this section. We may also ask you to send less information.
* * * * *

Subpart F--[Amended]

0
102. Section 1033.501 is amended by revising paragraph (i) to read as
follows:

Sec.  1033.501  General provisions.

* * * * *
    (i) For passenger locomotives that can generate hotel power from
the main propulsion engine, the locomotive must comply with the
emission standards when in non-hotel setting. For hotel mode, the
locomotive is subject to the notch cap provisions of Sec.  1033.101 and
the defeat device prohibition of Sec.  1033.115.

0
103. Section 1033.505 is amended by revising paragraph (a) to read as
follows:

Sec.  1033.505  Ambient conditions.

* * * * *
    (a) Temperature. (1) Testing may be performed with ambient
temperatures from 15.5 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]F).
Do not correct emissions for temperature effects within this range.
    (2) It is presumed that combustion air will be drawn from the
ambient air. Thus, the ambient temperature limits of this paragraph (a)
apply for intake air upstream of the engine. If you do not draw
combustion air from the ambient air, use good engineering judgment to
ensure that any temperature difference (between the ambient air and
combustion air) does not cause the emission measurement to be
unrepresentative of in-use emissions.
    (3) If we allow you to perform testing at ambient temperatures
below 15.5 [deg]C, you must correct NOX emissions for
temperature effects, consistent with good engineering judgment. For
example, if the intake air temperature (at the manifold) is lower at
the test temperature than it would be for equivalent operation at an
ambient temperature of 15.5 [deg]C, you generally will need to adjust
your measured NOX emissions to account for the effect of the
lower intake air temperature. However, if you maintain a constant
manifold air

temperature, you will generally not need to correct emissions.
* * * * *

0
104. Section 1033.515 is amended by revising the section heading and
paragraphs (d) and (e) to read as follows:

Sec.  1033.515  Discrete-mode steady-state emission tests of
locomotives and locomotive engines.

* * * * *
    (d) Use one of the following approaches for sampling PM emissions
during discrete-mode steady-state testing:
    (1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-
hr. Use a separate PM filter sample for each test mode of the
locomotive test cycle according to the procedures specified in
paragraph (a) through (c) of this section. You may ask to use a shorter
sampling period if the total mass expected to be collected would cause
unacceptably high pressure drop across the filter before reaching the
end of the required sampling time. We will not allow sampling times
shorter than 60 seconds. When we conduct locomotive emission tests, we
will adhere to the time limits for each of the numbered modes in Table
1 to this section.
    (2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i)
You may use separate PM filter samples for each test mode as described
in paragraph (d)(1) of this section; however, we recommend that you do
not. The low rate of sample filter loading will result in very long
sampling times and the large number of filter samples may induce
uncertainty stack-up that will lead to unacceptable PM measurement
accuracy. Instead, we recommend that you measure PM emissions as
specified in paragraph (d)(2)(ii) of this section.
    (ii) You may use a single PM filter for sampling PM over all of the
test modes of the locomotive test cycle as specified in this paragraph
(d)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec.  1033.530 for each
mode. The minimum sampling time for each mode is 400 seconds multiplied
by the weighting factor. For example, for a mode with a weighting
factor of 0.030, the minimum sampling time is 12.0 seconds. PM sampling
in each mode must be proportional to engine exhaust flow as specified
in 40 CFR part 1065. Begin proportional sampling of PM emissions at the
beginning of each test mode as is specified in paragraph (c) of this
section. End the sampling period for each test mode so that sampling
times are proportional to the weighting factors for the applicable duty
cycles. If necessary, you may extend the time limit for each of the
test modes beyond the sampling times in Table 1 to this section to
increase the sampled mass of PM emissions or to account for proper
weighting of the PM emission sample over the entire cycle, using good
engineering judgment.
    (e) This paragraph (e) describes how to test locomotive engines
when not installed in a locomotive. Note that the test procedures for
dynamometer engine testing of locomotive engines are intended to
produce emission measurements that are the same as emission
measurements produced during testing of complete locomotives using the
same engine configuration. The following requirements apply for all
engine tests:
    (1) Specify a second-by-second set of engine speed and load points
that are representative of in-use locomotive operation for each of the
set-points of the locomotive test cycle described in Table 1 to this
section, including transitions from one notch to the next. This is your
reference cycle for validating your cycle. You may ignore points
between the end of the sampling period for one mode and the point at
which you change the notch setting to begin the next mode.
    (2) Keep the temperature of the air entering the engine after any
charge air cooling to within 5 [deg]C of the typical intake manifold
air temperature when the engine is operated in the locomotive under
similar ambient conditions.
    (3) Proceed as specified in paragraphs (a) through (d) of this
section for testing complete locomotives.

0
105. Section 1033.530 is amended by revising paragraphs (e) and (h) to
read as follows:

Sec.  1033.530  Duty cycles and calculations.

* * * * *
    (e) Automated Start-Stop. For a locomotive equipped with features
that shut the engine off after prolonged periods of idle, multiply the
measured idle mass emission rate over the idle portion of the
applicable test cycles by a factor equal to one minus the estimated
fraction reduction in idling time that will result in use from the
shutdown feature. Do not apply this factor to the weighted idle power.
Application of this adjustment is subject to our approval if the
fraction reduction in idling time that is estimated to result from the
shutdown feature is greater than 25 percent. This paragraph (e) does
not apply if the locomotive is (or will be) covered by a separate
certificate for idle control.
* * * * *
    (h) Calculation adjustments for energy-saving design features. The
provisions of this paragraph (h) apply for locomotives equipped with
new energy-saving locomotive design features. They do not apply for
features that only improve the engine's brake-specific fuel
consumption. They also do not apply for features that were commonly
incorporated in locomotives before 2008. See paragraph (h)(6) of this
section for provisions related to determining whether certain features
are considered to have been commonly incorporated in locomotives before
2008.
    (1) Manufacturers/remanufacturers choosing to adjust emissions
under this paragraph (h) must do all of the following for
certification:
    (i) Describe the energy-saving features in your application for
certification.
    (ii) Describe in your installation instruction and/or maintenance
instructions all steps necessary to utilize the energy-saving features.
    (2) If your design feature will also affect the locomotives' duty
cycle, you must comply with the requirements of paragraph (g) of this
section.
    (3) Calculate the energy savings as follows:
    (i) Estimate the expected mean in-use fuel consumption rate (on a
BTU per ton-mile basis) with and without the energy saving design
feature, consistent with the specifications of paragraph (h)(4) of this
section. The energy savings is the ratio of fuel consumed from a
locomotive operating with the new feature to fuel consumed from a
locomotive operating without the feature under identical conditions.
Include an estimate of the 80 percent confidence interval for your
estimate of the mean and other statistical parameters we specify.
    (ii) Your estimate must be based on in-use operating data,
consistent with good engineering judgment. Where we have previously
certified your design feature under this paragraph (h), we may require
you to update your analysis based on all new data that are available.
You must obtain approval before you begin collecting operational data
for this purpose.
    (iii) We may allow you to consider the effects of your design
feature separately for different route types, regions, or railroads. We
may require that you certify these different locomotives in different
engine families and may restrict their use to the specified
applications.
    (iv) Design your test plan so that the operation of the locomotives
with and without is as similar as possible in all material aspects
(other than the design

feature being evaluated). Correct all data for any relevant
differences, consistent with good engineering judgment.
    (v) Do not include any brake-specific energy savings in your
calculated values. If it is not possible to exclude such effects from
your data gathering, you must correct for these effects, consistent
with good engineering judgment.
    (4) Calculate adjustment factors as described in this paragraph
(h)(4). If the energy savings will apply broadly, calculate and apply
the adjustment on a cycle-weighted basis. Otherwise, calculate and
apply the adjustment separately for each notch. To apply the
adjustment, multiply the emissions (either cycle-weighted or notch-
specific, as applicable) by the adjustment. Use the lower bound of the
80 percent confidence interval of the estimate of the mean as your
estimated energy savings rate. We may cap your energy savings rate for
this paragraph (h)(4) at 80 percent of the estimate of the mean.
Calculate the emission adjustment factors as:

AF = 1.000 - (energy savings rate)

    (5) We may require you to collect and report data from locomotives
we allow you to certify under this paragraph (h) and to recalculate the
adjustment factor for future model years based on such data.
    (6) Features that are considered to have not been commonly
incorporated in locomotives before 2008 include but are not limited to
those identified in this paragraph (h)(6).
    (i) Electronically controlled pneumatic (ECP) brakes, computerized
throttle management control, and advanced hybrid technology were not
commonly incorporated in locomotives before 2008. Manufacturers may
claim full credit for energy savings that result from applying these
features to freshly manufactured and/or remanufactured locomotives.
    (ii) Distributed power systems that use radio controls to optimize
operation of locomotives in the middle and rear of a train were
commonly incorporated in some but not all locomotives in 2008.
Manufacturers may claim credit for incorporating these features into
locomotives as follows:
    (A) Manufacturers may claim prorated credit for incorporating
distributed power systems in freshly manufactured locomotives. Multiply
the energy saving rate by 0.50 when calculating the adjustment factor:

AF = 1.000-(energy savings rate) x (0.50)

    (B) Manufacturers may claim full credit for retrofitting
distributed power systems in remanufactured locomotives.

