569.....................................................           13.00
570.....................................................           14.26
571.....................................................           15.37
572.....................................................           17.02
573.....................................................           18.17
574.....................................................           19.21
575.....................................................           20.17
576.....................................................           20.66
577.....................................................           21.12
578.....................................................           21.43
579.....................................................           22.66
580.....................................................           23.92
581.....................................................           25.42
582.....................................................           25.53
583.....................................................           26.68
584.....................................................           28.14
585.....................................................           30.06
586.....................................................           30.94
587.....................................................           31.63
588.....................................................           32.36
589.....................................................           33.24
590.....................................................           33.66
591.....................................................           34.12
592.....................................................           35.92
593.....................................................           37.72
594.....................................................           39.26
595.....................................................           39.45
596.....................................................           39.83
597.....................................................           40.18
598.....................................................           40.48
599.....................................................           40.75
600.....................................................           41.02
601.....................................................           41.36
602.....................................................           41.79
603.....................................................           42.40
604.....................................................           42.82
605.....................................................           43.05
606.....................................................           43.09
607.....................................................           43.24
608.....................................................           43.59
609.....................................................           44.01
610.....................................................           44.35
611.....................................................           44.55
612.....................................................           44.82
613.....................................................           45.05
614.....................................................           45.31
615.....................................................           45.58
616.....................................................           46.00
617.....................................................           46.31
618.....................................................           46.54
619.....................................................           46.61
620.....................................................           46.92
621.....................................................           47.19
622.....................................................           47.46
623.....................................................           47.54
624.....................................................           47.54
625.....................................................           47.54
626.....................................................           47.50
627.....................................................           47.50
628.....................................................           47.50
629.....................................................           47.31
630.....................................................           47.04
631.....................................................           46.77
632.....................................................           45.54
633.....................................................           43.24
634.....................................................           41.52
635.....................................................           39.79
636.....................................................           38.07
637.....................................................           36.34
638.....................................................           34.04
639.....................................................           32.45

640.....................................................           30.86
641.....................................................           28.83
642.....................................................           26.45
643.....................................................           24.27
644.....................................................           22.04
645.....................................................           19.82
646.....................................................           17.04
647.....................................................           14.26
648.....................................................           11.52
649.....................................................            8.78
650.....................................................            7.17
651.....................................................            5.56
652.....................................................            3.72
653.....................................................            3.38
654.....................................................            3.11
655.....................................................            2.58
656.....................................................            1.66
657.....................................................            0.67
658.....................................................            0.00
659.....................................................            0.00
660.....................................................            0.00
661.....................................................            0.00
662.....................................................            0.00
663.....................................................            0.00
664.....................................................            0.00
665.....................................................            0.00
666.....................................................            0.00
667.....................................................            0.00
668.....................................................            0.00
------------------------------------------------------------------------

Appendix II to Part 1037--Power Take-Off Test Cycle

----------------------------------------------------------------------------------------------------------------
                                                                                Normalized      Normalized
                Cycle simulation                       Mode        Start time of     pressure,       pressure,
                                                                       mode        circuit 1 (%)   circuit 2 (%)
----------------------------------------------------------------------------------------------------------------
Utility.........................................               0               0             0.0             0.0
Utility.........................................               1              33            80.5             0.0
Utility.........................................               2              40             0.0             0.0
Utility.........................................               3             145            83.5             0.0
Utility.........................................               4             289             0.0             0.0
Refuse..........................................               5             361             0.0            13.0
Refuse..........................................               6             363             0.0            38.0
Refuse..........................................               7             373             0.0            53.0
Refuse..........................................               8             384             0.0            73.0
Refuse..........................................               9             388             0.0             0.0
Refuse..........................................              10             401             0.0            13.0
Refuse..........................................              11             403             0.0            38.0
Refuse..........................................              12             413             0.0            53.0
Refuse..........................................              13             424             0.0            73.0
Refuse..........................................              14             442            11.2             0.0
Refuse..........................................              15             468            29.3             0.0
Refuse..........................................              16             473             0.0             0.0
Refuse..........................................              17             486            11.2             0.0
Refuse..........................................              18             512            29.3             0.0
Refuse..........................................              19             517             0.0             0.0
Refuse..........................................              20             530            12.8            11.1
Refuse..........................................              21             532            12.8            38.2
Refuse..........................................              22             541            12.8            53.4
Refuse..........................................              23             550            12.8            73.5
Refuse..........................................              24             553             0.0             0.0
Refuse..........................................              25             566            12.8            11.1
Refuse..........................................              26             568            12.8            38.2
Refuse..........................................              27             577            12.8            53.4
Refuse..........................................              28             586            12.8            73.5
Refuse..........................................              29             589             0.0             0.0
Refuse..........................................              30             600             0.0             0.0
----------------------------------------------------------------------------------------------------------------

Appendix III to Part 1037--Emission Control Identifiers

    This appendix identifies abbreviations for emission control
information labels, as required under Sec.  1037.135.

Vehicle Speed Limiters

--VSL--Vehicle speed limiter
--VSLS--``Soft-top'' vehicle speed limiter
--VSLE--Expiring vehicle speed limiter
--VSLD--Vehicle speed limiter with both ``soft-top'' and expiration

Idle Reduction Technology

--IRT5--Engine shutoff after 5 minutes or less of idling
--IRTE--Expiring engine shutoff

Tires

--LRRA--Low rolling resistance tires (all, including trailers)
--LRRD--Low rolling resistance tires (drive)
--LRRS--Low rolling resistance tires (steer)

Aerodynamic Components

--ATS--Aerodynamic side skirt and/or fuel tank fairing
--ARF--Aerodynamic roof fairing
--ARFR--Adjustable height aerodynamic roof fairing
--TGR--Gap reducing tractor fairing (tractor to trailer gap)
--TGRT--Gap reducing trailer fairing (tractor to trailer gap)
--TATS--Trailer aerodynamic side skirt
--TARF--Trailer aerodynamic rear fairing
--TAUD--Trailer aerodynamic underbody device

Other Components

--ADVH--Vehicle includes advanced hybrid technology components
--ADVO--Vehicle includes other advanced-technology components (i.e.,
non-hybrid system)
--INV--Vehicle includes innovative (off-cycle) technology components
--ATI--Automatic tire inflation system
--TPMS--Tire pressure monitoring system
--WRTW--Weight-reducing trailer wheels
--WRTC--Weight-reducing trailer upper coupler plate
--WRTS--Weight-reducing trailer axle sub-frames
--WBSW--Wide-base single trailer tires with steel wheel
--WBAW--Wide-base single trailer tires with aluminum wheel
--WBLW--Wide-base single trailer tires with light-weight aluminum
alloy wheel
--DWSW--Dual-wide trailer tires with steel wheel
--DWAW--Dual-wide trailer tires with aluminum wheel
--DWLW--Dual-wide trailer tires with light-weight aluminum alloy
wheel

Appendix IV to Part 1037--Heavy-Duty Grade Profile for Phase 2 Steady-
State Test Cycles

    The following table identifies a grade profile for operating
vehicles over the highway cruise cycles specified in subpart F of
this part. Determine intermediate values by linear interpolation.

------------------------------------------------------------------------
                      Distance (m)                           Grade (%)
------------------------------------------------------------------------
0.......................................................               0
808.....................................................               0
820.....................................................            -0.1
832.....................................................               0
842.....................................................               0
892.....................................................            0.36
942.....................................................               0
952.....................................................               0
1006....................................................           -0.28
1102....................................................           -1.04
1198....................................................           -0.28
1252....................................................               0
1264....................................................               0
1390....................................................            0.39
1458....................................................            0.66
1534....................................................            1.15
1696....................................................            2.44
1858....................................................            1.15
1934....................................................            0.66
2002....................................................            0.39
2128....................................................               0
2146....................................................               0
2330....................................................           -0.46
2398....................................................           -0.69
2478....................................................           -1.08
2546....................................................           -1.53
2698....................................................           -2.75
2850....................................................           -1.53
2918....................................................           -1.08
2998....................................................           -0.69
3066....................................................           -0.46
3250....................................................               0
3264....................................................               0
3340....................................................            0.35
3416....................................................             0.9
3502....................................................            1.59
3588....................................................             0.9
3664....................................................            0.35
3740....................................................               0
3756....................................................               0
3822....................................................            -0.1
4094....................................................           -0.69
4176....................................................           -0.97
4262....................................................           -1.36
4330....................................................           -1.78
4514....................................................           -3.23
4698....................................................           -1.78
4766....................................................           -1.36
4852....................................................           -0.97
4934....................................................           -0.69
5206....................................................            -0.1
5272....................................................               0
5322....................................................               0
5406....................................................             0.1
5498....................................................            0.17
5720....................................................            0.38
5912....................................................            0.58
6052....................................................            0.77
6226....................................................            1.09
6312....................................................            1.29
6436....................................................            1.66
6562....................................................            2.14
6638....................................................            2.57
6710....................................................               3
6762....................................................            3.27
6800....................................................            3.69
6890....................................................            5.01
6980....................................................            3.69
7018....................................................            3.27
7070....................................................               3
7142....................................................            2.57
7218....................................................            2.14
7344....................................................            1.66
7468....................................................            1.29
7554....................................................            1.09
7728....................................................            0.77
7868....................................................            0.58
8060....................................................            0.38
8282....................................................            0.17
8374....................................................             0.1
8458....................................................               0
8502....................................................               0
8608....................................................           -0.38
8668....................................................           -0.69
8852....................................................           -2.13
9036....................................................           -0.69
9096....................................................           -0.38
9202....................................................               0
9214....................................................               0
9262....................................................            0.26
9316....................................................             0.7
9370....................................................            0.26
9418....................................................               0
9428....................................................               0
9496....................................................           -0.34
9622....................................................           -1.33
9748....................................................           -0.34
9816....................................................               0
9826....................................................               0
9914....................................................            0.37
9968....................................................             0.7
10112...................................................            1.85
10256...................................................             0.7
10310...................................................            0.37
10398...................................................               0
10410...................................................               0
10498...................................................           -0.37
10552...................................................            -0.7
10696...................................................           -1.85
10840...................................................            -0.7
10894...................................................           -0.37
10982...................................................               0
10992...................................................               0
11060...................................................            0.34
11186...................................................            1.33
11312...................................................            0.34
11380...................................................               0
11390...................................................               0
11438...................................................           -0.26
11492...................................................            -0.7
11546...................................................           -0.26
11594...................................................               0
11606...................................................               0
11712...................................................            0.38
11772...................................................            0.69
11956...................................................            2.13
12140...................................................            0.69
12200...................................................            0.38
12306...................................................               0
12350...................................................               0
12434...................................................            -0.1
12526...................................................           -0.17
12748...................................................           -0.38
12940...................................................           -0.58
13080...................................................           -0.77
13254...................................................           -1.09
13340...................................................           -1.29
13464...................................................           -1.66
13590...................................................           -2.14
13666...................................................           -2.57
13738...................................................              -3
13790...................................................           -3.27
13828...................................................           -3.69
13918...................................................           -5.01
14008...................................................           -3.69
14046...................................................           -3.27
14098...................................................              -3
14170...................................................           -2.57
14246...................................................           -2.14
14372...................................................           -1.66
14496...................................................           -1.29
14582...................................................           -1.09
14756...................................................           -0.77
14896...................................................           -0.58
15088...................................................           -0.38
15310...................................................           -0.17
15402...................................................            -0.1
15486...................................................               0
15536...................................................               0
15602...................................................             0.1
15874...................................................            0.69
15956...................................................            0.97
16042...................................................            1.36
16110...................................................            1.78
16294...................................................            3.23
16478...................................................            1.78
16546...................................................            1.36
16632...................................................            0.97
16714...................................................            0.69
16986...................................................             0.1
17052...................................................               0
17068...................................................               0
17144...................................................           -0.35
17220...................................................            -0.9
17306...................................................           -1.59
17392...................................................            -0.9
17468...................................................           -0.35
17544...................................................               0
17558...................................................               0
17742...................................................            0.46
17810...................................................            0.69
17890...................................................            1.08
17958...................................................            1.53
18110...................................................            2.75
18262...................................................            1.53
18330...................................................            1.08
18410...................................................            0.69
18478...................................................            0.46
18662...................................................               0
18680...................................................               0
18806...................................................           -0.39
18874...................................................           -0.66
18950...................................................           -1.15
19112...................................................           -2.44
19274...................................................           -1.15
19350...................................................           -0.66
19418...................................................           -0.39
19544...................................................               0
19556...................................................               0
19610...................................................            0.28
19706...................................................            1.04
19802...................................................            0.28
19856...................................................               0
19866...................................................               0
19916...................................................           -0.36
19966...................................................               0
19976...................................................               0
19988...................................................             0.1
20000...................................................               0

