* * * * *

0
178. Section 1042.325 is amended by revising paragraph (e) to read as
follows:

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

* * * * *
    (e) You may request to amend the application for certification to
raise the FEL of the entire engine family before or after we suspend
your certificate as described in Sec.  1042.225(f). We will approve
your request if the failure is not caused by a defect and it is clear
that you used good engineering judgment in establishing the original
FEL.

0
179. Section 1042.345 is amended by revising paragraphs (a)(6) and (b)
to read as follows:

Sec.  1042.345  Reporting.

    (a) * * *
    (6) Provide the test number; the date, time and duration of
testing; test procedure; all initial test results; final test results;
and final deteriorated test results for all tests. Provide the emission
results for all measured pollutants. Include information for both valid
and invalid tests and the reason for any invalidation.
* * * * *
    (b) We may ask you to add information to your written report so we
can determine whether your new engines conform with the requirements of
this subpart. We may also ask you to send less information.
* * * * *

0
180. Section 1042.350 is amended by revising paragraphs (b), (e), and
(f) to read as follows:

Sec.  1042.350  Recordkeeping.

* * * * *
    (b) Keep paper or electronic records of your production-line
testing for eight years after you complete all the testing required for
an engine family in a model year.
* * * * *
    (e) If we ask, you must give us a more detailed description of
projected or actual production figures for an engine family. We may ask
you to divide your

production figures by maximum engine power, displacement, fuel type, or
assembly plant (if you produce engines at more than one plant).
    (f) Keep records of the engine identification number for each
engine you produce under each certificate of conformity. You may
identify these numbers as a range. Give us these records within 30 days
if we ask for them.
* * * * *

Subpart F--[Amended]

0
181. Section 1042.501 is amended by revising paragraphs (a) and (c) and
adding paragraph (g) to read as follows:

Sec.  1042.501  How do I run a valid emission test?

    (a) Use the equipment and procedures for compression-ignition
engines in 40 CFR part 1065 to determine whether engines meet the duty-
cycle emission standards in Sec. Sec.  1042.101 or 1042.104. Measure
the emissions of all regulated pollutants as specified in 40 CFR part
1065. Use the applicable duty cycles specified in Sec.  1042.505.
* * * * *
    (c) Use the fuels and lubricants specified in 40 CFR part 1065,
subpart H, for all the testing we require in this part, except as
specified in this section and Sec.  1042.515.
    (1) For service accumulation, use the test fuel or any commercially
available fuel that is representative of the fuel that in-use engines
will use.
    (2) For diesel-fueled engines, use the appropriate diesel fuel
specified in 40 CFR part 1065, subpart H, for emission testing. Unless
we specify otherwise, the appropriate diesel test fuel for Category 1
and Category 2 engines is the ultra low-sulfur diesel fuel. If we allow
you to use a test fuel with higher sulfur levels, identify the test
fuel in your application for certification. Unless we specify
otherwise, the appropriate diesel test fuel for Category 3 engines is
the high-sulfur diesel fuel. For Category 2 and Category 3 engines, you
may ask to use commercially available diesel fuel similar but not
necessarily identical to the applicable fuel specified in 40 CFR part
1065, subpart H; we will approve your request if you show us that it
does not affect your ability to demonstrate compliance with the
applicable emission standards.
    (3) For Category 1 and Category 2 engines that are expected to use
a type of fuel (or mixed fuel) other than diesel fuel (such as natural
gas, methanol, or residual fuel), use a commercially available fuel of
that type for emission testing. If a given engine is designed to
operate on different fuels, we may (at our discretion) require testing
on each fuel. Propose test fuel specifications that take into account
the engine design and the properties of commercially available fuels.
Describe these test fuel specifications in the application for
certification.
* * * * *
    (g) For Category 3 engines, instead of test data collected as
specified in 40 CFR part 1065, you may submit test data for
NOX, HC, and CO emissions that were collected as specified
in the NOX Technical Code (incorporated by reference in
Sec.  1042.910). For example, this allowance includes the allowance to
perform the testing using test fuels allowed under the NOX
Technical Code that do not meet the sulfur specifications of this
section. We may require you to include a brief engineering analysis
showing how these data demonstrate that your engines would meet the
applicable emission standards if you had used the test procedures
specified in 40 CFR part 1065.

