make a locomotive new.
    (2) The provisions of paragraph (1) of this definition do not apply
for the following cases:
    (i) Locomotives and engines that were originally manufactured
before January 1, 1973 are not considered to become new when
remanufactured unless they have been upgraded (as defined in this
section). The provisions of paragraph (1) of this definition apply for
locomotives that have been upgraded.
    (ii) Locomotives that are owned and operated by a small railroad
and that have never been remanufactured into a certified configuration
are not considered to become new when remanufactured. The provisions of
paragraph (1) of this definition apply for locomotives that have
previously been remanufactured into a certified configuration.
    (iii) Locomotives originally certified under (1033.150(e) do not
become new when remanufactured, except as specified in Sec.  1033.615.
    (iv) Locomotives that operate only on non-standard gauge rails do
not become new when remanufactured if no certified remanufacturing
system is available for them.
    Nonconforming means relating to a locomotive that is not covered by
a certificate of conformity prior to importation or being offered for
importation (or for which such coverage has not been adequately
demonstrated to EPA); or a locomotive which was originally covered by a
certificate of conformity, but which is not in a certified
configuration, or otherwise does not comply with the conditions of that
certificate of conformity. (Note: Domestic locomotives and locomotive
engines not covered by a certificate of conformity prior to their
introduction into U.S. commerce are considered to be noncomplying
locomotives and locomotive engines.)
    Non-locomotive-specific engine means an engine that is sold for and
used in non-locomotive applications much more than for locomotive
applications.
    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 as defined in 40 CFR
1068.30.
    Official emission result means the measured emission rate for an
emission-data locomotive on a given duty cycle before the application
of any deterioration factor, but after the application of regeneration
adjustment factors, Green Engine Factors, and/or humidity correction
factors.
    Opacity means the fraction of a beam of light, expressed in
percent, which fails to penetrate a plume of smoke, as measured by the
procedure specified in Sec.  1033.525.
    Original manufacture means the event of freshly manufacturing a
locomotive or locomotive engine. The date of original manufacture is
the date of final assembly, except as provided in Sec.  1033.640. Where
a locomotive is manufactured under Sec.  1033.620(b), the date of
original manufacture is the date on which the final assembly of
locomotive was originally scheduled.
    Original remanufacture means the first remanufacturing of a
locomotive at which the locomotive is subject to the emission standards
of this part.
    Owner/operator means the owner and/or operator of a locomotive.
    Owners manual means a written or electronic collection of
instructions provided to ultimate purchasers to describe the basic
operation of the locomotive.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    Particulate trap means a filtering device that is designed to
physically trap all particulate matter above a certain size.
    Passenger locomotive means a locomotive designed and constructed
for the primary purpose of propelling passenger trains, and providing
power to the passenger cars of the train for such functions as heating,
lighting and air conditioning.
    Petroleum fuel means gasoline or diesel fuel or another liquid fuel
primarily derived from crude oil.
    Placed into service means put into initial use for its intended
purpose after becoming new.
    Power assembly means the components of an engine in which
combustion of fuel occurs, and consists of the cylinder, piston and
piston rings, valves and ports for admission of charge air and
discharge of exhaust gases, fuel injection components and controls,
cylinder head and associated components.
    Primary fuel means the type of fuel (e.g., diesel fuel) that is
consumed in the greatest quantity (mass basis) when the locomotive is
operated in use.
    Produce means to manufacture or remanufacture. Where a certificate
holder does not actually assemble the locomotives or locomotive engines
that it manufactures or remanufactures, produce means to allow other
entities to

