(3) You must show that the number of auxiliary marine engines from
the engine family must be smaller than the number of land-based engines
from the engine family sold in the United States, as follows:
    (i) If you are the original manufacturer of the engine, base this
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of
the engine to

confirm this based on its sales information.
    (e) Specific requirements. If you are an engine manufacturer or
boat builder using this exemption, you must do all of the following:
    (1) Make sure the original engine label will remain clearly visible
after installation in the vessel. This label or a supplemental label
must identify that the original certification is valid for marine
auxiliary applications.
    (2) Send a signed letter to the Designated Officer by the end of
each calendar year (or less often if we tell you) with all the
following information:
    (i) Identify your full corporate name, address, and telephone
number.
    (ii) List the engine models you expect to produce under this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We produce each listed engine model for marine
application without making any changes that could increase its
certified emission levels, as described in 40 CFR 1042.610.''.
    (3) If you are the certificate holder, you must describe in your
application for certification how you plan to produce engines for both
land-based and auxiliary marine applications, including projected sales
of auxiliary marine engines to the extent this can be determined. If
the projected marine sales are substantial, we may ask for the year-end
report of production volumes to include actual auxiliary marine engine
sales.
    (f) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1042 and the
certificate issued under 40 CFR part 89 or 1039 will not be deemed to
also be a certificate issued under this part 1042. Introducing these
engines into U.S. commerce as marine engines without a valid exemption
or certificate of conformity under this part 1042 violates the
prohibitions in 40 CFR 1068.101(a)(1).
    (g) Participation in averaging, banking and trading. Engines using
this exemption may not generate or use emission credits under this part
1042. These engines may generate credits under the ABT provisions in 40
CFR part 89 or 1039, as applicable. These engines must use emission
credits under 40 CFR part 89 or 1039 as applicable if they are
certified to an FEL that exceeds an emission standard.
    (h) Operator requirements. The requirements specified for vessel
manufacturers, owners, and operators in this subpart (including
requirements in 40 CFR part 1068) apply to these engines whether they
are certified under this part 1042 or another part as allowed by this
section.

Sec.  1042.620  Engines used solely for competition.

    The provisions of this section apply for new engines and vessels
built on or after January 1, 2009.
    (a) We may grant you an exemption from the standards and
requirements of this part for a new engine on the grounds that it is to
be used solely for competition. The requirements of this part, other
than those in this section, do not apply to engines that we exempt for
use solely for competition.
    (b) We will exempt engines that we determine will be used solely
for competition. The basis of our determination is described in
paragraphs (c) and (d) of this section. Exemptions granted under this
section are good for only one model year and you must request renewal
for each subsequent model year. We will not approve your renewal
request if we determine the engine will not be used solely for
competition.
    (c) Engines meeting all the following criteria are considered to be
used solely for competition:
    (1) Neither the engine nor any vessels containing the engine may be
displayed for sale in any public dealership or otherwise offered for
sale to the general public.
    (2) Sale of the vessel in which the engine is installed must be
limited to professional racing teams, professional racers, or other
qualified racers. Keep records documenting this, such as a letter
requesting an exempted engine.
    (3) The engine and the vessel in which it is installed must have
performance characteristics that are substantially superior to
noncompetitive models.
    (4) The engines are intended for use only as specified in paragraph
(e) of this section.
    (d) You may ask us to approve an exemption for engines not meeting
the applicable criteria listed in paragraph (c) of this section as long
as you have clear and convincing evidence that the engines will be used
solely for competition.
    (e) Engines will not be considered to be used solely for
competition if they are ever used for any recreational or other
noncompetitive purpose. This means that their use must be limited to
competition events sanctioned by the U.S. Coast Guard or another public
organization with authorizing permits for participating competitors.
Operation for such engines may include only racing events or trials to
qualify for racing events. Authorized attempts to set speed records
(and the associated official trials) are also considered racing events.
Any use of exempt engines in recreational events, such as poker runs
and lobsterboat races, is a violation of 40 CFR 1068.101(b)(4).
    (f) You must permanently label engines exempted under this section
to clearly indicate that they are to be used only for competition.
Failure to properly label an engine will void the exemption for that
engine.
    (g) If we request it, you must provide us any information we need
to determine whether the engines or vessels are used solely for
competition. This would include documentation regarding the number of
engines and the ultimate purchaser of each engine. Keep these records
for five years.

Sec.  1042.630  Personal-use exemption.

    This section applies to individuals who manufacture vessels for
personal use. If you and your vessel meet all the conditions of this
section, the vessel and its engine are considered to be exempt from the
standards and requirements of this part that apply to new engines and
new vessels. For example, you may install an engine that was not
certified as a marine engine.
    (a) The vessel may not be manufactured from a previously certified
vessel, nor may it be manufactured from a partially complete vessel
that is equivalent to a certified vessel. The vessel must be
manufactured primarily from unassembled components, but may incorporate
some preassembled components. For example, fully preassembled steering
assemblies may be used. You may also power the vessel with an engine
that was previously used in a highway or land-based nonroad
application.
    (b) The vessel may not be sold within five years after the date of
final assembly.
    (c) No individual may manufacture more than one vessel in any ten-
year period under this exemption.
    (d) You may not use the vessel in any revenue-generating service or
for any other commercial purpose, except that you may use a vessel
exempt under this section for commercial fishing that you personally
do.
    (e) This exemption may not be used to circumvent the requirements
of this part or the requirements of the Clean Air Act. For example,
this exemption would not cover a case in which a person sells an almost
completely assembled vessel to another person, who would then complete
the assembly. This would be

considered equivalent to the sale of the complete new vessel. This
section also does not allow engine manufacturers to produce new engines
that are exempt from emission standards and it does not provide an
exemption from the prohibition against tampering with certified
engines.
    (f) The vessel must be a vessel that is not classed or subject to
Coast Guard inspections or surveys.

Sec.  1042.640  Special provisions for branded engines.

    The following provisions apply if you identify the name and
trademark of another company instead of your own on your emission
control information label, as provided by Sec.  1042.135(c)(2):
    (a) You must have a contractual agreement with the other company
that obligates that company to take the following steps:
    (1) Meet the emission warranty requirements that apply under Sec.
1042.120. This may involve a separate agreement involving reimbursement
of warranty-related expenses.
    (2) Report all warranty-related information to the certificate
holder.
    (b) In your application for certification, identify the company
whose trademark you will use and describe the arrangements you have
made to meet your requirements under this section.
    (c) You remain responsible for meeting all the requirements of this
chapter, including warranty and defect-reporting provisions.

Sec.  1042.660  Requirements for vessel manufacturers, owners, and
operators.

    (a) The provisions of 40 CFR part 94, subpart K, apply to
manufacturers, owners, and operators of marine vessels that contain
Category 3 engines subject to the provisions of 40 CFR part 94, subpart
A.
    (b) For vessels equipped with emission controls requiring the use
of specific fuels, lubricants, or other fluids, owners and operators
must comply with the manufacturer/remanufacturer's specifications for
such fluids when operating the vessels. For vessels equipped with SCR
systems requiring the use of urea or other reductants, owners and
operators must report to us within 30 days any operation of such
vessels without the appropriate urea. Failure to comply with the
requirements of this paragraph is a violation of 40 CFR 1068.101(a)(2).

Subpart H--Averaging, Banking, and Trading for Certification

Sec.  1042.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for
purposes of certification as described in this subpart to show
compliance with the standards of this part. Participation in this
program is voluntary.
    (b) The definitions of subpart I of this part apply to this
subpart. The following definitions also apply:
    (1) Actual emission credits means emission credits you have
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of engines in which emission credits
may be exchanged only with other engines in the same averaging set.
    (3) Broker means any entity that facilitates a trade of emission
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a
result of a trade.
    (5) Reserved emission credits means emission credits you have
generated that we have not yet verified by reviewing your final report.
    (6) Seller means the entity that provides emission credits during a
trade.
    (7) Standard means the emission standard that applies under subpart
B of this part for engines not participating in the ABT program of this
subpart.
    (8) Trade means to exchange emission credits, either as a buyer or
seller.
    (c) Emission credits may be exchanged only within an averaging set.
Except as specified in paragraph (d) of this section, the following
criteria define the applicable averaging sets:
    (1) Recreational engines.
    (2) Commercial Category 1 engines.
    (3) Category 2 engines.
    (d) Emission credits generated by recreational or commercial
Category 1 engine families may be used for compliance by Category 2
engine families. Such credits must be discounted by 25 percent.
    (e) You may not use emission credits generated under this subpart
to offset any emissions that exceed an FEL or standard. This applies
for all testing, including certification testing, in-use testing,
selective enforcement audits, and other production-line testing.
However, if emissions from an engine exceed an FEL or standard (for
example, during a selective enforcement audit), you may use emission
credits to recertify the engine family with a higher FEL that applies
only to future production.
    (f) Engine families that use emission credits for one or more
pollutants may not generate positive emission credits for another
pollutant.
    (g) Emission credits may be used in the model year they are
generated or in future model years. Emission credits may not be used
for past model years.
    (h) You may increase or decrease an FEL during the model year by
amending your application for certification under Sec.  1042.225.
    (i) You may use NOX+HC credits to show compliance with a
NOX emission standard or use NOX credits to show
compliance with a NOX+HC emission standard.

Sec.  1042.705  Generating and calculating emission credits.

    The provisions of this section apply separately for calculating
emission credits for NOX, NOX+HC, or PM.
    (a) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round calculated
emission credits to the nearest kilogram (kg), using consistent units
throughout the following equation:

Emission credits (kg) = (Std - FEL) x (Volume) x (Power) x (LF) x (UL)
x (10-3)

Where:

Std = The emission standard, in g/kW-hr.
FEL = The family emission limit for the engine family, in g/kW-hr.
Volume = The number of engines eligible to participate in the
averaging, banking, and trading program within the given engine
family during the model year, as described in paragraph (c) of this
section.
Power = The average value of maximum engine power of all the engine
configurations within an engine family, calculated on a production-
weighted basis, in kilowatts.
LF = Load factor. Use 0.69 for propulsion marine engines and 0.51
for auxiliary marine engines. We may specify a different load factor
if we approve the use of special test procedures for an engine
family under 40 CFR 1065.10(c)(2), consistent with good engineering
judgment.
UL = The useful life for the given engine family, in hours.