Subpart G--[Amended]

0
106. Section 1033.601 is amended by revising paragraph (a) to read as
follows:

Sec.  1033.601  General compliance provisions.

* * * * *
    (a) Meaning of terms. When used in 40 CFR part 1068, apply meanings
for specific terms as follows:
    (1) ``Manufacturer'' means manufacturer and/or remanufacturer.
    (2) ``Date of manufacture'' means date of original manufacture for
freshly manufactured locomotives and the date on which a remanufacture
is completed for remanufactured engines.
* * * * *

0
107. Section 1033.625 is amended by revising paragraphs (a)(1), (b),
and (c) to read as follows:

Sec.  1033.625  Special certification provisions for non-locomotive-
specific engines.

* * * * *
    (a) * * *
    (1) Before being installed in the locomotive, the engines were
covered by a certificate of conformity issued under 40 CFR Part 1039
(or part 89) that is effective for the calendar year in which the
manufacture or remanufacture occurs. You may use engines certified
during the previous years if they were subject to the same standards.
You may not make any modifications to the engines unless we approve
them.
* * * * *
    (b) To certify your locomotives by design under this section,
submit your application as specified in Sec.  1033.205, with the
following exceptions:
    (1) Include the following instead of the locomotive test data
otherwise required by Sec.  1033.205:
    (i) A description of the engines to be used, including the name of
the engine manufacturer and engine family identifier for the engines.
    (ii) A brief engineering analysis describing how the engine's
emission controls will function when installed in the locomotive
throughout the locomotive's useful life.
    (iii) The emission data submitted under 40 CFR part 1039 (or part
89).
    (2) You may separately submit some of the information required by
Sec.  1033.205, consistent with the provisions of Sec.  1033.1(d). For
example, this may be an appropriate way to submit detailed information
about proprietary engine software. Note that this allowance to
separately submit some of the information required by Sec.  1033.205 is
also available for applications not submitted under this section.
    (c) Locomotives certified under this section are subject to all the
requirements of this part except as specified in paragraph (b) of this
section. The engines used in such locomotives are not considered to be
included in the otherwise applicable engines family of 40 CFR part 1039
(or part 89).
* * * * *

0
108. A new Sec.  1033.652 is added to subpart G to read as follows:

Sec.  1033.652  Special provisions for exported locomotives.

    (a) Uncertified locomotives. Locomotives covered by an export
exemption under 40 CFR 1068.230 may be introduced into U.S. commerce
prior to being exported, but may not be used in any revenue generating
service in the United States. Locomotives covered by this paragraph (a)
may not include any EPA emission control information label. Such
locomotives may include emission control information labels for the
country to which they are being exported.
    (b) Locomotives covered by export-only certificates. Locomotives
may be certified for export under 40 CFR 1068.230. Such locomotives may
be introduced into U.S. commerce prior to being exported, but may not
be used in any revenue generating service in the United States.
    (c) Locomotives included in a certified engine family. Except as
specified in paragraph (d) of this section, locomotives included in a
certified engine family may be exported without restriction. Note that
Sec.  1033.705 requires that exported locomotives be excluded from
emission credit calculations in certain circumstances.
    (d) Locomotives certified to FELs above the standards. The
provisions of this paragraph (d) apply for locomotive configurations
included in engine families certified to one or more FELs above any
otherwise applicable standard. Individual locomotives that will be
exported may be excluded from an engine family if they are unlabeled.
For locomotives that were labeled during production, you may remove the
emission control information labels prior to export. All unlabeled
locomotives that will be exported are subject to the provisions of
paragraph (a) of this section. Locomotives that are of a configuration
included in an engine family certified to one of more FELs above any
otherwise applicable standard that include an EPA emission control
information label when exported

are considered to be part of the engine family and must be included in
credit calculations under Sec.  1033.705. Note that this requirement
does not apply for locomotives that do not have an EPA emission control
information label, even if they have other labels (such as an export-
only label).

Subpart H--[Amended]

0
109. Section 1033.705 is amended by revising paragraph (b) introductory
text to read as follows:

Sec.  1033.705  Calculating emission credits.

* * * * *
    (b) For each participating engine family, calculate positive or
negative emission credits relative to the otherwise applicable emission
standard. For the end of year report, round the sum of emission credits
to the nearest one hundredth of a megagram (0.01 Mg). Round your end of
year emission credit balance to the nearest megagram (Mg). Use
consistent units throughout the calculation. When useful life is
expressed in terms of megawatt-hrs, calculate credits for each engine
family from the following equation:
* * * * *

0
110. Section 1033.715 is revised to read as follows:

Sec.  1033.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in future model
years for averaging, trading, or transferring. You may use banked
emission credits only as allowed by Sec.  1033.740.
    (b) You may designate any emission credits you plan to bank in the
reports you submit under Sec.  1033.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging, trading, or
transferring.
    (c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.

0
111. Section 1033.725 is amended by revising paragraph (b)(2) to read
as follows:

Sec.  1033.725  Requirements for your application for certification.

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

0
112. Section 1033.730 is amended by revising paragraphs (b)(3) and
(b)(5) to read as follows:

Sec.  1033.730  ABT reports.

* * * * *
    (b) * * *
    (3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec.  1033.225.
* * * * *
    (5) Rated power for each locomotive configuration, and the average
locomotive power weighted by U.S.-directed production volumes for the
engine family.
* * * * *

0
113. Section 1033.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:

Sec.  1033.735  Required records.

* * * * *
    (b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits. 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.
* * * * *
    (d) Keep records of the engine identification number for each
locomotive you produce that generates or uses emission credits under
the ABT program. If you change the FEL after the start of production,
identify the date you started using each FEL and the range of engine
identification numbers associated with each FEL. You must also be able
to identify the purchaser and destination for each engine you produce.
    (e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.

Subpart J--[Amended]

0
114. Section 1033.901 is amended by revising the definitions for
``Carryover'', ``Total hydrocarbon equivalent'', and ``Useful life''
and adding a new definition for ``Alcohol-fueled locomotive'' in
alphabetical order to read as follows:

Sec.  1033.901  Definitions.

* * * * *
    Alcohol-fueled locomotive means a locomotive with an engine that is
designed to run using an alcohol fuel. For purposes of this definition,
alcohol fuels do not include fuels with a nominal alcohol content below
25 percent by volume.
* * * * *
    Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec.  1033.235(d).
* * * * *
    Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The atomic hydrogen-to-carbon mass ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
    Useful life means the period during which the locomotive engine is
designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as work output or
miles. It is the period during which a locomotive is required to comply
with all applicable emission standards. See Sec.  1033.101(g).
* * * * *

0
115. Section 1033.905 is amended by adding ``ABT'', ``AF'', and U.S.''
in alphabetical order to read as follows:

Sec.  1033.925  Symbols, acronyms, and abbreviations.

* * * * *
ABT averaging, banking, and trading.
* * * * *
AF adjustment factor (see Sec.  1033.530).
* * * * *
U.S. United States.
* * * * *

0
116. A new Sec.  1033.925 is added to subpart J to read as follows:

Sec.  1033.925  Reporting and recordkeeping requirements.