assemble locomotives under the certificate holder's certificate.
    Railroad means a commercial entity that operates locomotives to
transport passengers or freight.
    Ramped-modal means relating to the ramped-modal type of testing in
subpart F of this part.
    Rated power has the meaning given in Sec.  1033.140.
    Refurbish has the meaning given in Sec.  1033.640.
    Remanufacture means one of the following:
    (1)(i) To replace, or inspect and qualify, each and every power
assembly of a locomotive or locomotive engine, whether during a single
maintenance event or cumulatively within a five-year period.
    (ii) To upgrade a locomotive or locomotive engine.
    (iii) To convert a locomotive or locomotive engine to enable it to
operate using a fuel other than it was originally manufactured to use.
    (iv) To install a remanufactured engine or a freshly manufactured
engine into a previously used locomotive.
    (v) To repair a locomotive engine that does not contain power
assemblies to a condition that is equivalent to or better than its
original condition with respect to reliability and fuel consumption.
    (2) Remanufacture also means the act of remanufacturing.
    Remanufacture system or remanufacturing system means all components
(or specifications for components) and instructions necessary to
remanufacture a locomotive or locomotive engine in accordance with
applicable requirements of this part or 40 CFR part 92.
    Remanufactured locomotive means either a locomotive powered by a
remanufactured locomotive engine, a repowered locomotive, or a
refurbished locomotive.
    Remanufactured locomotive engine means a locomotive engine that has
been remanufactured.
    Remanufacturer has the meaning given to ``manufacturer'' in section
216(1) of the Clean Air Act with respect to remanufactured locomotives.
(See Sec. Sec.  1033.1 and 1033.601 for applicability of this term.)
This term includes:
    (1) Any person that is engaged in the manufacture or assembly of
remanufactured locomotives or locomotive engines, such as persons who:
    (i) Design or produce the emission-related parts used in
remanufacturing.
    (ii) Install parts in an existing locomotive or locomotive engine
to remanufacture it.
    (iii) Own or operate the locomotive or locomotive 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).
    (2) Any person who imports remanufactured locomotives or
remanufactured locomotive engines.
    Repower means replacement of the engine in a previously used
locomotive with a freshly manufactured locomotive engine. See Sec.
1033.640.
    Repowered locomotive means a locomotive that has been repowered
with a freshly manufactured engine.
    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 means to round numbers as specified in 40 CFR 1065.1001.
    Service life means the total life of a locomotive. Service life
begins when the locomotive is originally manufactured and continues
until the locomotive is permanently removed from service.
    Small manufacturer/remanufacturer means a manufacturer/
remanufacturer with 1,000 or fewer employees. For purposes of this
part, the number of employees includes all employees of the
manufacturer/remanufacturer's parent company, if applicable.
    Small railroad means a railroad meeting the criterion of paragraph
(1) of this definition, but not either of the criteria of paragraphs
(2) and (3) of this definition.
    (1) To be considered a small railroad, a railroad must qualify as a
small business under the Small Business Administration's regulations in
13 CFR part 121.
    (2) Class I and Class II railroads (and their subsidiaries) are not
small railroads.
    (3) Intercity passenger and commuter railroads are excluded from
this definition of small railroad. Note that this paragraph (3) does
not exclude tourist railroads.
    Specified adjustable range means the range of allowable settings
for an adjustable component specified by a certificate of conformity.
    Specified by a certificate of conformity or specified in a
certificate of conformity means stated or otherwise specified in a
certificate of conformity or an approved application for certification.
    Sulfur-sensitive technology means an emission-control technology
that would experience a significant drop in emission control
performance or emission-system durability when a locomotive is operated
on low-sulfur 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.
    Switch locomotive means a locomotive that is powered by an engine
with a maximum rated power (or a combination of engines having a total
rated power) of 2300 hp or less. Include auxiliary engines in your
calculation of total power if the engines are permanently installed on
the locomotive and can be operated while the main propulsion engine is
operating. Do not count the power of auxiliary engines that operate
only to reduce idling time of the propulsion engine.
    Test locomotive means a locomotive or engine in a test sample.
    Test sample means the collection of locomotives or 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 0 or Tier 0+ means relating to the Tier 0 emission standards,
as shown in Sec.  1033.101.
    Tier 1 or Tier 1+ means relating to the Tier 1 emission standards,
as shown in Sec.  1033.101.
    Tier 2 or Tier 2+ means relating to the Tier 2 emission standards,
as shown in Sec.  1033.101.
    Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec.  1033.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec.  1033.101.
    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 hydrogen-to-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 non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon
is 1.85:1.
    Ultimate purchaser means the first person who in good faith
purchases a new locomotive 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.
    Upcoming model year means for an engine family the model year after
the one currently in production.
    Upgrade means one of the following types of remanufacturing.
    (1) Repowering a locomotive that was originally manufactured prior
to January 1, 1973.
    (2) Refurbishing a locomotive that was originally manufactured
prior to January 1, 1973 in a manner that is not freshly manufacturing.
    (3) Modifying a locomotive that was originally manufactured prior
to January 1, 1973 (or a locomotive that was originally manufactured on
or after January 1, 1973, and that is not subject to the emission
standards of this part), such that it is intended to comply with the
Tier 0 standards. See Sec.  1033.615.
    Useful life means the period during which the locomotive engine is
designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as work output or
miles. It is the period during which a new locomotive is required to
comply with all applicable emission standards. See Sec.  1033.101(g).
    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 fuel means a volatile liquid fuel or any fuel that is a
gas at atmospheric pressure. Gasoline, natural gas, and LPG are
volatile fuels.
    Volatile liquid fuel means any liquid fuel other than diesel 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.