(b) [Reserved]
    (c) In your application for certification, base your showing of
compliance on projected production volumes for engines whose point of
first retail sale is in the United States. As described in Sec.
1042.730, compliance

with the requirements of this subpart is determined at the end of the
model year based on actual production volumes for engines whose point
of first retail sale is in the United States. Do not include any of the
following engines to calculate emission credits:
    (1) Engines exempted under subpart G of this part or under 40 CFR
part 1068.
    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as
those excluded under Sec.  1042.5.
(4) [Reserved]
    (5) Any other engines, where we indicate elsewhere in this part
1042 that they are not to be included in the calculations of this
subpart.

Sec.  1042.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine
families.
    (b) You may certify one or more engine families to an FEL above the
emission standard, subject to the FEL caps and other provisions in
subpart B of this part, if you show in your application for
certification that your projected balance of all emission-credit
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the
otherwise applicable standard, you must obtain enough emission credits
to offset the engine family's deficit by the due date for the final
report required in Sec.  1042.730. The emission credits used to address
the deficit may come from your other engine families that generate
emission credits in the same model year, from emission credits you have
banked, or from emission credits you obtain through trading.

Sec.  1042.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in averaging or
trading in future model years.
    (b) In your application for certification, designate any emission
credits you intend to bank. These emission credits will be considered
reserved credits. During the model year and before the due date for the
final report, you may redesignate these emission credits for averaging
or trading.
    (c) You may use banked emission credits from the previous model
year for averaging or trading before we verify them, but we may revoke
these emission credits if we are unable to verify them after reviewing
your reports or auditing your records.
    (d) Reserved credits become actual emission credits only when we
verify them in reviewing your final report.

Sec.  1042.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between
manufacturers. You may use traded emission credits for averaging,
banking, or further trading transactions.
    (b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits to any certifying manufacturer.
    (c) If a negative emission credit balance results from a
transaction, both the buyer and seller are liable, except in cases we
deem to involve fraud. See Sec.  1042.255(e) for cases involving fraud.
We may void the certificates of all engine families participating in a
trade that results in a manufacturer having a negative balance of
emission credits. See Sec.  1042.745.

Sec.  1042.725  Information required for the application for
certification.

    (a) You must declare in your application for certification your
intent to use the provisions of this subpart for each engine family
that will be certified using the ABT program. You must also declare the
FELs you select for the engine family for each pollutant for which you
are using the ABT program. Your FELs must comply with the
specifications of subpart B of this part, including the FEL caps. FELs
must be expressed to the same number of decimal places as the emission
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have
a negative balance of emission credits for any averaging set when all
emission credits are calculated at the end of the year.
    (2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. If your engine
family will generate positive emission credits, state specifically
where the emission credits will be applied (for example, to which
engine family they will be applied in averaging, whether they will be
traded, or whether they will be reserved for banking). If you have
projected negative emission credits for an engine family, state the
source of positive emission credits to offset the negative emission
credits. Describe whether the emission credits are actual or reserved
and whether they will come from averaging, banking, trading, or a
combination of these. Identify from which of your engine families or
from which manufacturer the emission credits will come.

Sec.  1042.730  ABT reports.

    (a) If any of your engine families are certified using the ABT
provisions of this subpart, you must send an end-of-year report within
90 days after the end of the model year and a final report within 270
days after the end of the model year. We may waive the requirement to
send the end-of year report, as long as you send the final report on
time.
    (b) Your end-of-year and final reports must include the following
information for each engine family participating in the ABT program:
    (1) Engine-family designation.
    (2) The emission standards that would otherwise apply to the engine
family.
    (3) The FEL for each pollutant. If you changed an FEL during the
model year, identify each FEL you used and calculate the positive or
negative emission credits under each FEL. Also, describe how the FEL
can be identified for each engine you produced. For example, you might
keep a list of engine identification numbers that correspond with
certain FEL values.
    (4) The projected and actual production volumes for the model year
with a point of first retail sale in the United States, as described in
Sec.  1042.705(c). If you changed an FEL during the model year,
identify the actual production volume associated with each FEL.
    (5) Maximum engine power for each engine configuration, and the
production-weighted average engine power for the engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole
engine family. Identify any emission credits that you traded, as
described in paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following
additional information:
    (1) Show that your net balance of emission credits from all your
participating engine families in each averaging set in the applicable
model year is not negative.
    (2) State whether you will reserve any emission credits for
banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
    (1) Sellers must include the following information in their report:

    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the
trade, including the number of emission credits from each family.
    (2) Buyers must include the following information in their report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the
number of emission credits you intend to apply to each engine family
(if known).
    (e) Send your reports electronically to the Designated Compliance
Officer using an approved information format. If you want to use a
different format, send us a written request with justification for a
waiver.
    (f) Correct errors in your end-of-year report or final report as
follows:
    (1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
    (2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decrease your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increase
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.

Sec.  1042.735  Recordkeeping.

    (a) You must organize and maintain your records as described in
this section. We may review your records at any time.
    (b) Keep the records required by this section for eight years after
the due date for the end-of-year report. You may not use emission
credits on any engines if you do not keep all the records required
under this section. You must therefore keep these records to continue
to bank valid credits. Store these records in any format and on any
media, as long as you can promptly send us organized, written records
in English if we ask for them. You must keep these records readily
available. We may review them at any time.
    (c) Keep a copy of the reports we require in Sec. Sec.  1042.725
and 1042.730.
    (d) Keep the following additional records for each engine you
produce that generates or uses emission credits under the ABT program:
    (1) Engine family designation.
    (2) Engine identification number.
    (3) FEL and useful life.
    (4) Maximum engine power.
    (5) Build date and assembly plant.
    (6) Purchaser and destination.
    (e) We may require you to keep additional records or to send us
relevant information not required by this section.

Sec.  1042.745  Noncompliance.

    (a) For each engine family participating in the ABT program, the
certificate of conformity is conditional upon full compliance with the
provisions of this subpart during and after the model year. You are
responsible to establish to our satisfaction that you fully comply with
applicable requirements. We may void the certificate of conformity for
an engine family if you fail to comply with any provisions of this
subpart.
    (b) You may certify your engine family to an FEL above an emission
standard based on a projection that you will have enough emission
credits to offset the deficit for the engine family. However, we may
void the certificate of conformity if you cannot show in your final
report that you have enough actual emission credits to offset a deficit
for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information we
request.
    (d) You may ask for a hearing if we void your certificate under
this section (see Sec.  1042.820).

Subpart I--Definitions and Other Reference Information

Sec.  1042.801  Definitions.

    The following definitions apply to this part. The definitions apply
to all subparts unless we note otherwise. All undefined terms have the
meaning the Clean Air Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design
that someone can adjust (including those which are difficult to access)
and that, if adjusted, may affect emissions or engine performance
during emission testing or normal in-use operation. This includes, but
is not limited to, parameters related to injection timing and fueling
rate. You may ask us to exclude a parameter that is difficult to access
if it cannot be adjusted to affect emissions without significantly
degrading engine performance, or if you otherwise show us that it will
not be adjusted in a way that affects emissions during in-use
operation.
    Aftertreatment means relating to a catalytic converter, particulate
filter, or any other system, component, or technology mounted
downstream of the exhaust valve (or exhaust port) whose design function
is to decrease emissions in the engine exhaust before it is exhausted
to the environment. Exhaust-gas recirculation (EGR) and turbochargers
are not aftertreatment.
    Amphibious vehicle means a vehicle with wheels or tracks that is
designed primarily for operation on land and secondarily for operation
in water.
    Annex VI Technical Code means the ``Technical Code on Control of
Emission of Nitrogen Oxides from Marine Diesel Engines'', adopted by
the International Maritime Organization (incorporated by reference in
Sec.  1042.810).
    Applicable emission standard or applicable standard means an
emission standard to which an engine is subject; or, where an engine
has been or is being certified to another standard or FEL, applicable
emission standards means the FEL and other standards to which the
engine has been or is being certified. This definition does not apply
to subpart H of this part.
    Auxiliary emission control device means any element of design that
senses temperature, motive speed, engine RPM, transmission gear, or any
other parameter for the purpose of activating, modulating, delaying, or
deactivating the operation of any part of the emission-control system.
    Base engine means a land-based engine to be marinized, as
configured prior to marinization.
    Brake power means the usable power output of the engine, not
including power required to fuel, lubricate, or heat the engine,
circulate coolant to the engine, or to operate aftertreatment devices.
    Calibration means the set of specifications and tolerances specific
to a particular design, version, or application of a component or
assembly capable of functionally describing its operation over its
working range.
    Category 1 means relating to a marine engine with specific engine
displacement less than 7.0 liters per cylinder.
    Category 2 means relating to a marine engine with a specific engine
displacement greater than or equal to 7.0 liters per cylinder but less
than 30.0 liters per cylinder.
    Category 3 means relating to a marine engine with a specific engine