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the
Office of Management and Budget approves the reporting and
recordkeeping specified in the applicable regulations. Failing to
properly report information and keep the records we specify violates 40
CFR 1068.101(a)(2), which may involve civil or criminal penalties. The
following items illustrate the kind of reporting and recordkeeping we
require for engines regulated under this part:
    (a) We specify the following requirements related to engine
certification in this part 1033:
    (1) In Sec.  1033.150 we state the requirements for interim
provisions.
    (2) In subpart C of this part we identify a wide range of
information required to certify engines.
    (3) In Sec.  1033.325 we specify certain records related to
production-line testing.
    (4) In subpart G of this part we identify several reporting and
recordkeeping items for making demonstrations and getting approval
related to various special compliance provisions.
    (5) In Sec. Sec.  1033.725, 1033.730, and 1033.735 we specify
certain records related to averaging, banking, and trading.
    (6) In subpart I of this part we specify certain records related to
meeting requirements for remanufactured engines.
    (b) We specify the following requirements related to testing in 40
CFR part 1065:
    (1) In 40 CFR 1065.2 we give an overview of principles for
reporting information.
    (2) In 40 CFR 1065.10 and 1065.12 we specify information needs for
establishing various changes to published test procedures.
    (3) In 40 CFR 1065.25 we establish basic guidelines for storing
test information.
    (4) In 40 CFR 1065.695 we identify the specific information and
data items to record when measuring emissions.
    (c) We specify the following requirements related to the general
compliance provisions in 40 CFR part 1068:
    (1) In 40 CFR 1068.5 we establish a process for evaluating good
engineering judgment related to testing and certification.
    (2) In 40 CFR 1068.25 we describe general provisions related to
sending and keeping information.
    (3) In 40 CFR 1068.27 we require manufacturers to make engines
available for our testing or inspection if we make such a request.
    (4) In 40 CFR 1068.105 we require vessel manufacturers to keep
certain records related to duplicate labels from engine manufacturers.
    (5) In 40 CFR 1068.120 we specify recordkeeping related to
rebuilding engines.
    (6) In 40 CFR part 1068, subpart C, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to various exemptions.
    (7) In 40 CFR part 1068, subpart D, we identify several reporting
and recordkeeping items for making demonstrations and getting approval
related to importing engines.
    (8) In 40 CFR 1068.450 and 1068.455 we specify certain records
related to testing production-line engines in a selective enforcement
audit.
    (9) In 40 CFR 1068.501 we specify certain records related to
investigating and reporting emission-related defects.
    (10) In 40 CFR 1068.525 and 1068.530 we specify certain records
related to recalling nonconforming engines.

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

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

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

Subpart A--[Amended]

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

Sec.  1039.2  Who is responsible for compliance?

    The regulations in this part 1039 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1039.801, especially for issues related to certification.

0
119. Section 1039.5 is amended by revising paragraph (a) to read as
follows:

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

* * * * *
    (a) Locomotive engines. (1) The following locomotive engines are
not subject to the provisions of this part 1039:
    (i) Engines in locomotives certified under 40 CFR part 1033.
    (ii) Engines in locomotives that are exempt from the standards of
40 CFR part 92 or 1033 pursuant to the provisions of 40 CFR part 1033
or 1068 (except for the provisions of 40 CFR 1033.150(e)).
    (2) The following locomotive engines are subject to the provisions
of this part 1039:
    (i) Engines in locomotives exempt from 40 CFR part 1033 pursuant to
the provisions of 40 CFR 1033.150(e).
    (ii) Locomotive engines excluded from the definition of locomotive
in 40 CFR 1033.901.
* * * * *

0
120. Section 1039.15 is amended by revising paragraph (a) to read as
follows:

Sec.  1039.15  Do any other regulation parts apply to me?

    (a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1039 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
* * * * *

0
121. A new Sec.  1039.30 is added to subpart A to read as follows:

Sec.  1039.30  Submission of information.

    (a) This part includes various requirements to record data or other
information. Refer to Sec.  1039.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
    (b) The regulations in Sec.  1039.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
    (c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec.  1039.801).
    (d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.

Subpart B--[Amended]

0
122. Section 1039.104 is amended by adding paragraph (h) to read as
follows:

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

* * * * *
    (h) Delayed compliance with labeling requirements. Before the 2011
model year, you may omit the dates of manufacture from the emission
control information label as specified in Sec.  1039.135(c)(6) if you
keep those records and provide them to us upon request.

0
123. Section 1039.120 is amended by revising paragraph (c) to read as
follows:

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

* * * * *
    (c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components 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 need to cover components whose failure would not
increase an engine's emissions of any regulated pollutant.
* * * * *

0
124. Section 1039.125 is amended as follows:
0
a. By revising paragraphs (a)(1)(iii), (a)(2)(ii), and (a)(3)(ii).
0
b. By redesignating paragraph (a)(4) as paragraph (a)(6).
0
c. By adding a new paragraph (a)(4).
0
d. By adding paragraph (a)(5).
0
e. By revising paragraphs (c), (d), and (g) introductory text to read
as follows:

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

* * * * *
    (a) * * *
    (1) * * *
    (iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
* * * * *
    (2) * * *
    (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, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
    (3) * * *
    (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, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
    (4) For particulate traps, trap oxidizers, and components related
to either of these, scheduled maintenance may include cleaning or
repair at the intervals specified in paragraph (a)(2) or (3) of this
section, as applicable. Scheduled maintenance may include a shorter
interval for cleaning or repair and may also include adjustment or
replacement, but only if we approve it. We will approve your request if
you provide the maintenance free of charge and clearly state this in
your maintenance instructions, and you provide us additional
information as needed to convince us that the maintenance will occur.
    (5) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) and (3) of this section under Sec.
1039.210, including emission-related components that were not in
widespread use with nonroad compression-ignition engines before 2011.
In your request you must describe the proposed maintenance step,
recommend the maximum feasible interval for this maintenance, include
your rationale with supporting evidence to support the need for the
maintenance at the recommended interval, and demonstrate that the
maintenance will be done at the recommended interval on in-use engines.
In considering your request, we will evaluate the information you
provide and any other available information to establish alternate
specifications for maintenance intervals, if appropriate. We will
announce any decision we make under this paragraph (a)(5) in the
Federal Register. Anyone may request a hearing regarding such a
decision (see Sec.  1039.820).
* * * * *
    (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. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
engine operation that is not atypical, or that the maintenance is
unlikely to occur in use. If we determine that certain maintenance
items do not qualify as special maintenance under this paragraph (c),
you may identify this as recommended additional maintenance under
paragraph (b) of this section.
    (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, that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data engines.
* * * * *
    (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 the regulations require it or if
it meets all the following criteria:
* * * * *

0
125. Section 1039.135 is amended by revising paragraphs (c)(6) and
(c)(8) to read as follows:

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

* * * * *
    (c) * * *
    (6) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
* * * * *
    (8) Identify the emission-control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
* * * * *

Subpart C--[Amended]

0
126. Section 1039.201 is amended by adding paragraph (h) to read as
follows:

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

* * * * *
    (h) For engines that become new after being placed into service,
such as engines converted to nonroad use after being used in motor
vehicles, we may specify alternate certification provisions consistent
with the intent of this part. See the definition of ``new nonroad
engine'' in Sec.  1039.801.

0
127. Section 1039.220 is revised to read as follows:

Sec.  1039.220  How do I amend the maintenance instructions in my
application?

    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.  1039.125.
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. 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 or eliminating 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. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for engines in severe-duty applications.
    (c) You need not 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. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).

0
128. Section 1039.225 is amended by revising the section heading, the
introductory text, and paragraphs (b) introductory text, (b)(2), (e),
and (f) to read as follows:

Sec.  1039.225  How do I amend my application 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 that is included or should be included in
your application.
* * * * *
    (b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
* * * * *
    (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 for showing that the amended family complies with all
applicable requirements.
* * * * *
    (e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, 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 engine 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, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire engine family to calculate
emission credits under subpart H of this part.
    (2) You may ask to lower the FEL for your engine 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 emission credits for the
model year, as described in subpart H of this part.

0
129. Section 1039.230 is amended by revising paragraphs (b) and (d) to
read as follows:

Sec.  1039.230  How do I select engine families?

* * * * *
    (b) Group engines in the same engine family if they are the same in
all the following aspects:
    (1) The combustion cycle and fuel.
    (2) The cooling system (water-cooled vs. air-cooled).
    (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) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.
    (8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
    (9) Power category.
    (10) Numerical level of the emission standards that apply to the
engine.
* * * * *
    (d) In unusual circumstances, you may group engines that are not
identical

with respect to the things listed in paragraph (b) of this section in
the same engine family if you show that their emission characteristics
during the useful life will be similar.
* * * * *

0
130. Section 1039.235 is amended by revising the section heading and
paragraphs (c) and (d) introductory text to read as follows:

Sec.  1039.235  What testing requirements apply for certification?

* * * * *
    (c) We may measure emissions from any of your emission-data 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 engine to a test facility
we designate. The 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 on one of your 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 physically adjustable ranges (see
Sec.  1039.115(e)).
    (4) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec.  1039.801) because it is permanently
sealed.
    (d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
* * * * *

0
131. Section 1039.240 is amended by revising paragraphs (a), (b), and
(c)(1) to read as follows:

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

    (a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec.  1039.101(a) and (b),
Sec.  1039.102(a) and (b), Sec.  1039.104, and Sec.  1039.105 if all
emission-data engines representing that family have test results
showing official emission results and deteriorated emission levels at
or below these standards. This also applies for all test points for
emission-data engines within the family used to establish deterioration
factors. 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 an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies
for all test points for emission-data engines within the family used to
establish deterioration factors.
    (c) * * *
    (1) Additive deterioration factor for exhaust emissions. Except as
specified in paragraph (c)(2) of this section, use an additive
deterioration factor for exhaust emissions. An additive deterioration
factor is the difference between exhaust emissions at the end of the
useful life and exhaust emissions at the low-hour test point. In these
cases, adjust the official emission results for each tested engine at
the selected test point by adding the factor to the measured emissions.
If the factor is less than zero, use zero. Additive deterioration
factors must be specified to one more decimal place than the applicable
standard.
* * * * *

0
132. Section 1039.245 is amended by revising the introductory text to
read as follows:

Sec.  1039.245  How do I determine deterioration factors from exhaust
durability testing?