Sec.  1033.905  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this
part:

AECD auxiliary emission control device.
AESS automatic engine stop/start
CFR Code of Federal Regulations.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
ULSD ultra low sulfur diesel.
U.S.C. United States Code.

Sec.  1033.915  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.

Sec.  1033.920  How to request a hearing.

    (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.

PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES

0
39. The authority citation for part 1039 continues to read as follows:

    Authority: 42 U.S.C. 7401-7671q.

Subpart F--[Amended]

0
40. Section 1039.505 is amended by revising paragraphs (a)(1)
introductory text, (c), and (d) and adding paragraph (g) to read as
follows:

Sec.  1039.505  How do I test engines using steady-state duty cycles,
including ramped-modal testing?

* * * * *
    (a) * * *
    (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:
* * * * *
    (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.
* * * * *
    (g) To allow non-motoring dynamometers on cycles with idle, you may
omit additional points from the duty-cycle regression as follows:
    (1) For variable-speed engines with low-speed governors, you may
omit speed, torque, and power points from the duty-cycle regression
statistics if the following are met:
    (i) The engine operator demand is at its minimum.
    (ii) The dynamometer demand is at its minimum.
    (iii) It is an idle point fnref = 0 % (idle) and
Tref = 0 % (idle).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.
    (2) For variable-speed engines without low-speed governors, you may
omit torque and power points from the duty-cycle regression statistics
if the following are met:
    (i) The dynamometer demand is at its minimum.
    (ii) It is an idle point fnref = 0 % (idle) and
Tref = 0 % (idle).
    (iii) fnref - (2 % [middot] fntest) <
fn < fnref + (2 % [middot] fntest).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.

Subpart G--[Amended]

0
41. Section 1039.645 is amended by revising paragraph (b)(1) to read as
follows:

Sec.  1039.645  What special provisions apply to engines used for
transportation refrigeration units?

* * * * *

    (b) * * *
    (1) The following duty cycle applies for discrete-mode testing:

                        Table 1 of Sec.   1039.645.--Discrete-Mode Cycle for TRU Engines
----------------------------------------------------------------------------------------------------------------
                                                                                Torque         Weighting
                Mode number                            Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................              75            0.25
2..........................................  Maximum test speed.................              50            0.25
3..........................................  Intermediate test speed............              75            0.25
4..........................................  Intermediate test speed............              50            0.25
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the given engine speed.