displacement greater than or equal to 30.0 liters per cylinder.
    Certification means relating to the process of obtaining a
certificate of conformity for an engine family that complies with the
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission
level in an engine family for a given pollutant from either transient
or steady-state testing.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Commercial means relating to an engine or vessel that is not a
recreational marine engine or a recreational vessel.
    Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine.
    Constant-speed engine means an engine whose certification is
limited to constant-speed operation. Engines whose constant-speed
governor function is removed or disabled are no longer constant-speed
engines.
    Constant-speed operation has the meaning given in 40 CFR 1065.1001.
    Crankcase emissions means airborne substances emitted to the
atmosphere from any part of the engine crankcase's ventilation or
lubrication systems. The crankcase is the housing for the crankshaft
and other related internal parts.
    Critical emission-related component means any of the following
components:
    (1) Electronic control units, aftertreatment devices, fuel-metering
components, EGR-system components, crankcase-ventilation valves, all
components related to charge-air compression and cooling, and all
sensors and actuators associated with any of these components.
    (2) Any other component whose primary purpose is to reduce
emissions.
    Designated Compliance Officer means the Manager, Heavy-Duty and
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency,
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement
Division (2242A), U.S. Environmental Protection Agency, 1200
Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results
from applying the appropriate deterioration factor to the official
emission result of the emission-data engine.
    Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point,
expressed in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test
point.
    (2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
    Diesel fuel has the meaning given in 40 CFR 80.2. This generally
includes No. 1 and No. 2 petroleum diesel fuels and biodiesel fuels.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described in Sec.  1042.505.
    Dresser means any entity that modifies a land-based engine for use
in a vessel, in compliance with the provisions of Sec.  1042.605. This
means that dressers may not modify the engine in a way that would
affect emissions.
    Emission-control system means any device, system, or element of
design that controls or reduces the emissions of regulated pollutants
from an engine.
    Emission-data engine means an engine that is tested for
certification. This includes engines tested to establish deterioration
factors.
    Emission-related maintenance means maintenance that substantially
affects emissions or is likely to substantially affect emission
deterioration.
    Engine has the meaning given in 40 CFR 1068.30. This includes
complete and partially complete engines.
    Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production
variability.
    Engine family has the meaning given in Sec.  1042.230.
    Engine manufacturer means a manufacturer of an engine. See the
definition of ``manufacturer'' in this section.
    Engineering analysis means a summary of scientific and/or
engineering principles and facts that support a conclusion made by a
manufacturer, with respect to compliance with the provisions of this
part.
    Excluded means relating to an engine that either:
    (1) Has been determined not to be a nonroad engine, as specified in
40 CFR 1068.30; or
    (2) Is a nonroad engine that, according to Sec.  1042.5, is not
subject to this part 1042.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions
by routing exhaust gases that had been exhausted from the combustion
chamber(s) back into the engine to be mixed with incoming air before or
during combustion. The use of valve timing to increase the amount of
residual exhaust gas in the combustion chamber(s) that is mixed with
incoming air before or during combustion is not considered exhaust-gas
recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level declared by the
manufacturer to serve in place of an otherwise applicable emission
standard under the ABT program in subpart H of this part. The family
emission limit must be expressed to the same number of decimal places
as the emission standard it replaces. The family emission limit serves
as the emission standard for the engine family with respect to all
required testing.
    Foreign vessel means a vessel of foreign registry or a vessel
operated under the authority of a country other than the United States.
    Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents.
    Fuel type means a general category of fuels such as gasoline,
diesel fuel, residual fuel, or natural gas. There can be multiple
grades within a single fuel type, such as high-sulfur or low-sulfur
diesel fuel.
    Good engineering judgment has the meaning given in 40 CFR 1068.30.
See 40 CFR 1068.5 for the administrative process we use to evaluate
good engineering judgment.
    Green Engine Factor means a factor that is applied to emission
measurements from a Category 2 engine that has had little or no service
accumulation. The Green Engine Factor adjusts emission measurements to
be equivalent to emission measurements from an engine that has had
approximately 300 hours of use.
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in
40 CFR part 1065.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in Sec.
1042.101(d).
    Identification number means a unique specification (for example, a
model number/serial number combination)

that allows someone to distinguish a particular engine from other
similar engines.
    Low-hour means relating to an engine that has stabilized emissions
and represents the undeteriorated emission level. This would generally
involve less than 300 hours of operation.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel
market as low-sulfur diesel fuel having a maximum sulfur concentration
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40
CFR part 1065.
    Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine or a vessel.
    Manufacturer has the meaning given in section 216(1) of the Clean
Air Act. In general, this term includes any person who manufactures an
engine or vessel for sale in the United States or otherwise introduces
a new marine engine into U.S. commerce. This includes importers who
import engines or vessels for resale. It also includes post-manufacture
marinizers, but not dealers. All manufacturing entities under the
control of the same person are considered to be a single manufacturer.
    Marine engine means a nonroad engine that is installed or intended
to be installed on a marine vessel. This includes a portable auxiliary
marine engine only if its fueling, cooling, or exhaust system is an
integral part of the vessel. A fueling system is considered integral to
the vessel only if one or more essential elements are permanently
affixed to the vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for
propulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, except that it
does not include amphibious vehicles. The definition in 1 U.S.C. 3 very
broadly includes every craft capable of being used as a means of
transportation on water.
    Maximum engine power has the meaning given in Sec.  1042.140.
    Maximum test power means:
    (1) For Category 1 engines, the power output observed at the
maximum test speed with the maximum fueling rate possible.
    (2) For Category 2 engines, 90 percent of the power output observed
at the maximum test speed with the maximum fueling rate possible.
    Maximum test speed has the meaning given in 40 CFR 1065.1001.
    Maximum test torque has the meaning given in 40 CFR 1065.1001.
    Model year means one of the following things:
    (1) For freshly manufactured engines (see definition of ``new
marine engine,'' paragraph (1)), model year means one of the following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
    (2) For an engine that is converted to a marine engine after
originally being placed into service as a motor-vehicle engine, a
nonroad engine that is not a marine engine, or a stationary engine,
model year means the calendar year in which the engine was converted
(see definition of ``new marine engine,'' paragraph (2)).
    (3) For a marine engine excluded under Sec.  1042.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was converted (see
definition of ``new marine engine,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed
in new vessels, model year means the calendar year in which the engine
is installed in the new vessel (see definition of ``new marine
engine,''paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the
definition of ``new marine engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the
definition of new marine engine,'' model year means the calendar year
in which the engine is modified.
    (iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new marine engine,'' model year means the calendar year
in which the importation occurs.
    (6) For freshly manufactured vessels, model year means the calendar
year in which the keel is laid or the vessel is at a similar stage of
construction. For vessels that become new as a result of substantial
modifications, model year means the calendar year in which the
modifications physically begin.
    Motor vehicle has the meaning given in 40 CFR 85.1703(a).
    New marine engine means any of the following things:
    (1) A freshly manufactured marine engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced
until the ultimate purchaser receives the title or the product is
placed into service, whichever comes first.
    (2) An engine intended to be installed in a vessel that was
originally manufactured as a motor-vehicle engine, a nonroad engine
that is not a marine engine, or a stationary engine. In this case, the
engine is no longer a motor-vehicle, nonmarine, or stationary engine
and becomes a ``new marine engine''. The engine is no longer new when
it is placed into marine service.
    (3) A marine engine that has been previously placed into service in
an application we exclude under Sec.  1042.5, where that engine is
installed in a vessel that is covered by this part 1042. The engine is
no longer new when it is placed into marine service covered by this
part 1042. For example, this would apply to a marine diesel engine that
is no longer used in a foreign vessel.
    (4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. The engine
is no longer new when the ultimate purchaser receives a title for the
vessel or it is placed into service, whichever comes first. This
generally includes installation of used engines in new vessels.
    (5) An imported marine engine, subject to the following provisions:
    (i) An imported marine engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
    (ii) An imported marine engine covered by a certificate of
conformity issued under this part, where someone other than the
original engine manufacturer holds the certificate (such as when the
engine is modified after its initial assembly), becomes new when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
    (iii) An imported marine engine that is not covered by a
certificate of conformity issued under this part at the

time of importation is new, but only if it was produced on or after the
dates shown in the following table. This addresses uncertified engines
and vessels initially placed into service that someone seeks to import
into the United States. Importation of this kind of engine (or vessel
containing such an engine) is generally prohibited by 40 CFR part 1068.

                   Applicability of Emission Standards for Compression-Ignition Marine Engines
----------------------------------------------------------------------------------------------------------------
                                                                                Initial model
                                                                       Per-cylinder displacement      year of
        Engine category and type                  Power (kW)                    (L/cyl)              emission
                                                                                standards
----------------------------------------------------------------------------------------------------------------
Category 1..............................  P <  19....................  All.......................            2000
Category 1..............................  19 < = P <  37..............  All.......................            1999
Category 1, Recreational................  P >= 37...................  disp. < 0.9...............            2007
Category 1, Recreational................  All.......................  0.9 < = disp. <  2.5........            2006
Category 1, Recreational................  All.......................  disp. >= 2.5..............            2004
Category 1, Commercial..................  P >= 37...................  disp. < 0.9...............            2005
Category 1, Commercial..................  All.......................  disp. >= 0.9..............            2004
Category 2 and 3........................  All.......................  disp. >= 5.0..............            2004
----------------------------------------------------------------------------------------------------------------

    New vessel means any of the following:
    (1) A vessel for which the ultimate purchaser has never received
the equitable or legal title. The vessel is no longer new when the
ultimate purchaser receives this title or it is placed into service,
whichever comes first.
    (2) For vessels with no Category 3 engines, a vessel that has been
modified such that the value of the modifications exceeds 50 percent of
the value of the modified vessel. The value of the modification is the
difference in the assessed value of the vessel before the modification
and the assessed value of the vessel after the modification. The vessel
is no longer new when it is placed into service. Use the following
equation to determine if the fractional value of the modification
exceeds 50 percent:

Percent of value = [(Value after modification)-(Value before
modification)/100% (Value after modification)

    (3) For vessels with Category 3 engines, a vessel that has
undergone a modification that substantially alters the dimensions or
carrying capacity of the vessel, changes the type of vessel, or
substantially prolongs the vessel's life.
    (4) An imported vessel that has already been placed into service,
where it has an engine not covered by a certificate of conformity
issued under this part at the time of importation that was manufactured
after the requirements of this part start to apply (see Sec.  1042.1).
    Noncompliant engine means an engine that was originally covered by
a certificate of conformity but is not in the certified configuration
or otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate
of conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001.
This generally means the difference between the emitted mass of total
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines, or vessels, or equipment
that include nonroad engines.
    Nonroad engine has the meaning given in 40 CFR 1068.30. In general,
this means all internal-combustion engines except motor vehicle
engines, stationary engines, engines used solely for competition, or
engines used in aircraft.
    Official emission result means the measured emission rate for an
emission-data engine on a given duty cycle before the application of
any deterioration factor, but after the applicability of regeneration
adjustment factors.
    Operator demand has the meaning given in 40 CFR 1065.1001.
    Owners manual means a document or collection of documents prepared
by the engine manufacturer for the owner or operator to describe
appropriate engine maintenance, applicable warranties, and any other
information related to operating or keeping the engine. The owners
manual is typically provided to the ultimate purchaser at the time of
sale. The owners manual may be in paper or electronic format.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to
physically trap particulate matter above a certain size.
    Passenger has the meaning given by 46 U.S.C. 2101 (21) and (21a).
In the context of commercial vessels, this generally means that a
passenger is a person that pays to be on the vessel.
    Placed into service means put into initial use for its intended
purpose.
    Point of first retail sale means the location at which the initial
retail sale occurs. This generally means a vessel dealership or
manufacturing facility, but may also include an engine seller or
distributor in cases where loose engines are sold to the general public
for uses such as replacement engines.
    Post-manufacture marinizer means an entity that produces a marine
engine by modifying a non-marine engine, whether certified or
uncertified, complete or partially complete, where the entity is not
controlled by the manufacturer of the base engine or by an entity that
also controls the manufacturer of the base engine. In addition, vessel
manufacturers that substantially modify marine engines are post-
manufacture marinizers. For the purpose of this definition,
``substantially modify'' means changing an engine in a way that could
change engine emission characteristics.
    Power density has the meaning given in Sec.  1042.140.
    Ramped-modal means relating to the ramped-modal type of steady-
state test described in Sec.  1042.505.
    Rated speed means the maximum full-load governed speed for governed
engines and the speed of maximum power for ungoverned engines.
    Recreational marine engine means a Category 1 propulsion marine
engine that is intended by the manufacturer to be installed on a
recreational vessel.
    Recreational vessel has the meaning given in 46 U.S.C. 2101 (25),
but excludes ``passenger vessels'' and ``small passenger vessels'' as
defined by 46 U.S.C. 2101 (22) and (35) and excludes vessels used
solely for competition. For this part, ``recreational vessel''
generally means a vessel that is intended by the vessel manufacturer to
be operated primarily for pleasure or leased, rented or chartered to
another