20808...................................................               0
------------------------------------------------------------------------

Appendix V to Part 1037--Power Take-Off Utility Factors

------------------------------------------------------------------------
                                                          Utility factor
                       Time (min)                            fraction
------------------------------------------------------------------------
0.......................................................               0
10......................................................             0.1
20......................................................            0.18
30......................................................            0.24
40......................................................            0.31
50......................................................            0.36
60......................................................             0.4
70......................................................            0.44
80......................................................            0.47
90......................................................            0.51
100.....................................................            0.54
110.....................................................            0.57
120.....................................................             0.6
130.....................................................            0.64
140.....................................................            0.66
150.....................................................            0.69
160.....................................................            0.71
170.....................................................            0.74
180.....................................................            0.76
190.....................................................            0.77
200.....................................................            0.79
210.....................................................             0.8
220.....................................................            0.82
230.....................................................            0.83
240.....................................................            0.85
250.....................................................            0.86
260.....................................................            0.87
270.....................................................            0.88
280.....................................................            0.88
290.....................................................            0.89
300.....................................................             0.9
310.....................................................             0.9
320.....................................................            0.91
330.....................................................            0.92
340.....................................................            0.93
350.....................................................            0.93
360.....................................................            0.94
370.....................................................            0.95
380.....................................................            0.95
390.....................................................            0.96
420.....................................................            0.96
430.....................................................            0.97
460.....................................................            0.97
470.....................................................            0.98
520.....................................................            0.98
530.....................................................            0.99
580.....................................................            0.99
590.....................................................               1
------------------------------------------------------------------------

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

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

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

Subpart A--Overview and Applicability

0
140. Section 1039.2 is revised to read as follows:

Sec.  1039.2  Who is responsible for compliance?

    The regulations in this part 1039 contain provisions that affect
both manufacturers and others. However, the requirements of this part
are generally addressed to the manufacturer. The term ``you'' generally
means the manufacturer, as defined in Sec.  1039.801, especially for
issues related to certification. Note that for engines that become new
after being placed into service (such as engines converted from highway
or stationary use), the requirements that normally apply for
manufacturers of freshly manufactured engines apply to the importer or
any other entity we allow to obtain a certificate of conformity.

0
141. Section 1039.5 is amended by revising the introductory text,
adding paragraph (a)(2)(iii), and revising paragraph (e) to read as
follows:

Sec.  1039.5  Which engines are excluded from this part's requirements?

    This part does not apply to certain nonroad engines, as follows:
    (a) * * *
    (2) * * *
    (iii) Locomotive engines produced under the provisions of 40 CFR
1033.625.
* * * * *
    (e) Engines used in recreational vehicles. Engines certified to
meet the requirements of 40 CFR part 1051 are not subject to the
provisions of this part 1039.

0
142. Section 1039.30 is revised to read as follows:

Sec.  1039.30  Submission of information.

    Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec.  1039.801). See
Sec.  1039.825 for additional reporting and recordkeeping provisions.

Subpart B--Emission Standards and Related Requirements

0
143. Section 1039.101 is amended by revising paragraph (f) to read as
follows:

Sec.  1039.101  What exhaust emission standards must my engines meet
after the 2014 model year?

* * * * *
    (f) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family are designed to operate, except for engines certified
under Sec.  1039.615. For engines certified under Sec.  1039.615, the
standards of this section apply to emissions measured using the
specified test fuel. You must meet the numerical emission standards for
NMHC in this section based on the following types of hydrocarbon
emissions for engines powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Gaseous-fueled engines: Nonmethane-nonethane hydrocarbon
emissions.
    (3) Other engines: NMHC emissions.
* * * * *

0
144. Section 1039.102 is amended by revising paragraph (e)(3) to read
as follows:

Sec.  1039.102  What exhaust emission standards and phase-in allowances
apply for my engines in model year 2014 and earlier?

* * * * *
    (e) * * *
    (3) You may use NOX +NMHC emission credits to certify an
engine family to the alternate NOX +NMHC standards in this
paragraph (e)(3) instead of the otherwise applicable alternate
NOX and NMHC standards. Calculate the alternate
NOX +NMHC standard by adding 0.1 g/kW-hr to the numerical
value of the applicable alternate NOX standard of paragraph
(e)(1) or (2) of this section. Engines certified to the NOX
+NMHC standards of this paragraph (e)(3) may not generate emission
credits. The FEL caps for engine families certified under this
paragraph (e)(3) are the previously applicable NOX +NMHC
standards of 40 CFR 89.112 (generally the Tier 3 standards).
* * * * *

0
145. Section 1039.104 is amended by revising paragraph (g)(5) and
adding paragraph (i) to read as follows:

Sec.  1039.104  Are there interim provisions that apply only for a
limited time?

* * * * *
    (g) * * *
    (5) You may certify engines under this paragraph (g) in any model
year provided for in Table 1 of this section without regard to whether
or not the engine family's FEL is at or below the otherwise applicable
FEL cap. For example, a 200 kW engine certified to the NOX +
NMHC standard of Sec.  1039.102(e)(3) with an FEL equal to the FEL cap
of 4.0 g/kW-hr may nevertheless be certified under this paragraph (g).
* * * * *
    (i) Lead time for diagnostic controls. Model year 2017 and earlier
engines are not subject to the requirements for diagnostic controls as
specified in Sec.  1039.110.

0
146. Section 1039.107 is amended by revising paragraph (b)(2) to read
as follows:

Sec.  1039.107  What evaporative emission standards and requirements
apply?

* * * * *
    (b) * * *
    (2) Present test data to show that equipment using your engines
meets the evaporative emission standards we specify in this section if
you do not use design-based certification under 40 CFR 1048.245.

0
147. Section 1039.110 is added to subpart B to read as follows:

Sec.  1039.110  Recording reductant use and other diagnostic functions.

    (a) Engines equipped with SCR systems using a reductant other than
the engine's fuel must have a diagnostic system that monitors reductant
quality and tank levels and alert operators to the need to refill the
reductant tank before it is empty, or to replace the reductant if it
does not meet your concentration specifications. Unless we approve
other alerts, use a warning lamp or an audible alarm. You do not need
to separately monitor reductant quality if your system uses input from
an exhaust NOX sensor (or other sensor) to alert operators
when reductant quality is inadequate. However, tank level must be
monitored in all cases.
    (b) You may equip your engine with other diagnostic features. If
you do, they must be designed to allow us to read and interpret the
codes. Note that Sec.  1039.205 requires you to provide us any
information needed to read, record, and interpret all the information
broadcast by an engine's onboard computers and electronic control
units.

0
148. Section 1039.120 is amended by revising paragraph (b) introductory
text to read as follows:

Sec.  1039.120  What emission-related warranty requirements apply to
me?

* * * * *
    (b) Warranty period. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be
shorter than any basic mechanical warranty you provide without charge
for the engine. Similarly, the emission-related warranty for any
component may not be shorter than any warranty you provide without
charge for that component. This means that your warranty may not treat
emission-related and nonemission-related defects differently for any
component. If an engine has no hour meter, we base the warranty periods
in this paragraph (b) only on the engine's age (in years). The warranty
period begins when the engine is placed into service. The minimum
warranty periods are shown in the following table:
* * * * *

0
149. Section 1039.125 is amended by revising paragraphs (a)(2)(i),
(a)(3)(i), (a)(4), (c), (e), and (f) introductory text to read as
follows:

Sec.  1039.125  What maintenance instructions must I give to buyers?