* * * * *

Appendices--[Amended]

0
42. Appendix II to part 1039 is revised to read as follows:

Appendix II to Part 1039--Steady-State Duty Cycles

    (a) The following duty cycles apply for constant-speed engines:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                Torque         Weighting
               D2 mode number                            Engine speed              (percent) \1\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Engine governed....................             100            0.05
2..........................................  Engine governed....................              75            0.25
3..........................................  Engine governed....................              50            0.30
4..........................................  Engine governed....................              25            0.30
5..........................................  Engine governed....................              10            0.10
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)            Engine speed             Torque  (percent) 1, 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              53  Engine governed............  100.
1b Transition......................              20  Engine governed............  Linear transition.
2a Steady-state....................             101  Engine governed............  10.
2b Transition......................              20  Engine governed............  Linear transition.
3a Steady-state....................             277  Engine governed............  75.
3b Transition......................              20  Engine governed............  Linear transition.
4a Steady-state....................             339  Engine governed............  25.
4b Transition......................              20  Engine governed............  Linear transition.
5 Steady-state.....................             350  Engine governed............  50.
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to maximum test torque.
\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.

    (b) The following duty cycles apply for variable-speed engines
with maximum engine power below 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                Torque         Weighting
               G2 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.09
2..........................................  Maximum test speed.................              75            0.20
3..........................................  Maximum test speed.................              50            0.29
4..........................................  Maximum test speed.................              25            0.30
5..........................................  Maximum test speed.................              10            0.07
6..........................................  Warm idle..........................               0            0.05
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................              41  Warm idle..................  0.
1b Transition......................              20  Linear transition..........  Linear transition.
2a Steady-state....................             135  Maximum test speed.........  100.
2b Transition......................              20  Maximum test speed.........  Linear transition.
3a Steady-state....................             112  Maximum test speed.........  10.
3b Transition......................              20  Maximum test speed.........  Linear transition.
4a Steady-state....................             337  Maximum test speed.........  75.
4b Transition......................              20  Maximum test speed.........  Linear transition.
5a Steady-state....................             518  Maximum test speed.........  25.
5b Transition......................              20  Maximum test speed.........  Linear transition.
6a Steady-state....................             494  Maximum test speed.........  50.
6b Transition......................              20  Linear transition..........  Linear transition.
7 Steady-state.....................              43  Warm idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
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 for variable-speed engines
with maximum engine power at or above 19 kW:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                Torque         Weighting
               C1 mode number                          Engine speed \1\            (percent) \2\      factors
----------------------------------------------------------------------------------------------------------------
1..........................................  Maximum test speed.................             100            0.15
2..........................................  Maximum test speed.................              75            0.15
3..........................................  Maximum test speed.................              50            0.15
4..........................................  Maximum test speed.................              10            0.10
5..........................................  Intermediate test speed............             100            0.10
6..........................................  Intermediate test speed............              75            0.10
7..........................................  Intermediate test speed............              50            0.10
8..........................................  Warm idle..........................               0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded test speed.

    (2) The following duty cycle applies for ramped-modal testing:

----------------------------------------------------------------------------------------------------------------
                                      Time in mode
              RMC mode                  (seconds)         Engine speed 1, 3           Torque  (percent) 2, 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state....................             126  Warm Idle..................   0.
1b Transition......................              20  Linear Transition..........  Linear Transition.
2a Steady-state....................             159  Intermediate Speed.........  100.
2b Transition......................              20  Intermediate Speed.........  Linear Transition.
3a Steady-state....................             160  Intermediate Speed.........  50.
3b Transition......................              20  Intermediate Speed.........  Linear Transition.
4a Steady-state....................             162  Intermediate Speed.........  75.
4b Transition......................              20  Linear Transition..........  Linear Transition.
5a Steady-state....................             246  Maximum Test Speed.........  100.
5b Transition......................              20  Maximum Test Speed.........  Linear Transition.
6a Steady-state....................             164  Maximum Test Speed.........  10.
6b Transition......................              20  Maximum Test Speed.........  Linear Transition.
7a Steady-state....................             248  Maximum Test Speed.........  75.
7b Transition......................              20  Maximum Test Speed.........  Linear Transition.
8a Steady-state....................             247  Maximum Test Speed.........  50.
8b Transition......................              20  Linear Transition..........  Linear Transition.
9 Steady-state.....................             128  Warm Idle..................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ The percent torque is relative to the maximum torque at the commanded engine speed.
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.

