weighted basis. You must specify an LTR using boundaries based on
engine speed and power (or torque), where the LTR boundaries must
coincide with some portion of the boundary defining the overall NTE
zone. Any emission data collected within an LTR for a time duration
that exceeds 5.0 percent of the duration of its respective NTE sampling
period (as defined in paragraph (c)(3) of this section) will be
excluded when determining compliance with the applicable NTE standards.
Any emission data collected within an LTR for a time duration of 5.0
percent or less of the duration of the respective NTE sampling period
will be included when determining compliance with the NTE standards.
    (iii) You must notify us if you design your engines for normal in-
use operation outside the applicable NTE zone. If we learn that normal
in-use operation for your engines includes other speeds and loads, we
may specify a broader NTE zone, as long as the modified zone is limited
to normal in-use operation for speeds greater than 70 percent of
maximum test speed and loads greater than 30 percent of maximum power
at maximum test speed (or 30 percent of maximum test torque, as
appropriate).
    (iv) You may exclude emission data based on ambient or engine
parameter limit values as follows:
    (A) NOX catalytic aftertreatment minimum temperature. For an engine
equipped with a catalytic NOX aftertreatment system, exclude
NOX emission data that is collected when the exhaust
temperature is less than 150 [deg]C, as measured within 30 cm
downstream of the last NOX aftertreatment device that has
the greatest exhaust flow. You may request that we approve a higher
minimum exhaust temperature limit at the time of certification based on
the normal in-use operation of the NOX exhaust
aftertreatment system for the engine family. We will generally not
approve a minimum exhaust temperature for catalytic NOX
aftertreatment greater than 250 [deg]C.
    (B) Hydrocarbon catalytic aftertreatment minimum temperature. For
an engine equipped with a catalytic hydrocarbon aftertreatment system,
exclude hydrocarbon emission data that is collected when the exhaust
temperature is less than 250 [deg]C, as measured within 30 cm
downstream of the last hydrocarbon aftertreatment device that has the
greatest exhaust flow.
    (C) Other parameters. You may request our approval for other
minimum or maximum ambient or engine parameter limit values at the time
of certification.
    (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.
    (d) Fuel types. The exhaust emission standards in this section
apply for engines using the fuel type on which the engines in the
engine family are designed to operate.
    (1) You must meet the numerical emission standards for hydrocarbons
in this section based on the following types of hydrocarbon emissions
for engines powered by the following fuels:
    (i) Alcohol-fueled engines must comply with Tier 3 HC standards
based on THCE emissions and with Tier 4 standards based on NMHCE
emissions.
    (ii) Natural gas-fueled engines must comply with HC standards based
on NMHC emissions.
    (iii) Diesel-fueled and other engines must comply with Tier 3 HC
standards based on THC emissions and with Tier 4 standards based on
NMHC emissions.
    (2) Tier 3 and later engines must comply with the exhaust emission
standards when tested using test fuels

containing 15 ppm or less sulfur (ultra low-sulfur diesel fuel).
    (3) Engines designed to operate using residual fuel must comply
with the standards and requirements of this part when operated using
residual fuel in addition to complying with the requirements of this
part when operated using diesel fuel.
    (e) Useful life. Your engines must meet the exhaust emission
standards of this section over their full useful life.
    (1) The minimum useful life values are as follows, except as
specified by paragraph (e)(2) or (3) of this section:
    (i) 10 years or 1,000 hours of operation for recreational Category
1 engines.
    (ii) 10 years or 10,000 hours of operation for commercial Category
1 engines.
    (iii) 10 years or 20,000 hours of operation for Category 2 engines.
    (iv) [Reserved]
    (2) Specify a longer useful life in hours for an engine family
under either of two conditions:
    (i) If you design, advertise, or market your engine to operate
longer than the minimum useful life (your recommended hours until
rebuild indicates a longer design life).
    (ii) If your basic mechanical warranty is longer than the minimum
useful life.
    (3) You may request in your application for certification that we
approve a shorter useful life for an engine family. We may approve a
shorter useful life, in hours of engine operation but not in years, if
we determine that these engines will rarely operate longer than the
shorter useful life. If engines identical to those in the engine family
have already been produced and are in use, your demonstration must
include documentation from such in-use engines. In other cases, your
demonstration must include an engineering analysis of information
equivalent to such in-use data, such as data from research engines or
similar engine models that are already in production. Your
demonstration must also include any overhaul interval that you
recommend, any mechanical warranty that you offer for the engine or its
components, and any relevant customer design specifications. Your
demonstration may include any other relevant information. The useful
life value may not be shorter than any of the following:
    (i) 1,000 hours of operation.
    (ii) Your recommended overhaul interval.
    (iii) Your mechanical warranty for the engine.
    (f) Applicability for testing. The duty-cycle emission standards in
this subpart apply to all testing performed according to the procedures
in Sec.  1042.505, including certification, production-line, and in-use
testing. The not-to-exceed standards apply for all testing performed
according to the procedures of subpart F of this part.

Sec.  1042.107  Evaporative emission standards.

    (a) There are no evaporative emission standards for diesel-fueled
engines, or engines using other nonvolatile or nonliquid fuels (for
example, natural gas).
    (b) If an engine uses a volatile liquid fuel, such as methanol, the
engine's fuel system and the vessel in which the engine is installed
must meet the evaporative emission requirements of 40 CFR part 1045
that apply with respect to spark-ignition engines. Manufacturers
subject to evaporative emission standards must meet the requirements of
40 CFR 1045.105 as described in 40 CFR part 1060 and do all the
following things in the application for certification:
    (1) Describe how evaporative emissions are controlled.
    (2) Present test data to show that fuel systems and vessels meet
the evaporative emission standards we specify in this section if you do
not use design-based certification under 40 CFR 1060.240. Show these
figures before and after applying deterioration factors, where
applicable.

Sec.  1042.110  Recording urea use and other diagnostic functions.

    (a) Engines equipped with SCR systems must meet the following
requirements:
    (1) The diagnostic system must monitor urea quality and tank levels
and alert operators to the need to refill the urea tank using a
malfunction-indicator light (MIL) and an audible alarm. You do not need
to separately monitor urea quality if you include an exhaust
NOX sensor that allows you determine inadequate urea quality
along with other SCR malfunctions.
    (2) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with inadequate urea injection
or urea quality.
    (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. Sec.  1042.115 and 1042.205 require that you
provide us any information needed to read, record, and interpret all
the information broadcast by an engine's onboard computers and
electronic control units.

Sec.  1042.115  Other requirements.

    Engines that are required to comply with the emission standards of
this part must meet the following requirements:
    (a) Crankcase emissions. Crankcase emissions may not be discharged
directly into the ambient atmosphere from any engine throughout its
useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient
atmosphere if the emissions are added to the exhaust emissions (either
physically or mathematically) during all emission testing. If you take
advantage of this exception, you must do the following things:
    (i) Manufacture the engines so that all crankcase emissions can be
routed into the applicable sampling systems specified in 40 CFR part
1065.
    (ii) Account for deterioration in crankcase emissions when
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that
are routed to the exhaust upstream of exhaust aftertreatment during all
operation are not considered to be discharged directly into the ambient
atmosphere.
    (b) Torque broadcasting. Electronically controlled engines must
broadcast their speed and output shaft torque (in newton-meters).
Engines may alternatively broadcast a surrogate value for determining
torque. Engines must broadcast engine parameters such that they can be
read with a remote device, or broadcast them directly to their
controller area networks. This information is necessary for testing
engines in the field (see Sec.  1042.515).
    (c) EPA access to broadcast information. If we request it, you must
provide us any hardware or tools we would need to readily read,
interpret, and record all information broadcast by an engine's on-board
computers and electronic control modules. If you broadcast a surrogate
parameter for torque values, you must provide us what we need to
convert these into torque units. We will not ask for hardware or tools
if they are readily available commercially.
    (d) Adjustable parameters. An operating parameter is not considered
adjustable if you permanently seal it or if it is not normally
accessible using ordinary tools. The following provisions apply for
adjustable parameters:
    (1) Category 1 engines that have adjustable parameters must meet
all the requirements of this part for any adjustment in the physically
adjustable range. We may require that you set

adjustable parameters to any specification within the adjustable range
during any testing, including certification testing, selective
enforcement auditing, or in-use testing.
    (2) Category 2 engines that have adjustable parameters must meet
all the requirements of this part for any adjustment in the approved
adjustable range. You must specify in your application for
certification the adjustable range of each adjustable parameter on a
new engine to--
    (i) Ensure that safe engine operating characteristics are available
within that range, as required by section 202(a)(4) of the Clean Air
Act (42 U.S.C. 7521(a)(4)), taking into consideration the production
tolerances.
    (ii) Limit the physical range of adjustability to the maximum
extent practicable to the range that is necessary for proper operation
of the engine.
    (e) Prohibited controls. You may not design your engines with
emission-control devices, systems, or elements of design that cause or
contribute to an unreasonable risk to public health, welfare, or safety
while operating. For example, this would apply if the engine emits a
noxious or toxic substance it would otherwise not emit that contributes
to such an unreasonable risk.
    (f) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. This does not apply to auxiliary emission control
devices you identify in your certification application if any of the
following is true:
    (1) The conditions of concern were substantially included in the
applicable duty-cycle test procedures described in subpart F of this
part (the portion during which emissions are measured). See paragraph
(f)(4) of this section for other conditions.
    (2) You show your design is necessary to prevent engine (or vessel)
damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.
    (4) The auxiliary emission control device reduces urea flow for a
selective catalytic reduction (SCR) aftertreatment system and meets the
requirements of this paragraph (f)(4). For any operation meeting one of
the conditions of paragraph (f)(4)(i) of this section, your SCR system
must function so that at least one of the conditions of paragraph (ii)
of this paragraph (f)(4)(ii) of this section is met at the applicable
speed and loads.
    (i) The provisions of this paragraph (f)(4) apply under either of
the following conditions:
    (A) The ambient test conditions are outside the range specified in
Sec.  1042.501.
    (B) The operation is at a speed and/or load not included as a duty-
cycle test point, including transient operation between test points.
    (ii) Consistent with good engineering judgment, your AECD is not a
defeat device where one of the following is true:
    (A) You maintain the mass flow of urea into the catalyst at the
highest level possible without emitting ammonia at levels higher than
would occur at operation at test points under test conditions.
    (B) The temperature of the exhaust is too low to allow urea to be
converted to ammonia.

Sec.  1042.120  Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate
purchaser and each subsequent purchaser that the new engine, including
all parts of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid
for at least as long as the minimum warranty periods listed in this
paragraph (b) in hours of operation and years, whichever comes first.
You may offer an emission-related warranty more generous than we
require. The emission-related warranty for the engine may not be
shorter than any published warranty you offer without charge for the
engine. Similarly, the emission-related warranty for any component may
not be shorter than any published warranty you offer without charge for
that component. If an engine has no hour meter, we base the warranty
periods in this paragraph (b) only on the engine's age (in years). The
warranty period begins when the engine is placed into service. The
following minimum warranty periods apply:
    (1) For Category 1 and Category 2 engines, your emission-related
warranty must be valid for at least 50 percent of the engine's useful
life in hours of operation or a number of years equal to at least 50
percent of the useful life in years, whichever comes first.
    (2) [Reserved]
    (c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
pollutant, including those listed in 40 CFR part 1068, Appendix I, and
those from any other system you develop to control emissions. The
emission-related warranty covers these components even if another
company produces the component. Your emission-related warranty does not
cover components whose failure would not increase an engine's emissions
of any pollutant.
    (d) Limited applicability. You may deny warranty claims under this
section if the operator caused the problem through improper maintenance
or use, as described in 40 CFR 1068.115.
    (e) Owner's manual. Describe in the owner's manual the emission-
related warranty provisions from this section that apply to the engine.