* * * * *
    (a) * * *
    (2) * * *
    (i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
* * * * *
    (3) * * *
    (i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
* * * * *
    (4) For particulate traps, trap oxidizers, and components related
to either of these, scheduled maintenance may include cleaning or
repair at the intervals specified in paragraph (a)(2)(ii) or (a)(3)(ii)
of this section, as applicable. Scheduled maintenance may include a
shorter interval for cleaning or repair and may also include adjustment
or replacement, but only if we approve it. We will approve your request
if you provide the maintenance free of charge and clearly state this in
your maintenance instructions, and you provide us additional
information as needed to convince us that the maintenance will occur.
* * * * *
    (c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. You may also address maintenance of low-use engines (such
as recreational or stand-by engines) by specifying the maintenance
interval in terms of calendar months or years in addition to your
specifications in terms of engine operating hours. All special
maintenance instructions must be consistent with good engineering
judgment. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
maintenance that is unlikely to occur in use, or engine operation that
is not atypical. For example, this paragraph (c) does not allow you to
design engines that require special maintenance for a certain type of
expected operation. If we determine that certain maintenance items do
not qualify as special maintenance under this paragraph (c), you may
identify this as recommended additional maintenance under paragraph (b)
of this section.
* * * * *
    (e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems or fuel-water separator
cartridges or elements, and adjusting idle speed, governor, engine bolt
torque, valve lash, or injector lash. You may not perform this
nonemission-related maintenance on emission-data engines more often
than the least frequent intervals that you recommend to the ultimate
purchaser.
    (f) Source of parts and repairs. State clearly in your written
maintenance instructions that a repair shop or person of the owner's
choosing may maintain, replace, or repair emission-control devices and
systems. Your instructions may not require components or service
identified by brand, trade, or corporate name. Also, do not directly or
indirectly condition your warranty on a requirement that the engine be
serviced by your franchised dealers or any other service establishments
with which you have a commercial relationship. You may disregard the
requirements in this paragraph (f) if you do one of two things:
* * * * *

0
150. Section 1039.130 is amended by adding paragraph (b)(4) and
revising paragraph (b)(5) to read as follows:

Sec.  1039.130  What installation instructions must I give to equipment
manufacturers?

* * * * *
    (b) * * *
    (4) Describe any necessary steps for installing the diagnostic
system described in Sec.  1039.110.
    (5) Describe how your certification is limited for any type of
application. For example, if your engines are certified only for
constant-speed operation, tell

equipment manufacturers not to install the engines in variable-speed
applications.
* * * * *

0
151. Section 1039.135 is amended by revising paragraphs (b), (c)(2),
and (d) to read as follows:

Sec.  1039.135  How must I label and identify the engines I produce?

* * * * *
    (b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must meet the requirements of 40 CFR
1068.45.
    (c) * * *
    (2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the branding provisions of 40 CFR 1068.45.
* * * * *
    (d) You may add information to the emission control information
label as follows:
    (1) You may identify other emission standards that the engine meets
or does not meet (such as international standards), as long as this
does not cause you to omit any of the information described in
paragraphs (c)(5) through (10) of this section. You may add the
information about the other emission standards to the statement we
specify, or you may include it in a separate statement.
    (2) You may add other information to ensure that the engine will be
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels.
For example, you may include the engine's unique identification number
on the label.
* * * * *

Subpart C--Certifying Engine Families

0
152. Section 1039.201 is amended by revising paragraphs (a) and (g) to
read as follows:

Sec.  1039.201  What are the general requirements for obtaining a
certificate of conformity?

    (a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
for new production from the indicated effective date until the end of
the model year for which it is issued, which may not extend beyond
December 31 of that year. No new certificate will be issued after
December 31 of the model year. You may amend your application for
certification after the end of the model year in certain circumstances
as described in Sec. Sec.  1039.220 and 1039.225. You must renew your
certification annually for any engines you continue to produce.
* * * * *
    (g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec.  1039.235(c)). Alternatively,
you may choose to deliver another engine that is identical in all
material respects to the test engine, or another engine that we
determine can appropriately serve as an emission-data engine for the
engine family.
* * * * *

0
153. Section 1039.205 is amended by revising paragraph (r)(1) and
adding paragraph (bb) to read as follows:

Sec.  1039.205  What must I include in my application?

* * * * *
    (r) * * *
    (1) Report all valid test results involving measurement of
pollutants for which emission standards apply. Also indicate whether
there are test results from invalid tests or from any other tests of
the emission-data engine, whether or not they were conducted according
to the test procedures of subpart F of this part. We may require you to
report these additional test results. We may ask you to send other
information to confirm that your tests were valid under the
requirements of this part and 40 CFR part 1065.
* * * * *
    (bb) For imported engines or equipment, identify the following:
    (1) Describe your normal practice for importing engines. For
example, this may include identifying the names and addresses of any
agents you have authorized to import your engines.
    (2) For engines below 560 kW, identify a test facility in the
United States where you can test your engines if we select them for
testing under a selective enforcement audit, as specified in 40 CFR
part 1068, subpart E.

0
154. Section 1039.220 is amended by revising the section heading as to
read as follows:

Sec.  1039.220  How do I amend my maintenance instructions?

* * * * *

0
155. Section 1039.225 is amended by adding paragraphs (b)(4) and (g) to
read as follows:

Sec.  1039.225  How do I amend my application for certification?

* * * * *
    (b) * * *
    (4) Include any other information needed to make your application
correct and complete.
* * * * *
    (g) You may produce engines as described in your amended
application for certification and consider those engines to be in a
certified configuration if we approve a new or modified engine
configuration during the model year under paragraph (d) of this
section. Similarly, you may modify in-use engines as described in your
amended application for certification and consider those engines to be
in a certified configuration if we approve a new or modified engine
configuration at any time under paragraph (d) of this section.
Modifying a new or in-use engine to be in a certified configuration
does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as
long as this does not involve changing to a certified configuration
with a higher family emission limit.

0
156. Section 1039.230 is amended by revising paragraph (b)(1) to read
as follows:

Sec.  1039.230  How do I select engine families?

* * * * *
    (b) * * *
    (1) The combustion cycle and fuel. However, you do not need to
separate dual-fuel and flexible-fuel engines into separate engine
families.
* * * * *

0
157. Section 1039.235 is amended by revising paragraphs (a), (b), (c)
introductory text, (c)(4), and (d)(1) to read as follows:

Sec.  1039.235  What testing requirements apply for certification?

* * * * *
    (a) Select an emission-data engine from each engine family for
testing. Select the engine configuration with the highest volume of
fuel injected per cylinder per combustion cycle at the point of maximum
torque--unless good engineering judgment indicates that a different
engine configuration is more likely to exceed (or have emissions nearer
to) an applicable emission standard or FEL. If two or more engines have
the same fueling rate at maximum torque, select the one with the
highest fueling rate at rated speed. In making this selection, consider
all factors expected to affect emission-control performance and
compliance with the standards, including emission levels of all exhaust
constituents, especially NOX and PM.
    (b) Test your emission-data engines using the procedures and
equipment

specified in subpart F of this part. In the case of dual-fuel engines,
measure emissions when operating with each type of fuel for which you
intend to certify the engine. In the case of flexible-fuel engines,
measure emissions when operating with the fuel mixture that best
represents in-use operation or is most likely to have the highest
NOX emissions (or NOX+NMHC emissions for engines
subject to NOX+NMHC standards), though you may ask us
instead to perform tests with both fuels separately if you can show
that intermediate mixtures are not likely to occur in use.
    (c) We may perform confirmatory testing by measuring emissions from
any of your emission-data engines or other engines from the engine
family, as follows:
* * * * *
    (4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec.  1039.801) because it is permanently
sealed. For parameters that relate to a level of performance that is
itself subject to a specified range (such as maximum power output), we
will generally perform any calibration under this paragraph (c)(4) in a
way that keeps performance within the specified range.
    (d) * * *
    (1) The engine family from the previous model year differs from the
current engine family only with respect to model year, items identified
in Sec.  1039.225(a), or other characteristics unrelated to emissions.
We may waive this criterion for differences we determine not to be
relevant.
* * * * *

0
158. Section 1039.240 is amended by revising paragraphs (c) and (d) and
removing paragraph (e).
    The revisions read as follows:

Sec.  1039.240  How do I demonstrate that my engine family complies
with exhaust emission standards?