0
43. Appendix III and Appendix IV of part 1039 are removed and reserved.

0
44. A new part 1042 is added to subchapter U of chapter I to read as
follows:

PART 1042--CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE
COMPRESSION-IGNITION ENGINES AND VESSELS

Subpart A--Overview and Applicability
Sec.
1042.1 Applicability.
1042.2 Who is responsible for compliance?
1042.5 Exclusions.
1042.10 Organization of this part.
1042.15 Do any other regulation parts apply to me?
Subpart B--Emission Standards and Related Requirements
1042.101 Exhaust emission standards.
1042.107 Evaporative emission standards.
1042.110 Recording reductant use and other diagnostic functions.
1042.115 Other requirements.
1042.120 Emission-related warranty requirements.
1042.125 Maintenance instructions for Category 1 and Category 2
engines.
1042.130 Installation instructions for vessel manufacturers.
1042.135 Labeling.
1042.140 Maximum engine power, displacement, and power density.
1042.145 Interim provisions.
Subpart C--Certifying Engine Families
1042.201 General requirements for obtaining a certificate of
conformity.
1042.205 Application requirements.
1042.210 Preliminary approval.
1042.220 Amending maintenance instructions.
1042.225 Amending applications for certification.
1042.230 Engine families.
1042.235 Emission testing required for a certificate of conformity.
1042.240 Demonstrating compliance with exhaust emission standards.
1042.245 Deterioration factors.
1042.250 Recordkeeping and reporting.
1042.255 EPA decisions.
Subpart D--Testing Production-Line Engines
1042.301 General provisions.
1042.305 Preparing and testing production-line engines.
1042.310 Engine selection.
1042.315 Determining compliance.
1042.320 What happens if one of my production-line engines fails to
meet emission standards?
1042.325 What happens if an engine family fails the production-line
testing requirements?
1042.330 Selling engines from an engine family with a suspended
certificate of conformity.
1042.335 Reinstating suspended certificates.
1042.340 When may EPA revoke my certificate under this subpart and
how may I sell these engines again?
1042.345 Reporting.
1042.350 Recordkeeping.
Subpart E--In-Use Testing
1042.401 General Provisions.
Subpart F--Test Procedures
1042.501 How do I run a valid emission test?
1042.505 Testing engines using discrete-mode or ramped-modal duty
cycles.
1042.515 Test procedures related to not-to-exceed standards.
1042.520 What testing must I perform to establish deterioration
factors?
1042.525 How do I adjust emission levels to account for infrequently
regenerating aftertreatment devices?
Subpart G--Special Compliance Provisions
1042.601. General compliance provisions for marine engines and
vessels.
1042.605 Dressing engines already certified to other standards for
nonroad or heavy-duty highway engines for marine use.
1042.610 Certifying auxiliary marine engines to land-based
standards.
1042.615 Replacement engine exemption.
1042.620 Engines used solely for competition.
1042.625 Special provisions for engines used in emergency
applications.
1042.630 Personal-use exemption.
1042.635 National security exemption.
1042.640 Special provisions for branded engines.
1042.650 Migratory vessels.
1042.660 Requirements for vessel manufacturers, owners, and
operators.
Subpart H--Averaging, Banking, and Trading for Certification
1042.701 General provisions.
1042.705 Generating and calculating emission credits.
1042.710 Averaging emission credits.
1042.715 Banking emission credits.
1042.720 Trading emission credits.
1042.725 Information required for the application for certification.
1042.730 ABT reports.
1042.735 Recordkeeping.
1042.745 Noncompliance.
Subpart I--Special Provisions for Remanufactured Marine Engines
1042.801 General provisions.
1042.810 Requirements for owner/operators and installers during
remanufacture.
1042.815 Demonstrating availability.
1042.820 Emission standards and required emission reductions for
remanufactured engines.
1042.825 Baseline determination.
1042.830 Labeling.
1042.835 Certification of remanufactured engines.
1042.836 Marine certification of locomotive remanufacturing systems.
1042.840 Application requirements for remanufactured engines.
1042.845 Remanufactured engine families.
1042.850 Exemptions and hardship relief.
Subpart J--Definitions and Other Reference Information
1042.901 Definitions.
1042.905 Symbols, acronyms, and abbreviations.
1042.910 Reference materials.
1042.915 Confidential information.
1042.920 Hearings.
1042.925 Reporting and recordkeeping requirements.
Appendix I to Part 1042--Summary of Previous Emission Standards
Appendix II to Part 1042--Steady-state Duty Cycles
Appendix III to Part 1042--Not-to-Exceed Zones