for the latter's pleasure, excluding the following vessels:
    (1) Vessels of less than 100 gross tons that carry more than 6
passengers (as defined in this section).
    (2) Vessels of 100 gross tons or more that carry one or more
passengers (as defined in this section).
    (3) Vessels used solely for competition.
    Residual fuel has the meaning given in 40 CFR 80.2. This generally
includes all RM grades of marine fuel without regard to whether they
are known commercially as residual fuel. For example, fuel marketed as
intermediate fuel may be residual fuel.
    Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine
family.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems
periodically to keep a part or system from failing, malfunctioning, or
wearing prematurely. It also may mean actions you expect are necessary
to correct an overt indication of failure or malfunction for which
periodic maintenance is not appropriate.
    Small-volume boat builder means a boat manufacturer with fewer than
500 employees and with annual worldwide production of fewer than 100
boats. For manufacturers owned by a parent company, these limits apply
to the combined production and number of employees of the parent
company and all its subsidiaries.
    Small-volume engine manufacturer means a manufacturer with annual
worldwide production of fewer than 1,000 internal combustion engines
(marine and nonmarine). For manufacturers owned by a parent company,
the limit applies to the production of the parent company and all its
subsidiaries.
    Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Sulfur-sensitive technology means an emission-control technology
that experiences a significant drop in emission-control performance or
emission-system durability when an engine is operated on low-sulfur
fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm) as
compared to when it is operated on ultra low-sulfur fuel (i.e., fuel
with a sulfur concentration less than 15 ppm). Exhaust-gas
recirculation is not a sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the
population of an engine family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
    Tier 1 means relating to the Tier 1 emission standards, as shown in
Appendix I.
    Tier 2 means relating to the Tier 2 emission standards, as shown in
Appendix I.
    Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec.  1042.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec.  1042.101.
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass 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, with respect to any new vessel or new
marine engine, the first person who in good faith purchases such new
vessel or new marine engine for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given
in 40 CFR part 1065.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after
the one currently in production.
    U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
    Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
new engine is required to comply with all applicable emission
standards. See Sec.  1042.101(e).
    Variable-speed engine means an engine that is not a constant-speed
engine.
    Vessel means a marine vessel.
    Vessel operator means any individual that physically operates or
maintains a vessel or exercises managerial control over the operation
of the vessel.
    Vessel owner means the individual or company that holds legal title
to a vessel.
    Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
    Volatile liquid fuel means any fuel other than diesel 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.  1042.805  Symbols, acronyms, and abbreviations.

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

----------------------------------------------------------------------------------------------------------------

----------------------------------------------------------------------------------------------------------------
ABT..............................  Averaging, banking, and trading.
AECD.............................  auxiliary-emission control device.
CFR..............................  Code of Federal Regulations.
CO...............................  carbon monoxide.
CO2..............................  carbon dioxide.

Cyl..............................  cylinder.
disp.............................  displacement.
EPA..............................  Environmental Protection Agency.
EGR..............................  exhaust gas recirculation.
EPA..............................  Environmental Protection Agency.
FEL..............................  Family Emission Limit.
G................................  grams.
HC...............................  hydrocarbon.
Hr...............................  hours.
kPa..............................  kilopascals.
kW...............................  kilowatts.
L................................  liters.
LTR..............................  Limited Testing Region.
NARA.............................  National Archives and Records Administration.
NMHC.............................  nonmethane hydrocarbons.
NOX..............................  oxides of nitrogen (NO and NO2).
NTE..............................  not-to-exceed.
PM...............................  particulate matter.
RPM..............................  revolutions per minute.
SAE..............................  Society of Automotive Engineers.
SCR..............................  selective catalytic reduction.
THC..............................  total hydrocarbon.
THCE.............................  total hydrocarbon equivalent.
ULSD.............................  ultra low-sulfur diesel fuel.
U.S.C............................  United States Code.
----------------------------------------------------------------------------------------------------------------

Sec.  1042.810  Reference materials.

    Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call<PHONE_NUMBER>, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html
.

    (a) SAE material. Table 1 of this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or http://www.sae.org.
 Table 1 follows:

                Table 1 of Sec.   1042.810--SAE Materials
------------------------------------------------------------------------
                                                              Part 1042
                  Document number and name                    reference
------------------------------------------------------------------------
SAE J1930, Electrical/Electronic Systems Diagnostic Terms,      1042.135
 Definitions, Abbreviations, and Acronyms, revised May 1998
------------------------------------------------------------------------

    (b) IMO material. Table 2 of this section lists material from the
International Maritime Organization that we have incorporated by
reference. The first column lists the number and name of the material.
The second column lists the section of this part where we reference it.
Anyone may purchase copies of these materials from the International
Maritime Organization, 4 Albert Embankment, London SE1 7SR, United
Kingdom or http://www.imo.org. Table 3 follows:

               Table 2 of Sec.   1042.810.--IMO Materials
------------------------------------------------------------------------
                                                              Part 1042
                  Document number and name                    reference
------------------------------------------------------------------------
Resolution 2--Technical Code on Control of Emission of          1042.801
 Nitrogen Oxides from Marine Diesel Engines, 1997.A........
------------------------------------------------------------------------

Sec.  1042.815  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.  1042.820  Hearings.

    (a) You may request a hearing under certain circumstances, as
described elsewhere in this part. To do this, you must file a written
request, including a description of your objection and any supporting
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we
will approve your request if we find that your request raises a
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures
specified in 40 CFR part 1068, subpart G.

Sec.  1042.825  Reporting and recordkeeping requirements.

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. The following
items illustrate the kind of reporting and recordkeeping we require for
engines regulated under this part:

    (a) We specify the following requirements related to engine
certification in this part 1042:
    (1) In Sec.  1042.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to vessel
manufacturers.
    (2) In Sec.  1042.145 we state the requirements for interim
provisions.
    (3) In subpart C of this part we identify a wide range of
information required to certify engines.
    (4) In Sec. Sec.  1042.345 and 1042.350 we specify certain records
related to production-line testing.
    (5) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
    (6) In Sec. Sec.  1042.725, 1042.730, and 1042.735 we specify
certain records related to averaging, banking, and trading.
    (b) We specify the following requirements related to testing in 40
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
    (4) In 40 CFR 1065.695 we identify data that may be appropriate for
collecting during testing of in-use engines using portable analyzers.
    (c) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.

Appendix I to Part 1042--Summary of Previous Emission Standards

    The following standards apply to marine compression-ignition
engines produced before the model years specified in Sec.  1042.1:
    (a) Engines below 37 kW. Tier 1 and Tier 2 standards for engines
below 37 kW apply as specified in 40 CFR part 89 and summarized in
the following table:

                  Table 1 of Appendix I.--Emission Standards for Engines Below 37 kW (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                              Model    NMHC +
              Rated power (kW)                            Tier                year1     NOX       CO       PM
----------------------------------------------------------------------------------------------------------------
kW< 8.......................................  Tier 1........................     2000     10.5      8.0      1.0
                                             Tier 2........................     2005      7.5      8.0      0.80
8=kW< 19....................................  Tier 1........................     2000      9.5      6.6      0.80
                                             Tier 2........................     2005      7.5      6.6      0.80
19=kW< 37...................................  Tier 1........................     1999      9.5      5.5      0.8
                                             Tier 2........................     2004      7.5      5.5      0.6
----------------------------------------------------------------------------------------------------------------

    (b) Engines at or above 37 kW. Tier 1 and Tier 2 standards for
engines at or above 37 kW apply as specified in 40 CFR part 94 and
summarized as follows:
    (1) Tier 1 standards. NOX emissions from model year
2004 and later engines with displacement of 2.5 or more liters per
cylinder may not exceed the following values:
    (i) 17.0 g/kW-hr when maximum test speed is less than 130 rpm.
    (ii) 45.0xN-0.20 when maximum test speed is at least
130 but less than 2000 rpm, where N is the maximum test speed of the
engine in revolutions per minute. Round the calculated standard to
the nearest 0.1 g/kW-hr.
    (ii) 9.8 g/kW-hr when maximum test speed is 2000 rpm or more.
    (2) Tier 2 primary standards. Exhaust emissions may not exceed
the values shown in the following table:

 Table 2 of Appendix I.--Primary Tier 2 Emission Standards for Commercial and Recreational Marine Engines at or
                                              Above 37 kW (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
  Engine Size liters/cylinder,     Maximum engine                       Model   THC+NOX  CO g/kW- PM g/kW-
          rated power                  power             Category        year   g/kW-hr     hr       hr
---------------------------------------------------------------------------------------------------------
disp. <  0.9....................  power [equiv] 37   Category 1.......     2005      7.5      5.0     0.40
                                  kW.
0.9 = disp. <  1.2..............  All..............  Category 1.......     2004      7.2      5.0     0.30
1.2 = disp. <  2.5..............  All..............  Category 1.......     2004      7.2      5.0     0.20
2.5 = disp. <  5.0..............  All..............  Category 1.......     2007      7.2      5.0     0.20
5.0 = disp. <  15.0.............  All..............  Category 2.......     2007      7.8      5.0     0.27
15.0 = disp. <  20.0............  power <  3300 kW..  Category 2.......     2007      8.7      5.0     0.50
15.0 = disp. <  20.0............  power [equiv]      Category 2.......     2007      9.8      5.0     0.50
                                  3300 kW.
20.0 = disp. <  25.0............  All..............  Category 2.......     2007      9.8      5.0     0.50
25.0 = disp. <  30.0............  All..............  Category 2.......     2007       11        5      0.5
----------------------------------------------------------------------------------------------------------------

    (3) Tier 2 supplemental standards. Not-to-exceed emission
standards apply for Tier 2 engines as specified in 40 CFR 94.8(e).

Appendix II to Part 1042--Steady-State Duty Cycles

    (a) Test commercial propulsion engines with maximum engine power
at or above 19 kW that are used with (or intended to be used with)
fixed-pitch propellers with one of the cycles specified in this
paragraph (a). Use one of these duty cycles also for any other
engines for which the other duty cycles of this appendix do not
apply.
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                Percent of
               E3 mode number                          Engine speed \1\            maximum test      Weighting
                                                                                power          factors
----------------------------------------------------------------------------------------------------------------
1...........................................  Maximum test                                   100            0.2
2...........................................  91%                                             75            0.5
3...........................................  80%                                             50            0.15
4...........................................  63%                                             25            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.