Sec.  1042.125  Maintenance instructions for Category 1 and Category 2
engines.

    Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission-
control system, as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec.  1042.245 and in 40 CFR part 1065. This
section applies only to Category 1 and Category 2 engines.
    (a) Critical emission-related maintenance. Critical emission-
related maintenance includes any adjustment, cleaning, repair, or
replacement of critical emission-related components. This may also
include additional emission-related maintenance that you determine is
critical if we approve it in advance. You may schedule critical
emission-related maintenance on these components if you meet the
following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be
done at the recommended intervals on in-use engines. We will accept
scheduled maintenance as reasonably likely to occur if you satisfy any
of the following conditions:
    (i) You present data showing that any lack of maintenance that
increases emissions also unacceptably degrades the engine's
performance.
    (ii) You present survey data showing that at least 80 percent of
engines in the field get the maintenance you specify at the recommended
intervals.
    (iii) You provide the maintenance free of charge and clearly say so
in maintenance instructions for the customer.

    (iv) You otherwise show us that the maintenance is reasonably
likely to be done at the recommended intervals.
    (2) For engines below 130 kW, you may not schedule critical
emission-related maintenance more frequently than the following minimum
intervals, except as specified in paragraphs (a)(4), (b), and (c) of
this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and
actuators, the minimum interval is 3,000 hours: fuel injectors,
turbochargers, catalytic converters, electronic control units,
particulate traps, trap oxidizers, components related to particulate
traps and trap oxidizers, EGR systems (including related components,
but excluding filters and coolers), and other add-on components. For
particulate traps, trap oxidizers, and components related to either of
these, maintenance is limited to cleaning and repair only.
    (3) For Category 1 and Category 2 engines at or above 130 kW, you
may not schedule critical emission-related maintenance more frequently
than the following minimum intervals, except as specified in paragraphs
(a)(4), (b), and (c) of this section:
    (i) For EGR-related filters and coolers, PCV valves, and fuel
injector tips (cleaning only), the minimum interval is 1,500 hours.
    (ii) For the following components, including associated sensors and
actuators, the minimum interval is 4,500 hours: fuel injectors,
turbochargers, catalytic converters, electronic control units,
particulate traps, trap oxidizers, components related to particulate
traps and trap oxidizers, EGR systems (including related components,
but excluding filters and coolers), and other add-on components. For
particulate traps, trap oxidizers, and components related to either of
these, maintenance is limited to cleaning and repair only.
    (4) We may approve shorter maintenance intervals than those listed
in paragraph (a)(3) of this section where technologically necessary for
Category 2 engines.
    (5) If your engine family has an alternate useful life under Sec.
1042.101(e) that is shorter than the period specified in paragraph
(a)(2) or (a)(3) of this section, you may not schedule critical
emission-related maintenance more frequently than the alternate useful
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any
additional amount of maintenance on the components listed in paragraph
(a) of this section, as long as you state clearly that these
maintenance steps are not necessary to keep the emission-related
warranty valid. If operators do the maintenance specified in paragraph
(a) of this section, but not the recommended additional maintenance,
this does not allow you to disqualify those engines from in-use testing
or deny a warranty claim. Do not take these maintenance steps during
service accumulation on your emission-data engines.
    (c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing.
    (d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (that is, maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes maintenance on the
components we specify in 40 CFR part 1068, Appendix I. You must state
in the owner's manual that these steps are not necessary to keep the
emission-related warranty valid. If operators fail to do this
maintenance, this does not allow you to disqualify those engines from
in-use testing or deny a warranty claim. Do not take these inspection
or maintenance steps during service accumulation on your emission-data
engines.
    (e) Maintenance that is not emission-related. For maintenance
unrelated to emission controls, you may schedule any amount of
inspection or maintenance. You may also take these inspection or
maintenance steps during service accumulation on your emission-data
engines, as long as they are reasonable and technologically necessary.
This might include adding engine oil, changing air, fuel, or oil
filters, servicing engine-cooling systems, and adjusting idle speed,
governor, engine bolt torque, valve lash, or injector lash. You may
perform this nonemission-related maintenance on emission-data engines
at the least frequent intervals that you recommend to the ultimate
purchaser (but not intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of
your written maintenance instructions that a repair shop or person of
the owner's choosing may maintain, replace, or repair emission-control
devices and systems. Your instructions may not require components or
service identified by brand, trade, or corporate name. Also, do not
directly or indirectly condition your warranty on a requirement that
the engine be serviced by your franchised dealers or any other service
establishments with which you have a commercial relationship. You may
disregard the requirements in this paragraph (f) if you do one of two
things:
    (1) Provide a component or service without charge under the
purchase agreement.
    (2) Get us to waive this prohibition in the public's interest by
convincing us the engine will work properly only with the identified
component or service.
    (g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if it meets all the following
criteria:
    (1) Each affected component was not in general use on similar
engines before the applicable dates shown in paragraph (6) of the
definition of new marine engine in Sec.  1042.801.
    (2) The primary function of each affected component is to reduce
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear
problems that would significantly degrade the engine's performance.
    (h) Owner's manual. Explain the owner's responsibility for proper
maintenance in the owner's manual.

Sec.  1042.130  Installation instructions for vessel manufacturers.

    (a) If you sell an engine for someone else to install in a vessel,
give the engine installer instructions for installing it consistent
with the requirements of this part. Include all information necessary
to ensure that an engine will be installed in its certified
configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation
instructions'.
    (2) State: ``Failing to follow these instructions when installing a
certified engine in a vessel violates federal law (40 CFR 1068.105(b)),
subject to fines or other penalties as described in the Clean Air
Act.''.

    (3) Describe the instructions needed to properly install the
exhaust system and any other components. Include instructions
consistent with the requirements of Sec.  1042.205(u).
    (4) Describe any necessary steps for installing the diagnostic
system described in Sec.  1042.110.
    (5) Describe any limits on the range of applications needed to
ensure that the engine operates consistently with your application for
certification. For example, if your engines are certified only for
constant-speed operation, tell vessel manufacturers not to install the
engines in variable-speed applications or modify the governor.
    (6) Describe any other instructions to make sure the installed
engine will operate according to design specifications in your
application for certification. This may include, for example,
instructions for installing aftertreatment devices when installing the
engines.
    (7) State: ``If you install the engine in a way that makes the
engine's emission control information label hard to read during normal
engine maintenance, you must place a duplicate label on the vessel, as
described in 40 CFR 1068.105.''.
    (8) Describe any vessel labeling requirements specified in Sec.
1042.135.
    (c) You do not need installation instructions for engines you
install in your own vessels.
    (d) Provide instructions in writing or in an equivalent format. For
example, you may post instructions on a publicly available Web site for
downloading or printing. If you do not provide the instructions in
writing, explain in your application for certification how you will
ensure that each installer is informed of the installation
requirements.

Sec.  1042.135  Labeling.

    (a) Assign each engine a unique identification number and
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being
destroyed or defaced. However, you may use two-piece labels for engines
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
    (2) Secured to a part of the engine needed for normal operation and
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may
identify another company and use its trademark instead of yours if you
comply with the provisions of Sec.  1042.640.
    (3) Include EPA's standardized designation for the engine family
(and subfamily, where applicable).
    (4) State the engine's category, displacement (in liters or L/cyl),
maximum engine power (in kW), and power density (in kW/L) as needed to
determine the emission standards for the engine family. You may specify
displacement, maximum engine power, and power density as ranges
consistent with the ranges listed in Sec.  1042.101. See Sec.  1042.140
for descriptions of how to specify per-cylinder displacement, maximum
engine power, and power density.
    (5) [Reserved]
    (6) State the date of manufacture [MONTH and YEAR]; however, you
may omit this from the label if you stamp or engrave it on the engine.
    (7) State the FELs to which the engines are certified if you
certified the engine using the ABT provisions of subpart H of this
part.
    (8) Identify the emission-control system. Use terms and
abbreviations consistent with SAE J1930 (incorporated by reference in
Sec.  1042.810). You may omit this information from the label if there
is not enough room for it and you put it in the owner's manual instead.
    (9) Identify the application(s) for which the engine family is
certified (such as constant-speed auxiliary, variable-speed propulsion
engines used with fixed-pitch propellers, etc.). If the engine is
certified as a recreational engine, state: ``INSTALLING THIS
RECREATIONAL ENGINE IN A NONRECREATIONAL VESSEL VIOLATES FEDERAL LAW
SUBJECT TO CIVIL PENALTY (40 CFR PART 1068).''.
    (10) For engines requiring ULSD, state: ``ULTRA LOW SULFUR DIESEL
FUEL ONLY'.
    (11) Identify any additional requirements for fuel and lubricants
that do not involve fuel-sulfur levels. You may omit this information
from the label if there is not enough room for it and you put it in the
owner's manual instead.
    (12) State the useful life for your engine family.
    (13) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR
[MODEL YEAR] MARINE DIESEL ENGINES.''.
    (14) For an engine that can be modified to operate on residual
fuel, but has not been certified to meet the standards on such a fuel,
include the statement: ``THIS ENGINE IS CERTIFIED FOR OPERATION ONLY
WITH DIESEL FUEL. MODIFYING THE ENGINE TO OPERATE ON RESIDUAL OR
INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL
PENALTIES.''.
    (d) You may add information to the emission control information
label to identify other emission standards that the engine meets or
does not meet (such as international standards). You may also add other
information to ensure that the engine will be properly maintained and
used.
    (e) For engines requiring ULSD, create a separate label with the
statement: ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. Permanently attach
this label to the vessel near the fuel inlet or, if you do not
manufacture the vessel, take one of the following steps to ensure that
the vessel will be properly labeled:
    (1) Provide the label to each vessel manufacturer and include in
the emission-related installation instructions the requirement to place
this label near the fuel inlet.
    (2) Confirm that the vessel manufacturers install their own
complying labels.
    (f) You may ask us to approve modified labeling requirements in
this part 1042 if you show that it is necessary or appropriate. We will
approve your request if your alternate label is consistent with the
intent of the labeling requirements of this part.
    (g) If you obscure the engine label while installing the engine in
the vessel such that the label will be hard to read during normal
maintenance, you must place a duplicate label on the vessel. If others
install your engine in their vessels in a way that obscures the engine
label, we require them to add a duplicate label on the vessel (see 40
CFR 1068.105); in that case, give them the number of duplicate labels
they request and keep the following records for at least five years:
    (1) Written documentation of the request from the vessel
manufacturer.
    (2) The number of duplicate labels you send for each family and the
date you sent them.