    This section describes how to determine deterioration factors,
either with an engineering analysis, with pre-existing test data, or
with new emission measurements. Apply these deterioration factors to
determine whether your engines will meet the duty-cycle emission
standards throughout the useful life as described in Sec.  1039.240.
* * * * *

0
133. Section 1039.250 is amended by revising paragraphs (a)
introductory text and (c) and removing paragraph (e) to read as
follows:

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

    (a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report describing the following
information about engines you produced during the model year:
* * * * *
    (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 this section for eight years after we issue
your certificate.
* * * * *

0
134. Section 1039.255 is amended by revising paragraph (b) to read as
follows:

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

* * * * *
    (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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *

0
135. Section 1039.510 is amended by revising paragraph (b) and adding
paragraph (c) to read as follows:

Sec.  1039.510  Which duty cycles do I use for transient testing?

* * * * *
    (b) The transient test sequence consists of an initial run through
the transient duty cycle from a cold start, 20 minutes with no engine
operation, then a final run through the same transient duty cycle.
Start sampling emissions immediately after you start the engine.
Calculate the official transient emission result from the following
equation:

[GRAPHIC] [TIFF OMITTED] TR30AP10.002

    (c) Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.

Subpart G--[Amended]

0
136. Section 1039.605 is amended by revising paragraph (d)(3)
introductory text to read as follows:

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

* * * * *
    (d) * * *
    (3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes engines used in any application without regard to which
company manufactures the vehicle or equipment. Show this as follows:
* * * * *

0
137. Section 1039.610 is amended by revising paragraph (d)(3)
introductory text to read as follows:

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

* * * * *
    (d) * * *
    (3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the nonroad equipment. Show this as follows:
* * * * *

0
138. Section 1039.627 is amended by revising paragraphs (a)(3)(ii) and
(a)(3)(iii) to read as follows:

Sec.  1039.627  What are the incentives for equipment manufacturers to
use cleaner engines?

* * * * *
    (a) * * *
    (3) * * *

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

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

                                                  * * * * * * *
(ii) 56 <= kW < 130...........  Two engines.....  NOX standards in Sec.  Standards in Tables 2  One engine.
                                                     1039.102(e)(1),      through 7 of Sec.
                                                   and NMHC standard of   1039.102 or in Sec.
                                                   0.19 g/kW-hr, a PM      1039.101.
                                                   standard of 0.02 g/
                                                   kW-hr, and a CO
                                                   standard of 5.0 g/kW-
                                                   hr.
(iii) 130 <= kW < 560.........  Two engines.....  NOX standards in Sec.  Standards in Tables 2  One engine.
                                                     1039.102(e)(2), an   through 7 of Sec.
                                                   NMHC standard of       1039.102 or in Sec.
                                                   0.19 g/kW-hr, a PM      1039.101.
                                                   standard of 0.02 g/
                                                   kW-hr, and a CO
                                                   standard of 3.5 g/kW-
                                                   hr.
----------------------------------------------------------------------------------------------------------------

* * * * *

Subpart H--[Amended]

0
139. Section 1039.705 is amended by revising paragraph (b) introductory
text (before the equation) to read as follows:

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

* * * * *
    (b) For each participating family, calculate positive or negative
emission credits relative to the otherwise applicable emission
standard. Calculate positive emission credits for a family that has an
FEL below the standard. Calculate negative emission credits for a
family that has an FEL above the standard. Sum your positive and
negative credits for the model year before rounding. Round the sum of
emission credits to the nearest kilogram (kg), using consistent units
throughout the following equation:
* * * * *

0
140. Section 1039.715 is revised to read as follows:

Sec.  1039.715  How do I bank emission credits?

    (a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading.
    (b) You may designate any emission credits you plan to bank in the
reports you submit under Sec.  1039.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging or trading.
    (c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.

0
141. Section 1039.720 is amended by revising paragraph (b) to read as
follows:

Sec.  1039.720  How do I trade emission credits?

* * * * *
    (b) You may trade actual emission credits as described in this
subpart. You may also trade reserved emission credits, but we may
revoke these emission credits based on our review of your records or
reports or those of the company with which you traded emission credits.
You may trade banked credits within an averaging set to any certifying
manufacturer.
* * * * *

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

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

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

0
143. Section 1039.730 is amended by revising paragraphs (b)(3), (b)(4),
(b)(5), and (f) to read as follows:

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

* * * * *
    (b) * * *
    (3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec.  1039.225.
    (4) The projected and actual U.S.-directed production volumes for
the model year. If you changed an FEL during the model year, identify
the actual production volume associated with each FEL.
    (5) Maximum engine power for each engine configuration, and the
average engine power weighted by U.S.-directed production volumes for
the engine family.
* * * * *
    (f) Correct errors in your end-of-year report or final report as
follows:
    (1) You may correct any errors in your end-of-year report when you
prepare the final report, as long as you send us the final report by
the time it is due.
    (2) If you or we determine within 270 days after the end of the
model year that errors mistakenly decreased your balance of emission
credits, you may correct the errors and recalculate the balance of
emission credits. You may not make these corrections for errors that
are determined more than 270 days after the end of the model year. If
you report a negative balance of emission credits, we may disallow
corrections under this paragraph (f)(2).
    (3) If you or we determine anytime that errors mistakenly increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.

0
144. Section 1039.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:

Sec.  1039.735  What records must I keep?

* * * * *
    (b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for any engines if you do not keep all the records
required under this section. You must therefore keep these records to
continue to bank valid credits. 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.
* * * * *
    (d) Keep records of the engine identification number for each
engine you produce that generates or uses emission credits under the
ABT program. You may identify these numbers as a range. If you change
the FEL after the start of production, identify the date you started
using each FEL and the range of engine identification numbers
associated with each FEL. You must also identify the purchaser and
destination for each engine you produce to the extent this information
is available.
    (e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.

Subpart I--[Amended]

0
145. Section 1039.801 is amended as follows:
0
a. By adding definitions for ``Alcohol-fueled engine'', ``Carryover'',
and ``Date of manufacture'' in alphabetical order.
0
b. By revising the definitions for ``Engine configuration'', ``Model
year'', ``New nonroad engine'', ``Total hydrocarbon'', ``Total
hydrocarbon equivalent'', and ``Useful life.

Sec.  1039.801  What definitions apply to this part?

* * * * *
    Alcohol-fueled engine means an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by
volume.
* * * * *
    Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec.  1039.235(d).
* * * * *
    Date of manufacture has the meaning given in 40 CFR 1068.30.
* * * * *
    Engine configuration means a unique combination of engine hardware
and calibration within an engine family. Engines within a single engine
configuration differ only with respect to normal production variability
or factors unrelated to emissions.
* * * * *
    Model year means one of the following things:
    (1) For freshly manufactured equipment and engines (see definition
of ``new nonroad engine,'' paragraph (1)), model year means one of the
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year.
    (2) For an engine that is converted to a nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the calendar year in which the engine
becomes a new nonroad engine. (See definition of ``new nonroad
engine,'' paragraph (2).)
    (3) For a nonroad engine excluded under Sec.  1039.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced
(see definition of ``new nonroad engine,'' paragraph (3)).
    (4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
    (5) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new nonroad engine,'' model year has the meaning given
in 40 CFR 89.602 for independent commercial importers.
    (iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is first assembled in its imported
configuration, unless specified otherwise in this part or in 40 CFR
part 1068.
* * * * *
    New nonroad engine means any of the following things:
    (1) A freshly manufactured nonroad engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced
until the ultimate purchaser receives the title or the product is
placed into service, whichever comes first.