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

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)         Engine speed 1 3           Power (percent) 2 3
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             229  Maximum test speed........  100%.
1b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                torque.
2a Steady-state.........................             166  63%.......................  25%.
2b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                torque.
3a Steady-state.........................             570  91%.......................  75%.
3b Transition...........................              20  Linear transition.........  Linear transition in
                                                                                torque.
4a Steady-state.........................             175  80%.......................  50%.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
\2\ The percent power is relative to the maximum test power.
\3\ Advance from one mode to the next within a 20-second transition phase. During the transition phase, command
  a linear progression from the torquesetting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (b) Test recreational engines that are used with (or intended to
be used with) fixed-pitch propellers with maximum engine power at or
above 19 kW with one of the following steady-state duty cycles:
    (1) The following duty cycle applies for discrete-mode testing:

----------------------------------------------------------------------------------------------------------------
                                                                                Percent of
                E5 mode number                          Engine speed \1\           maximum test      Weighting
                                                                                power          factors
----------------------------------------------------------------------------------------------------------------
1.............................................  Maximum test....................             100            0.08
2.............................................  91%.............................              75            0.13
3.............................................  80%.............................              50            0.17
4.............................................  63%.............................              25            0.32
5.............................................  Idle............................               0            0.3
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065. Percent speed values are relative to maximum test speed.

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

----------------------------------------------------------------------------------------------------------------
                                             Time in
                 RMC mode                      mode           Engine speed 1 3           Power (percent) 2 3
                                            (seconds)
----------------------------------------------------------------------------------------------------------------
1a Steady-state..........................          167  Warm Idle..................  0.
1b Transition............................           20  Linear transition..........  Linear transition in
                                                                                torque.
2a Steady-state..........................           85  Maximum test speed.........  100%.
2b Transition............................           20  Linear transition..........  Linear transition in
                                                                                torque.
3a Steady-state..........................          354  63%........................  25%.
3b Transition............................           20  Linear transition..........  Linear transition in
                                                                                torque.
4a Steady-state..........................          141  91%........................  75%.
4b Transition............................           20  Linear transition..........  Linear transition in
                                                                                torque.
5a Steady-state..........................          182  80%........................  50%.
5b Transition............................           20  Linear transition..........  Linear transition in
                                                                                torque.
6 Steady-state...........................          171  Warm Idle..................  0.
----------------------------------------------------------------------------------------------------------------
1 Speed terms are defined in 40 CFR part 1065. Percent speed is relative to maximum test speed.
2 The percent power is relative to the maximum test power.

3 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
  linear progression from the torque setting of the current mode to the torque setting of the next mode, and
  simultaneously command a similar linear progression for engine speed if there is a change in speed setting.

    (c) Test any constant-speed/propulsion engines that are used
with (or intended to be used with) variable-pitch propellers or with
electrically coupled propellers with one of the following steady-
state duty cycles:
    (1) The following duty cycle applies for discrete-mode testing:

------------------------------------------------------------------------
                                                 Observed
       E2 mode number          Engine speed 1     torque      Weighting
                                               (percent) 2     factors
------------------------------------------------------------------------
1...........................  Engine Governed          100          0.2
2...........................  Engine Governed           75          0.5
3...........................  Engine Governed           50          0.15
4...........................  Engine Governed           25          0.15
------------------------------------------------------------------------
1 Speed terms are defined in 40 CFR part 1065.
2 The percent torque is relative to the maximum test torque as defined
  in 40 CFR part 1065.

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

----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)           Engine speed            Torque (percent) 1 2
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             234  Engine Governed...........  100%.
1b Transition...........................              20  Engine Governed...........  Linear transition.
2a Steady-state.........................             571  Engine Governed...........  25%.
2b Transition...........................              20  Engine Governed...........  Linear transition.
3a Steady-state.........................             165  Engine Governed...........  75%.
3b Transition...........................              20  Engine Governed...........  Linear transition.
4a Steady-state.........................             170  Engine Governed...........  50%.
----------------------------------------------------------------------------------------------------------------
1 The percent torque is relative to the maximum test torque as defined in 40 CFR part 1065.
2 Advance from one mode to the next within a 20-second transition phase. During the transition phase, command a
  linear progression from the torque setting of the current mode to the torque setting of the next mode.

Appendix III to Part 1042--Not-to-Exceed Zones

    (a) The following Figure 1 illustrates the default NTE zone for
commercial marine engines certified using the duty cycle specified
in Sec.  1042.505(b)(1):
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[GRAPHIC] [TIFF OMITTED] TP03AP07.007

    (1) Subzone 1 is defined as follows, where percent power is
equal to the percentage of the maximum power achieved at Maximum
Test Speed and percent speed is the percentage of Maximum Test
Speed:

    (i) Percent power > 0.7 x (percent speed)[supcaret]2.5, and
    (ii) Percent power <  (percent speed/ 0.9)[supcaret]3.5, and
    (iii) Percent power > 3.0. x (100% - percent speed).
    (2) Sub zone 2 is defined as follows, where percent power is
equal to the percentage of the maximum power achieved at Maximum
Test Speed and percent speed is the percentage of Maximum Test
Speed:
    (i) Percent power > 0.7 x (percent speed)[supcaret]2.5, and
    (ii) Percent power <  (percent speed/ 0.9)[supcaret]3.5, and
    (iii) Percent power > 3.0. x (100% - percent speed), and
    (iv) Percent power > 70% of Maximum Test Speed.
    (b) The following Figure 2 illustrates the defaut NTE zone for
recreational marine propulsion engines that are used with (or
intended to be used with) fixed-pitch propellers:

[GRAPHIC] [TIFF OMITTED] TP03AP07.008

    (1) Sub zone 1 is defined as follows, where percent power is
equal to the percentage of the maximum power achieved at Maximum
Test Speed and percent speed is the percentage of Maximum Test
Speed:

    (i) Percent power > 0.7 x (percent speed)[supcaret]2.5, and
    (ii) Percent power <  (percent speed/0.9)[supcaret]3.5, and
    (iii) Percent power > 3.0 x (100% - percent speed).
    (iv) Percent power <  95% of the maximum power at Maximum Text
Speed.
    (2) Sub zone 2 is defined as follows, where percent power is
equal to the percentage of the maximum power achieved at Maximum
Test Speed and percent speed is the percentage of Maximum Test
Speed:
    (i) Percent power > 0.7 x (percent speed)[supcaret]2.5, and
    (ii) Percent power <  (percent speed/0.9)[supcaret]3.5, and
    (iii) Percent power <  3.0 x (100% - percent speed), and
    (iv) Percent speed > 70% of Maximum Test Speed.
    (v) Any power > 95% of the maximum power at Maximum Test Speed
    (c) The following Figure 3 illustrates the default NTE zone for
constant speed engines certified using either the duty cycle
specified in Sec.  1042.505(b)(3)(I) or in Sec.  1042.505(b)(4)(i):

[GRAPHIC] [TIFF OMITTED] TP03AP07.009

    (1) Subzone 1 is defined in Sec.  1039.101(e).
    (2) Subzone 2 is defined in Sec.  1039.515(b).
    (d) The following Figure 4 illustrates the default NTE zone for
variable speed and load engines certified using either the duty
cycle specified in Sec.  1042.505(b)(3)(ii) or in Sec.
1042.505(b)(4)(ii):

[GRAPHIC] [TIFF OMITTED] TP03AP07.010

BILLING CODE 6560-50-C
    (1) Subzone 1 is defined in Sec.  1039.101(e).
    (2) Subzone 2 is defined in Sec.  1039.515(b).

PART 1065--ENGINE-TESTING PROCEDURES

    14. The authority citation for part 1065 continues to read as
follows:

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

Subpart A--[Amended]

    15. Section 1065.1 is revised to read as follows:

Sec.  1065.1  Applicability.

    (a) This part describes the procedures that apply to testing we
require for the following engines or for vehicles using the following
engines:
    (1) Locomotives we regulate under 40 CFR part 1033. For earlier
model years, manufacturers may use the test procedures in this part or
those specified in 40 CFR part 92 according to Sec.  1065.10.
    (2) Model year 2010 and later heavy-duty highway engines we
regulate under 40 CFR part 86. For earlier model years, manufacturers
may use the test procedures in this part or those specified in 40 CFR
part 86, subpart N, according to Sec.  1065.10.
    (3) Nonroad diesel engines we regulate under 40 CFR part 1039 and
stationary diesel engines that are certified to the standards in 40 CFR
part 1039 as specified in 40 CFR part 60, subpart IIII. For earlier
model years, manufacturers may use the test procedures in this part or
those specified in 40 CFR part 89 according to Sec.  1065.10.
    (4) Marine diesel engines we regulate under 40 CFR part 1042. For
earlier model years, manufacturers may use the test procedures in this
part or those specified in 40 CFR part 94 according to Sec.  1065.10.
    (5) Marine spark-ignition engines we regulate under 40 CFR part
1045. For earlier model years, manufacturers may use the test
procedures in this part or those specified in 40 CFR part 91 according
to Sec.  1065.10.
    (6) Large nonroad spark-ignition engines we regulate under 40 CFR
part 1048, and stationary engines that are certified to the standards
in 40 CFR part 1048 as specified in 40 CFR part 60, subpart JJJJ.
    (7) Vehicles we regulate under 40 CFR part 1051 (such as
snowmobiles and off-highway motorcycles) based on engine testing. See
40 CFR part 1051, subpart F, for standards and procedures that are
based on vehicle testing.
    (8) Small nonroad spark-ignition engines we regulate under 40 CFR
part 1054 and stationary engines that are certified to the standards in
40 CFR part 1054 as specified in 40 CFR part 60, subpart JJJJ. For
earlier model years, manufacturers may use the test procedures in this
part or those specified in 40 CFR part 90 according to Sec.  1065.10.
    (b) The procedures of this part may apply to other types of
engines, as described in this part and in the standard-setting part.
    (c) This part is addressed to you as a manufacturer of engines,
vehicles, equipment, and vessels, but it applies equally to anyone who
does testing for you. For example, if you manufacture engines that must
be tested according to this part, this part applies to you. This part
is also addressed to any manufacturer or supplier of test equipment,
instruments, supplies, or any other goods or services related to the
procedures, requirements, recommendations, or options in this part. For
example, if you are an instrument manufacturer, this part applies to
you.
    (d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines. In this part, we refer to each of these other parts
generically as the ``standard-setting part.'' For example, 40 CFR part
1051 is always the standard-setting part for snowmobiles.
    (e) Unless we specify otherwise, the terms ``procedures'' and
``test procedures'' in this part include all aspects of engine testing,
including the equipment specifications, calibrations, calculations, and
other protocols and procedural specifications needed to measure
emissions.
    (f) For vehicles, equipment, or vessels subject to this part and
regulated under vehicle-based, equipment-based, or vessel-based
standards, use good engineering judgment to interpret the term
''engine'' in this part to include vehicles, equipment, or vessels,
where appropriate.
    (g) For additional information regarding these test procedures,
visit our Web site at http://www.epa.gov, and in particular http://www
.epa.gov/otaq/testingregs.htm.
    16. Section 1065.2 is amended by revising paragraph (c) to read as
follows:

Sec.  1065.2  Submitting information to EPA under this part.