Sec.  1042.140  Maximum engine power, displacement, and power density.

    This section describes how to determine the maximum engine power,
displacement, and power density of an engine for the purposes of this
part. Note that maximum engine power may differ from the definition of
maximum

test power as defined in subpart F for testing engines.
    (a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the
relationship between maximum available engine brake power and engine
speed for an engine, using the mapping procedures of 40 CFR part 1065,
based on the manufacturer's design and production specifications for
the engine. This information may also be expressed by a torque curve
that relates maximum available engine torque with engine speed.
    (c) An engine configuration's per-cylinder displacement is the
intended swept volume of each cylinder. The swept volume of the engine
is the product of the internal cross-section area of the cylinders, the
stroke length, and the number of cylinders. Calculate the engine's
intended swept volume from the design specifications for the cylinders
using enough significant figures to allow determination of the
displacement to the nearest 0.02 liters. Determine the final value by
truncating digits to establish the per-cylinder displacement to the
nearest 0.1 liters. For example, for an engine with circular cylinders
having an internal diameter of 13.0 cm and a 15.5 cm stroke length, the
rounded displacement would be: (13.0/2) \2\x(p)x(15.5)/ 1000 =2.0
liters.
    (d) The nominal power curve and intended swept volume must be
within the range of the actual power curves and swept volumes of
production engines considering normal production variability. If after
production begins, it is determined that either your nominal power
curve or your intended swept volume does not represent production
engines, we may require you to amend your application for certification
under Sec.  1042.225.
    (e) Throughout this part, references to a specific power value for
an engine are based on maximum engine power. For example, the group of
engines with maximum engine power above 600 kW may be referred to as
engines above 600 kW.
    (f) Calculate an engine family's power density in kW/L by dividing
the unrounded maximum engine power by the engine's unrounded per-
cylinder displacement, then dividing by the number of cylinders. Round
the calculated value to the nearest whole number.

Sec.  1042.145  Interim provisions.

    (a) General. The provisions in this section apply instead of other
provisions in this part for Category 1 and Category 2 engines. This
section describes when these interim provisions expire.
    (b) Delayed standards. Post-manufacturer marinizers that are small-
volume engine manufacturers may delay compliance with the Tier 3
standards for engines below 600 kW as follows:
    (1) You may delay compliance with the Tier 3 standards for one
model year, as long as the engines meet all the requirements that apply
to Tier 2 engines.
    (2) You may delay compliance with the NTE standards for Tier 3
standards for three model years beyond the one year delay otherwise
allowed, as long as the engines meet all other requirements that apply
to Tier 3 engines for the appropriate model year.

Subpart C--Certifying Engine Families

Sec.  1042.201  General requirements for obtaining a certificate of
conformity.

    (a) You must send us a separate application for a certificate of
conformity for each engine family. A certificate of conformity is valid
starting with the indicated effective date, but it is not valid for any
production after December 31 of the model year for which it is issued.
    (b) The application must contain all the information required by
this part and must not include false or incomplete statements or
information (see Sec.  1042.255).
    (c) We may ask you to include less information than we specify in
this subpart, as long as you maintain all the information required by
Sec.  1042.250.
    (d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and
sign the application.
    (f) See Sec.  1042.255 for provisions describing how we will
process your application.
    (g) We may require you to deliver your test engines to a facility
we designate for our testing (see Sec.  1042.235(c)).
    (h) For engines that become new as a result of substantial
modifications or for engines installed on imported vessels that become
subject to the requirements of this part, we may specify alternate
certification provisions consistent with the intent of this part. See
the definition of ``new'' in Sec.  1042.801.

Sec.  1042.205  Application requirements.

    This section specifies the information that must be in your
application, unless we ask you to include less information under Sec.
1042.201(c). We may require you to provide additional information to
evaluate your application.
    (a) Describe the engine family's specifications and other basic
parameters of the engine's design and emission controls. List the fuel
type on which your engines are designed to operate (for example, ultra
low-sulfur diesel fuel). List each distinguishable engine configuration
in the engine family. For each engine configuration, list the maximum
engine power and the range of values for maximum engine power resulting
from production tolerances, as described in Sec.  1042.140.
    (b) Explain how the emission-control system operates. Describe in
detail all system components for controlling exhaust emissions,
including all auxiliary emission control devices (AECDs) and all fuel-
system components you will install on any production or test engine.
Identify the part number of each component you describe. For this
paragraph (b), treat as separate AECDs any devices that modulate or
activate differently from each other. Include all the following:
    (1) Give a general overview of the engine, the emission-control
strategies, and all AECDs.
    (2) Describe each AECD's general purpose and function.
    (3) Identify the parameters that each AECD senses (including
measuring, estimating, calculating, or empirically deriving the
values). Include vessel-based parameters and state whether you simulate
them during testing with the applicable procedures.
    (4) Describe the purpose for sensing each parameter.
    (5) Identify the location of each sensor the AECD uses.
    (6) Identify the threshold values for the sensed parameters that
activate the AECD.
    (7) Describe the parameters that the AECD modulates (controls) in
response to any sensed parameters, including the range of modulation
for each parameter, the relationship between the sensed parameters and
the controlled parameters and how the modulation achieves the AECD's
stated purpose. Use graphs and tables, as necessary.
    (8) Describe each AECD's specific calibration details. This may be
in the form of data tables, graphical representations, or some other
description.
    (9) Describe the hierarchy among the AECDs when multiple AECDs
sense or modulate the same parameter. Describe

[[Continued on page 16087]]

]

[[pp. 16087-16136]] Control of Emissions of Air Pollution From Locomotive Engines and
Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[[Continued from page 16086]]

whether the strategies interact in a comparative or additive manner and
identify which AECD takes precedence in responding, if applicable.
    (10) Explain the extent to which the AECD is included in the
applicable test procedures specified in subpart F of this part.
    (11) Do the following additional things for AECDs designed to
protect engines or vessels:
    (i) Identify the engine and/or vessel design limits that make
protection necessary and describe any damage that would occur without
the AECD.
    (ii) Describe how each sensed parameter relates to the protected
components' design limits or those operating conditions that cause the
need for protection.
    (iii) Describe the relationship between the design limits/
parameters being protected and the parameters sensed or calculated as
surrogates for those design limits/parameters, if applicable.
    (iv) Describe how the modulation by the AECD prevents engines and/
or vessels from exceeding design limits.
    (v) Explain why it is necessary to estimate any parameters instead
of measuring them directly and describe how the AECD calculates the
estimated value, if applicable.
    (vi) Describe how you calibrate the AECD modulation to activate
only during conditions related to the stated need to protect components
and only as needed to sufficiently protect those components in a way
that minimizes the emission impact.
    (c) [Reserved]
    (d) Describe the engines you selected for testing and the reasons
for selecting them.
    (e) Describe the test equipment and procedures that you used,
including the duty cycle(s) and the corresponding engine applications.
Also describe any special or alternate test procedures you used.
    (f) Describe how you operated the emission-data engine before
testing, including the duty cycle and the number of engine operating
hours used to stabilize emission levels. Explain why you selected the
method of service accumulation. Describe any scheduled maintenance you
did.
    (g) List the specifications of the test fuel to show that it falls
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec.  1042.120
and 1042.125).
    (j) Include the emission-related installation instructions you will
provide if someone else installs your engines in a vessel (see Sec.
1042.130).
    (k) Describe your emission control information label (see Sec.
1042.135).
    (l) Identify the emission standards and/or FELs to which you are
certifying engines in the engine family.
    (m) Identify the engine family's deterioration factors and describe
how you developed them (see Sec.  1042.245). Present any emission test
data you used for this.
    (n) State that you operated your emission-data engines as described
in the application (including the test procedures, test parameters, and
test fuels) to show you meet the requirements of this part.
    (o) Present emission data for HC, NOX, PM, and CO on an
emission-data engine to show your engines meet emission standards as
specified in Sec.  1042.101. Show emission figures before and after
applying adjustment factors for regeneration and deterioration factors
for each pollutant and for each engine. If we specify more than one
grade of any fuel type (for example, high-sulfur and low-sulfur diesel
fuel), you need to submit test data only for one grade, unless the
regulations of this part specify otherwise for your engine. Include
emission results for each mode if you do discrete-mode testing under
Sec.  1042.505. Note that Sec. Sec.  1042.235 and 1042.245 allows you
to submit an application in certain cases without new emission data.
    (p) For Category 1 and Category 2 engines, state that all the
engines in the engine family comply with the not-to-exceed emission
standards we specify in Sec.  1042.101 for all normal operation and use
when tested as specified in Sec.  1042.515. Describe any relevant
testing, engineering analysis, or other information in sufficient
detail to support your statement.
    (q) [Reserved]
    (r) Report all test results, including those from invalid tests,
whether or not they were conducted according to the test procedures of
subpart F of this part. If you measure CO2, report those
emission levels. We may ask you to send other information to confirm
that your tests were valid under the requirements of this part and 40
CFR part 1065.
    (s) Describe all adjustable operating parameters (see Sec.
1042.115(d)), including production tolerances. Include the following in
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) For Category 1 engines, information showing why the limits,
stops, or other means of inhibiting adjustment are effective in
preventing adjustment of parameters on in-use engines to settings
outside your intended physically adjustable ranges.
    (5) For Category 2 engines, propose a range of adjustment for each
adjustable parameter, as described in Sec.  1042.115(d). Include
information showing why the limits, stops, or other means of inhibiting
adjustment are effective in preventing adjustment of parameters on in-
use engines to settings outside your proposed adjustable ranges.
    (t) Provide the information to read, record, and interpret all the
information broadcast by an engine's onboard computers and electronic
control units. State that, upon request, you will give us any hardware,
software, or tools we would need to do this. If you broadcast a
surrogate parameter for torque values, you must provide us what we need
to convert these into torque units. You may reference any appropriate
publicly released standards that define conventions for these messages
and parameters. Format your information consistent with publicly
released standards.
    (u) Confirm that your emission-related installation instructions
specify how to ensure that sampling of exhaust emissions will be
possible after engines are installed in vessels and placed in service.
Show how to sample exhaust emissions in a way that prevents diluting
the exhaust sample with ambient air.
    (v) State whether your certification is limited for certain
engines. If this is the case, describe how you will prevent use of
these engines in applications for which they are not certified. This
applies for engines such as the following:
    (1) Constant-speed engines.
    (2) Variable-pitch.
    (3) Recreational engines.
    (w) Unconditionally certify that all the engines in the engine
family comply with the requirements of this part, other referenced
parts of the CFR, and the Clean Air Act.
    (x) Include estimates of U.S.-directed production volumes. If these
estimates are not consistent with your actual production volumes from
previous years, explain why they are different.
    (y) Include the information required by other subparts of this
part. For example, include the information required by Sec.  1042.725
if you participate in the ABT program.

    (z) Include other applicable information, such as information
specified in this part or 40 CFR part 1068 related to requests for
exemptions.
    (aa) Name an agent for service located in the United States.
Service on this agent constitutes service on you or any of your
officers or employees for any action by EPA or otherwise by the United
States related to the requirements of this part.
    (bb) For imported engines, identify the following:
    (1) The port(s) at which you will import your engines.
    (2) The names and addresses of the agents you have authorized to
import your engines.
    (3) The location of test facilities 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.

