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Stout, Alan

From: Stout, Alan

Sent: Thursday, July 24, 2014 11:52 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; 

ptaricco@arb.ca.gov

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

Subject: EPA's draft regulatory amendments

Attachments: 1043 DFRM amendments 07 24 2014.docx

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 

_______________ 

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 1043.1 is revised to read as follows: 

§1043.1 Overview. 

(a) The Act to Prevent Pollution from Ships (APPS) requires engine manufacturers, owners and 

operators of vessels, and other persons to comply with Annex VI of the MARPOL Protocol. 

(b) This part 1043 describes certain provisions for implements portions of APPS as it relates to 

Regulations 13, 14 and 18 of Annex VI. These regulations clarify the application of some Annex 

VI provisions; provide procedures and criteria for the issuance of EIAPP certificates; and specify 

requirements applicable to ships that are not registered by Parties to Annex VI. If any portion of 

this part 1043 contradicts current or future provisions in Annex VI, the provisions of Annex VI 

take precedence over this part 1043.This part includes provisions to apply the equivalency 

provisions of Regulation 4 of Annex VI with respect to Regulations 14 and 18 of Annex VI. 

Additional regulations may also apply with respect to the Annex VI, such as those issued 

separately by the U.S. Coast Guard (as noted in §1043.55, in particular). Note that references in 

this part 1043 to a specific subsection of an Annex VI regulation (such as Regulation 13.5.1) 

reflect the regulation numbering of the 2008 Annex VI (incorporated by reference in §1043.100). 

(ca) The general requirements for non-public U.S.-flagged and other Party vessels are specified 

in Annex VI, as implemented by 33 U.S.C. 1901-1915. These requirements apply to engine 

manufacturers, owners and operators of vessels, and other persons. 

(db) The provisions of this part 1043 specify how Regulations 13, 14 and 18 of Annex VI, as 

implemented by APPS, will be applied to U.S.-flagged vessels that operate only domestically. 

(ec) This part 1043 implements section 33 U.S.C. 1902(e) by specifying that non-public vessels 

flagged by a country that is not a party to Annex VI are subject to certain provisions under this 

part 1043 that are equivalent to the substantive requirements of Regulations 13, 14 and 18 of 

Annex VI as implemented by APPS. 

(fd) This part 1043 also describes where the requirements of Regulation 13.5.1 of Annex VI and 

Regulation 14.4 of Annex VI will apply. 

(gd) This part 1043 does not limit the requirements specified in Annex VI, as implemented by 

APPS, except as specified in §1043.10(a)(2) and (b)(3). 

(he) Nothing in this part 1043 limits the operating requirements and restrictions applicable for 

engines and vessels subject to 40 CFR part 1042 or the requirements and restrictions applicable 

for fuels subject to 40 CFR part 80. 

(if) The provisions of this part 1043 specify how to obtain EIAPP certificates and certificates for 

Approved Methods. 

1003. 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.

* * * * * 
1004. 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. 

* * * * * 

1005. 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.

* * * * * 

1006. 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. 

1007. Section 1043.55 is revised to read as follows: 

§1043.55 Exceptions, exemptions, and equivalentsApplying equivalent controls instead of 

complying with fuel requirements. 

(a) Regulation 3.1 of Annex VI provides for certain exceptions from the requirements of Annex 

VI for the purposes of securing the safety of the ship or saving life at sea and emissions related to 

vessel damage. Regulation 3.2 allows an Administration to approve a temporary exemption 

from specific provisions of Annex VI related to a trial for engine design programs and 

development of ship emission reduction and control technology, subject to certain specified 

conditions. 

(b) Regulation 4 of Annex VI allows Administrations to approve the use of fuels not meeting the 

requirements of Regulation 14 of the Annex, provided the vessel applies a method that results in 

equivalent emission reductions. 

(c) APPS assigns authority and responsibility for Regulation 3 and Regulation 4 implementation 

to the U.S. Coast Guard. This section describes provisions related to applying this allowance.

(a) Any person may request approval of such equivalent methods for controlling emissions on 
U.S.-flagged vessels by submitting an application for certification of an equivalent control 

method to the Designated Certification Officer. If we determine that your control method 

achieves emission levels equivalent to those achieved by the use of fuels meeting the 

requirements of Regulation 14 of Annex VI, we will issue a certificate and notify IMO that your 

method has been certified. 

(b) The provisions of this paragraph (b) apply for vessels equipped with controls certified by the 

Administration of a foreign flag vessel to achieve emission levels equivalent to those achieved 

by the use of fuels meeting the applicable fuel sulfur limits of Regulation 14 of Annex VI. Fuels 

not meeting the applicable fuel sulfur limits of Regulation 14 of Annex VI may be used on such 

vessels consistent with the provisions of the IAPP certificate, APPS and Annex VI. 

(dc) Compliance with the requirements of this section does The provisions of this section do not 

affect the applicability of requirements or prohibitions specified by other statutes or regulations 

with respect to water pollution. 

1008. Section 1043.60 is amended by revising paragraphs (a) and (b) and removing and 

reserving paragraph (d) to read as follows: 

§1043.60 Operating requirements for engines and vessels subject to this part. 

(a) The NOx emission limits specified in Annex VI apply to vessels as specified in § 

1043.1: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 

Datea

Model Year 

Maximum In-Use Engine Speed 

Less than 

130 RPM 

130-2000 

RPMab

Over 2000 

RPM 

Tier 1I All U.S. navigable 

waters and EEZ 

January 1, 

20004 -– 

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 

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. 

(b) Except as specified otherwise in this part, The fuel sulfur limits specified in Annex VI apply 

to all vessels subject to this part as specified in § 1043.1.the following table: 

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

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% 

2012-2015 3.50% 1.00% 
2016-2019 3.50% 0.10% 

2020 and later 0.50% 0.10% 

* * * * * 

(d) [Reserved]This paragraph (d) applies for vessels that are excluded from Regulation 13 of 

Annex VI and the NOX-related requirements of this part under §1043.10(a)(2) or (b)(3) because 

they operate only domestically. Where the vessels operate using only fuels meeting the 

specifications of 40 CFR part 80 for distillate fuel, they are deemed to be in full compliance with 

the fuel use requirements and prohibitions of this part and of Regulations 14 and 18 of Annex VI.

* * * * * 

1009. 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 

between July 1, 2010 and January 1 2015 may not have a sulfur content above 1.00 weight 

percent. This statement is not required where if the vessel is not subject to fuel standards of 

Regulation 14 of Annex VI as described in conforms to the requirements of §1043.55. The 

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

* * * * * 

1010. Section 1043.95 is amended by revising the section heading and the introductory text 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. 

* * * * *

1011. 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 in ECAs and ECA-associated 

areas do not apply until January 1, 2020 for steamships built 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]

1012. 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 (“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 an revised provisions that are considered to be part of 2008 Annex VI and 

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

(2) [Reserved] 

* * * * *