    (2) An engine originally manufactured as a motor vehicle engine or
a stationary engine that is later used or intended to be used in a
piece of nonroad equipment. In this case, the engine is no longer a
motor vehicle or stationary engine and becomes a ``new nonroad
engine.'' The engine is no longer new when it is placed into nonroad
service. This paragraph (2) applies if a motor vehicle engine or a
stationary engine is installed in nonroad equipment, or if a motor
vehicle or a piece of stationary equipment is modified (or moved) to
become nonroad equipment.
    (3) A nonroad engine that has been previously placed into service
in an application we exclude under Sec.  1039.5, when that engine is
installed in a piece of equipment that is covered by this part 1039.
The engine is no longer new when it is placed into nonroad service
covered by this part 1039. For example, this would apply to marine
diesel engine that is no longer used in a marine vessel but is instead
installed in a piece of nonroad equipment subject to the provisions of
this part.
    (4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a
title for the equipment or the product is placed into service,
whichever comes first.
    (5) An imported nonroad engine, subject to the following
provisions:
    (i) An imported nonroad engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
    (ii) An imported engine covered by a certificate of conformity
issued under this part, where someone other than the original engine
manufacturer holds the certificate (such as when the engine is modified
after its initial assembly), is a new nonroad engine when it is
imported. It is no longer new when the ultimate purchaser receives a
title for the engine or it is placed into service, whichever comes
first.
    (iii) An imported nonroad engine that is not covered by a
certificate of conformity issued under this part at the time of
importation is new, but only if it was produced on or after the dates
shown in the following table. This addresses uncertified engines and
equipment initially placed into service that someone seeks to import
into the United States. Importation of this kind of engine (or
equipment containing such an engine) is generally prohibited by 40 CFR
part 1068. However, the importation of such an engine is not prohibited
if the engine has an earlier model year than that identified in the
following table:

     Applicability of Emission Standards for Nonroad Diesel Engines
------------------------------------------------------------------------
                                            Initial date of  emission
          Maximum engine power                      standards
------------------------------------------------------------------------
kW < 19................................  January 1, 2000.
19 <= kW < 37..........................  January 1, 1999.
37 <= kW < 75..........................  January 1, 1998.
75 <= kW < 130.........................  January 1, 1997.
130 <= kW <= 560.......................  January 1, 1996.
kW > 560...............................  January 1, 2000.
------------------------------------------------------------------------

* * * * *
    Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with an atomic hydrogen-to-carbon ratio of 1.85:1.
    Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
engines. The atomic hydrogen-to-carbon ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
    Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
nonroad engine is required to comply with all applicable emission
standards. See Sec.  1039.101(g).
* * * * *

Sec.  1039.810  [Removed]

0
146. Section 1039.810 is removed.

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

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

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

Subpart A--[Amended]

0
148. Section 1042.1 is revised to read as follows:

Sec.  1042.1  Applicability.

    Except as provided in this section and Sec.  1042.5, the
regulations in this part 1042 apply for all new compression-ignition
marine engines (including new engines deemed to be compression-ignition
engines under this section) and vessels containing such engines. See
Sec.  1042.901 for the definitions of engines and vessels considered to
be new.
    (a) The emission standards of this part 1042 for freshly
manufactured engines apply for new marine engines starting with the
model years noted in the following tables:

                         Table 1 to Sec.   1042.1--Part 1042 Applicability by Model Year
----------------------------------------------------------------------------------------------------------------
                                                                          Displacement (L/cyl) or
             Engine category                 Maximum engine power a             application           Model year
----------------------------------------------------------------------------------------------------------------
Category 1..............................  kW < 75....................  disp. < 0.9.................       b 2009
                                         -----------------------------------------------------------------------
                                          75 <= kW <= 3700...........  disp. < 0.9.................         2012
                                                                      ------------------------------------------
                                                                       0.9 <= disp. < 1.2..........         2013
                                                                      ------------------------------------------
                                                                       1.2 <= disp. < 2.5..........         2014
                                                                      ------------------------------------------
                                                                       2.5 <= disp. < 3.5..........         2013
                                                                      ------------------------------------------
                                                                       3.5 <= disp. < 7.0..........         2012
                                         -----------------------------------------------------------------------

                                          kW > 3700..................  disp. < 7.0.................         2014
----------------------------------------------------------------------------------------------------------------
Category 2..............................  kW <= 3700.................  7.0 < disp. < 15.0..........         2013
                                         -----------------------------------------------------------------------
                                          kW > 3700..................  7.0 <= disp. < 15.0.........         2014
                                         -----------------------------------------------------------------------
                                          All........................  15 <= disp. < 30............         2014
----------------------------------------------------------------------------------------------------------------
Category 3..............................  All........................  disp. >= 30.................         2011
----------------------------------------------------------------------------------------------------------------
a See Sec.   1042.140, which describes how to determine maximum engine power.
b See Table 1 of Sec.   1042.101 for the first model year in which this part 1042 applies for engines with
  maximum engine power below 75 kW and displacement at or above 0.9 L/cyl.

    (b) New engines with maximum engine power below 37 kW and
originally manufactured and certified before the model years identified
in Table 1 to this section are subject to emission standards and
requirements of 40 CFR part 89. The provisions of this part 1042 do not
apply for such engines certified under 40 CFR part 89, except as
follows beginning June 29, 2010:
    (1) The allowances of this part apply.
    (2) The definitions of ``new marine engine'' and ``model year''
apply.
    (c) Freshly manufactured engines with maximum engine power at or
above 37 kW and originally manufactured and certified before the model
years identified in Table 1 to this section are subject to emission
standards and requirements of 40 CFR part 94. The provisions of this
part 1042 do not apply for such engines certified under 40 CFR part 89,
except as follows beginning June 29, 2010:
    (1) The allowances of this part apply.
    (2) The definitions of ``new marine engine'' and ``model year''
apply.
    (3) The remanufacturing provisions in subpart I of this part may
apply for remanufactured engines originally manufactured in model years
before the model years identified in Table 1 to this section.
    (4) 40 CFR part 94 specifies other provisions from this part 1042
that apply.
    (d) Engines with model years before those specified in Table 1 to
this section are generally subject to the Tier 1 or Tier 2 standards of
40 CFR part 94. Such engines may be certified to those standards under
this part 1042. All the provisions of this part except the emission
standards apply to such engines if they are certified under this part.
Note that engines subject to, but not certified to, the standards of 40
CFR part 94 are subject to the requirements and prohibitions of this
part and 40 CFR part 1068.
    (e) The requirements of subpart I of this part apply to
remanufactured Category 1 and Category 2 engines beginning July 7,
2008.
    (f) The marine engines listed in this paragraph (f) are subject to
all the requirements of this part even if they do not meet the
definition of ``compression-ignition'' in Sec.  1042.901. The following
engines are deemed to be compression-ignition engines for purposes of
this part:
    (1) Marine engines powered by natural gas or other gaseous fuels
with maximum engine power at or above 250 kW. Note that gaseous-fueled
engines with maximum engine power below 250 kW may or may not meet the
definition of ``compression-ignition'' in Sec.  1042.901.
    (2) Marine gas turbine engines.
    (3) Other marine internal combustion engines that do not meet the
definition of ``spark-ignition'' in Sec.  1042.901.
    (g) Some of the provisions of this part may apply for other engines
as specified in 40 CFR part 1043.

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

Sec.  1042.2  Who is responsible for compliance?

    The regulations in this part 1042 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part, other than those of subpart I of this part, are generally
addressed to the engine manufacturer for freshly manufactured marine
engines or other certificate holders. The term ``you'' generally means
the engine manufacturer, as defined in Sec.  1042.901, especially for
issues related to certification (including production-line testing,
reporting, etc.).

0
150. Section 1042.5 is amended by revising paragraph (a) and adding
paragraph (c) to read as follows:

Sec.  1042.5  Exclusions.

* * * * *
    (a) Foreign vessels. The requirements and prohibitions of this part
do not apply to engines installed on foreign vessels, as defined in
Sec.  1042.901. Note however, that the requirements and prohibitions of
this part do apply to engines installed on any formerly foreign vessels
that are reflagged as U.S.-flagged vessels.
* * * * *
    (c) Recreational gas turbine engines. The requirements and
prohibitions of this part do not apply to gas turbine engines installed
on recreational vessels, as defined in Sec.  1042.901.

0
151. Section 1042.15 is revised to read as follows:

Sec.  1042.15  Do any other regulation parts apply to me?

    (a) Part 1043 of this chapter describes requirements related to
international pollution prevention that apply for some of the engines
subject to this part.
    (b) The evaporative emission requirements of part 1060 of this
chapter apply to vessels that include installed engines fueled with a
volatile liquid fuel as specified in Sec.  1042.107. (Note:
Conventional diesel fuel is not considered to be a volatile liquid
fuel.)
    (c) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1042 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
    (d) The requirements and prohibitions of part 1068 of this chapter
apply to everyone, including anyone who manufactures, imports,
installs, owns, operates, or rebuilds any of the engines subject to
this part 1042, or vessels containing these engines. Part 1068 of this
chapter describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vessel
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.

    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (e) Other parts of this chapter apply if referenced in this part.
0
152. A new Sec.  1042.30 is added to subpart A to read as follows:

Sec.  1042.30  Submission of information.

    (a) This part includes various requirements to record data or other
information. Refer to Sec.  1042.925 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
    (b) The regulations in Sec.  1042.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
    (c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec.  1042.901).
    (d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.

