

part to the Clean Air Act as the applicable statute are deemed to mean 33 U.S.C. 1901–1915. 

(fe) For engines that undergo a major conversion 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. 

(gf) This paragraph (gf) applies for engines that were originally excluded from this part because 

they were intended for domestic use and were introduced into U.S. commerce without an EIAPP 

certificate. Note that such engines must be labeled as specified under 40 CFR 1042.135 to 

indicate that they are intended for domestic use. Such engines may be installed on vessels not 

intended only for domestic operation provided the engine manufacturer, vessel manufacturer, or 

vessel owner obtains an EIAPP certificate. Similarly, vessels originally intended only for 

domestic operation may be used internationally provided the engine manufacturer, vessel 

manufacturer, or vessel owner obtains an EIAPP certificate. The limitations for engine 

manufacturers described in paragraphs (a) and (d) of this section also apply for all EIAPP 

certificates issued under this paragraph (g). In either case, the Technical File must specify that 

the engine was originally certified for domestic use only, prior to being covered by an EIAPP 

certificate. Engine manufacturers may provide a supplemental label to clarify that the engine is 

no longer limited to domestic service. An engine manufacturer, vessel manufacturer, or vessel 

owner may also ask to apply the provisions of this paragraph (g) to engines originally certified 

for public vessels. 

1006. Section 1043.60 is amended by revising paragraphs (a) and (b) to read as follows: 

§1043.60 Operating requirements for engines and vessels subject to this part. 
(a) Except as specified otherwise in this part, NOx emission limits apply to all vessels subject to 

this part as specified in the following table: 

Table 1 to §1043.60 Annex VI NOx Emission Standards (g/kW-hr) 

Tier Area of Applicability 

Implementation 

Date a

Maximum In-Use Engine Speed 

Less than 

130 RPM 

130-2000 

RPM ab

Over 2000 

RPM 

Tier 1I All U.S. navigable waters 

and EEZ 

January 1, 2004 -

December 31, 

2010 

17.0 45.0·n

(-0.20) 9.8 

Tier 2II All U.S. navigable waters 

and EEZ 

January 1, 2011 -

December 31, 

2015 

14.4 44.0·n

(-0.23) 7.7 

Tier 2II All U.S. navigable waters 

and EEZ,exluding ECA 

and ECA associated areas 

January 1, 2016 

and later 

14.4 44.0·n

(-0.23) 7.7 

Tier 3III ECA and ECA associated 

areas 

January 1, 2016 

and later c

3.4 9.0·n

(-0.20) 2.0 

a

 Standards apply for engines installed on vessels with a build date in the specified time frame, or for 

engines that undergo a major conversion in the specified time frame. 

ab Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in 

§1042.140). Round the standards to one decimal place. 

c

 In the case of recreational vessels of less than 500 gross tonnage with length at or above 24 meters,

the Tier III standards start to apply January 1, 2021.

(b) Except as specified otherwise in this part, fuel sulfur limits apply to all vessels subject to this 

part as specified in the following table: 

Table 2 to §1043.60 Annex VI Fuel Sulfur Limits (wt %)a

Calendar Years Sulfur Limit in all U.S. navigable 

waters and EEZ 

Sulfur Limit in ECA and ECA 

associated areas 

2010-2011 4.50% 1.00% 

2012-20142015 3.50% 1.00% 

20152016-2019 3.50% 0.10% 

2020 and later 0.50% 0.10% 

a

 Note that Regulation 3 and Regulation 4 of Annex VI allow for the use of noncompliant fuel in certain

circumstances.

* * * * * 

1007. Section 1043.80 is amended by revising paragraph (b)(9) to read as follows: 

§1043.80 Recordkeeping and reporting requirements for fuel suppliers.

* * * * * 

(b) Except as allowed by paragraph (c) of this section, the bunker delivery note must contain the 

following: 

(9) A signed statement by an authorized representative of the fuel supplier certifying that the 

fuel supplied conforms to Regulations 14 and 18 of Annex VI consistent with its designation, 

intended use, and the date on which it is to be used. For example, with respect to conformity 

to Regulation 14 of Annex VI, a fuel designated and intended for use in an ECA any time on 

or after between July 1, 2010 and January 1, 2015 may not have a sulfur content above 

0.101.00 weight percent. This statement is not required where if the vessel is not subject to 

fuel standards of Regulation 14 of Annex VIconforms to the requirements of §1043.55. The 

statement described in this paragraph (b)(9) is deemed to be a submission to EPA.
* * * * * 

1008. Section 1043.95 is amended by revising the section heading, the introductory text, and 

paragraph (b)(1)(ii) to read as follows: 

§ 1043.95 Interim Great Lakes provisions. 

The interim provisions of this section apply for vessels operating exclusively in the Great Lakes. 

* * * * * 

(b) * * * 

(1) * * * 

(ii) We may approve the use of an engine meeting less stringent standards if the owner can 

demonstrate that it took possession of the engine before October 30, 2009, and that engine is a 

new engine that has not been installed in a non-marine application. Such an engine must at a 

minimum be certified to the Annex VI NOX emission standard referenced in §1043.60 that 

applies based on its build date. 

* * * * * 

1009. A new § 1043.97 is added to part 1043 to read as follows: 

§ 1043.97 Interim provisions. 

(a) The fuel-related requirements under APPS for operation in ECAs and ECA-associated areas 

do not apply until January 1, 2020 for steamships built on or before August 1, 2011 if they are 

powered by propulsion boilers that were not originally designed for continued operation on 

marine distillate fuel or natural gas. 

(b) [Reserved]

1010. Section 1043.100 is amended by revising paragraph (a) to read as follows: 

§1043.100 Reference materials.

* * * * * 

(a) IMO material. This paragraph (a) lists material from the International Maritime Organization 

that we have incorporated by reference. Anyone may purchase copies of these materials from 

the International Maritime Organization, 4 Albert Embankment, London SE1 7SR, United 

Kingdom, or www.imo.org, or 44-(0)20-7735-7611. 

(1) Revised MARPOL Annex VI, Regulations for the Prevention of Air Pollution from 

Ships, 2013 Edition, and NOx Technical Code 2008, 2009 edition. 

(i) Revised MARPOL Annex VI, Regulations for the Prevention of Pollution from Ships, 

2013 Edition (“2008 Annex VI”); IBR approved for §1043.1, 1043.20, 1043.30(f), and 

1043.60(c), and 1043.70(a).

(ii) NOx Technical Code 2008, 2013 Edition (“NOx Technical Code”); IBR approved for 

§§1043.20, 1043.41(b) and (h), and 1043.70(a).

(iii) Annex 12, Resolution MEPC.251(66) from the Report of the Marine Environment 

Protection Committee on its Sixty-Sixth Sesson, April 25, 2014. This document 

describes new and revised provisions that are considered to be part of Annex VI and NOx 

Technical Code 2008 as referenced in paragraphs (a)(1)(i) and (ii) of this section.

(2) [Reserved] 

* * * * *