* * * * *
    (c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Section 1039.245 specifies
how to test your engine to develop deterioration factors that represent
the deterioration expected in emissions over your engines' full useful
life. Your deterioration factors must take into account any available
data from in-use testing with similar engines. Small-volume engine
manufacturers may use assigned deterioration factors that we establish.
Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (c)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor is the difference between exhaust emissions at the end of the
useful life and exhaust emissions at the low-hour test point. In these
cases, adjust the official emission results for each tested engine at
the selected test point by adding the factor to the measured emissions.
If the factor is less than zero, use zero. Additive deterioration
factors must be specified to one more decimal place than the applicable
standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use
a multiplicative deterioration factor if good engineering judgment
calls for the deterioration factor for a pollutant to be the ratio of
exhaust emissions at the end of the useful life to exhaust emissions at
the low-hour test point. For example, if you use aftertreatment
technology that controls emissions of a pollutant proportionally to
engine-out emissions, it is often appropriate to use a multiplicative
deterioration factor. Adjust the official emission results for each
tested engine at the selected test point by multiplying the measured
emissions by the deterioration factor. If the factor is less than one,
use one. A multiplicative deterioration factor may not be appropriate
in cases where testing variability is significantly greater than
engine-to-engine variability. Multiplicative deterioration factors must
be specified to one more significant figure than the applicable
standard.
    (3) Sawtooth and other nonlinear deterioration patterns. The
deterioration factors described in paragraphs (c)(1) and (2) of this
section assume that the highest useful life emissions occur either at
the end of useful life or at the low-hour test point. The provisions of
this paragraph (c)(3) apply where good engineering judgment indicates
that the highest emissions over the useful life will occur between
these two points. For example, emissions may increase with service
accumulation until a certain maintenance step is performed, then return
to the low-hour emission levels and begin increasing again. Base
deterioration factors for engines with such emission patterns on the
difference between (or ratio of) the point at which the highest
emissions occur and the low-hour test point. Note that this applies for
maintenance-related deterioration only where we allow such critical
emission-related maintenance.
    (4) Deterioration factor for smoke. Deterioration factors for smoke
are always additive, as described in paragraph (c)(1) of this section.
    (5) Deterioration factor for crankcase emissions. If your engine
vents crankcase emissions to the exhaust or to the atmosphere, you must
account for crankcase emission deterioration, using good engineering
judgment. You may use separate deterioration factors for crankcase
emissions of each pollutant (either multiplicative or additive) or
include the effects in combined deterioration factors that include
exhaust and crankcase emissions together for each pollutant.
    (6) Dual-fuel and flexible-fuel engines. In the case of dual-fuel
and flexible-fuel engines, apply deterioration factors separately for
each fuel type. You may accumulate service hours on a single emission-
data engine using the type of fuel or the fuel mixture expected to have
the highest combustion and exhaust temperatures; you may ask us to
approve a different fuel mixture if you demonstrate that a different
criterion is more appropriate.
    (d) Determine the official emission result for each pollutant to at
least one more decimal place than the applicable standard. Apply the
deterioration factor to the official emission result, as described in
paragraph (c) of this section, then round the adjusted figure to the
same number of decimal places as the emission standard. Compare the
rounded emission levels to the emission standard for each emission-data
engine. In the case of NOX+NMHC standards, apply the
deterioration factor to each pollutant and then add the results before
rounding.

0
159. Section 1039.250 is amended by revising paragraphs (b)(3)(iv) and
(c) to read as follows:

Sec.  1039.250  What records must I keep and what reports must I send
to EPA?

* * * * *
    (b) * * *
    (3) * * *
    (iv) All your emission tests, including the date and purpose of
each test and documentation of test parameters as specified in part 40
CFR part 1065.
* * * * *
    (c) Keep required data from emission tests and all other
information specified in this section for eight years after we issue
your certificate. If you use the same emission data or other
information for a later model year, the eight-year

period restarts with each year that you continue to rely on the
information.
* * * * *

0
160. Section 1039.255 is amended by revising paragraphs (c)(2) and (4),
(d), and (e) to read as follows:

Sec.  1039.255  What decisions may EPA make regarding my certificate of
conformity?

* * * * *
    (c) * * *
    (2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent). This includes doing anything
after submission of your application to render any of the submitted
information false or incomplete.
* * * * *
    (4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
* * * * *
    (d) We may void the certificate of conformity for an engine family
if you fail to keep records, send reports, or give us information as
required under this part or the Act. Note that these are also
violations of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally
submitted false or incomplete information. This includes rendering
submitted information false or incomplete after submission.
* * * * *

Subpart F--Test Procedures

0
161. Section 1039.501 is amended by revising paragraphs (a), (e), (f),
and (g) and adding paragraph (h) to read as follows:

Sec.  1039.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in subpart B of this part. Measure the
emissions of all the exhaust constituents subject to emission standards
as specified in 40 CFR part 1065. Measure CO2,
N2O, and CH4 as described in Sec.  1039.235. Use
the applicable duty cycles specified in Sec. Sec.  1039.505 and
1039.510.
* * * * *
    (e) The following provisions apply for engines using aftertreatment
technology with infrequent regeneration events that may occur during
testing:
    (1) Adjust measured emissions to account for aftertreatment
technology with infrequent regeneration as described in Sec.  1039.525.
    (2) If your engine family includes engines with one or more
emergency AECDs approved under Sec.  1039.115(g)(4) or (5), do not
consider additional regenerations resulting from those AECDs when
developing adjustments to measured values under this paragraph (e).
    (3) Invalidate a smoke test if active regeneration starts to occur
during the test.
    (f) You may disable any AECDs that have been approved solely for
emergency equipment applications under Sec.  1039.115(g)(4). Note that
the emission standards do not apply when any of these AECDs are active.
    (g) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
    (h) This subpart is addressed to you as a manufacturer, but it
applies equally to anyone who does testing for you, and to us when we
perform testing to determine if your engines meet emission standards.

0
162. Section 1039.505 is amended by revising paragraph (b)(2) to read
as follows:

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

* * * * *
    (b) * * *
    (2) Use the 6-mode duty cycle or the corresponding ramped-modal
cycle described in paragraph (b) of Appendix II of this part for
variable-speed engines below 19 kW. You may instead use the 8-mode duty
cycle or the corresponding ramped-modal cycle described in paragraph
(c) of Appendix II of this part if some engines from your engine family
will be used in applications that do not involve governing to maintain
engine operation around rated speed.
* * * * *

0
163. Section 1039.515 is amended by revising paragraph (a) to read as
follows:

Sec.  1039.515  What are the test procedures related to not-to-exceed
standards?

    (a) General provisions. The provisions in 40 CFR 86.1370 apply for
determining whether an engine meets the not-to-exceed emission
standards in Sec.  1039.101(e), except as noted in this section.
Interpret references to vehicles and vehicle operation to mean
equipment and equipment operation.
* * * * *

0
164. Section 1039.525 is revised to read as follows:

Sec.  1039.525  How do I adjust emission levels to account for
infrequently regenerating aftertreatment devices?

    For engines using aftertreatment technology with infrequent
regeneration events that may occur during testing, take one of the
following approaches to account for the emission impact of
regeneration:
    (a) You may use the calculation methodology described in 40 CFR
1065.680 to adjust measured emission results. Do this by developing an
upward adjustment factor and a downward adjustment factor for each
pollutant based on measured emission data and observed regeneration
frequency as follows:
    (1) Adjustment factors should generally apply to an entire engine
family, but you may develop separate adjustment factors for different
configurations within an engine family. Use the adjustment factors from
this section for all testing for the engine family.
    (2) You may use carryover or carry-across data to establish
adjustment factors for an engine family as described in Sec.  1039.235,
consistent with good engineering judgment.
    (3) For engines that are required to certify to both transient and
steady-state duty cycles, calculate a separate adjustment factor for
steady-state and transient operation.
    (b) You may ask us to approve an alternate methodology to account
for regeneration events. We will generally limit approval to cases
where your engines use aftertreatment technology with extremely
infrequent regeneration and you are unable to apply the provisions of
this section.
    (c) You may choose to make no adjustments to measured emission
results if you determine that regeneration does not significantly
affect emission levels for an engine family (or configuration) or if it
is not practical to identify when regeneration occurs. If you choose
not to make adjustments under paragraph (a) or (b) of this section,
your engines must meet emission standards for all testing, without
regard to regeneration.

Subpart G--Special Compliance Provisions

0
165. Section 1039.601 is revised to read as follows:

Sec.  1039.601  What compliance provisions apply?

    (a) Engine and equipment manufacturers, as well as owners,
operators, and rebuilders of engines subject to the requirements of
this part,

and all other persons, must observe the provisions of this part, the
requirements and prohibitions in 40 CFR part 1068, and the provisions
of the Act.
    (b) Subpart C of this part describes how to test and certify dual-
fuel and flexible-fuel engines. Some multi-fuel engines may not fit
either of those defined terms. For such engines, we will determine
whether it is most appropriate to treat them as single-fuel engines,
dual-fuel engines, or flexible-fuel engines based on the range of
possible and expected fuel mixtures. For example, an engine might burn
natural gas but initiate combustion with a pilot injection of diesel
fuel. If the engine is designed to operate with a single fueling
algorithm (i.e., fueling rates are fixed at a given engine speed and
load condition), we would generally treat it as a single-fuel engine,
In this context, the combination of diesel fuel and natural gas would
be its own fuel type. If the engine is designed to also operate on
diesel fuel alone, we would generally treat it as a dual-fuel engine.
If the engine is designed to operate on varying mixtures of the two
fuels, we would generally treat it as a flexible-fuel engine. To the
extent that requirements vary for the different fuels or fuel mixtures,
we may apply the more stringent requirements.

0
166. Section 1039.605 is amended by revising paragraphs (b), (d)(5),
and (d)(8) to read as follows:

Sec.  1039.605  What provisions apply to engines certified under the
motor-vehicle program?

* * * * *
    (b) Equipment-manufacturer provisions. If you are not an engine
manufacturer, you may install motor-vehi cle engines certified for the
appropriate model year under 40 CFR part 86 in nonroad equipment as
long as you meet all the requirements and conditions specified in
paragraph (d) of this section. You must also add the fuel-inlet label
we specify in Sec.  1039.135(e). If you modify the motor-vehicle engine
in any of the ways described in paragraph (d)(2) of this section, we
will consider you a manufacturer of a new nonroad engine. Such engine
modifications prevent you from using the provisions of this section.
* * * * *
    (d) * * *
    (5) You must add a permanent supplemental label to the engine in a
position where it will remain clearly visible after installation in the
equipment. In the supplemental label, do the following:
    (i) Include the heading: ``NONROAD ENGINE EMISSION CONTROL
INFORMATION''.
    (ii) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the branding provisions of 40 CFR 1068.45.
    (iii) State: ``THIS ENGINE WAS ADAPTED FOR NONROAD USE WITHOUT
AFFECTING ITS EMISSION CONTROLS. THE EMISSION-CONTROL SYSTEM DEPENDS ON
THE USE OF FUEL MEETING SPECIFICATIONS THAT APPLY FOR MOTOR-VEHICLE
APPLICATIONS. OPERATING THE ENGINE ON OTHER FUELS MAY BE A VIOLATION OF
FEDERAL LAW.''
    (iv) State the date you finished modifying the engine (month and
year), if applicable.
* * * * *
    (8) Send the Designated Compliance Officer written notification
describing your plans before using the provisions of this section. In
addition, by February 28 of each calendar year (or less often if we
tell you), send the Designated Compliance Oficer a signed letter with
all the following information:
    (i) Identify your full corporate name, address, and telephone
number.
    (ii) List the engine or equipment models for which you used this
exemption in the previous year and describe your basis for meeting the
sales restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We prepared each listed [engine or equipment] model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1039.605.''
* * * * *

0
167. Section 1039.610 is amended by revising paragraphs (d)(5)(ii) and
(d)(7) to read as follows:

Sec.  1039.610  What provisions apply to vehicles certified under the
motor-vehicle program?