Subpart B--[Amended]

0
153. Section 1042.101 is amended by revising the section heading, Table
1 in paragraph (a)(3), and paragraph (d)(1)(iii) to read as follows:

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

    (a) * * *
    (3) * * *
BILLING CODE 6560-50-P

[GRAPHIC] [TIFF OMITTED] TR30AP10.104

BILLING CODE 6560-50-C
* * * * *
    (d) * * *
    (1) * * *
    (iii) Diesel-fueled and all other engines not described in
paragraph (d)(1)(i) or (ii) of this section must comply with Tier 3 HC
standards based on THC emissions and with Tier 4 standards based on
NMHC emissions.
* * * * *

0
154. A new Sec.  1042.104 is added to subpart B to read as follows:

Sec.  1042.104  Exhaust emission standards for Category 3 engines.

    (a) Duty-cycle standards. Exhaust emissions from your engines may
not exceed emission standards, as follows:
    (1) Measure emissions using the test procedures described in
subpart F of this part. Note that while no PM standards apply for
Category 3 engines, PM emissions must be measured for certification
testing and reported under Sec.  1042.205. Note also that you are not
required to measure PM emissions for other testing.
    (2) NOX standards apply based on the engine's model year
and maximum in-use engine speed as shown in the following table:

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

     (3) The HC standard for Tier 2 and later engines is 2.0 g/kW-hr.
This standard applies as follows:
    (i) Alcohol-fueled engines must comply with HC standards based on
THCE emissions.
    (ii) Natural gas-fueled engines must comply with HC standards based
on NMHC emissions.
    (iii) Diesel-fueled and all other engines not described in
paragraph (a)(3)(i) or (ii) of this section must comply with HC
standards based on THC emissions.
    (4) The CO standard for Tier 2 and later engines is 5.0 g/kW-hr.
    (b) Averaging, banking, and trading. Category 3 engines are not
eligible for participation in the averaging, banking, and trading (ABT)
program as described in subpart H of this part.
    (c) Mode caps. Measured NOX emissions may not exceed the
cap specified in this paragraph (c) for any applicable duty-cycle test
modes with power greater than 10 percent maximum engine power.
Calculate the mode cap by multiplying the applicable NOX
standard by 1.5 and rounding to the nearest 0.1 g/kW-hr. Note that mode
caps do not apply for pollutants other than NOX and do not
apply for any modes of operation outside of the applicable duty cycles
in Sec.  1042.505. Category 3 engines are not subject to not-to-exceed
standards.
    (d) Useful life. Your engines must meet the exhaust emission
standards of this section over their full useful life, expressed as a
period in years or hours of engine operation, whichever comes first.
    (1) The minimum useful life value is 3 years or 10,000 hours of
operation.
    (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.
    (e) Applicability for testing. The duty-cycle emission standards in
this section apply to all testing performed according to the procedures
in Sec.  1042.505, including certification, production-line, and in-use
testing. See paragraph (g) of this section for standards that apply for
certain other test procedures, such as some production-line testing.
    (f) Domestic engines. Engines installed on vessels excluded from 40
CFR part 1043 because they operate only domestically may not be
certified for use with residual fuels.
    (g) Alternate installed-engine standards. NOX emissions
may not exceed the standard specified in this paragraph (g) for test of
engines installed on vessels when you are unable to operate the engine
at the test points for the specified duty cycle, and you approximate
these points consistent with the specifications of section 6 of
Appendix 8 to the NOX Technical Code (incorporated by
reference in Sec.  1042.910). Calculate the alternate installed-engine
standard by multiplying the applicable NOX standard by 1.1
and rounding to the nearest 0.1 g/kW-hr.

0
155. Section 1042.110 is amended by revising paragraph (a)(2) and
adding paragraphs (a)(3) and (d) to read as follows:

Sec.  1042.110  Recording reductant use and other diagnostic functions.

    (a) * * *
    (2) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with inadequate reductant
injection or reductant quality. Use good engineering judgment to ensure
that the operator can readily access the information to submit the
report required by Sec.  1042.660. For example, you may meet this
requirement by documenting the incident in a text file that can be
downloaded or printed by the operator.
    (3) SCR systems must also conform to the provisions of paragraph
(d) of this section if they are equipped with on-off controls as
allowed under Sec.  1042.115(g).
* * * * *
    (d) For Category 3 engines equipped with on-off NOX
controls (as allowed by Sec.  1042.115(g)), you must also equip your
engine to continuously monitor NOX concentrations in the
exhaust. See Sec.  1042.650 to determine if this requirement applies
for a given Category 1 or Category 2 engine. Use good engineering
judgment to alert operators if measured NOX concentrations
indicate malfunctioning emission controls. Record any such operation in
nonvolatile computer memory. You are not required to monitor
NOX concentrations during operation for which the emission
controls may be disabled under Sec.  1042.115(g). For the purpose of
this paragraph (d), ``malfunctioning emission controls'' means any
condition in which the measured NOX concentration exceeds
the highest value expected when the engine is in compliance with the
installed engine standard of Sec.  1042.104(g). Use good engineering
judgment to determine these expected values during production-line
testing of the engine using linear interpolation between test points
and accounting for the degree to which the cycle-weighted emissions of
the engine are below the standard. You may also use additional
intermediate test points measured during the production-line test. Note
that the provisions of paragraph (a) of this section also apply for SCR
systems covered by this paragraph (d). For engines subject to both the
provisions of paragraph (a) of this section and this paragraph (d), use
good engineering judgment to integrate diagnostic features to comply
with both paragraphs.

0
156. Section 1042.115 is amended by revising paragraphs (d)(2)
introductory text, (f) introductory text, and adding paragraphs (f)(4)
and (g) to read as follows:

Sec.  1042.115  Other requirements.

* * * * *
    (d) * * *

    (2) Category 2 and Category 3 engines that have adjustable
parameters must meet all the requirements of this part for any
adjustment in the specified adjustable range. You must specify in your
application for certification the adjustable range of each adjustable
parameter on a new engine to--
* * * * *
    (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. (Note that this means emission control for operation
outside of and between the official test modes is generally expected to
be similar to emission control demonstrated at the test modes.) This
does not apply to auxiliary emission control devices you identify in
your application for certification if any of the following is true:
* * * * *
    (4) The engine is a Category 3 engine and the AECD conforms to the
requirements of paragraph (g) of this section. See Sec.  1042.650 to
determine if this allowance applies for a given Category 1 or Category
2 engine.
    (g) On-off controls for Category 3 engines. Manufacturers may equip
Category 3 engines with features that disable Tier 3 NOX
emission controls subject to the provisions of this paragraph (g). See
Sec.  1042.650 to determine if this allowance applies for a given
Category 1 or Category 2 engine. Where this paragraph (g) applies for a
Category 1 or Category 2 engine, read ``Tier 2'' to mean ``Tier 3'' and
read ``Tier 3'' to mean ``Tier 4''.
    (1) Features that disable Tier 3 emission controls are considered
to be AECDs whether or not they meet the definition of an AECD. For
example, manually operated on-off features are AECDs under this
paragraph (g). The features must be identified in your application for
certification as AECDs. For purposes of this paragraph (g), the term
``features that disable Tier 3 emission controls'' includes (but is not
limited to) any combination of the following that cause the engine's
emissions to exceed any Tier 3 emission standard:
    (i) Bypassing of exhaust aftertreatment.
    (ii) Reducing or eliminating flow of reductant to an SCR system.
    (iii) Modulating engine calibration in a manner that increases
engine-out emissions of a regulated pollutant.
    (2) You must demonstrate that the AECD will not disable emission
controls while operating in areas where emissions could reasonably be
expected to adversely affect U.S. air quality. If an ECA has been
established for U.S. waters, this means you must demonstrate that the
AECD will not disable emission control while operating in waters within
the ECA or any ECA associated area. (Note: See the regulations in 40
CFR part 1043 for requirements related to operation in ECAs, including
foreign ECAs.) Compliance with this paragraph will generally require
that the AECD operation be based on Global Positioning System (GPS)
inputs. We may consider any relevant information to determine whether
your AECD conforms to this paragraph (g).
    (3) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with the Tier 3 emission
controls disabled.
    (4) The engine must comply fully with the Tier 2 standards when the
Tier 3 emission controls are disabled.

0
157. Section 1042.120 is amended by adding paragraph (b)(2) and
revising paragraph (c) to read as follows:

Sec.  1042.120  Emission-related warranty requirements.