Sec.  1042.210  Preliminary approval.

    If you send us information before you finish the application, we
will review it and make any appropriate determinations, especially for
questions related to engine family definitions, auxiliary emission
control devices, deterioration factors, useful life, testing for
service accumulation, maintenance, and compliance with not-to-exceed
standards. Decisions made under this section are considered to be
preliminary approval, subject to final review and approval. We will
generally not reverse a decision where we have given you preliminary
approval, unless we find new information supporting a different
decision. If you request preliminary approval related to the upcoming
model year or the model year after that, we will make best-efforts to
make the appropriate determinations as soon as practicable. We will
generally not provide preliminary approval related to a future model
year more than two years ahead of time.

Sec.  1042.220  Amending maintenance instructions.

    You may amend your emission-related maintenance instructions after
you submit your application for certification, as long as the amended
instructions remain consistent with the provisions of Sec.  1042.125.
You must send the Designated Compliance Officer a written request to
amend your application for certification for an engine family if you
want to change the emission-related maintenance instructions in a way
that could affect emissions. In your request, describe the proposed
changes to the maintenance instructions. We will disapprove your
request if we determine that the amended instructions are inconsistent
with maintenance you performed on emission-data engines. If operators
follow the original maintenance instructions rather than the newly
specified maintenance, this does not allow you to disqualify those
engines from in-use testing or deny a warranty claim.
    (a) If you are decreasing any specified maintenance, you may
distribute the new maintenance instructions to your customers 30 days
after we receive your request, unless we disapprove your request. We
may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions any
time after you send your request. For example, this paragraph (b) would
cover adding instructions to increase the frequency of a maintenance
step for engines in severe-duty applications.
    (c) You do not need to request approval if you are making only
minor corrections (such as correcting typographical mistakes),
clarifying your maintenance instructions, or changing instructions for
maintenance unrelated to emission control.

Sec.  1042.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your
application to include new or modified engine configurations, subject
to the provisions of this section. After we have issued your
certificate of conformity, you may send us an amended application
requesting that we include new or modified engine configurations within
the scope of the certificate, subject to the provisions of this
section. You must amend your application if any changes occur with
respect to any information included in your application.
    (a) You must amend your application before you take any of the
following actions:
    (1) Add an engine configuration to an engine family. In this case,
the engine configuration added must be consistent with other engine
configurations in the engine family with respect to the criteria listed
in Sec.  1042.230.
    (2) Change an engine configuration already included in an engine
family in a way that may affect emissions, or change any of the
components you described in your application for certification. This
includes production and design changes that may affect emissions any
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph
(f) of this section.
    (b) To amend your application for certification as specified in
paragraph (a) of this section, send the Designated Compliance Officer
the following information:
    (1) Describe in detail the addition or change in the engine model
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the
amended engine family complies with all applicable requirements. You
may do this by showing that the original emission-data engine is still
appropriate with respect to showing compliance of the amended family
with all applicable requirements.
    (3) If the original emission-data engine for the engine family is
not appropriate to show compliance for the new or modified engine
configuration, include new test data showing that the new or modified
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of
conformity, we will determine whether the existing certificate of
conformity covers your newly added or modified engine. You may ask for
a hearing if we deny your request (see Sec.  1042.820).
    (e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration any time after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30
days, you must stop producing the new or modified engines.
    (f) You may ask us to approve a change to your FEL in certain cases
after the start of production. The changed FEL may not apply to engines
you have already introduced into U.S. commerce, except as described in
this paragraph (f). If we approve a changed FEL after the start of
production, you must include

the new FEL on the emission control information label for all engines
produced after the change. You may ask us to approve a change to your
FEL in the following cases:
    (1) You may ask to raise your FEL for your emission family at any
time. In your request, you must show that you will still be able to
meet the emission standards as specified in subparts B and H of this
part. If you amend your application by submitting new test data to
include a newly added or modified engine or fuel-system component, as
described in paragraph (b)(3) of this section, use the appropriate FELs
with corresponding production volumes to calculate your production-
weighted average FEL for the model year, as described in subpart H of
this part. If you amend your application without submitting new test
data, you must use the higher FEL for the entire family to calculate
your production-weighted average FEL under subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if
you have test data from production engines showing that emissions are
below the proposed lower FEL. The lower FEL applies only to engines you
produce after we approve the new FEL. Use the appropriate FELs with
corresponding production volumes to calculate your production-weighted
average FEL for the model year, as described in subpart H of this part.

Sec.  1042.230  Engine families.

    (a) For purposes of certification, divide your product line into
families of engines that are expected to have similar emission
characteristics throughout the useful life as described in this
section. You may not group Category 1 and Category 2 engines in the
same family. Your engine family is limited to a single model year.
    (b) For Category 1 engines, group engines in the same engine family
if they are the same in all the following aspects:
    (1) The combustion cycle and fuel (the fuels with which the engine
is intended or designed to be operated).
    (2) The cooling system (for example, raw-water vs. separate-circuit
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Bore and stroke.
    (7) Number of cylinders (for engines with aftertreatment devices
only).
    (8) Cylinder arrangement (for engines with aftertreatment devices
only).
    (9) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
    (10) Application (commercial or recreational).
    (11) Numerical level of the emission standards that apply to the
engine, except as allowed under paragraphs (f) and (g) of this section.
    (c) For Category 2 engines, group engines in the same engine family
if they are the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed (air-cooled or water-
cooled), and procedure(s) employed to maintain engine temperature
within desired limits (thermostat, on-off radiator fan(s), radiator
shutters, etc.).
    (3) The bore and stroke dimensions.
    (4) The approximate intake and exhaust event timing and duration
(valve or port).
    (5) The location of the intake and exhaust valves (or ports).
    (6) The size of the intake and exhaust valves (or ports).
    (7) The overall injection, or as appropriate ignition, timing
characteristics (i.e., the deviation of the timing curves from the
optimal fuel economy timing curve must be similar in degree).
    (8) The combustion chamber configuration and the surface-to-volume
ratio of the combustion chamber when the piston is at top dead center
position, using nominal combustion chamber dimensions.
    (9) The location of the piston rings on the piston.
    (10) The method of air aspiration (turbocharged, supercharged,
naturally aspirated, Roots blown).
    (11) The turbocharger or supercharger general performance
characteristics (e.g., approximate boost pressure, approximate response
time, approximate size relative to engine displacement).
    (12) The type of air inlet cooler (air-to-air, air-to-liquid,
approximate degree to which inlet air is cooled).
    (13) The intake manifold induction port size and configuration.
    (14) The type of fuel (the fuels with which the engine is intended
or designed to be operated) and fuel system configuration.
    (15) The configuration of the fuel injectors and approximate
injection pressure.
    (16) The type of fuel injection system controls (i.e., mechanical
or electronic).
    (17) The type of smoke control system.
    (18) The exhaust manifold port size and configuration.
    (19) The type of exhaust aftertreatment system (oxidation catalyst,
particulate trap), and characteristics of the aftertreatment system
(catalyst loading, converter size vs engine size).
    (d) [Reserved]
    (e) You may subdivide a group of engines that is identical under
paragraph (b) or (c) of this section into different engine families if
you show the expected emission characteristics are different during the
useful life. However, for the purpose of applying small volume family
provisions of this part, we will consider the otherwise applicable
engine family criteria of this section.
    (f) You may group engines that are not identical with respect to
the things listed in paragraph (b) or (c) of this section in the same
engine family, as follows:
    (1) In unusual circumstances, you may group such engines in the
same engine family if you show that their emission characteristics
during the useful life will be similar.
    (2) If you are a small-volume engine manufacturer, you may group
any Category 1 engines into a single engine family or you may group any
Category 2 engines into a single engine family. This also applies if
you are a post-manufacture marinizer modifying a base engine that has a
valid certificate of conformity for any kind of nonroad or heavy-duty
highway engine under this chapter.
    (3) The provisions of this paragraph (f) do not exempt any engines
from meeting the standards and requirements in subpart B of this part.
    (g) If you combine engines that are subject to different emission
standards into a single engine family under paragraph (f) of this
section, you must certify the engine family to the more stringent set
of standards for that model year.

Sec.  1042.235  Emission testing required for a certificate of
conformity.

    This section describes the emission testing you must perform to
show compliance with the emission standards in Sec.  1042.101(a). See
Sec.  1042.205(p) regarding emission testing related to the NTE
standards. See Sec. Sec.  1042.240 and 1042.245 and 40 CFR part 1065,
subpart E, regarding service accumulation before emission testing.
    (a) Test your emission-data engines using the procedures and
equipment specified in subpart F of this part.
    (b) Select an emission-data engine from each engine family for
testing. For Category 2 or Category 3 engines, you may use a
development engine that is

equivalent in design to the engine being certified. Using good
engineering judgment, select the engine configuration most likely to
exceed an applicable emission standard over the useful life,
considering all exhaust emission constituents and the range of
installation options available to vessel manufacturers.
    (c) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
    (1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the test engine to a test
facility we designate. The test engine you provide must include
appropriate manifolds, aftertreatment devices, electronic control
units, and other emission-related components not normally attached
directly to the engine block. If we do the testing at your plant, you
must schedule it as soon as possible and make available the
instruments, personnel, and equipment we need.
    (2) If we measure emissions from one of your test engines, the
results of that testing become the official emission results for the
engine. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets
applicable requirements.
    (3) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see
Sec.  1042.115(d)).
    (4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter.
    (d) You may ask to use emission data from a previous model year
instead of doing new tests, but only if all the following are true:
    (1) The engine family from the previous model year differs from the
current engine family only with respect to model year or other
characteristics unrelated to emissions. You may also ask to add a
configuration subject to Sec.  1042.225.
    (2) The emission-data engine from the previous model year remains
the appropriate emission-data engine under paragraph (b) of this
section.
    (3) The data show that the emission-data engine would meet all the
requirements that apply to the engine family covered by the application
for certification. For engines originally tested under the provisions
of 40 CFR part 94, you may consider those test procedures to be
equivalent to the procedures we specify in subpart F of this part.
    (e) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under
paragraph (b) of this section.
    (f) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures specified in subpart F of this part, we
may reject data you generated using the alternate procedure.

Sec.  1042.240  Demonstrating compliance with exhaust emission
standards.