* * * * *
    (c) We may void any certificates or approvals associated with a
submission of information if we find that you intentionally submitted
false, incomplete, or misleading information. For example, if we find
that you intentionally submitted incomplete information to mislead EPA
when requesting approval to use alternate test procedures, we may void
the certificates for all engines families certified based on emission
data collected using the alternate procedures. This would also apply if
you ignore data from incomplete tests or from repeat tests with higher
emission results.
* * * * *
    17. Section 1065.5 is revised to read as follows:

Sec.  1065.5  Overview of this part 1065 and its relationship to the
standard-setting part.

    (a) This part specifies procedures that apply generally to testing
various categories of engines. See the standard-setting part for
directions in applying specific provisions in this part for a
particular type of engine. Before using this part's procedures, read
the standard-setting part to answer at least the following questions:
    (1) What duty cycles must I use for laboratory testing?
    (2) Should I warm up the test engine before measuring emissions, or
do I need to measure cold-start emissions during a warm-up segment of
the duty cycle?
    (3) Which exhaust gases do I need to measure?
    (4) Do any unique specifications apply for test fuels?
    (5) What maintenance steps may I take before or between tests on an
emission-data engine?
    (6) Do any unique requirements apply to stabilizing emission levels
on a new engine?
    (7) Do any unique requirements apply to test limits, such as
ambient temperatures or pressures?
    (8) Is field testing required or allowed, and are there different
emission standards or procedures that apply to field testing?
    (9) Are there any emission standards specified at particular
engine-operating conditions or ambient conditions?
    (10) Do any unique requirements apply for durability testing?
    (b) The testing specifications in the standard-setting part may
differ from the specifications in this part. In cases where it is not
possible to comply with both the standard-setting part and this part,
you must comply with the specifications in the standard-setting part.
The standard-setting part may also allow you to deviate from the
procedures of this part for other reasons.
    (c) The following table shows how this part divides testing
specifications into subparts:

       Table 1 of Sec.   1065.5--Description of Part 1065 Subparts
------------------------------------------------------------------------
                                          Describes these specifications
              This subpart                        or procedures
------------------------------------------------------------------------
Subpart A..............................  Applicability and general
                                          provisions.
Subpart B..............................  Equipment for testing.
Subpart C..............................  Measurement instruments for
                                          testing.
Subpart D..............................  Calibration and performance
                                          verifications for measurement
                                          systems.
Subpart E..............................  How to prepare engines for
                                          testing, including service
                                          accumulation.
Subpart F..............................  How to run an emission test
                                          over a predetermined duty
                                          cycle.
Subpart G..............................  Test procedure calculations.
Subpart H..............................  Fuels, engine fluids,
                                          analytical gases, and other
                                          calibration standards.
Subpart I..............................  Special procedures related to
                                          oxygenated fuels.
Subpart J..............................  How to test with portable
                                          emission measurement systems
                                          (PEMS).
------------------------------------------------------------------------

    18. Section 1065.10 is amended by revising paragraphs (c)(1)
introductory text and (c)(7) introductory text to read as follows:

Sec.  1065.10  Other procedures.

* * * * *
    (c) * * *
    (1) The objective of the procedures in this part is to produce
emission measurements equivalent to those that would result from
measuring emissions during in-use operation using the same engine
configuration as installed in a vehicle, equipment, or vessel. However,
in unusual circumstances these procedures may result in measurements
that do not represent in-use operation. You must notify us if good
engineering judgment indicates that the specified procedures cause
unrepresentative emission measurements for your engines. Note that you
need not notify us of unrepresentative aspects of the test procedure if
measured emissions are equivalent to in-use emissions. This provision
does not obligate you to pursue new information regarding the different
ways your engine might operate in use, nor does it obligate you to
collect any other in-use information to verify whether or not these
test procedures are representative of your engine's in-use operation.
If you notify us of unrepresentative procedures under this paragraph
(c)(1), we will cooperate with you to establish whether and how the
procedures should be appropriately changed to result in more
representative measurements. While the provisions of this paragraph
(c)(1) allow us to be responsive to issues as they arise, we would
generally work toward making these testing changes generally applicable
through rulemaking. We will allow reasonable lead time for compliance
with any resulting change in procedures. We will consider the following
factors in determining the importance of pursuing changes to the
procedures:
* * * * *
    (7) You may request to use alternate procedures, or procedures that
are more accurate or more precise than the allowed procedures. The
following provisions apply to requests for alternate procedures:
* * * * *
    19. Section 1065.12 is amended by revising paragraphs (a) and
(d)(1) to read as follows:

Sec.  1065.12  Approval of alternate procedures.

    (a) To get approval for an alternate procedure under Sec.
1065.10(c), send the Designated Compliance Officer an initial written
request describing the alternate procedure and why you believe it is
equivalent to the specified procedure. Anyone may request alternate
procedure approval. This means that an individual engine manufacturer
may request to use an alternate procedure. This also means that an
instrument manufacturer may request to have an instrument, equipment,
or procedure approved as an alternate procedure to those specified in
this part. We may approve your request based on this information alone,
or, as described in this section, we may ask you to submit to us in
writing supplemental information showing that your alternate procedure
is consistently and reliably at least as accurate and repeatable as the
specified procedure.
* * * * *
    (d) * * *
    (1) Theoretical basis. Give a brief technical description
explaining why you believe the proposed alternate procedure should
result in emission measurements equivalent to those using the specified
procedure. You may include equations, figures, and references. You
should consider the full range of parameters that may affect
equivalence. For example, for a request to use a different
NOX measurement procedure, you should theoretically relate
the alternate detection principle to the specified detection principle
over the expected concentration ranges for NO, NO2, and
interference gases. For a request to use a different PM measurement
procedure, you should explain the principles by which the alternate
procedure quantifies particulate mass similarly to the specified
procedures.
* * * * *
    20. Section 1065.15 is amended by revising paragraphs (c)(1) and
(e) to read as follows:

Sec.  1065.15  Overview of procedures for laboratory and field testing.

* * * * *
    (c) * * *
    (1) Engine operation. Engine operation is specified over a test
interval. A test interval is the time over which an engine's total mass
of emissions and its total work are determined. Refer to the standard-
setting part for the specific test intervals that apply to each engine.
Testing may involve measuring emissions and work during the following
types of engine operation:
    (i) Laboratory testing. Under this type of testing, you determine
brake-specific emissions for duty-cycle testing by using an engine
dynamometer in a laboratory or other environment. This typically
consists of one or more test intervals, each defined by a duty cycle,
which is a sequence of modes, speeds, and/or torques that an engine
must follow. If the standard-setting part allows it, you may also
simulate field testing by running on an engine dynamometer in a
laboratory or other environment.
    (ii) Field testing. This type of testing consists of normal in-use
engine operation while an engine is installed in a vehicle, equipment,
or vessel. The standard-setting part specifies how test intervals are
defined for field testing.
* * * * *
    (e) The following figure illustrates the allowed measurement
configurations described in this part 1065:
BILLING CODE 6560-50-P

[GRAPHIC] [TIFF OMITTED] TP03AP07.011

BILLING CODE 6560-50-C
    21. Section 1065.20 is amended by revising paragraphs (f) and (g)
to read as follows:

Sec.  1065.20  Units of measure and overview of calculations.

* * * * *
    (f) Interpretation of ranges. Interpret a range as a tolerance
unless we explicitly identify it as an accuracy, repeatability,
linearity, or noise specification. See Sec.  1065.1001 for the
definition of tolerance. In this part, we specify two types of ranges:
    (1) Whenever we specify a range by a single value and corresponding
limit values above and below that value, target any associated control
point to that single value. Examples of this type of range include
``10% of maximum pressure'', or ``(30  10)
kPa''.
    (2) Whenever we specify a range by the interval between two values,
you may target any associated control point to any value within that
range. An example of this type of range is ``(40 to 50) kPa''.
    (g) Scaling of specifications with respect to an applicable
standard. Because this part 1065 is applicable to a wide range of
engines and emission standards, some of the specifications in this part
are scaled with respect to an engine's applicable standard or maximum
power. This ensures that the specification will be adequate to
determine compliance, but not overly burdensome by requiring
unnecessarily high-precision equipment. Many of these specifications
are given with respect to a ``flow-weighted mean'' that is expected at
the standard or during testing. Flow-weighted mean is the mean of a
quantity after it is weighted proportional to a corresponding flow
rate. For example, if a gas concentration is measured continuously from
the raw exhaust of an engine, its flow-weighted mean concentration is
the sum of the products of each recorded concentration times its
respective exhaust flow rate, divided by the sum of the recorded flow
rates. As another example, the bag concentration from a CVS system is
the same as the flow-weighted mean concentration, because the CVS
system itself flow-weights the bag concentration. Refer to Sec.
1065.602 for information needed to estimate and calculate flow-weighted
means. Wherever a specification is scaled to a value based upon an
applicable standard, interpret the standard to be the family emission
limit if the engine is certified under an emission credit program in
the standard-setting part.

Subpart B--[Amended]

    22. Section 1065.101 is amended by revising paragraph (a) to read
as follows:

Sec.  1065.101  Overview.

    (a) This subpart specifies equipment, other than measurement
instruments, related to emission testing. The provisions of this
subpart apply for all testing in laboratories or other environments
where engine speeds and loads are controlled to follow a prescribed
duty cycle. See subpart J of this part to determine which of the
provisions of this subpart apply for field testing. This equipment
includes three broad categories--dynamometers, engine fluid systems
(such as fuel and intake-air systems), and emission-sampling hardware.
* * * * *
    23. Section 1065.110 is amended by revising paragraphs (a) and (e)
to read as follows:

Sec.  1065.110  Work inputs and outputs, accessory work, and operator
demand.