    Authority: 42 U.S.C. 7401-7671q.

Subpart A--Overview and Applicability

Sec.  1042.1   Applicability.

    Except as provided in Sec.  1042.5, the regulations in this part
1042 apply for all new compression-ignition marine engines with per-
cylinder displacement below 30.0 liters per cylinder and vessels
containing such engines. See Sec.  1042.901 for the definitions of
engines and vessels considered to be new. This part 1042 applies as
follows:
    (a) This part 1042 applies for freshly manufactured marine engines
starting with the model years noted in the following tables:
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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 Sec. Sec.  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 Sec.
1042.901.

Sec.  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 Sec.  1042.901, especially for
issues related to certification (including production-line testing,
reporting, etc.).

Sec.  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
Sec.  1042.901.
    (b) Hobby engines. Engines with per-cylinder displacement below 50
cubic centimeters are not subject to the provisions of this part 1042.

Sec.  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 Sec.  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,

[[Continued on page 25247]]

]

[[pp. 25247-25296]] Control of Emissions of Air Pollution From Locomotive Engines and
Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[[Continued from page 25246]]

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.

Sec.  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 Sec.  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

Sec.  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 Sec.
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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              Table 2 to Sec.   1042.101.--Tier 3 Standards for Category 2 Engines Below 3700 kW a
----------------------------------------------------------------------------------------------------------------
                                                                                NOX+HC (g/kW-
         Displacement (L/cyl)             Maximum engine power      Model year     PM  (g/kW-hr)        hr)
----------------------------------------------------------------------------------------------------------------
7.0 <= disp. < 15.0...................  kW < 2000...............           2013+            0.14             6.2
                                        2000 <= kW < 3700.......           2013+            0.14           b 7.8
15.0 <= disp. < 20.0 c................  kW < 2000...............           2014+            0.34             7.0
20.0 <= disp. < 25.0 c................  kW < 2000...............           2014+            0.27             9.8
25.0 <= disp. < 30.0 c................  kW < 2000...............           2014+            0.27            11.0
----------------------------------------------------------------------------------------------------------------
a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See Sec.   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 Sec.   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 per-cylinder 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 per-cylinder displacement at or
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or
above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or
above 3300 kW and below 3700 kW. PM FELs for these engines may not be
higher than 0.50 g/kW-hr.
    (7) Except as described in paragraph (a)(8) of this section, the
Tier 4 standards for PM, NOX, and HC emissions are described
in the following table:

   Table 3 to Sec.   1042.101.--Tier 4 Standards for Category 2 and Commercial Category 1 Engines Above 600 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
        Maximum engine power           Displacement  (L/cyl)   Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
600 <= kW < 1400....................  all...................        2017+         0.04          1.8         0.19
1400 <= kW < 2000...................  all...................        2016+         0.04          1.8         0.19
2000 <= kW < 3700 a.................  all...................        2014+         0.04          1.8         0.19
                                      disp. <15.0...........    2014-2015         0.12          1.8         0.19
kW >= 3700..........................  15.0 <= disp.< 30.0...    2014-2015         0.25          1.8         0.19
                                      all...................        2016+         0.06          1.8         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 Sec.   1042.101.--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
----------------------------------------------------------------------------------------------------------------
                                                                            PM  (g/kW-  NOX  (g/kW-   HC  (g/kW-
                Tier                   Maximum engine power    Model year      hr)          hr)          hr)
----------------------------------------------------------------------------------------------------------------
Tier 3..............................  kW >= 1400............    2012-2014         0.14          7.8       NOX+HC
Tier 4..............................  1400 <= kW < 3700.....         2015         0.04          1.8         0.19
                                      kW >= 3700............         2015         0.06          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-to-exceed 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 Sec.  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 x 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
Sec.  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 Sec.  1042.505(b)(1), except for variable-speed propulsion
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) 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 Sec.  1042.505(b)(2), except for variable-speed 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 Sec.  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 Sec.  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 Sec.  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 duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec.  1042.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.

Sec.  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.

Sec.  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 Sec. Sec.  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.

Sec.  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 Sec.  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
emission-control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this 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.

Sec.  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.
    (2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related 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 emission-related 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.

Sec.  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 emission-data
engines as described in Sec.  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
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 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 Sec.
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 emission-related
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 emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-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 emission-related. 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 emission-data
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 Sec.  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.

Sec.  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: ``Emission-related 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 Sec.  1042.205(u).
    (4) Describe any necessary steps for installing the diagnostic
system described in Sec.  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 Sec.
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.

Sec.  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 Sec.  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
Sec.  1042.101. See Sec.  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 (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 Sec.  1042.101(e)(2) or (3).
    (9) Identify the emission control system. Use terms and
abbreviations consistent with SAE J1930 (incorporated by reference in
Sec.  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.

Sec.  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 Sec.  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 per-cylinder 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\ x ([pi]) x (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 Sec.  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.

Sec.  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. Post-manufacturer marinizers that are small-
volume 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 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 Sec.  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 Sec.
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
add-ons, if any, will apply for your engines.

   Table 1 to Sec.   1042.145.--In-use Adjustments for the First Three
                   Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
Fraction of useful life already used   For Tier 4 NOX    For Tier 4  PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.9              0.02
50 < hours <= 75% of useful life....               1.3              0.02
hours > 75% of useful life..........               1.7              0.02
------------------------------------------------------------------------

 Table 2 to Sec.   1042.145.--Optional In-use Adjustments for the First
                Three Model Years of the Tier 4 Standards
------------------------------------------------------------------------
                                         In-use adjustments (g/kW-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < hours <= 50% of useful life.....               0.3              0.05
50 < hours <= 75% of useful life....               0.4              0.05
hours > 75% of useful life..........               0.5              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

Sec.  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 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 Sec.  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
Sec.  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 Sec.  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 Sec.  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 Sec.  1042.901.

Sec.  1042.205  Application requirements.

    This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
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 Sec.  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 vessel-based 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 Sec. Sec.  1042.120
and 1042.125). Describe your plan for meeting warranty obligations
under Sec. Sec.  1042.120.
    (j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1042.130).
    (k) Describe your emission control information label (see Sec.
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 Sec.  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 Sec.  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 Sec.  1042.505. Note that Sec. Sec.  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 Sec.  1042.101 for all normal operation and use
when tested as specified in Sec.  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 Sec.
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 Sec.  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 controllable-pitch 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 Sec.  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.

Sec.  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 Sec.  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.

Sec.  1042.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec.  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 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.

Sec.  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 Sec.  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 Sec.  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.

Sec.  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:
    (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-to-air, 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 post-manufacture 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.

Sec.  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 Sec.  1042.101(a). See
Sec.  1042.205(p) regarding emission testing related to the NTE
standards. See Sec. Sec.  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
Sec.  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 Sec.  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 emission-data 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.

Sec.  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 Sec.  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. Small-volume engine manufacturers
and post-manufacture 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