    (a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec.  1042.101(a) if all
emission-data engines representing that family have test results
showing deteriorated emission levels at or below these standards. Note
that your FELs are considered to be the applicable emission standards
with which you must comply if you participate in the ABT program in
subpart H of this part.
    (b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing a deteriorated
emission level above an applicable emission standard for any pollutant.
    (c) To compare emission levels from the emission-data engine with
the applicable emission standards for Category 1 and Category 2
engines, apply deterioration factors to the measured emission levels
for each pollutant. Section 1042.245 specifies how to test your engine
to develop deterioration factors that represent the deterioration
expected in emissions over your engines' full useful life. Your
deterioration factors must take into account any available data from
in-use testing with similar engines. Small-volume engine manufacturers
and post-manufacture marinizers may use assigned deterioration factors
that we establish. Apply deterioration factors as follows:
    (1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (c)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor is the difference between exhaust emissions at the end of the
useful life and exhaust emissions at the low-hour test point. In these
cases, adjust the official emission results for each tested engine at
the selected test point by adding the factor to the measured emissions.
If the deterioration factor is less than zero, use zero. Additive
deterioration factors must be specified to one more decimal place than
the applicable standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use
a multiplicative deterioration factor if good engineering judgment
calls for the deterioration factor for a pollutant to be the ratio of
exhaust emissions at the end of the useful life to exhaust emissions at
the low-hour test point. For example, if you use aftertreatment
technology that controls emissions of a pollutant proportionally to
engine-out emissions, it is often appropriate to use a multiplicative
deterioration factor. Adjust the official emission results for each
tested engine at the selected test point by multiplying the measured
emissions by the deterioration factor. If the deterioration factor is
less than one, use one. A multiplicative deterioration factor may not
be appropriate in cases where testing variability is significantly
greater than engine-to-engine variability. Multiplicative deterioration
factors must be specified to one more significant figure than the
applicable standard.
    (3) Deterioration factor for crankcase emissions. If your engine
vents crankcase emissions to the exhaust or to the atmosphere, you must
account for crankcase emission deterioration, using good engineering
judgment. You may use separate deterioration factors for crankcase
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.
    (d) Collect emission data using measurements to 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+HC standards, apply the deterioration factor to each
pollutant and then add the results before rounding.

Sec.  1042.245  Deterioration factors.

    For Category 1 and Category 2 engines, establish deterioration
factors to determine whether your engines will meet emission standards
for each pollutant throughout the useful life, as described in
Sec. Sec.  1042.101 and 1042.240. This section describes how to
determine deterioration factors, either with an engineering analysis,
with pre-existing test data, or with new emission measurements.
    (a) You may ask us to approve deterioration factors for an engine
family with established technology based on engineering analysis
instead of testing. Engines certified to a NOX+HC

standard or FEL greater than the Tier 2 NOX+HC standard
described in Appendix I of this part are considered to rely on
established technology for gaseous emission control, except that this
does not include any engines that use exhaust-gas recirculation or
aftertreatment. In most cases, technologies used to meet the Tier 1 and
Tier 2 emission standards would be considered to be established
technology. We must approve your plan to establish a deterioration
factor under this paragraph (a) before you submit your application for
certification.
    (b) You may ask us to approve deterioration factors for an engine
family based on emission measurements from similar highway or nonroad
engines (including locomotive engines or other marine engines) if you
have already given us these data for certifying the other engines in
the same or earlier model years. Use good engineering judgment to
decide whether the two engines are similar. We must approve your plan
to establish a deterioration factor under this paragraph (b) before you
submit your application for certification. We will approve your request
if you show us that the emission measurements from other engines
reasonably represent in-use deterioration for the engine family for
which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an
engine family under paragraph (a) or (b) of this section, first get us
to approve a plan for determining deterioration factors based on
service accumulation and related testing. Your plan must involve
measuring emissions from an emission-data engine at least three times
with evenly spaced intervals of service accumulation such that the
resulting measurements and calculations will represent the
deterioration expected from in-use engines over the full useful life.
You may use extrapolation to determine deterioration factors once you
have established a trend of changing emissions with age for each
pollutant. You may use an engine installed in a vessel to accumulate
service hours instead of running the engine only in the laboratory. You
may perform maintenance on emission-data engines as described in Sec.
1042.125 and 40 CFR part 1065, subpart E.
    (d) Include the following information in your application for
certification:
    (1) If you use test data from a different engine family, explain
why this is appropriate and include all the emission measurements on
which you base the deterioration factor.
    (2) If you determine your deterioration factors based on
engineering analysis, explain why this is appropriate and include a
statement that all data, analyses, evaluations, and other information
you used are available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe
the form and extent of service accumulation, including a rationale for
selecting the service-accumulation period and the method you use to
accumulate hours.

Sec.  1042.250  Recordkeeping and reporting.

    (a) If you produce engines under any provisions of this part that
are related to production volumes, send the Designated Compliance
Officer a report within 30 days after the end of the model year
describing the total number of engines you produced in each engine
family. For example, if you use special provisions intended for small-
volume engine manufacturers, report your production volumes to show
that you do not exceed the applicable limits.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send
us.
    (2) Any of the information we specify in Sec.  1042.205 that you
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin
and buildup, steps you took to ensure that it represents production
engines, any components you built specially for it, and all the
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests (valid and invalid), including
documentation on routine and standard tests, as specified in part 40
CFR part 1065, and the date and purpose of each test.
    (v) All tests to diagnose engine or emission-control performance,
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly
plant.
    (5) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity.
    (c) Keep data from routine emission tests (such as test cell
temperatures and relative humidity readings) for one year after we
issue the associated certificate of conformity. Keep all other
information specified in paragraph (a) of this section for eight years
after we issue your certificate.
    (d) Store these records in any format and on any media, as long as
you can promptly send us organized, written records in English if we
ask for them. You must keep these records readily available. We may
review them at any time.
    (e) Send us copies of any engine maintenance instructions or
explanations if we ask for them.

Sec.  1042.255  EPA decisions.

    (a) If we determine your application is complete and shows that the
engine family meets all the requirements of this part and the Clean Air
Act, we will issue a certificate of conformity for your engine family
for that model year. We may make the approval subject to additional
conditions.
    (b) We may deny your application for certification if we determine
that your engine family fails to comply with emission standards or
other requirements of this part or the Clean Air Act. Our decision may
be based on a review of all information available to us. If we deny
your application, we will explain why in writing.
    (c) In addition, we may deny your application or suspend or revoke
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities (see 40 CFR
1068.20). This includes a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a
location where local law prohibits us from carrying out authorized
activities.
    (6) Fail to supply requested information or amend your application
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we
require or do not give us information as required under this part or
the Clean Air Act.
    (e) We may void your certificate if we find that you intentionally
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your

certificate, you may ask for a hearing (see Sec.  1042.820).

Subpart D--Testing Production-Line Engines

Sec.  1042.301  General provisions.

    (a) If you produce engines that are subject to the requirements of
this part, you must test them as described in this subpart, except as
follows:
    (1) Small-volume engine manufacturers may omit testing under this
subpart.
    (2) We may exempt Category 1 engine families with a projected U.S.-
directed production volume below 100 engines from routine testing under
this subpart. Request this exemption in the application for
certification and include your basis for projecting a production volume
below 100 units. You must promptly notify us if your actual production
exceeds 100 units during the model year. If you exceed the production
limit or if there is evidence of a nonconformity, we may require you to
test production-line engines under this subpart, or under 40 CFR part
1068, subpart D, even if we have approved an exemption under this
paragraph (a)(2).
(3) [Reserved]
    (b) We may suspend or revoke your certificate of conformity for
certain engine families if your production-line engines do not meet the
requirements of this part or you do not fulfill your obligations under
this subpart (see Sec. Sec.  1042.325 and 1042.340).
    (c) Other requirements apply to engines that you produce. Other
regulatory provisions authorize us to suspend, revoke, or void your
certificate of conformity, or order recalls for engines families
without regard to whether they have passed these production-line
testing requirements. The requirements of this subpart do not affect
our ability to do selective enforcement audits, as described in 40 CFR
part 1068. Individual engines in families that pass these production-
line testing requirements must also conform to all applicable
regulations of this part and 40 CFR part 1068.
    (d) You may ask to use an alternate program for testing production-
line engines. In your request, you must show us that the alternate
program gives equal assurance that your products meet the requirements
of this part. We may waive some or all of this subpart's requirements
if we approve your alternate program.
    (e) If you certify an engine family with carryover emission data,
as described in Sec.  1042.235(d), and these equivalent engine families
consistently pass the production-line testing requirements over the
preceding two-year period, you may ask for a reduced testing rate for
further production-line testing for that family. The minimum testing
rate is one engine per engine family. If we reduce your testing rate,
we may limit our approval to any number of model years. In determining
whether to approve your request, we may consider the number of engines
that have failed the emission tests.
    (f) We may ask you to make a reasonable number of production-line
engines available for a reasonable time so we can test or inspect them
for compliance with the requirements of this part. See 40 CFR 1068.27.

Sec.  1042.305  Preparing and testing production-line engines.

    This section describes how to prepare and test production-line
engines. You must assemble the test engine in a way that represents the
assembly procedures for other engines in the engine family. You must
ask us to approve any deviations from your normal assembly procedures
for other production engines in the engine family.
    (a) Test procedures. Test your production-line engines using the
applicable testing procedures in subpart F of this part to show you
meet the duty-cycle emission standards in subpart B of this part. The
not-to-exceed standards apply for this testing, but you need not do
additional testing to show that production-line engines meet the not-
to-exceed standards.
    (b) Modifying a test engine. Once an engine is selected for testing
(see Sec.  1042.310), you may adjust, repair, prepare, or modify it or
check its emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for
assembling and inspecting all your production engines and make the
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Engine malfunction. If an engine malfunction prevents further
emission testing, ask us to approve your decision to either repair the
engine or delete it from the test sequence.
    (d) Setting adjustable parameters. Before any test, we may require
you to adjust any adjustable parameter on a Category 1 engine to any
setting within its physically adjustable range. We may adjust or
require you to adjust any adjustable parameter on a Category 2 engine
to any setting within its approved adjustable range.
    (1) We may require you to adjust idle speed outside the physically
adjustable range as needed, but only until the engine has stabilized
emission levels (see paragraph (e) of this section). We may ask you for
information needed to establish an alternate minimum idle speed.
    (2) We may specify adjustments within the physically adjustable
range or the approved adjustable range by considering their effect on
emission levels, as well as how likely it is someone will make such an
adjustment with in-use engines.
    (e) Stabilizing emission levels. You may stabilize emission levels
(or establish a Green Engine Factor for Category 2 engines) before you
test production-line engines, as follows:
    (1) You may stabilize emission levels by operating the engine in a
way that represents the way production engines will be used, using good
engineering judgment, for no more than the greater of two periods:
    (i) 300 hours.
    (ii) The number of hours you operated your emission-data engine for
certifying the engine family (see 40 CFR part 1065, subpart E, or the
applicable regulations governing how you should prepare your test
engine).
    (2) For Category 2 engines, you may ask us to approve a Green
Engine Factor for each regulated pollutant for each engine family. Use
the Green Engine Factor to adjust measured emission levels to establish
a stabilized low-hour emission level.
    (f) Damage during shipment. If shipping an engine to a remote
facility for production-line testing makes necessary an adjustment or
repair, you must wait until after the initial emission test to do this
work. We may waive this requirement if the test would be impossible or
unsafe, or if it would permanently damage the engine. Report to us in
your written report under Sec.  1042.345 all adjustments or repairs you
make on test engines before each test.
    (g) Retesting after invalid tests. You may retest an engine if you
determine an emission test is invalid under subpart F of this part.
Explain in your written report reasons for invalidating any test and
the emission results from all tests. If you retest an engine, you may
ask us to substitute results of the new tests for the original ones.
You must ask us within ten days of testing. We will generally answer
within ten days after we receive your information.