* * * * *
    (d) * * *
    (5) * * *
    (ii) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the branding provisions of 40 CFR 1068.45.
* * * * *
    (7) Send the Designated Compliance Officer written notification
describing your plans before using the provisions of this section. In
addition, by February 28 of each calendar year (or less often if we
tell you), send the Designated Compliance Officer a signed letter with
all the following information:
    (i) Identify your full corporate name, address, and telephone
number.
    (ii) List the equipment models for which you used this exemption in
the previous year and describe your basis for meeting the sales
restrictions of paragraph (d)(3) of this section.
    (iii) State: ``We prepared each listed engine or equipment model
for nonroad application without making any changes that could increase
its certified emission levels, as described in 40 CFR 1039.610.''
* * * * *

Sec. Sec.  1039.640 and 1039.660  [Removed]

0
168. Sections 1039.640 and 1039.660 are removed.

0
169. A new Sec.  1039.699 is added to subpart G to read as follows:

Sec.  1039.699  Emission standards and certification requirements for
auxiliary power units for highway tractors.

    (a) This section describes emission standards and certification
requirements for auxiliary power units (APU) installed on highway
tractors subject to standards under 40 CFR 1037.106 starting in model
year 2024.
    (b) You may apply for a certificate of conformity under this
section if you manufacture APUs, or if you install emission control
hardware to meet the standard in this section.
    (c) Exhaust emissions may not exceed a PM standard of 0.02 g/kW-hr
when tested using the steady-state test procedures described in subpart
F of this part for the duty cycles specified in Sec.  1039.505(b)(1).
Your APUs must meet the exhaust emission standards of this section over
the engine's useful life as specified in Sec.  1039.101(g). These
emission standards also apply for testing with production and in-use
APUs.
    (d) The APU is deemed to have a valid certificate of conformity
under this section if the engine manufacturer certifies the engine
under 40 CFR part 1039 with a family emission limit of 0.02 g/kW-hr or
less.
    (e) The APU may draw power from the installed engine to regenerate
a particulate filter, but you must not make any other changes to the
certified engine that could reasonably be expected to increase its
emissions of any pollutant.
    (f) Sections 1039.115, 1039.120, 1039.125, and 1039.130 apply for
APUs as written. You must exercise due diligence in ensuring that your
system will not adversely affect safety or otherwise violate the
prohibition of Sec.  1039.115(f).

    (g) All your APUs are considered to be part of a single emission
family; however, you may subdivide your APUs into multiple emission
families if you show the expected emission characteristics are
different during the useful life.
    (h) Testing requirements apply for certification as follows:
    (1) Select an emission-data APU representing a worst-case condition
for PM emissions. Measure emissions from the test engine with the APU
installed according to your specifications.
    (2) We may require you to provide an engineering analysis showing
that the performance of your emission controls will not deteriorate
during the useful life with proper maintenance. If we determine that
your emission controls are likely to deteriorate during the useful
life, we may require you to develop and apply deterioration factors
consistent with good engineering judgment.
    (3) Collect emission data and round to the nearest 0.01 g/kW-hr for
comparing to the standard. Calculate full-life emissions as described
in Sec.  1039.240(d) if you need to apply a deterioration factor.
    (4) You may ask to use emission data from a previous production
period instead of doing new tests as described in Sec.  1039.235(d).
    (5) Additional testing provisions apply as described in Sec.
1039.235(c), (e), and (f).
    (i) Your APU certificate is valid for any engine certified under
this part 1039, as long as the engine has a maximum engine power no
more than 10 percent greater than the maximum engine power of the
engine used for certification testing under this section.
    (j) The following provisions apply for determining whether your APU
complies with the requirements of this section:
    (1) For purposes of certification, your emission family is
considered in compliance with the emission standards of this section if
all emission-data APUs representing that family have test results
showing compliance with the standards.
    (2) Your engine family is deemed not to comply if any emission-data
APU representing that family for certification has test results showing
a full-life emission level above the PM standard.
    (k) At the time of manufacture, affix a permanent and legible label
identifying each APU. This applies even if the engine manufacturer
certifies a compliant engine as described in paragraph (d) of this
section. The label must meet the specifications described in 40 CFR
1068.45(a). The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark.
    (3) State: ``THIS APU ENGINE COMPLIES WITH 40 CFR 1039.699.''
    (l) [Reserved]
    (m) See Sec. Sec.  1039.201, 1039.210, 1039.220, 1039.225,
1039.250, and 1039.255 for general requirements related to obtaining a
certificate of conformity. A certificate issued under this section may
apply for a production period lasting up to five years. Include the
following information in your application for certification, unless we
ask you to include less information:
    (1) Describe the emission family's specifications and other basic
parameters of the APU's design and emission controls. List each
distinguishable configuration in the emission family. For each APU
configuration, list the maximum engine power for which the APU is
designed to operate.
    (2) Explain how the emission control system operates. Identify the
part number of each component you describe.
    (3) Describe the engines you selected for testing and the reasons
for selecting them.
    (4) Describe the test equipment and procedures that you used. Also
describe any special or alternate test procedures you used.
    (5) Describe how you operated the emission-data APU before testing,
including any operation to break in the APU or otherwise stabilize
emission levels. Describe any scheduled maintenance you did.
    (6) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
    (7) Include the maintenance and warranty instructions you will
provide (see Sec. Sec.  1039.120 and 1039.125).
    (8) Describe your emission control information label.
    (9) Identify the emission family's deterioration factors and
describe how you developed them, or summarize your analysis describing
why you don't expect performance of emission controls to deteriorate.
Present any emission test data you used for this.
    (10) State that you operated your emission-data APU as described in
the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
    (11) Present emission data for PM.
    (12) Report all test results, including those from invalid tests,
whether or not they were conducted according to the test procedures of
subpart F of this part. We may ask you to send other information to
confirm that your tests were valid under the requirements of this part
and 40 CFR part 1065.
    (13) Describe any adjustable operating parameters as described in
Sec.  1039.205(s).
    (14) Unconditionally certify that all the APUs in the emission
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
    (15) Provide additional information if we say we need it to
evaluate your application.
    (16) Name an agent for service located in the United States.
Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.
    (n) If a highway tractor manufacturer violates 40 CFR 1037.106(g)
by installing an APU from you that is not properly certified and
labeled, you are presumed to have caused the violation (see 40 CFR
1068.101(c)).

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

0
170. Section 1039.701 is amended by adding paragraph (h) to read as
follows:

Sec.  1039.701  General provisions.

* * * * *
    (h) You may use either of the following approaches to retire or
forego emission credits:
    (1) You may retire emission credits generated from any number of
your engines. This may be considered donating emission credits to the
environment. Identify any such credits in the reports described in
Sec.  1039.730. Engines must comply with the applicable FELs even if
you donate or sell the corresponding emission credits under this
paragraph (h). Those credits may no longer be used by anyone to
demonstrate compliance with any EPA emission standards.
    (2) You may certify a family using an FEL below the emission
standard as described in this part and choose not to generate emission
credits for that family. If you do this, you do not need to calculate
emission credits for those families and you do not need to submit or
keep the associated records described in this subpart for that family.

0
171. Section 1039.705 is amended by revising paragraphs (b), (c)
introductory text, and (c)(1) to read as follows:

Sec.  1039.705  How do I generate and calculate emission credits?

* * * * *

    (b) 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 the sum of
emission credits to the nearest kilogram (kg), using consistent units
throughout the following equation:

Emission credits (kg) = (Std-FEL) [ltarr8] (Volume) [ltarr8] (AvgPR)
[ltarr8] (UL) [ltarr8] (10-3)

Where:

Std = the emission standard, in grams per kilowatt-hour, that
applies under subpart B of this part for engines not participating
in the ABT program of this subpart (the ``otherwise applicable
standard'').
FEL = the family emission limit for the engine family, in grams per
kilowatt-hour.
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.
AvgPR = the average value of maximum engine power values for the
engine configurations within an engine family, calculated on a
sales-weighted basis, in kilowatts.
UL = the useful life for the given engine family, in hours.
    (c) As described in Sec.  1039.730, compliance with the
requirements of this subpart is determined at the end of the model year
based on actual U.S.-directed production volumes. Do not include any of
the following engines to calculate emission credits:
    (1) Engines with a permanent exemption under subpart G of this part
or under 40 CFR part 1068.
* * * * *

0
172. Section 1039.710 is amended by revising paragraph (c) to read as
follows:

Sec.  1039.710  How do I average emission credits?

* * * * *
    (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.  1039.730. 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 from previous model years, or from emission credits generated in
the same or previous model years that you obtained through trading.

0
173. Section 1039.725 is amended by revising paragraph (b)(2) to read
as follows:

Sec.  1039.725  What must I include in my application for
certification?

* * * * *
    (b) * * *
    (2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid negative credit balances for
the model year. If you project negative emission credits for a family,
state the source of positive emission credits you expect to use to
offset the negative emission credits.

0
174. Section 1039.730 is amended by revising paragraphs (b)(1), (b)(4),
(c)(2), and (d) to read as follows:

Sec.  1039.730  What ABT reports must I send to EPA?