* * * * *
    (b) * * *
    (2) For Category 3 engines, your emission-related warranty must be
valid throughout the engine's full useful life as specified in Sec.
1042.104(d).
* * * * *
    (c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty for freshly manufactured
marine engines covers these components even if another company produces
the component. Your emission-related warranty does not need to cover
components whose failure would not increase an engine's emissions of
any regulated pollutant. For remanufactured engines, your emission-
related warranty is required to cover only those parts that you supply
or those parts for which you specify allowable part manufacturers. It
does not need to cover used parts that are not replaced during the
remanufacture.
* * * * *

0
158. Section 1042.125 is amended by revising the section heading,
introductory text, and paragraphs (a)(1)(iii) and (d) to read as
follows:

Sec.  1042.125  Maintenance instructions.

    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. The
restrictions specified in paragraphs (a) through (e) of this section
related to allowable maintenance apply only to Category 1 and Category
2 engines. Manufacturers may specify any maintenance for Category 3
engines.
    (a) * * *
    (1) * * *
    (iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
* * * * *
    (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 that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data engines.
* * * * *

0
159. Section 1042.135 is amended by revising paragraphs (c)(5), (c)(8),
(c)(9), and (c)(11) and adding paragraphs (c)(12) and (c)(13) to read
as follows:

Sec.  1042.135  Labeling.

* * * * *
    (c) * * *
    (5) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
* * * * *

    (8) State the useful life for your engine family if the applicable
useful life is based on the provisions of Sec.  1042.101(e)(2) or (3),
or Sec.  1042.104(d)(2).
    (9) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
* * * * *
    (11) For a Category 1 or Category 2 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.''
    (12) For an engine equipped with on-off emissions controls as
allowed by Sec.  1042.115, include the statement: ``THIS ENGINE IS
CERTIFIED WITH ON-OFF EMISSION CONTROLS. OPERATION OF THE ENGINE
CONTRARY TO 40 CFR 1042.115(g) IS A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTIES.''
    (13) For engines intended for installation on domestic or public
vessels, include the following statement: ``THIS ENGINE DOES NOT COMPLY
WITH INTERNATIONAL MARINE REGULATIONS FOR COMMERCIAL VESSELS UNLESS IT
IS ALSO COVERED BY AN EIAPP CERTIFICATE.''
* * * * *

0
160. Section 1042.140 is amended by revising the section heading and
introductory text and adding paragraph (g) to read as follows:

Sec.  1042.140  Maximum engine power, displacement, power density, and
maximum in-use engine speed.

    This section describes how to determine the maximum engine power,
displacement, and power density of an engine for the purposes of this
part. Note that maximum engine power may differ from the definition of
``maximum test power'' in Sec.  1042.901. This section also specifies
how to determine maximum in-use engine speed for Category 3 engines.
* * * * *
    (g) Calculate a maximum test speed for the nominal power curve as
specified in 40 CFR 1065.610. This is the maximum in-use engine speed
used for calculating the NOX standard in Sec.  1042.104 for
Category 3 engines. Alternatively, you may use a lower value if engine
speed will be limited in actual use to that lower value.

0
161. Section 1042.145 is amended by revising paragraph (a) and the
heading of paragraph (c) introductory text and adding paragraphs (h)
and (i) to read as follows:

Sec.  1042.145  Interim provisions.

    (a) General. The provisions in this section apply instead of other
provisions in this part. This section describes when these interim
provisions expire. Only the provisions of paragraph (h) of this section
apply for Category 3 engines.
* * * * *
    (c) Part 1065 test procedures for Category 1 and Category 2
engines. * * *
* * * * *
    (h) The following interim provisions apply for Category 3 engines:
    (1) Applicability of Tier 3 standards to Category 3 engines
operating in Alaska, Hawaii, and U.S. territories. (i) Category 3
engines are not required to comply with the Tier 3 NOX
standard when operating in areas of Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, Puerto Rico, or U.S.
Virgin Islands. Category 3 engines are also not required to comply with
the Tier 3 NOX standards when operating in the waters of the
smallest Hawaiian islands or in the waters of Alaska west of Kodiak.
For the purpose of this paragraph (h)(1), ``the smallest Hawaiian
islands'' includes all Hawaiian islands other than Hawaii, Kahoolawe,
Kauai, Lanai, Maui, Molokai, Niihau, and Oahu. Engines must comply
fully with the appropriate Tier 2 NOX standard and all other
applicable requirements when operating in the areas identified in this
paragraph (h)(1).
    (ii) The provisions of paragraph (h)(1)(i) of this section do not
apply to ships operating in an ECA or an ECA associated area. The Tier
3 standards apply in full for any area included in an ECA or an ECA
associated area.
    (2) Part 1065 test procedures. You must generally use the test
procedures specified in subpart F of this part for Category 3 engines,
including the applicable test procedures in 40 CFR part 1065. You may
use a combination of the test procedures specified in this part and the
test procedures specified in 40 CFR part 94 before January 1, 2016
without request. After this date, you must use test procedures only as
specified in subpart F of this part.
    (i) Limitation of 40 CFR 1068.101 before July 1, 2010.
Notwithstanding other provisions of this part or 40 CFR part 94, for
the period June 29, 2010 through July 1, 2010, it is not a violation of
40 CFR 1068.101 to operate in U.S. waters uncertified engines installed
on vessels manufactured outside of the United States before June 29,
2010. Operation of such vessels in U.S. waters on or after July 1, 2010
is deemed to be introduction into U.S. commerce of a new marine engine.

Subpart C--[Amended]

0
162. Section 1042.201 is amended by revising paragraph (h) to read as
follows:

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

* * * * *
    (h) For engines that become new after being placed into service,
such as engines installed on imported vessels, we may specify alternate
certification provisions consistent with the intent of this part. See
the definition of ``new marine engine'' in Sec.  1042.901.

0
163. Section 1042.205 is amended by adding paragraph (b)(12) and
revising paragraphs (i), (o), and (s)(5) to read as follows:

Sec.  1042.205  Application requirements.

* * * * *
    (b) * * *
    (12) Include any other information required by this part with
respect to AECDs. For example, see Sec.  1042.115 for requirements
related to on-off technologies.
* * * * *
    (i) Include the maintenance and warranty instructions you will give
to the ultimate purchaser of each new engine (see Sec. Sec.  1042.120
and 1042.125). Describe your plan for meeting warranty obligations
under Sec.  1042.120.
* * * * *
    (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. Sec.  1042.101 or 1042.104. Note that you must submit
PM data for all engines, whether or not a PM standard applies. 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 for Category 3 engines or for other engines 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.
* * * * *
    (s) * * *
    (5) For Category 2 and Category 3 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.
* * * * *

0
164. Section 1042.220 is revised to read as follows:

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. 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 or eliminating 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. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
    (b) If your requested change would not decrease the specified
maintenance, you may distribute the new maintenance instructions
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for engines in severe-duty applications.
    (c) You need not 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. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).

0
165. Section 1042.225 is amended by revising the introductory text,
paragraphs (b) introductory text, (b)(2), (e), and (f) to read as
follows:

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 that is included or should be included in
your application.
* * * * *
    (b) To amend your application for certification as specified in
paragraph (a) of this section, send the relevant information to the
Designated Compliance Officer.
* * * * *
    (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 for showing that the amended family complies with all
applicable requirements.
* * * * *
    (e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime after you send us your amended application and
before we make a decision under paragraph (d) of this section. However,
if we determine that the affected engines do not meet applicable
requirements, we will notify you to cease production of the engines and
may require you to recall the engines at no expense to the owner.
Choosing to produce engines under this paragraph (e) is deemed to be
consent to recall all engines that we determine do not meet applicable
emission standards or other requirements and to remedy the
nonconformity at no expense to the owner. If you do not provide
information required under paragraph (c) of this section within 30 days
after we request it, 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 engine 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, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire family to calculate emission
credits under subpart H of this part.
    (2) You may ask to lower the FEL for your engine 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 emission credits for the
model year, as described in subpart H of this part.

0
166. Section 1042.230 is amended by revising paragraphs (a), (b), (f)
introductory text, and (g) and adding paragraph (d) to read as follows:

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 engines in different engine categories in
the same family. Your engine family is limited to a single model year.
    (b) For Category 1 engines, group engines in the same engine family
if they are the same in all the following aspects:
    (1) The combustion cycle and the fuel with which the engine is
intended or designed to be operated.
    (2) The cooling system (for example, raw-water vs. separate-circuit
cooling).
    (3) Method of air aspiration.
    (4) Method of exhaust aftertreatment (for example, catalytic
converter or particulate trap).
    (5) Combustion chamber design.
    (6) Nominal bore and stroke.
    (7) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.

    (8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
    (9) Application (commercial or recreational).
    (10) Numerical level of the emission standards that apply to the
engine, except as allowed under paragraphs (f) and (g) of this section.
* * * * *
    (d) For Category 3 engines, group engines into engine families
based on the criteria specified in Section 4.3 of the NOX
Technical Code (incorporated by reference in Sec.  1042.910), except as
allowed in paragraphs (e) and (f) of this section.
* * * * *
    (f) You may group engines that are not identical with respect to
the things listed in paragraph (b), (c), or (d) of this section in the
same engine family, as follows:
* * * * *
    (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. For Category 3 engine families that
include a range of maximum in-use engine speeds, use the highest value
of maximum in-use engine speed to establish the applicable
NOX emission standard.