Sec.  1042.310  Engine selection.

    (a) Determine minimum sample sizes as follows:

    (1) For Category 1 engines, the minimum sample size is one engine
or one percent of the projected U.S.-directed production volume for all
your Category 1 engine families, whichever is greater.
    (2) For Category 2 engines, the minimum sample size is one engine
or one percent of the projected U.S.-directed production volume for all
your Category 2 engine families, whichever is greater.
    (b) Randomly select one engine from each category early in the
model year from the engine family with the highest projected U.S.-
directed production volume. For further testing to reach the minimum
sample size, randomly select a proportional sample from each engine
family, with testing distributed evenly over the course of the model
year.
    (c) For each engine that fails to meet emission standards, test two
engines from the same engine family from the next fifteen engines
produced or within seven calendar days, which is later. If an engine
fails to meet emission standards for any pollutant, count it as a
failing engine under this paragraph (c).
    (d) Continue testing until one of the following things happens:
    (1) You test the number of engines specified in paragraphs (a) and
(c) of this section.
    (2) The engine family does not comply according to Sec.  1042.315
or you choose to declare that the engine family does not comply with
the requirements of this subpart.
    (3) You test 30 engines from the engine family.
    (e) You may elect to test more randomly chosen engines than we
require under this section.

Sec.  1042.315  Determining compliance.

    This section describes the pass-fail criteria for the production-
line testing requirements. We apply these criteria on an engine-family
basis. See Sec.  1042.320 for the requirements that apply to individual
engines that fail a production-line test.
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate the test results for
each engine. If you do several tests on an engine, calculate the
initial test results, then add them together and divide by the number
of tests for the final test results on that engine. Include the Green
Engine Factor to determine low-hour emission results, if applicable.
    (2) Final deteriorated test results. Apply the deterioration factor
for the engine family to the final test results (see Sec.
1042.240(c)).
    (3) Round deteriorated test results. Round the results to the
number of decimal places in the emission standard expressed to one more
decimal place.
    (b) If a production-line engine fails to meet emission standards
and you test two additional engines as described in Sec.  1042.310,
calculate the average emission level for each pollutant for the three
engines. If the calculated average emission level for any pollutant
exceeds the applicable emission standard, the engine family fails the
production-line testing requirements of this subpart. Tell us within
ten working days if this happens. You may request to amend the
application for certification to raise the FEL of the engine family as
described in Sec.  1042.225(f).

Sec.  1042.320  What happens if one of my production-line engines fails
to meet emission standards?

    (a) If you have a production-line engine with final deteriorated
test results exceeding one or more emission standards (see Sec.
1042.315(a)), the certificate of conformity is automatically suspended
for that failing engine. You must take the following actions before
your certificate of conformity can cover that engine:
    (1) Correct the problem and retest the engine to show it complies
with all emission standards.
    (2) Include in your written report a description of the test
results and the remedy for each engine (see Sec.  1042.345).
    (b) You may request to amend the application for certification to
raise the FEL of the entire engine family at this point (see Sec.
1042.225).

Sec.  1042.325  What happens if an engine family fails the production-
line testing requirements?

    (a) We may suspend your certificate of conformity for an engine
family if it fails under Sec.  1042.315. The suspension may apply to
all facilities producing engines from an engine family, even if you
find noncompliant engines only at one facility.
    (b) We will tell you in writing if we suspend your certificate in
whole or in part. We will not suspend a certificate until at least 15
days after the engine family fails. The suspension is effective when
you receive our notice.
    (c) Up to 15 days after we suspend the certificate for an engine
family, you may ask for a hearing (see Sec.  1042.820). If we agree
before a hearing occurs that we used erroneous information in deciding
to suspend the certificate, we will reinstate the certificate.
    (d) Section 1042.335 specifies steps you must take to remedy the
cause of the engine family's production-line failure. All the engines
you have produced since the end of the last test period are presumed
noncompliant and should be addressed in your proposed remedy. We may
require you to apply the remedy to engines produced earlier if we
determine that the cause of the failure is likely to have affected the
earlier engines.
    (e) You may request to amend the application for certification to
raise the FEL of the entire engine family as described in Sec.
1051.225(f). We will approve your request if it is clear that you used
good engineering judgment in establishing the original FEL.

Sec.  1042.330  Selling engines from an engine family with a suspended
certificate of conformity.

    You may sell engines that you produce after we suspend the engine
family's certificate of conformity under Sec.  1042.315 only if one of
the following occurs:
    (a) You test each engine you produce and show it complies with
emission standards that apply.
    (b) We conditionally reinstate the certificate for the engine
family. We may do so if you agree to recall all the affected engines
and remedy any noncompliance at no expense to the owner if later
testing shows that the engine family still does not comply.

Sec.  1042.335  Reinstating suspended certificates.

    (a) Send us a written report asking us to reinstate your suspended
certificate. In your report, identify the reason for noncompliance,
propose a remedy for the engine family, and commit to a date for
carrying it out. In your proposed remedy include any quality control
measures you propose to keep the problem from happening again.
    (b) Give us data from production-line testing that shows the
remedied engine family complies with all the emission standards that
apply.

Sec.  1042.340  When may EPA revoke my certificate under this subpart
and how may I sell these engines again?

    (a) We may revoke your certificate for an engine family in the
following cases:
    (1) You do not meet the reporting requirements.
    (2) Your engine family fails to comply with the requirements of
this subpart and your proposed remedy to address a suspended
certificate under Sec.  1042.325 is inadequate to solve the problem or
requires you to change the engine's design or emission-control system.
    (b) To sell engines from an engine family with a revoked
certificate of conformity, you must modify the engine family and then
show it complies with the requirements of this part.

    (1) If we determine your proposed design change may not control
emissions for the engine's full useful life, we will tell you within
five working days after receiving your report. In this case we will
decide whether production-line testing will be enough for us to
evaluate the change or whether you need to do more testing.
    (2) Unless we require more testing, you may show compliance by
testing production-line engines as described in this subpart.
    (3) We will issue a new or updated certificate of conformity when
you have met these requirements.

Sec.  1042.345  Reporting.

    You must do all the following things unless we ask you to send us
less information:
    (a) Within 30 calendar days of the end of each quarter in which
production-line testing occurs, send us a report with the following
information:
    (1) Describe any facility used to test production-line engines and
state its location.
    (2) State the total U.S.-directed production volume and number of
tests for each engine family.
    (3) Describe how you randomly selected engines.
    (4) Describe each test engine, including the engine family's
identification and the engine's model year, build date, model number,
identification number, and number of hours of operation before testing.
Also describe how you developed and applied the Green Engine Factor, if
applicable.
    (5) Identify how you accumulated hours of operation on the engines
and describe the procedure and schedule you used.
    (6) Provide the test number; the date, time and duration of
testing; test procedure; initial test results before and after
rounding; final test results; and final deteriorated test results for
all tests. Provide the emission results for all measured pollutants.
Include information for both valid and invalid tests and the reason for
any invalidation.
    (7) Describe completely and justify any nonroutine adjustment,
modification, repair, preparation, maintenance, or test for the test
engine if you did not report it separately under this subpart. Include
the results of any emission measurements, regardless of the procedure
or type of engine.
    (8) Report on each failed engine as described in Sec.  1042.320.
    (9) Identify when the model year ends for each engine family.
    (b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart.
    (c) An authorized representative of your company must sign the
following statement: We submit this report under sections 208 and 213
of the Clean Air Act. Our production-line testing conformed completely
with the requirements of 40 CFR part 1042. We have not changed
production processes or quality-control procedures for test engines in
a way that might affect emission controls. All the information in this
report is true and accurate to the best of my knowledge. I know of the
penalties for violating the Clean Air Act and the regulations.
(Authorized Company Representative)
    (d) Send electronic reports of production-line testing to the
Designated Compliance Officer using an approved information format. If
you want to use a different format, send us a written request with
justification for a waiver.
    (e) We will send copies of your reports to anyone from the public
who asks for them. See Sec.  1042.815 for information on how we treat
information you consider confidential.

Sec.  1042.350  Recordkeeping.

    (a) Organize and maintain your records as described in this
section. We may review your records at any time.
    (b) Keep records of your production-line testing for eight years
after you complete all the testing required for an engine family in a
model year. You may use any appropriate storage formats or media.
    (c) Keep a copy of the written reports described in Sec.  1042.345.
    (d) Keep the following additional records:
    (1) A description of all test equipment for each test cell that you
can use to test production-line engines.
    (2) The names of supervisors involved in each test.
    (3) The name of anyone who authorizes adjusting, repairing,
preparing, or modifying a test engine and the names of all supervisors
who oversee this work.
    (4) If you shipped the engine for testing, the date you shipped it,
the associated storage or port facility, and the date the engine
arrived at the testing facility.
    (5) Any records related to your production-line tests that are not
in the written report.
    (6) A brief description of any significant events during testing
not otherwise described in the written report or in this section.
    (7) Any information specified in Sec.  1042.345 that you do not
include in your written reports.
    (e) If we ask, you must give us projected or actual production
figures for an engine family. We may ask you to divide your production
figures by maximum engine power, displacement, fuel type, or assembly
plant (if you produce engines at more than one plant).
    (f) Keep a list of engine identification numbers for all the
engines you produce under each certificate of conformity. Give us this
list within 30 days if we ask for it.
    (g) We may ask you to keep or send other information necessary to
implement this subpart.

Subpart E--In-use Testing

Sec.  1042.401  General Provisions.

    We may perform in-use testing of any engine subject to the
standards of this part.

Subpart F--Test Procedures

Sec.  1042.501  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 Category 1 and
Category 2 engines meet the duty-cycle emission standards in Sec.
1042.101(a). Measure the emissions of all regulated pollutants as
specified in 40 CFR part 1065. Use the applicable duty cycles specified
in Sec.  1042.505.
    (b) Section 1042.515 describes the supplemental test procedures for
evaluating whether engines meet the not-to-exceed emission standards in
Sec.  1042.101(c).
    (c) Use the fuels and lubricants specified in 40 CFR part 1065,
subpart H, for all the testing we require in this part, except as
specified in Sec.  1042.515.
    (1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel
specified in 40 CFR part 1065, subpart H, for emission testing. Unless
we specify otherwise, the appropriate diesel test fuel is the ultra
low-sulfur diesel fuel. If we allow you to use a test fuel with higher
sulfur levels, identify the test fuel in your application for
certification and ensure that the emission control information label is
consistent with your selection of the test fuel (see Sec.
1042.135(c)(10)). For Category 2 engines, you may ask to use
commercially available diesel fuel similar but not necessarily
identical to the applicable fuel specified in 40 CFR part 1065, subpart
H.

    (3) For Category 1 and Category 2 engines that are expected to use
a type of fuel (or mixed fuel) other than diesel fuel (such as natural
gas, methanol, or residual fuel), use a commercially available fuel of
that type for emission testing. If an engine is designed to operate on
different fuels, we may (at our discretion) require testing on each
fuel. Propose test fuel specifications that take into account the
engine design and the properties of commercially available fuels.
Describe these test fuel specifications in the application for
certification.
(4) [Reserved]
    (d) You may use special or alternate procedures to the extent we
allow them under 40 CFR 1065.10.
    (e) 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.
    (f) Duty-cycle testing is limited to ambient temperatures of 20 to
30 [deg]C. Atmospheric pressure must be between 91.000 and 103.325 kPa,
and must be within 5% of the value recorded at the time of
the last engine map. Testing may be performed with any ambient humidity
level. Correct duty-cycle NOX emissions for humidity as
specified in 40 CFR part 1065.