* * * * *
    (b) * * *
    (1) Engine-family designation and averaging set.
* * * * *
    (4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FEL during the model year, identify
the actual U.S.-directed production volume associated with each FEL.
* * * * *
    (c) * * *
    (2) State whether you will retain any emission credits for banking.
If you choose to retire emission credits that would otherwise be
eligible for banking, identify the engine families that generated the
emission credits, including the number of emission credits from each
family.
* * * * *
    (d) If you trade emission credits, you must send us a report within
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The averaging set corresponding to the engine families that
generated emission credits for the trade, including the number of
emission credits from each averaging set.
    (2) As the buyer, you must include the following information in
your 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 for each averaging set.
* * * * *

0
175. Section 1039.735 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec.  1039.735  What records must I keep?

    (a) You must organize and maintain your records as described in
this section.
    (b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for 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.
* * * * *

0
176. Section 1039.740 is amended by revising paragraph (a) to read as
follows:

Sec.  1039.740  What restrictions apply for using emission credits?

* * * * *
    (a) Averaging sets. Emission credits may be exchanged only within
an averaging set. For emission credits generated by Tier 4 engines,
there are two averaging sets--one for engines at or below 560 kW and
another for engines above 560 kW.
* * * * *

Subpart I--Definitions and Other Reference Information

0
177. Section 1039.801 is amended as follows:
0
a. By revising the definitions of ``Aircraft'' and ``Designated
Compliance Officer''.
0
b. By removing the definition for ``Designated Enforcement Officer''.
0
c. By adding definitions for ``Dual-fuel'' and ``Flexible-fuel'' in
alphabetical order.
0
d. By revising paragraph (1)(i) of the definition of ``Model year'' and
the definitions of ``Owners manual'' and ``Placed into service''.
0
e. By removing the definition for ``Point of first retail sale''.
0
f. By revising the definition for ``Sulfur-sensitive technology''.
    The revisions and additions read as follows:

Sec.  1039.801  What definitions apply to this part?

* * * * *

    Aircraft means any vehicle capable of sustained air travel more
than 100 feet above the ground.
* * * * *
    Designated Compliance Officer means the Director, Diesel Engine
Compliance Center, U.S. Environmental Protection Agency, 2000
Traverwood Drive, Ann Arbor, MI 48105<EMAIL_ADDRESS>epa.gov/otaq/verify.
* * * * *
    Dual-fuel means relating to an engine designed for operation on two
different fuels but not on a continuous mixture of those fuels (see
Sec.  1039.601(b)). For purposes of this part, such an engine remains a
dual-fuel engine even if it is designed for operation on three or more
different fuels.
* * * * *
    Flexible-fuel means relating to an engine designed for operation on
any mixture of two or more different fuels (see Sec.  1039.601(b)).
* * * * *
    Model year means one of the following things:
    (1) * * *
    (i) Calendar year of production.
* * * * *
    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.
* * * * *
    Placed into service means put into initial use for its intended
purpose. Engines and equipment do not qualify as being ``placed into
service'' based on incidental use by a manufacturer or dealer.
* * * * *
    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
diesel fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm)
as compared to when it is operated on ultra-low sulfur diesel fuel
(i.e., fuel with a sulfur concentration less than 15 ppm). Exhaust gas
recirculation is not a sulfur-sensitive technology.
* * * * *

0
178. Section 1039.815 is revised to read as follows:

Sec.  1039.815  What provisions apply to confidential information?

    The provisions of 40 CFR 1068.10 apply for information you consider
confidential.

0
179. Section 1039.825 is revised to read as follows:

Sec.  1039.825  What reporting and recordkeeping requirements apply
under this part?

    (a) This part includes various requirements to submit and record
data or other information. Unless we specify otherwise, store required
records in any format and on any media and keep them readily available
for eight years after you send an associated application for
certification, or eight years after you generate the data if they do
not support an application for certification. You are expected to keep
your own copy of required records rather than relying on someone else
to keep records on your behalf. We may review these records at any
time. You must promptly send us organized, written records in English
if we ask for them. We may require you to submit written records in an
electronic format.
    (b) The regulations in Sec.  1039.255, 40 CFR 1068.25, and 40 CFR
1068.101 describe your obligation to report truthful and complete
information. This includes information not related to certification.
Failing to properly report information and keep the records we specify
violates 40 CFR 1068.101(a)(2), which may involve civil or criminal
penalties.
    (c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec.  1039.801).
    (d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
    (e) 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 and equipment regulated under this part:
    (1) We specify the following requirements related to engine
certification in this part 1039:
    (i) In Sec.  1039.20 we require engine manufacturers to label
stationary engines that do not meet the standards in this part.
    (ii) In Sec.  1039.135 we require engine manufacturers to keep
certain records related to duplicate labels sent to equipment
manufacturers.
    (iii) [Reserved]
    (iv) In subpart C of this part we identify a wide range of
information required to certify engines.
    (v) [Reserved]
    (vi) 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. For example,
equipment manufacturers must submit reports and keep records related to
the flexibility provisions in Sec.  1039.625.
    (vii) In Sec.  1039.725, 1039.730, and 1039.735 we specify certain
records related to averaging, banking, and trading.
    (2) We specify the following requirements related to testing in 40
CFR part 1065:
    (i) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
    (ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
    (iii) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
    (iv) In 40 CFR 1065.695 we identify the specific information and
data items to record when measuring emissions.
    (3) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
    (i) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
    (ii) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
    (iii) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
    (iv) In 40 CFR 1068.105 we require equipment manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
    (v) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
    (vi) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
    (vii) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
    (viii) In 40 CFR 1068.450 and 1068.455 we specify certain records

related to testing production-line engines in a selective enforcement
audit.
    (ix) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
    (x) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.
    (xi) In 40 CFR part 1068, subpart G, we specify certain records for
requesting a hearing.

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

0
180. The authority citation for part 1042 continues to read as follows:

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

Subpart A--Overview and Applicability

0
181. Section 1042.1 is amended by revising paragraphs (a) and (c)
introductory text to read as follows:

Sec.  1042.1  Applicability.

* * * * *
    (a) The emission standards of this part 1042 for freshly
manufactured engines apply for new marine engines starting with the
model years noted in the following table:

                         Table 1 to Sec.   1042.1--Part 1042 Applicability by Model Year
----------------------------------------------------------------------------------------------------------------
                                                                       Displacement (L/cyl) or
           Engine category              Maximum engine power \a\             application            Model year
----------------------------------------------------------------------------------------------------------------
Category 1..........................  kW < 75.....................  disp.< 0.9..................        \b\ 2009
                                      75 <= kW <= 3700............  disp.< 0.9..................            2012
                                                                    0.9 <= disp. < 1.2..........            2013
                                                                    1.2 <= disp. < 2.5..........            2014
                                                                    2.5 <= disp. < 3.5..........            2013
                                                                    3.5 <= disp. < 7.0..........            2012
                                      kW > 3700...................  All.........................            2014
Category 2..........................  kW <= 3700..................  7.0 <= disp. < 15.0.........            2013
                                      kW > 3700...................  7.0 <= disp. < 15.0.........            2014
                                      All.........................  15 <= disp. < 30............            2014
Category 3..........................  All.........................  disp. >= 30.................            2011
----------------------------------------------------------------------------------------------------------------
\a\ See Sec.   1042.140, which describes how to determine maximum engine power.
\b\ See Table 1 of Sec.   1042.101 for the first model year in which this part 1042 applies for engines with
  maximum engine power below 75 kW and displacement at or above 0.9 L/cyl.

* * * * *
    (c) Freshly manufactured engines with maximum engine power at or
above 37 kW and originally manufactured and certified before the model
years identified in Table 1 to this section are subject to emission
standards and requirements of 40 CFR part 94. The provisions of this
part 1042 do not apply for such engines certified under 40 CFR part 94,
except as follows beginning June 29, 2010:
* * * * *

0
182. Section 1042.2 is revised to read as follows:

Sec.  1042.2  Who is responsible for compliance?

    The regulations in this part 1042 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part, other than those of subpart I of this part, are generally
addressed to the engine manufacturer for freshly manufactured marine
engines or other certificate holders. The term ``you'' generally means
the engine manufacturer, as defined in Sec.  1042.901, especially for
issues related to certification (including production-line testing,
reporting, etc.). Note that for engines that become new after being
placed into service (such as engines converted from highway or
stationary use, or engines installed on vessels that are reflagged to
become U.S. vessels), the requirements that normally apply for
manufacturers of freshly manufactured engines apply to the importer or
any other entity we allow to obtain a certificate of conformity.

0
183. Section 1042.30 is revised to read as follows:

Sec.  1042.30  Submission of information.

    Unless we specify otherwise, send all reports and requests for
approval to the Designated Compliance Officer (see Sec.  1042.901). See
Sec.  1042.925 for additional reporting and recordkeeping provisions.

Subpart B--Emission Standards and Related Requirements

0
184. Section 1042.101 is amended by revising the section heading and
paragraphs (a), (b), (c), and (d)(1)(ii) to read as follows:

Sec.  1042.101  Exhaust emission standards for Category 1 and Category
2 engines.