0
167. Section 1042.235 is amended by revising the section heading, the
introductory text, and paragraphs (a), (c), and (d) introductory text
to read as follows:

Sec.  1042.235  Emission testing related to certification.

    This section describes the emission testing you must perform to
show compliance with the emission standards in Sec.  1042.101(a) or
Sec.  1042.104. 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. See Sec.  1042.655 for special testing provisions
available for Category 3 engines subject to Tier 3 standards.
    (a) Select an emission-data engine from each engine family for
testing. For engines at or above 560 kW, you may use a development
engine that is equivalent in design to the engine being certified. For
Category 3 engines, you may use a single-cylinder version of the
engine. 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 emission-data 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 engine to a test facility
we designate. The 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 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. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec.  1042.901) because it is permanently
sealed.
    (d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
* * * * *

0
168. Section 1042.240 is amended by revising paragraphs (a), (b), and
(c) introductory text and adding paragraphs (e) and (f) to read as
follows:

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) or Sec.
1042.104 if all emission-data engines representing that family have
test results showing official emission results and deteriorated
emission levels at or below these standards. This also applies for all
test points for emission-data engines within the family used to
establish deterioration factors. See paragraph (f) of this section for
provisions related to demonstrating compliance with non-duty-cycle
standards, such as NTE 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 an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies
for all test points for emission-data engines within the family used to
establish deterioration factors.
    (c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Section 1042.245 specifies
how to test your Category 1 or Category 2 engine to develop
deterioration factors that represent the deterioration expected in
emissions over your engines' full useful life. See paragraph (e) of
this section for determining deterioration factors for Category 3
engines. 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:
* * * * *
    (e) For Category 3 engines, determine a deterioration factor based
on an engineering analysis. The engineering analysis must describe how
the measured emission levels from the emission-data engine show that
engines comply with applicable emission standards throughout the useful
life. Include this analysis in your application for certification and
add a statement that all data, analyses, evaluations, and other
information you used are available for our review upon request.
    (f) For NTE standards and mode caps, use good engineering judgment
to demonstrate compliance throughout the useful life. You may, but are
not required to, apply the same deterioration factors used to show
compliance with the applicable duty-cycle standards. We will deny your
application for certification if we determine that your test data show
that

your engines would exceed one or more NTE standard or mode cap during
their useful lives.

0
169. Section 1042.245 is amended by revising the introductory text and
paragraph (a) to read as follows:

Sec.  1042.245  Deterioration factors.

    This section describes how to determine deterioration factors for
Category 1 and Category 2 engines, either with an engineering analysis,
with pre-existing test data, or with new emission measurements. Apply
these deterioration factors to determine whether your engines will meet
the duty-cycle emission standards throughout the useful life as
described in Sec.  1042.240. This section does not apply for Category 3
engines.
    (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 3 NOX+HC standard are
considered to rely on established technology for control of gaseous
emissions, 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 qualify as established technology. We must approve your plan to
establish a deterioration factor under this paragraph (a) before you
submit your application for certification.
* * * * *

0
170. Section 1042.250 is amended by revising paragraphs (a) and (c) and
removing paragraph (e) to read as follows:

Sec.  1042.250  Recordkeeping and reporting.

    (a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec.  1042.345.
In addition, within 45 days after the end of the model year, you must
send us a report describing information about engines you produced
during the model year as follows:
    (1) State the total production volume for each engine family that
is not subject to reporting under Sec.  1042.345.
    (2) State the total production volume for any engine family for
which you produce engines after completing the reports required in
Sec.  1042.345.
* * * * *
    (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 this section for eight years after we issue
your certificate.
* * * * *

0
171. Section 1042.255 is amended by revising paragraph (b) to read as
follows:

Sec.  1042.255  EPA decisions.

* * * * *
    (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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *

Subpart D--[Amended]

0
172. Section 1042.301 is amended by revising paragraphs (a)(2), (c),
(e), and (f) to read as follows:

Sec.  1042.301  General provisions.

    (a) * * *
    (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 your application for
certification and include your basis for projecting a production volume
below 100 units. We will approve your request if we agree that you have
made good-faith estimates of your production volumes. Your exemption is
approved when we grant your certificate. 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 E, even if we have approved an
exemption under this paragraph (a)(2).
* * * * *
    (c) Other regulatory provisions authorize us to suspend, revoke, or
void your certificate of conformity, or order recalls for engine
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.
* * * * *
    (e) If you certify a Category 1 or Category 2 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. For Category 3
engines, you are not required to deliver engines to us, but we may
inspect and test your engines at any facility at which they are
assembled or installed in vessels.

0
173. A new Sec.  1042.302 is added to subpart D to read as follows:

Sec.  1042.302  Applicability of this subpart for Category 3 engines.

    If you produce Tier 3 or later Category 3 engines that are
certified under this part, you must test them as described in this
subpart, except as specified in this section.
    (a) You must test each engine at the sea trial of the vessel in
which it is installed or within the first 300 hours of operation,
whichever occurs first. Since you must test each engine, the provisions
of Sec. Sec.  1042.310 and 1042.315(b) do not apply for Category 3
engines. If we determine that an engine failure under this subpart is
caused by defective components or design deficiencies, we may revoke or
suspend your certificate for the engine family as described in Sec.
1042.340. If we determine that an engine failure under this subpart is
caused only by incorrect assembly, we may suspend your certificate for
the engine family as described in Sec.  1042.325. If the engine fails,
you may continue operating only to complete the sea trial and return to
port. It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel
further until you remedy the cause of failure. Each two-hour period of
such operation constitutes a separate offense. A violation lasting less
than two hours constitutes a single offense.
    (b) You are only required to measure NOX emissions. You
do not need to measure HC, CO or PM emissions under this subpart.
    (c) If you are unable to operate the engine at the test points for
the specified duty cycle, you may approximate these

points consistent with the specifications of section 6 of Appendix 8 to
the NOX Technical Code (incorporated by reference in Sec.
1042.910) and show compliance with the alternate installed-engine
standard of Sec.  1042.104(g). You must obtain EPA approval of your
test procedure prior to testing the engine. Include in your request a
description of your basis for concluding that the engine cannot be
tested at the actual test points of the specified duty cycle.
    (d) You may measure NOX emissions at additional test
points for the purposes of the continuous NOX monitoring
requirements of Sec.  1042.110(d). If you do, you must report these
values along with your other test results. Describe in your application
for certification how you plan to use these values for continuous
NOX monitoring.
    (e) You may ask to measure emissions according to the Direct
Measurement and Monitoring method specified in section 6.4 of the
NOX Technical Code (incorporated by reference in Sec.
1042.910).

0
174. Section 1042.305 is amended by revising paragraphs (a), (d)
introductory text, (d)(2), (e)(2), and (g) to read as follows:

Sec.  1042.305  Preparing and testing production-line engines.

* * * * *
    (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. For
Category 1 and Category 2 engines, the not-to-exceed standards apply
for this testing of Category 1 and Category 2 engines, but you need not
do additional testing to show that production-line engines meet the
not-to-exceed standards. The mode cap standards apply for the testing
of Category 3 engines.
* * * * *
    (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 or
Category 3 engine to any setting within its specified adjustable range.
* * * * *
    (2) We may specify adjustments within the physically adjustable
range or the specified adjustable range by considering their effect on
emission levels. We may also consider how likely it is that someone
will make such an adjustment with in-use engines.
    (e) * * *
    (2) For Category 2 or Category 3 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.
* * * * *
    (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 we determine that you
improperly invalidated a test, we may require you to ask for our
approval for future testing before substituting results of the new
tests for invalid ones.

0
175. Section 1042.310 is amended by revising the section heading to
read as follows:

Sec.  1042.310  Engine selection for Category 1 and Category 2 engines.

* * * * *

0
176. Section 1042.315 is amended by revising paragraphs (a) and (b) to
read as follows:

Sec.  1042.315  Determining compliance.

* * * * *
    (a) Calculate your test results as follows:
    (1) Initial and final test results. Calculate and round the test
results for each engine. If you do several tests on an engine,
calculate the initial results for each test, then add all the test
results together and divide by the number of tests. Round this final
calculated value 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) For Category 1 and Category 2 engines, 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).

0
177. Section 1042.320 is amended by revising paragraph (a)(2) to read
as follows:

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

    (a) * * *
    (2) Include the test results and describe the remedy for each
engine in the written report required under Sec.  1042.345.