    (a) Work. Use good engineering judgment to simulate all engine work
inputs and outputs as they typically would operate in use. Account for
work inputs and outputs during an emission test by measuring them; or,
if they are small, you may show by engineering analysis that
disregarding them does not affect your ability to determine the net
work output by more than 0.5% of the net expected work
output over the test interval. Use equipment to simulate the specific
types of work, as follows:
    (1) Shaft work. Use an engine dynamometer that is able to meet the
cycle-validation criteria in Sec.  1065.514 over each applicable duty
cycle.
    (i) You may use eddy-current and water-brake dynamometers for any
testing that does not involve engine motoring, which is identified by
negative torque commands in a reference duty cycle. See the standard
setting part for reference duty cycles that are applicable to your
engine.
    (ii) You may use alternating-current or direct-current motoring
dynamometers for any type of testing.
    (iii) You may use one or more dynamometers.
    (iv) You may use any device that is already installed on a vehicle,
equipment, or vessel to absorb work from the engine's output shaft(s).
Examples of these types of devices include a vessel's propeller and a
locomotive's generator.
    (2) Electrical work. Use one or more of the following to simulate
electrical work:
    (i) Use storage batteries or capacitors that are of the type and
capacity installed in use.
    (ii) Use motors, generators, and alternators that are of the type
and capacity installed in use.
    (iii) Use a resistor load bank to simulate electrical loads.
    (3) Pump, compressor, and turbine work. Use pumps, compressors, and
turbines that are of the type and capacity installed in use. Use
working fluids that are of the same type and thermodynamic state as
normal in-use operation.
* * * * *
    (e) Operator demand for shaft work. Operator demand is defined in
Sec.  1065.1001. Command the operator demand and the dynamometer(s) to
follow a prescribed duty cycle with set points for engine speed and
torque at 5 Hz (or more frequently) for transient testing or 1 Hz (or
more frequently) for steady-state testing. Refer to the standard-
setting part to determine the specifications for your duty cycle(s).
Use a mechanical or electronic input to control operator demand such
that the engine is able to meet the validation criteria in Sec.
1065.514 over each applicable duty cycle. Record feedback values for
engine speed and torque at 5 Hz or more frequently for evaluating
performance relative to the cycle validation criteria. Using good
engineering judgment, you may improve control of operator demand by
altering on-engine speed and torque controls. However, if these changes
result in unrepresentative testing, you must notify us and recommend
other test procedures under Sec.  1065.10(c)(1).
    24. Section 1065.120 is amended by revising paragraph (a) to read
as follows:

Sec.  1065.120  Fuel properties and fuel temperature and pressure.

    (a) Use fuels as specified in the standard-setting part, or as
specified in subpart H of this part if fuels are not specified in the
standard-setting part.
* * * * *
    25. Section 1065.122 is amended by revising paragraphs (a)
introductory text and (a)(1) to read as follows:

Sec.  1065.122  Engine cooling and lubrication.

    (a) Engine cooling. Cool the engine during testing so its intake-
air, oil, coolant, block, and head temperatures are within their
expected ranges for normal operation. You may use auxiliary coolers and
fans.
    (1) For air-cooled engines only, if you use auxiliary fans you must
account for work input to the fan(s) according to Sec.  1065.110.
* * * * *

    26. Section 1065.125 is revised to read as follows:

Sec.  1065.125  Engine intake air.

    (a) Use the intake-air system installed on the engine or one that
represents a typical in-use configuration. This includes the charge-air
cooling and exhaust gas recirculation systems.
    (b) Measure temperature, humidity, and atmospheric pressure near
the entrance to the engine's air filter, or at the inlet to the air
intake system for engines that have no air filter. You may use a shared
atmospheric pressure meter as long as your equipment for handling
intake air maintains ambient pressure where you test the engine within
1 kPa of the shared atmospheric pressure. You may use a
shared humidity measurement for intake air as long as your equipment
for handling intake air maintains dewpoint where you test the engine to
within 0.5 [deg]C of the shared humidity measurement.
    (c) Unless stated otherwise in the standard-setting part, maintain
the temperature of intake air to (25  5) [deg]C, as
measured upstream of any engine component.
    (d) Use an intake-air restriction that represents production
engines. Make sure the intake-air restriction is between the
manufacturer's specified maximum for a clean filter and the
manufacturer's specified maximum allowed. Measure the static
differential pressure of the restriction at the location and at the
speed and torque set points specified by the manufacturer. If the
manufacturer does not specify a location, measure this pressure
upstream of any turbocharger or exhaust gas recirculation system
connection to the intake air system. If the manufacturer does not
specify speed and torque points, measure this pressure while the engine
outputs maximum power. As the manufacturer, you are liable for emission
compliance for all values up to the maximum restriction you specify for
a particular engine. (e) This paragraph (e) includes provisions for
simulating charge-air cooling in the laboratory. This approach is
described in paragraph (e)(1) of this section. Limits on using this
approach are described in paragraphs (e)(2) and (3) of this section.
    (1) Use a charge-air cooling system with a total intake-air
capacity that represents production engines' in-use installation.
Design any laboratory charge-air cooling system to minimize
accumulation of condensate. Drain any accumulated condensate before
emission testing. Modulate any condensate drain during an emission test
as it would normally operate in use. Maintain coolant conditions as
follows:
    (i) Maintain a coolant temperature of at least 20 [deg]C at the
inlet to the charge-air cooler throughout testing.
    (ii) At the engine conditions specified by the manufacturer, set
the coolant flow rate to achieve an air temperature within < plus-
minus>5 [deg]C of the value specified by the manufacturer at the
charge-air cooler's outlet. Measure the air-outlet temperature at the
location specified by the manufacturer. Use this coolant flow rate set
point throughout testing. If the engine manufacturer does not specify
engine conditions or the corresponding charge-air cooler air outlet
temperature, set the coolant flow rate at maximum engine power to
achieve a charge-air cooler air outlet temperature that represents in-
use operation.
    (iii) If the engine manufacturer specifies pressure-drop limits
across the charge-air cooling system, ensure that the pressure drop
across the charge-air cooling system at engine conditions specified by
the manufacturer is within the manufacturer's specified limit(s).
Measure the pressure drop at the manufacturer's specified locations.
    (2) The objective of this section is to produce emission results
that are representative of in-use operation. If good engineering
judgment indicates that the specifications in this section would result
in unrepresentative testing (such as overcooling of the intake air),
you may use more sophisticated setpoints and controls of charge-air
pressure drop, coolant temperature, and flowrate to achieve more
representative results.
    (3) This approach does not apply for field testing. You may not
correct measured emission levels from field testing to account for any
differences caused by the simulated cooling in the laboratory.
    27. Section 1065.130 is revised to read as follows:

Sec.  1065.130  Engine exhaust.

    (a) General. Use the exhaust system installed with the engine or
one that represents a typical in-use configuration. This includes any
applicable aftertreatment devices.
    (b) Aftertreatment configuration. If you do not use the exhaust
system installed with the engine, configure any aftertreatment devices
as follows:
    (1) Position any aftertreatment device so its distance from the
nearest exhaust manifold flange or turbocharger outlet is within the
range specified by the engine manufacturer in the application for
certification. If this distance is not specified, position
aftertreatment devices to represent typical in-use vehicle
configurations.
    (2) You may use laboratory exhaust tubing upstream of any
aftertreatment device that is of diameter(s) typical of in-use
configurations. If you use laboratory exhaust tubing upstream of any
aftertreatment device, position each aftertreatment device according to
paragraph (b)(1) of this section.
    (c) Sampling system connections. Connect an engine's exhaust system
to any raw sampling location or dilution stage, as follows:
    (1) Minimize laboratory exhaust tubing lengths and use a total
length of laboratory tubing of no more than 10 m or 50 outside
diameters, whichever is greater. If laboratory exhaust tubing consists
of several different outside tubing diameters, count the number of
diameters of length of each individual diameter, then sum all the
diameters to determine the total length of exhaust tubing in diameters.
Use the mean outside diameter of any converging or diverging sections
of tubing. Use outside hydraulic diameters of any noncircular sections.
    (2) You may install short sections of flexible laboratory exhaust
tubing at any location in the engine or laboratory exhaust systems. You
may use up to a combined total of 2 m or 10 outside diameters of
flexible exhaust tubing.
    (3) Insulate any laboratory exhaust tubing downstream of the first
25 outside diameters of length.
    (4) Use laboratory exhaust tubing materials that are smooth-walled,
electrically conductive, and not reactive with exhaust constituents.
Stainless steel is an acceptable material.
    (5) We recommend that you use laboratory exhaust tubing that has
either a wall thickness of less than 2 mm or is air gap-insulated to
minimize temperature differences between the wall and the exhaust.
    (6) We recommend that you connect multiple exhaust stacks from a
single engine into one stack upstream of any emission sampling. To
ensure mixing of the multiple exhaust streams before emission sampling,
you may configure the exhaust system with turbulence generators, such
as orifice plates or fins, to achieve good mixing. We recommend a
minimum Reynolds number, Re, of 4000 for the combined exhaust
stream, where Re is based on the inside diameter of the single
stack. Re is defined in Sec.  1065.640.
    (d) In-line instruments. You may insert instruments into the
laboratory exhaust tubing, such as an in-line smoke meter. If you do
this, you may leave a length of up to 5 outside diameters of laboratory
exhaust tubing uninsulated on each side of each instrument, but you
must leave a length of no more than 25