    (a) Duty-cycle standards. Exhaust emissions from your engines may
not exceed emission standards, as follows:
    (1) Measure emissions using the test procedures described in
subpart F of this part.
    (2) The following CO emission standards in this paragraph (a)(2)
apply starting with the applicable model year identified in Sec.
1042.1:
    (i) 8.0 g/kW-hr for engines below 8 kW.
    (ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
    (iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
    (iv) 5.0 g/kW-hr for engines at or above 37 kW.
    (3) Except as described in paragraphs (a)(4) and (5) of this
section, the Tier 3 standards for PM and NOX+HC emissions
are described in the following tables:

                                   Table 1 to Sec.   1042.101--Tier 3 Standards for Category 1 Engines Below 3700 kW a
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                NOX+HC  (g/kW-
    Power density and application              Displacement  (L/cyl)             Maximum  engine power      Model year     PM  (g/kW-hr)      hr) \b\
--------------------------------------------------------------------------------------------------------------------------------------------------------
All.................................  disp. < 0.9...........................  kW < 19...................           2009+            0.40             7.5
                                                                              19 <= kW < 75.............       2009-2013            0.30             7.5
                                                                                2014+        \c\ 0.30         \c\ 4.7

Commercial engines with kW/L <= 35..  disp. < 0.9...........................  kW >= 75..................           2012+            0.14             5.4
                                      0.9 <= disp. < 1.2....................  all.......................           2013+            0.12             5.4
                                      1.2 <= disp. < 2.5....................  kW < 600..................       2014-2017            0.11             5.6
                                                                                2018+            0.10             5.6
                                                                              kW >= 600.................           2014+            0.11             5.6
                                      2.5 <= disp. < 3.5....................  kW < 600..................       2013-2017            0.11             5.6
                                                                                2018+            0.10             5.6
                                                                              kW >= 600.................           2013+            0.11             5.6
                                      3.5 <= disp. < 7.0....................  kW < 600..................       2012-2017            0.11             5.8
                                                                                2018+            0.10             5.8
                                                                              kW >= 600.................           2012+            0.11             5.8
Commercial engines with kW/L > 35,    disp. < 0.9...........................  kW >= 75..................           2012+            0.15             5.8
 and all recreational engines >= 75
 kW.
                                      0.9 <= disp. < 1.2....................  all.......................           2013+            0.14             5.8
                                      1.2 <= disp. < 2.5                                                           2014+            0.12             5.8
                                      2.5 <= disp. < 3.5                                                           2013+            0.12             5.8
                                      3.5 <= disp. < 7.0                                                           2012+            0.11             5.8
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ No Tier 3 standards apply for commercial Category 1 engines at or above 3700 kW. See Sec.   1042.1(c) and paragraph (a)(7) of this section for the
  standards that apply for these engines.
\b\ The applicable NOX+HC standards specified for Tier 2 engines in Appendix I of this part continue to apply instead of the values noted in the table
  for commercial engines at or above 2000 kW. FELs for these engines may not be higher than the Tier 1 NOX standard specified in Appendix I of this
  part.
\c\ See paragraph (a)(4) of this section for alternative PM and NOX+HC standards for engines at or above 19 kW and below 75 kW with displacement below
  0.9 L/cyl.

              Table 2 to Sec.   1042.101-- Tier 3 Standards for Category 2 Engines Below 3700 kW a
----------------------------------------------------------------------------------------------------------------
                                                                                NOX+HC  (g/kW-
       Displacement  (L/cyl)             Maximum engine power       Model year     PM  (g/kW-hr)        hr)
----------------------------------------------------------------------------------------------------------------
7.0 <= disp. < 15.0................  kW < 2000..................           2013+            0.14             6.2
                                     2000 <= kW <= 3700.........           2013+            0.14         \b\ 7.8
15.0 <= disp. < 20.0 \c\...........  kW < 2000..................           2014+            0.34             7.0
20.0 <= disp. < 25.0 \c\...........  kW < 2000..................           2014+            0.27             9.8
25.0 <= disp. < 30.0 \c\...........  kW < 2000..................           2014+            0.27            11.0
----------------------------------------------------------------------------------------------------------------
\a\ The Tier 3 standards in this table do not apply for Category 2 engines at or above 2000 kW with per-cylinder
  displacement at or above 15.0 liters, or for any Category 2 engines at or above 3700 kW. See Sec.   1042.1(c)
  and paragraphs (a)(6) through (8) of this section for the standards that apply for these engines.
\b\ For engines subject to the 7.8 g/kW-hr NOX+HC standard, FELs may not be higher than the Tier 1 NOX standards
  specified in Appendix I of this part.
\c\ There are no Tier 3 standards for Category 2 engines with per-cylinder displacement at or above 15 and 20
  liters with maximum engine power at or above 2000 kW. See paragraphs (a)(6) and (7) of this section for the
  Tier 4 standards that apply for these engines starting with the 2014 model year.

    (4) For Tier 3 engines at or above 19 kW and below 75 kW with
displacement below 0.9 L/cyl, you may alternatively certify some or all
of your engine families to a PM emission standard of 0.20 g/kW-hr and a
NOX+HC emission standard of 5.8 g/kW-hr for 2014 and later
model years.
    (5) Starting with the 2014 model year, recreational marine engines
at or above 3700 kW (with any displacement) must be certified under
this part 1042 to the Tier 3 standards specified in this section for
3.5 to 7.0 L/cyl recreational marine engines.
    (6) Interim Tier 4 p.m. standards apply for 2014 and 2015 model
year engines between 2000 and 3700 kW as specified in this paragraph
(a)(6). These engines are considered to be Tier 4 engines.
    (i) For Category 1 engines, the Tier 3 p.m. standards from Table 1
to this section continue to apply. PM FELs for these engines may not be
higher than the applicable Tier 2 p.m. standards specified in Appendix
I of this part.
    (ii) For Category 2 engines with per-cylinder displacement below
15.0 liters, the Tier 3 p.m. standards from Table 2 to this section
continue to apply. PM FELs for these engines may not be higher than
0.27 g/kW-hr.
    (iii) For Category 2 engines with per-cylinder displacement at or
above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or
above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or
above 3300 kW and below 3700 kW. PM FELs for these engines may not be
higher than 0.50 g/kW-hr.
    (7) Except as described in paragraph (a)(8) of this section, the
Tier 4 standards for PM, NOX, and HC emissions are described
in the following table:

                    Table 3 to Sec.   1042.101--Tier 4 Standards for Category 2 and Commercial Category 1 Engines at or Above 600 kW
--------------------------------------------------------------------------------------------------------------------------------------------------------
              Maximum engine power                        Displacement  (L/cyl)             Model year     PM  (g/kW-hr)  NOX  (g/kW-hr)   HC  (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
600 <= kW < 1400...............................  all....................................           2017+            0.04             1.8            0.19

1400 <= kW < 2000..............................  all....................................           2016+            0.04             1.8            0.19
2000 <= kW <= 3700 \a\.........................  all....................................           2014+            0.04             1.8            0.19
kW > 3700......................................  disp. < 15.0...........................       2014-2015            0.12             1.8            0.19
                                                 15.0 <= disp. < 30.0...................       2014-2015            0.25             1.8            0.19
                                                 all....................................           2016+            0.06             1.8            0.19
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for engines between 2000 and 3700 kW. The
  Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is 7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for
  engines at or above 2000 kW and below 3700 kW is 0.34 g/kW-hr.

    (8) The following optional provisions apply for complying with the
Tier 3 and Tier 4 standards specified in paragraphs (a)(3) through (7)
of this section:
    (i) You may use NOX credits accumulated through the ABT
program to certify Tier 4 engines to a NOX+HC emission
standard of 1.9 g/kW-hr instead of the NOX and HC standards
that would otherwise apply by certifying your family to a
NOX+HC FEL. Calculate the NOX credits needed as
specified in subpart H of this part using the NOX+HC
emission standard and FEL in the calculation instead of the otherwise
applicable NOX standard and FEL. You may not generate
credits relative to the alternate standard or certify to the standard
without using credits.
    (ii) For engines below 1000 kW, you may delay complying with the
Tier 4 standards in the 2017 model year for up to nine months, but you
must comply no later than October 1, 2017.
    (iii) For engines at or above 3700 kW, you may delay complying with
the Tier 4 standards in the 2016 model year for up to twelve months,
but you must comply no later than December 31, 2016.
    (iv) For Category 2 engines at or above 1400 kW, you may
alternatively comply with the Tier 3 and Tier 4 standards specified in
Table 4 of this section instead of the NOX, HC,
NOX+HC, and PM standards specified in paragraphs (a)(3)
through (7) of this section. The CO standards specified in paragraph
(a)(2) of this section apply without regard to whether you choose this
option. If you choose this option, you must do so for all engines at or
above 1400 kW in the same displacement category (that is, 7-15, 15-20,
20-25, or 25-30 liters per cylinder) in model years 2012 through 2015.

                       Table 4 to Sec.   1042.101--Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Tier                                 Maximum engine power             Model year     PM  (g/kW-hr)  NOX  (g/kW-hr)   HC  (g/kW-hr)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Tier 3.........................................  kW >= 1400.............................       2012-2014            0.14      7.8 NOX+HC  ..............
Tier 4.........................................  1400 <= kW <= 3700.....................            2015            0.04             1.8            0.19
                                                 kW > 3700..............................            2015            0.06             1.8            0.19
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program as described in subpart H of this part for demonstrating
compliance with NOX, NOX+HC, and PM emission
standards for Category 1 and Category 2 engines. You may also use
NOX or NOX+HC emission credits to comply with the
alternate NOX+HC standard in paragraph (a)(8)(i) of this
section. Generating or using emission credits requires that you specify
a family emission limit (FEL) for each pollutant you include in the ABT
program for each engine family. These FELs serve as the emission
standards for the engine family with respect to all required testing
instead of the standards specified in paragraph (a) of this section.
The FELs determine the not-to-exceed standards for your engine family,
as specified in paragraph (c) of this section. Unless otherwise
specified, the following FEL caps apply:
    (1) FELs for Tier 3 engines may not be higher than the applicable
Tier 2 standards specified in Appendix I of this part.
    (2) FELs for Tier 4 engines may not be higher than the applicable
Tier 3 standards specified in paragraph (a)(3) of this section.
    (3) The following FEL caps apply for engines at or above 3700 kW
that are not subject to Tier 3 standards under paragraph (a)(3) of this
section:
    (i) FELs may not be higher than the applicable Tier 1
NOX standards specified in Appendix I of this part before
the Tier 4 standards start to apply.
    (ii) FELs may not be higher than the applicable Tier 2
NOX+THC standards specified in Appendix I of this part after
the Tier 4 standards start to apply.
    (c) Not-to-exceed standards. Except as noted in Sec.  1042.145(e),
exhaust emissions from all engines subject to the requirements of this
part may not exceed the not-to-exceed (NTE) standards as follows:
    (1) Use the following equation to determine the NTE standards:

(i) NTE standard for each pollutant = STD x M.