Sec.  1042.505  Testing engines using discrete-mode or ramped-modal
duty cycles.

    This section describes how to test engines under steady-state
conditions. In some cases, we allow you to choose the appropriate
steady-state duty cycle for an engine. In these cases, you must use the
duty cycle you select in your application for certification for all
testing you perform for that engine family. If we test your engines to
confirm that they meet emission standards, we will use the duty cycles
you select for your own testing. We may also perform other testing as
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each
mode, then calculate an average emission level for the whole cycle
using the weighting factors specified for each mode. Calculate cycle
statistics for each mode and compare with the specified values in 40
CFR part 1065 to confirm that the test is valid. Operate the engine and
sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that depend on
aftertreatment to meet the NOX emission standard, operate
the engine for 5-6 minutes, then sample emissions for 1-3 minutes in
each mode. You may extend the sampling time to improve measurement
accuracy of PM emissions, using good engineering judgment. If you have
a longer sampling time for PM emissions, calculate and validate cycle
statistics separately for the gaseous and PM sampling periods.
    (ii) Engines without NOX aftertreatment. For other engines, operate
the engine for at least 5 minutes, then sample emissions for at least 1
minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of
the first mode and continue sampling until the end of the last mode.
Calculate emissions and cycle statistics the same as for transient
testing as specified in 40 CFR part 1065, subpart G.
    (b) Measure emissions by testing the engine on a dynamometer with
one of the following duty cycles (as specified) to determine whether it
meets the emission standards in Sec.  1042.101(a):
    (1) General cycle. Use the 4-mode duty cycle or the corresponding
ramped-modal cycle described in paragraph (a) of Appendix II of this
part for commercial propulsion engines with maximum engine power at or
above 19 kW that are used with (or intended to be used with) fixed-
pitch propellers, and any other engines for which the other duty cycles
of this section do not apply.
    (2) Recreational engines. Use the 5-mode duty cycle or the
corresponding ramped-modal cycle described in paragraph (b) of Appendix
II of this part for recreational engines with maximum engine power at
or above 19 kW.
    (3) Variable-pitch and electrically coupled propellers. (i) Use the
4-mode duty cycle or the corresponding ramped-modal cycle described in
paragraph (c) of Appendix II of this part for constant-speed propulsion
engines that are used with (or intended to be used with) variable-pitch
propellers or with electrically coupled propellers.
    (ii) Use the 8-mode duty cycle or the corresponding ramped-modal
cycle described in 40 CFR part 1039, Appendix IV for variable-speed
propulsion engines with maximum engine power at or above 19 kW that are
used with (or intended to be used with) variable-pitch propellers or
with electrically coupled propellers.
    (4) Auxiliary engines. (i) Use the 5-mode duty cycle or the
corresponding ramped-modal cycle described in 40 CFR part 1039,
Appendix II, for constant-speed auxiliary engines.
    (ii) Use the 8-mode duty cycle or the corresponding ramped-modal
cycle specified in paragraph (b)(3)(ii) of this section for variable-
speed auxiliary engines with maximum engine power at or above 19 kW.
    (5) Engines below 19 kW. Use the 6-mode duty cycle or the
corresponding ramped-modal cycle described in 40 CFR part 1039,
Appendix III for variable-speed engines with maximum engine power below
19 kW.
    (c) During idle mode, operate the engine with the following
parameters:
    (1) Hold the speed within your specifications.
    (2) Set the engine to operate at its minimum fueling rate.
    (3) Keep engine torque under 5 percent of maximum test torque.
    (d) For full-load operating modes, operate the engine at its
maximum fueling rate. However, for constant-speed engines whose design
prevents full-load operation for extended periods, you may ask for
approval under 40 CFR 1065.10(c) to replace full-load operation with
the maximum load for which the engine is designed to operate for
extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances
and calculations.

Sec.  1042.515  Test procedures related to not-to-exceed standards.

    (a) This section describes the procedures to determine whether your
engines meet the not-to-exceed emission standards in Sec.  1042.101(c).
These procedures may include any normal engine operation and ambient
conditions that the engines may experience in use. Paragraphs (c)
through (e) of this section define the limits of what we will consider
normal engine operation and ambient conditions.
    (b) Measure emissions with one of the following procedures:
    (1) Remove the selected engines for testing in a laboratory. You
may use an engine dynamometer to simulate normal operation, as
described in this section. Use the equipment and procedures specified
in 40 CFR part 1065 to conduct laboratory testing.
    (2) Test the selected engines while they remain installed in a
vessel. Use the equipment and procedures specified in 40 CFR part 1065
subpart J, to conduct field testing. Use fuel meeting the
specifications of 40 CFR part 1065, subpart H, or a fuel typical of
what you would expect the engine to use in service.
    (c) Engine testing may occur under the following ranges of ambient
conditions without correcting measured emission levels:
    (1) Barometric pressure must be between 91.000 and 103.325 kPa.

    (2) Ambient air temperature must be between 13 and 35 [deg]C (or
between 13 [deg]C and 30 [deg]C for engines not drawing intake air
directly from a space that could be heated by the engine).
    (3) Ambient water temperature must be between 5 and 27 [deg]C.
    (4) Ambient humidity between 7.1 and 10.7 grams of moisture per
kilogram of dry air.
    (d) Engine testing may occur at any conditions expected during
normal operation but that are outside the conditions described in
paragraph (b) of this section, as long as measured values are corrected
to be equivalent to the nearest end of the specified range, using good
engineering judgment. Correct NOX emissions for humidity as
specified in 40 CFR part 1065, subpart G.
    (e) The sampling period may not begin until the engine has reached
stable operating temperatures. For example, this would include only
engine operation after starting and after the engine thermostat starts
modulating the engine's coolant temperature. The sampling period may
not include engine starting.
    (f) For analyzing data to determine compliance with the NTE
standards, refer to Sec.  1042.101(c) and Appendix III of this part
1042 for the NTE standards and the NTE zones, subzones, and any other
conditions where emission data may be included or excluded.

Sec.  1042.520  What testing must I perform to establish deterioration
factors?

    Sections 1042.240 and 1042.245 describe the required methods for
testing to establish deterioration factors for an engine family.

Sec.  1042.525  How do I adjust emission levels to account for
infrequently regenerating aftertreatment devices?

    This section describes how to adjust emission results from engines
using aftertreatment technology with infrequent regeneration events.
See paragraph (e) of this section for how to adjust ramped modal
testing. See paragraph (f) of this section for how to adjust discrete-
mode testing. For this section, ``regeneration'' means an intended
event during which emission levels change while the system restores
aftertreatment performance. For example, exhaust gas temperatures may
increase temporarily to remove sulfur from adsorbers or to oxidize
accumulated particulate matter in a trap. For this section,
``infrequent'' refers to regeneration events that are expected to occur
on average less than once over the applicable transient duty cycle or
ramped-modal cycle, or on average less than once per typical mode in a
discrete-mode test.
    (a) Developing adjustment factors. Develop an upward adjustment
factor and a downward adjustment factor for each pollutant based on
measured emission data and observed regeneration frequency. Adjustment
factors should generally apply to an entire engine family, but you may
develop separate adjustment factors for different engine configurations
within an engine family. If you use adjustment factors for
certification, you must identify the frequency factor, F, from
paragraph (b) of this section in your application for certification and
use the adjustment factors in all testing for that engine family. You
may use carryover or carry-across data to establish adjustment factors
for an engine family, as described in Sec.  1042.235(d), consistent
with good engineering judgment. All adjustment factors for regeneration
are additive. Determine adjustment factors separately for different
test segments. For example, determine separate adjustment factors for
different modes of a discrete-mode steady-state test. You may use
either of the following different approaches for engines that use
aftertreatment with infrequent regeneration events:
    (1) You may disregard this section if 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 do not use adjustment factors under this section, your
engines must meet emission standards for all testing, without regard to
regeneration.
    (2) If your engines use aftertreatment technology with extremely
infrequent regeneration and you are unable to apply the provisions of
this section, you may ask us to approve an alternate methodology to
account for regeneration events.
    (b) Calculating average adjustment factors. Calculate the average
adjustment factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:

F = The frequency of the regeneration event in terms of the fraction
of tests during which the regeneration occurs.
EFH = Measured emissions from a test segment in which the
regeneration occurs.
    EFL = Measured emissions from a test segment in which
the regeneration does not occur.

    (c) Applying adjustment factors. Apply adjustment factors based on
whether regeneration occurs during the test run. You must be able to
identify regeneration in a way that is readily apparent during all
testing.
    (1) If regeneration does not occur during a test segment, add an
upward adjustment factor to the measured emission rate. Determine the
upward adjustment factor (UAF) using the following equation:

UAF = EFA-EFL

    (2) If regeneration occurs or starts to occur during a test
segment, subtract a downward adjustment factor from the measured
emission rate. Determine the downward adjustment factor (DAF) using the
following equation:

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/kW-hr,
EFH is 0.50 g/kW-hr, and F is 0.1 (the regeneration occurs
once for each ten tests), then:
EFA = (0.1)(0.5 g/kW-hr) + (1.0-0.1)(0.1 g/kW-hr) = 0.14 g/
kW-hr.
UAF = 0.14 g/kW-hr-0.10 g/kW-hr = 0.04 g/kW-hr.
DAF = 0.50 g/kW-hr-0.14 g/kW-hr = 0.36 g/kW-hr.

    (e) Ramped modal testing. Develop a single set of adjustment
factors for the entire test. If a regeneration has started but has not
been completed when you reach the end of a test, use good engineering
judgment to reduce your downward adjustments to be proportional to the
emission impact that occurred in the test.
    (f) Discrete-mode testing. Develop separate adjustment factors for
each test mode. If a regeneration has started but has not been
completed when you reach the end of the sampling time for a test mode,
extend the sampling period for that mode until the regeneration is
completed.

Subpart G--Special Compliance Provisions

Sec.  1042.601  General compliance provisions for marine engines and
vessels.