outside diameters of laboratory exhaust tubing uninsulated in total,
including any lengths adjacent to in-line instruments.
    (e) Leaks. Minimize leaks sufficiently to ensure your ability to
demonstrate compliance with the applicable standards. We recommend
performing a chemical balance of fuel, intake air, and exhaust
according to Sec.  1065.655 to verify exhaust system integrity.
    (f) Grounding. Electrically ground the entire exhaust system.
    (g) Forced cooldown. You may install a forced cooldown system for
an exhaust aftertreatment device according to Sec.  1065.530(a)(1)(i).
    (h) Exhaust restriction. As the manufacturer, you are liable for
emission compliance for all values up to the maximum restriction(s) you
specify for a particular engine. Measure and set exhaust restriction(s)
at the location(s) and at the speed, torque and aftertreatment set
points specified by the manufacturer. If the manufacturer does not
specify any location, measure this pressure downstream of any
turbocharger or exhaust gas recirculation system connection to the
exhaust system. If the manufacturer does not specify speed and torque
points, measure this pressure while the engine produces maximum power.
Use an exhaust restriction setpoint that represents a typical in-use
value, if available.
    (1) If a typical in-use value for exhaust restriction is not
available for exhaust systems with a fixed restriction, set the exhaust
restriction at (80 to 100)% of the maximum exhaust restriction
specified by the manufacturer, or if the maximum is 5 kPa or less, the
set point must be no less than 1.0 kPa from the maximum. For example,
if the maximum back pressure is 4.5 kPa, do not use an exhaust
restriction set point that is less than 3.5 kPa.
    (2) If a typical value for exhaust restriction is not available for
exhaust systems with variable restriction, set the exhaust restriction
between the maximum clean and dirty values specified by the
manufacturer.
    (i) Open crankcase emissions. If the standard-setting part requires
measuring open crankcase emissions, you may either measure open
crankcase emissions separately using a method that we approve in
advance, or route open crankcase emissions directly into the exhaust
system for emission measurement. If the engine is not already
configured to route open crankcase emissions for emission measurement,
route open crankcase emissions as follows:
    (1) Use laboratory tubing materials that are smooth-walled,
electrically conductive, and not reactive with crankcase emissions.
Stainless steel is an acceptable material. Minimize tube lengths. We
also recommend using heated or thin-walled or air gap-insulated tubing
to minimize temperature differences between the wall and the crankcase
emission constituents.
    (2) Minimize the number of bends in the laboratory crankcase tubing
and maximize the radius of any unavoidable bend.
    (3) Use laboratory crankcase exhaust tubing that meets the engine
manufacturer's specifications for crankcase back pressure.
    (4) Connect the crankcase exhaust tubing into the raw exhaust
downstream of any aftertreatment system, downstream of any installed
exhaust restriction, and sufficiently upstream of any sample probes to
ensure complete mixing with the engine's exhaust before sampling.
Extend the crankcase exhaust tube into the free stream of exhaust to
avoid boundary-layer effects and to promote mixing. You may orient the
crankcase exhaust tube's outlet in any direction relative to the raw
exhaust flow.
    28. Section 1065.140 is revised to read as follows:

Sec.  1065.140  Dilution for gaseous and PM constituents.

    (a) General. You may dilute exhaust with ambient air, synthetic
air, or nitrogen. Note that the composition of the diluent affects some
gaseous emission measurement instruments' response to emissions. We
recommend diluting exhaust at a location as close as possible to the
location where ambient air dilution would occur in use.
    (b) Dilution-air conditions and background concentrations. Before a
diluent is mixed with exhaust, you may precondition it by increasing or
decreasing its temperature or humidity. You may also remove
constituents to reduce their background concentrations. The following
provisions apply to removing constituents or accounting for background
concentrations:
    (1) You may measure constituent concentrations in the diluent and
compensate for background effects on test results. See Sec.  1065.650
for calculations that compensate for background concentrations.
    (2) Either measure these background concentrations the same way you
measure diluted exhaust constituents, or measure them in a way that
does not affect your ability to demonstrate compliance with the
applicable standards. For example, you may use the following
simplifications for background sampling:
    (i) You may disregard any proportional sampling requirements.
    (ii) You may use unheated gaseous sampling systems.
    (iii) You may use unheated PM sampling systems.
    (iv) You may use continuous sampling if you use batch sampling for
diluted emissions.
    (v) You may use batch sampling if you use continuous sampling for
diluted emissions.
    (3) For removing background PM, we recommend that you filter all
dilution air, including primary full-flow dilution air, with high-
efficiency particulate air (HEPA) filters that have an initial minimum
collection efficiency specification of 99.97% (see Sec.  1065.1001 for
procedures related to HEPA-filtration efficiencies). Ensure that HEPA
filters are installed properly so that background PM does not leak past
the HEPA filters. If you choose to correct for background PM without
using HEPA filtration, demonstrate that the background PM in the
dilution air contributes less than 50% to the net PM collected on the
sample filter. You may correct net PM without restriction if you use
HEPA filtration.
    (c) Full-flow dilution; constant-volume sampling (CVS). You may
dilute the full flow of raw exhaust in a dilution tunnel that maintains
a nominally constant volume flow rate, molar flow rate or mass flow
rate of diluted exhaust, as follows:
    (1) Construction. Use a tunnel with inside surfaces of 300 series
stainless steel. Electrically ground the entire dilution tunnel. We
recommend a thin-walled and insulated dilution tunnel to minimize
temperature differences between the wall and the exhaust gases.
    (2) Pressure control. Maintain static pressure at the location
where raw exhaust is introduced into the tunnel within 1.2
kPa of atmospheric pressure. You may use a booster blower to control
this pressure. If you test an engine using more careful pressure
control and you show by engineering analysis or by test data that you
require this level of control to demonstrate compliance at the
applicable standards, we will maintain the same level of static
pressure control when we test that engine.
    (3) Mixing. Introduce raw exhaust into the tunnel by directing it
downstream along the centerline of the tunnel. You may introduce a
fraction of dilution air radially from the tunnel's inner surface to
minimize exhaust interaction with the tunnel walls. You

may configure the system with turbulence generators such as orifice
plates or fins to achieve good mixing. We recommend a minimum Reynolds
number, Re, of 4000 for the diluted exhaust stream, where
Re is based on the inside diameter of the dilution tunnel.
Re is defined in Sec.  1065.640.
    (4) Flow measurement preconditioning. You may condition the diluted
exhaust before measuring its flow rate, as long as this conditioning
takes place downstream of any sample probes, as follows:
    (i) You may use flow straighteners, pulsation dampeners, or both of
these.
    (ii) You may use a filter.
    (iii) You may use a heat exchanger to control the temperature
upstream of any flow meter. Note paragraph (c)(6) of this section
regarding aqueous condensation.
    (5) Flow measurement. Section 1065.240 describes measurement
instruments for diluted exhaust flow.
    (6) Aqueous condensation. To ensure that you measure a flow that
corresponds to a measured concentration, you may either prevent aqueous
condensation between the sample probe location and the flow meter inlet
in the dilution tunnel or you may allow aqueous condensation to occur
and then measure humidity at the flow meter inlet. Calculations in
Sec.  1065.645 and Sec.  1065.650 account for either method of
addressing humidity in the diluted exhaust. Note that preventing
aqueous condensation involves more than keeping pure water in a vapor
phase (see Sec.  1065.1001).
    (7) Flow compensation. Maintain nominally constant molar,
volumetric or mass flow of diluted exhaust. You may maintain nominally
constant flow by either maintaining the temperature and pressure at the
flow meter or by directly controlling the flow of diluted exhaust. You
may also directly control the flow of proportional samplers to maintain
proportional sampling. For an individual test, validate proportional
sampling as described in Sec.  1065.545.
    (d) Partial-flow dilution (PFD). You may dilute a partial flow of
raw or previously diluted exhaust before measuring emissions. Section
1065.240 describes PFD-related flow measurement instruments. PFD may
consist of constant or varying dilution ratios as described in
paragraphs (d)(2) and (3) of this section. An example of a constant
dilution ratio PFD is a ``secondary dilution PM'' measurement system.
An example of a varying dilution ratio PFD is a ``bag mini-diluter'' or
BMD.
    (1) Applicability. (i) You may use PFD to extract a proportional
raw exhaust sample for any batch or continuous PM emission sampling
over any transient duty cycle, any steady-state duty cycle or any
ramped-modal cycle (RMC).
    (ii) You may use PFD to extract a proportional raw exhaust sample
for any batch or continuous gaseous emission sampling over any
transient duty cycle, any steady-state duty cycle or any ramped-modal
cycle (RMC).
    (iii)You may use PFD to extract a proportional raw exhaust sample
for any batch or continuous field-testing.
    (iv) You may use PFD to extract a proportional diluted exhaust
sample from a CVS for any batch or continuous emission sampling.
    (v) You may use PFD to extract a constant raw or diluted exhaust
sample for any continuous emission sampling.
    (vi) You may use PFD to extract a constant raw or diluted exhaust
sample for any steady-state emission sampling.
    (2) Constant dilution-ratio PFD. Do one of the following for
constant dilution-ratio PFD:
    (i) Dilute an already proportional flow. For example, you may do
this as a way of performing secondary dilution from a CVS tunnel to
achieve temperature control for PM sampling.
    (ii) Continuously measure constituent concentrations. For example,
you might dilute to precondition a sample of raw exhaust to control its
temperature, humidity, or constituent concentrations upstream of
continuous analyzers. In this case, you must take into account the
dilution ratio before multiplying the continuous concentration by the
sampled exhaust flow rate.
    (iii) Extract a proportional sample from a separate constant
dilution ratio PFD system. For example, you might use a variable-flow
pump to proportionally fill a gaseous storage medium such as a bag from
a PFD system. In this case, the proportional sampling must meet the
same specifications as varying dilution ratio PFD in paragraph (d)(3)
of this section.
    (iv) For each mode of a discrete-mode test (such as a locomotive
notch setting or a specific setting for speed and torque), use a
constant dilution ratio for any batch or continuous sampling. You may
change the dilution ratio between modes, but you must account for this
change in dilution ratio in your emission calculations. Also, you may
not sample emissions at the same time you are changing the dilution
ratio from one constant dilution ratio to another.
    (3) Varying dilution-ratio PFD. All the following provisions apply
for varying dilution-ratio PFD:
    (i) Use a control system with sensors and actuators that can
maintain proportional sampling over intervals as short as 200 ms (i.e.,
5 Hz control).
    (ii) For control input, you may use any sensor output from one or
more measurements; for example, intake-air flow, fuel flow, exhaust
flow, engine speed, and intake manifold temperature and pressure.
    (iii) Account for any emission transit time in the PFD system, as
necessary.
    (iv) You may use preprogrammed data if they have been determined
for the specific test site, duty cycle, and test engine from which you
dilute emissions.
    (v) We recommend that you run practice cycles to meet the
validation criteria in Sec.  1065.545. Note that you must validate
every emission test by meeting the validation criteria with the data
from that specific test. Data from previously validated practice cycles
or other tests may not be used to validate a different emission test.
    (vi) You may not use a PFD system that requires preparatory tuning
or calibration with a CVS or with the emission results from a CVS.
Rather, you must be able to independently calibrate the PFD.
    (e) Dilution air temperature, dilution ratio, residence time, and
temperature control. Dilute PM samples at least once upstream of
transfer lines. You may dilute PM samples upstream of a transfer line
using full-flow dilution, or partial-flow dilution immediately
downstream of a PM probe. Configure dilution systems as follows:
    (1) Control dilution air temperature just upstream of the mixing
zones to (25  5) [deg]C. We recommend controlling dilution
air temperature to within a narrower tolerance of (25  1)
[deg]C.
    (2) Adjust the dilution system s dilution ratio for your particular