Where:

STD = The standard specified for that pollutant in this section if
you certify without using ABT for that pollutant; or the FEL for
that pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant.

    (ii) Round each NTE standard to the same number of decimal places
as the emission standard.
    (2) Determine the applicable NTE zone and subzones as described in
Sec.  1042.515. Determine NTE multipliers for specific zones and
subzones and pollutants as follows:
    (i) For marine engines certified using the duty cycle specified in
Sec.  1042.505(b)(1), except for variable-speed propulsion marine
engines used with controllable-pitch propellers or with electrically
coupled propellers, apply the following NTE multipliers:

    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 p.m. and CO
standards.
    (C) Subzone 2: 1.5 for Tier 4 NOX and HC standards and
for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards.
    (ii) For recreational marine engines certified using the duty cycle
specified in Sec.  1042.505(b)(2), except for variable-speed marine
engines used with controllable-pitch propellers or with electrically
coupled propellers, apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 3 p.m. and CO standards.
    (C) Subzones 2 and 3: 1.5 for Tier 3 NOX+HC standards.
    (D) Subzones 2 and 3: 1.9 for PM and CO standards.
    (iii) For variable-speed marine engines used with controllable-
pitch propellers or with electrically coupled propellers that are
certified using the duty cycle specified in Sec.  1042.505(b)(1), (2),
or (3), apply the following NTE multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 p.m. and CO
standards.
    (C) Subzone 2: 1.5 for Tier 4 NOX and HC standards and
for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no
NTE standard in Subzone 2b for PM emissions if the engine family's
applicable standard for PM is at or above 0.07 g/kW-hr.
    (iv) For constant-speed engines certified using a duty cycle
specified in Sec.  1042.505(b)(3) or (4), apply the following NTE
multipliers:
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 p.m. and CO
standards.
    (C) Subzone 2: 1.5 for Tier 4 NOX and HC standards and
for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.9 for PM and CO standards. However, there is no
NTE standard for PM emissions if the engine family's applicable
standard for PM is at or above 0.07 g/kW-hr.
    (v) For variable-speed auxiliary marine engines certified using the
duty cycle specified in Sec.  1042.505(b)(5)(ii) or (iii):
    (A) Subzone 1: 1.2 for Tier 3 NOX+HC standards.
    (B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 p.m. and CO
standards.
    (C) Subzone 2: 1.2 for Tier 3 NOX+HC standards.
    (D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 p.m. and CO
standards. However, there is no NTE standard for PM emissions if the
engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
    (3) The NTE standards apply to your engines whenever they operate
within the NTE zone for an NTE sampling period of at least thirty
seconds, during which only a single operator demand set point may be
selected. Engine operation during a change in operator demand is
excluded from any NTE sampling period. There is no maximum NTE sampling
period.
    (4) Collect emission data for determining compliance with the NTE
standards using the procedures described in subpart F of this part.
    (5) You may ask us to accept as compliant an engine that does not
fully meet specific requirements under the applicable NTE standards
where such deficiencies are necessary for safety.
    (d) * * *
    (1) * * *
    (ii) Gaseous-fueled engines must comply with HC standards based on
nonmethane-nonethane hydrocarbon emissions.
* * * * *

0
185. Section 1042.104 is amended by revising paragraph (a)(2) to read
as follows:

Sec.  1042.104  Exhaust emission standards for Category 3 engines.

    (a) * * *
    (2) NOX standards apply based on the engine's model year
and maximum in-use engine speed as shown in the following table:

               Table 1 to Sec.   1042.104--NOX Emission Standards for Category 3 Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                        Maximum in-use engine speed
                                                         -------------------------------------------------------
       Emission standards               Model year         Less than 130
                                                                RPM          130-2000 RPM \a\      Over 2000 RPM
----------------------------------------------------------------------------------------------------------------
Tier 1.........................  2004-2010 \b\..........            17.0  45.0 [middot] n(-0.20)             9.8
Tier 2.........................  2011-2015..............            14.4  44.0 [middot] n(-0.23)             7.7
Tier 3 \c\.....................  2016 and later.........             3.4  9.0 [middot] n(-0.20).             2.0
----------------------------------------------------------------------------------------------------------------
\a\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
  1042.140). Round the standards to one decimal place.
\b\ Tier 1 NOX standards apply as specified in 40 CFR part 94 for engines originally manufactured in model years
  2004 through 2010. They are shown here only for reference.
\c\ For engines designed with on-off controls as specified in Sec.   1042.115(g), the Tier 2 standards continue
  to apply any time the engine has disabled its Tier 3 NOX emission controls.

* * * * *

0
186. Section 1042.110 is amended by revising paragraphs (a)(1) and (d)
and removing and reserving paragraph (b).
    The revisions read as follows:

Sec.  1042.110  Recording reductant use and other diagnostic functions.

    (a) * * *
    (1) The diagnostic system must monitor reductant quality and tank
levels and alert operators to the need to refill the reductant tank
before it is empty, or to replace the reductant if it does not meet
your concentration specifications. Unless we approve other alerts, use
a malfunction-indicator light (MIL) and an audible alarm. You do not
need to separately monitor reductant quality if your system uses input
from an exhaust NOX sensor (or other sensor) to alert
operators when reductant quality is inadequate. However, tank level
must be monitored in all cases.
* * * * *
    (d) For Category 3 engines equipped with on-off NOX
controls (as allowed by Sec.  1042.115(g)), you must also equip your
engine to continuously monitor NOX concentrations in the
exhaust. See Sec.  1042.650 to determine if this requirement applies
for a given Category 1 or Category 2 engine. For measurement
technologies involving discrete sampling events, measurements are
considered continuous if they repeat at least once every 60 seconds; we
may approve a longer sampling period if it is necessary or appropriate
for sufficiently accurate measurements. Describe your

system for onboard NOX measurements in your application for
certification. Use good engineering judgment to alert operators if
measured NOX concentrations indicate malfunctioning emission
controls. Record any such operation in nonvolatile computer memory. You
are not required to monitor NOX concentrations during
operation for which the emission controls may be disabled under Sec.
1042.115(g). For the purpose of this paragraph (d), ``malfunctioning
emission controls'' means any condition in which the measured
NOX concentration exceeds the highest value expected when
the engine is in compliance with the installed engine standard of Sec.
1042.104(g). Use good engineering judgment to determine these expected
values during production-line testing of the engine using linear
interpolation between test points and accounting for the degree to
which the cycle-weighted emissions of the engine are below the
standard. You may also use additional intermediate test points measured
during the production-line test. Note that the provisions of paragraph
(a) of this section also apply for SCR systems covered by this
paragraph (d). For engines subject to both the provisions of paragraph
(a) of this section and this paragraph (d), use good engineering
judgment to integrate diagnostic features to comply with both
paragraphs. For example, engines may use on-off NOX controls
to disable certain emission control functions only if the diagnostic
system indicates that the monitoring described in this paragraph (d) is
active.

0
187. Section 1042.120 is amended by revising paragraph (b) introductory
text to read as follows:

Sec.  1042.120  Emission-related warranty requirements.

* * * * *
    (b) Warranty period. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be
shorter than any basic mechanical warranty you provide without charge
for the engine. Similarly, the emission-related warranty for any
component may not be shorter than any warranty you provide without
charge for that component. This means that your warranty may not treat
emission-related and nonemission-related defects differently for any
component. If an engine has no hour meter, we base the warranty periods
in this paragraph (b) only on the engine's age (in years). The warranty
period begins when the engine is placed into service. The following
minimum warranty periods apply:
* * * * *

0
188. Section 1042.125 is amended by revising paragraphs (a)(2)(i),
(a)(3)(i), (c), (e), and (f) introductory text to read as follows:

Sec.  1042.125  Maintenance instructions.

* * * * *
    (a) * * *
    (2) * * *
    (i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
* * * * *
    (3) * * *
    (i) For EGR-related filters and coolers, DEF filters, crankcase
ventilation valves and filters, and fuel injector tips (cleaning only),
the minimum interval is 1,500 hours.
* * * * *
    (c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. You may also address maintenance of low-use engines (such
as recreational or stand-by engines) by specifying the maintenance
interval in terms of calendar months or years in addition to your
specifications in terms of engine operating hours. All special
maintenance instructions must be consistent with good engineering
judgment. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
maintenance that is unlikely to occur in use, or engine operation that
is not atypical. For example, this paragraph (c) does not allow you to
design engines that require special maintenance for a certain type of
expected operation. If we determine that certain maintenance items do
not qualify as special maintenance under this paragraph (c), you may
identify this as recommended additional maintenance under paragraph (b)
of this section.
* * * * *
    (e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may not
perform this nonemission-related maintenance on emission-data engines
more often than the least frequent intervals that you recommend to the
ultimate purchaser.
    (f) Source of parts and repairs. State clearly in your written
maintenance instructions that a repair shop or person of the owner's
choosing may maintain, replace, or repair emission control devices and
systems. Your instructions may not require components or service
identified by brand, trade, or corporate name. Also, do not directly or
indirectly condition your warranty on a requirement that the engine be
serviced by your franchised dealers or any other service establishments
with which you have a commercial relationship. You may disregard the
requirements in this paragraph (f) if you do one of two things:
* * * * *

0
189. Section 1042.130 is amended by revising paragraph (b) to read as
follows:

Sec.  1042.130  Installation instructions for vessel manufacturers.

* * * * *
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation
instructions''.
    (2) State: ``Failing to follow these instructions when installing a
certified engine in a vessel violates federal law (40 CFR 1068.105(b)),
subject to fines or other penalties as described in the Clean Air
Act.''
    (3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec.  1042.205(u).
    (4) Describe any necessary steps for installing the diagnostic
system described in Sec.  1042.110.
    (5) Describe how your certification is limited for any type of
application. . For example, if your engines are certified only for
constant-speed operation, tell vessel manufacturers not to install the
engines in variable-speed applications or modify the governor.