    Engine and vessel manufacturers, as well as owners, operators, and
rebuilders of engines and vessels 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 Clean Air Act. The provisions of 40 CFR part 1068
apply for marine compression-ignition engines as specified in that
part, except as follows:
    (a) Installing a recreational marine engine in a vessel that is not
a recreational vessel is a violation of 40 CFR 1068.101(a)(1).
    (b) In addition to the provisions listed for the national security
exemption in

40 CFR 1068.225(b), your engine is exempt without a request if you
produce it for a piece of equipment owned or used by an agency of the
federal government responsible for national defense, where the
equipment has specialized electronic warfare systems, unique stealth
performance requirements, and/or unique combat maneuverability
requirements.
    (c) For replacement engines, apply the provisions of 40 CFR
1068.240(b)(3) as follows:
    (1) Except as specified in paragraph (c)(2) of this section, this
paragraph applies instead of the provisions of 40 CFR 1068.240(b)(3).
The prohibitions in 40 CFR 1068.101(a)(1) do not apply to a new
replacement engine if all of the following are true:
    (i) We determine that no engine certified to the requirements of
this part is produced by any manufacturer with the appropriate physical
or performance characteristics to repower a vessel.
    (ii) The replacement engine meets the most stringent standards
possible, and at least as stringent as those of the original engine.
For example, if at a time in which Tier 3 standards apply, an engine
originally certified as a Tier 1 engine is being replaced, the
replacement must meet the Tier 2 requirements if we determine that a
Tier 2 engine can be used as a replacement; otherwise it must meet the
Tier 1 requirements.
    (iii) The engine manufacturer must take possession of the original
engine or make sure it is destroyed.
    (iv) The replacement engine must be clearly labeled to show that it
does not comply with the standards and that sale or installation of the
engine for any purpose other than as a replacement engine is a
violation of federal law and subject to civil penalty.
    (2) The provisions of 40 CFR 1068.240(b)(3) for replacement engines
apply only if a new engine is needed to replace an engine that has
experienced catastrophic failure. If this occurs, the engine
manufacturer must keep records for eight years explaining why a
certified engine was not available and make these records available
upon request. Modifying a vessel to significantly increase its value
within six months after installing replacement engines under this
paragraph (c)(2) is a violation of 40 CFR 1068.101(a)(1).
    (d) Misfueling a marine engine labeled as requiring the use of
ultra low-sulfur diesel with higher-sulfur fuel is a violation of 40
CFR 1068.101(b)(1). It is also a violation of 40 CFR 1068.101(b)(1) if
an engine installer or vessel manufacturer fails to follow the engine
manufacturer's installation instructions when installing a certified
engine in a marine vessel.
    (e) The provisions of 40 CFR 1068.120 apply when rebuilding marine
engines. The following additional requirements also apply when
rebuilding marine engines equipped with exhaust aftertreatment:
    (1) Follow all instructions from the engine manufacturer and
aftertreatment manufacturer for checking, repairing, and replacing
aftertreatment components. For example, you must replace the catalyst
if the catalyst assembly is stamped with a build date more than ten
years ago and the manufacturer's instructions state that catalysts over
ten years old must be replaced when the engine is rebuilt.
    (2) Measure pressure drop across the catalyst assembly to ensure
that it is neither higher than nor lower than the manufacturer's
specifications.
    (3) For urea-based SCR systems equipped with exhaust sensors,
verify that sensor outputs are within the manufacturer's recommended
range and repair or replace any malfunctioning components (sensors,
catalysts, or other components).

Sec.  1042.605  Dressing engines already certified to other standards
for nonroad or heavy-duty highway engines for marine use.

    (a) General provisions. If you are an engine manufacturer
(including someone who marinizes a land-based engine), this section
allows you to introduce new marine engines into U.S. commerce if they
are already certified to the requirements that apply to compression-
ignition engines under 40 CFR parts 85 and 86 or 40 CFR part 89, 92,
1033, or 1039 for the appropriate model year. If you comply with all
the provisions of this section, we consider the certificate issued
under 40 CFR part 86, 89, 92, 1033, or 1039 for each engine to also be
a valid certificate of conformity under this part 1042 for its model
year, without a separate application for certification under the
requirements of this part 1042.
    (b) Boat-builder provisions. If you are not an engine manufacturer,
you may install an engine certified for the appropriate model year
under 40 CFR part 86, 89, 92, 1033, or 1039 in a marine vessel as long
as you do not make any of the changes described in paragraph (d)(3) of
this section and you meet the requirements of paragraph (e) of this
section. If you modify the non-marine engine in any of the ways
described in paragraph (d)(3) of this section, we will consider you a
manufacturer of a new marine engine. Such engine modifications prevent
you from using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR parts 85 and 86 or 40 CFR part 89, 92, 1033, or 1039. This
paragraph (c) applies to engine manufacturers, boat builders who use
such an engine, and all other persons as if the engine were used in its
originally intended application. The prohibited acts of 40 CFR
1068.101(a)(1) apply to these new engines and vessels; however, we
consider the certificate issued under 40 CFR part 86, 89, 92, 1033, or
1039 for each engine to also be a valid certificate of conformity under
this part 1042 for its model year. If we make a determination that
these engines do not conform to the regulations during their useful
life, we may require you to recall them under 40 CFR part 85, 89, 92,
or 1068.
    (d) Specific criteria and requirements. If you are an engine
manufacturer and meet all the following criteria and requirements
regarding your new marine engine, the engine is eligible for an
exemption under this section:
    (1) You must produce it by marinizing an engine covered by a valid
certificate of conformity from one of the following programs:
    (i) Heavy-duty highway engines (40 CFR part 86).
    (ii) Land-based nonroad diesel engines (40 CFR part 89 or 1039).
    (iii) Locomotives (40 CFR part 92 or 1033). To be eligible to be
dressed under this section, the engine must be from a locomotive
certified to standards that are at least as stringent as either the
standards applicable to new marine engines or freshly manufactured
locomotives in the model year that the engine is being dressed.
    (2) The engine must have the label required under 40 CFR part 86,
89, 92, 1033, or 1039.
    (3) You must not make any changes to the certified engine that
could reasonably be expected to increase its emissions. For example, if
you make any of the following changes to one of these engines, you do
not qualify for the engine dressing exemption:
    (i) Change any fuel system parameters from the certified
configuration, or change, remove, or fail to properly install any other
component, element of design, or calibration specified in the engine
manufacturer's application for certification. This includes

aftertreatment devices and all related components.
    (ii) Replacing an original turbocharger, except that small-volume
engine manufacturers may replace an original turbocharger on a
recreational engine with one that matches the performance of the
original turbocharger.
    (iii) Modify or design the marine engine cooling or aftercooling
system so that temperatures or heat rejection rates are outside the
original engine manufacturer's specified ranges.
    (4) You must show that fewer than 10 percent of the engine family's
total sales in the United States are used in marine applications. This
includes engines used in any application, without regard to which
company manufactures the vessel or equipment. Show this as follows:
    (i) If you are the original manufacturer of the engine, base this
showing on your sales information.
    (ii) In all other cases, you must get the original manufacturer of
the engine to confirm this based on its sales information.
    (e) Labeling and documentation. If you are an engine manufacturer
or boat builder using this exemption, you must do all of the following:
    (1) Make sure the original engine label will remain clearly visible
after installation in the vessel.
    (2) Add a permanent supplemental label to the engine in a position
where it will remain clearly visible after installation in the vessel.
In your engine label, do the following:
    (i) Include the heading: ``Marine Engine Emission Control
Information''.
    (ii) Include your full corporate name and trademark.
    (iii) State: ``This engine was marinized without affecting its
emission controls.''.
    (iv) State the date you finished marinizing the engine (month and
year).
    (3) Send the Designated Compliance Officer a signed letter by the
end of each calendar year (or less often if we tell you) with all the
following information:
    (i) Identify your full corporate name, address, and telephone
number.
    (ii) List the engine models for which you expect to use this
exemption in the coming year and describe your basis for meeting the
sales restrictions of paragraph (d)(4) of this section.
    (iii) State: ``We prepare each listed engine model for marine
application without making any changes that could increase its
certified emission levels, as described in 40 CFR 1042.605.''.
    (f) Failure to comply. If your engines do not meet the criteria
listed in paragraph (d) of this section, they will be subject to the
standards, requirements, and prohibitions of this part 1042 and the
certificate issued under 40 CFR part 86, 89, 92, 1033, or 1039 will not
be deemed to also be a certificate issued under this part 1042.
Introducing these engines into U.S. commerce as marine engines without
a valid exemption or certificate of conformity under this part violates
the prohibitions in 40 CFR 1068.101(a)(1).
    (g) Data submission. (1) If you are both the original manufacturer
and marinizer of an exempted engine, you must send us emission test
data on the appropriate marine duty cycles. You can include the data in
your application for certification or in the letter described in
paragraph (e)(3) of this section.
    (2) If you are the original manufacturer of an exempted engine that
is marinized by a post-manufacture marinizer, you may be required to
send us emission test data on the appropriate marine duty cycles. If
such data are requested you will be allowed a reasonable amount of time
to collect the data.
    (h) Participation in averaging, banking and trading. Engines
adapted for marine use under this section may not generate or use
emission credits under this part 1042. These engines may generate
credits under the ABT provisions in 40 CFR part 86, 89, 92, 1033, or
1039, as applicable. These engines must use emission credits under 40
CFR part 86, 89, 92, 1033, or 1039 as applicable if they are certified
to an FEL that exceeds an emission standard.
    (i) Operator requirements. The requirements specified for vessel
manufacturers, owners, and operators in this subpart (including
requirements in 40 CFR part 1068) apply to these engines whether they
are certified under this part 1042 or another part as allowed by this
section.

Sec.  1042.610  Certifying auxiliary marine engines to land-based
standards.

    This section applies to auxiliary marine engines that are identical
to certified land-based engines. See Sec.  1042.605 for provisions that
apply to propulsion marine engines or auxiliary marine engines that are
modified for marine applications.
    (a) General provisions. If you are an engine manufacturer, this
section allows you to introduce new marine engines into U.S. commerce
if they are already certified to the requirements that apply to
compression-ignition engines under 40 CFR part 89 or 1039 for the
appropriate model year. If you comply with all the provisions of this
section, we consider the certificate issued under 40 CFR part 89 or
1039 for each engine to also be a valid certificate of conformity under
this part 1042 for its model year, without a separate application for
certification under the requirements of this part 1042.
    (b) Boat builder provisions. If you are not an engine manufacturer,
you may install an engine certified for land-based applications in a
marine vessel as long as you meet all the qualifying criteria and
requirements specified in paragraphs (d) and (e) of this section. If
you modify the non-marine engine, we will consider you a manufacturer
of a new marine engine. Such engine modifications prevent you from
using the provisions of this section.
    (c) Liability. Engines for which you meet the requirements of this
section are exempt from all the requirements and prohibitions of this
part, except for those specified in this section. Engines exempted
under this section must meet all the applicable requirements from 40
CFR part 89 or 1039. This paragraph (c) applies to engine
manufacturers, boat builders who use such an engine, and all other
persons as if the engine were used in its originally intended
application. The prohibited acts of 40 CFR 1068.101(a)(1) apply to
these new engines and vessels; however, we consider the certificate
issued under 40 CFR part 89 or 1039 for each engine to also be a valid
certificate of conformity under this part 1042 for its model year. If
we make a determination that these engines do not conform to the
regulations during their useful life, we may require you to recall them
under 40 CFR part 89 or 1068.
    (d) Qualifying criteria. If you are an engine manufacturer and meet
all the following criteria and requirements regarding your new marine
engine, the engine is eligible for an exemption under this section:
    (1) The marine engine must be identical in all material respects to
a land-based engine covered by a valid certificate of conformity for
the appropriate model year showing that it meets emission standards for
engines of that power rating under 40 CFR part 89 or 1039.
    (2) The engines may not be used as propulsion marine engines.