0
182. Section 1042.505 is amended by revising paragraph (b) introductory
text to read as follows:

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

* * * * *
    (b) Measure emissions by testing the engine on a dynamometer with
one of the following duty cycles (as specified) to determine whether it
meets the emission standards in Sec. Sec.  1042.101 or 1042.104:
* * * * *

0
183. Section 1042.525 is amended by revising paragraph (b) and adding
paragraph (g) to read as follows:

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

* * * * *
    (b) Calculating average adjustment factors. Calculate the average
adjustment factor (EFA) based on the following equation:

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

Where:

F = The frequency of the regeneration event during normal in-use
operation, expressed in terms of the fraction of equivalent tests
during which the regeneration occurs. You may determine F from in-
use operating data or running replicate tests. For example, if you
observe that the regeneration occurs 125 times during 1,000 MW-hrs
of operation, and your engine typically accumulates 1 MW-hr per
test, F would be (125) / (1,000) / (1) = 0.125. No further
adjustments, including weighting factors, may be applied to F.
EFH = Measured emissions from a test segment in which the
regeneration occurs.
EFL = Measured emissions from a test segment in which the
regeneration does not occur.
* * * * *
    (g) Category 3 engines. We may specify an alternate methodology to
account for regeneration events from Category 3 engines. If we do not,
the provisions of this section apply as specified.

Subpart G--[Amended]

0
184. Section 1042.601 is amended by revising paragraph (b) and adding
paragraphs (g), (h), and (i) to read as follows:

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

* * * * *
    (b) Subpart I of this part describes how the prohibitions of 40 CFR
1068.101(a)(1) apply for certain remanufactured engines. The provisions
of 40 CFR 1068.105 do not allow the installation of a new
remanufactured engine in a vessel that is defined as a new vessel
unless the remanufactured engine is subject to the same standards as
the standards applicable to freshly manufactured engines of the
required model year.
* * * * *
    (g) The selective enforcement audit provisions of 40 CFR part 1068
do not apply for Category 3 engines.
    (h) The defect reporting requirements of 40 CFR 1068.501 apply for
Category 3 engines, except the threshold for filing a defect report is
two engines.
    (i) You may not circumvent the requirements of this part or the
Clean Air Act by manufacturing a vessel outside the United States or
initially flagging a vessel in another country. The definition of ``new
marine engine'' in Sec.  1042.901 includes provisions for U.S.-flagged
vessels that are manufactured or reflagged outside of U.S. waters.
These provisions have the effect of applying the prohibitions of 40 CFR
1068.101(a)(1) to such vessels no later than when they first enter U.S.
waters. The inclusion of these provisions does not affect requirements
or prohibitions of the Clean Air Act or other statutes that may apply
to the vessel before it first enters U.S. waters.

0
185. Section 1042.605 is amended by revising paragraph (a) to read as
follows:

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

    (a) General provisions. If you are an engine manufacturer
(including someone who marinizes a land-based engine), this section
allows you to introduce new marine engines into U.S. commerce if they
are already certified to the requirements that apply to compression-
ignition engines under 40 CFR parts 85 and 86 or 40 CFR part 89, 92,
1033, or 1039 for the appropriate model year. If you comply with all
the provisions of this section, we consider the certificate issued
under 40 CFR part 86, 89, 92, 1033, or 1039 for each engine to also be
a valid certificate of conformity under this part 1042 for its model
year, without a separate application for certification under the
requirements of this part 1042. This section does not apply for
Category 3 engines.
* * * * *

0
186. Section 1042.610 is amended by revising the introductory text to
read as follows:

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

    This section applies to auxiliary marine engines that are identical
to certified land-based engines. See Sec.  1042.605 for provisions that
apply to propulsion marine engines or auxiliary marine engines that are
modified for marine applications. This section does not apply for
Category 3 engines.
* * * * *

0
187. Section 1042.615 is amended by revising the introductory text and
paragraph (a)(4) and adding paragraph (d) to read as follows:

Sec.  1042.615  Replacement engine exemption.

    For Category 1 and Category 2 replacement engines, apply the
provisions of 40 CFR 1068.240 as described in this section. In unusual
circumstances, you may ask us to allow you to apply these provisions
for a new Category 3 engine.
    (a) * * *
    (4) The replacement engine must conform to the applicable
requirements of 40 CFR part 1043. Note that 40 CFR 1043.10 specifies
allowances for vessels that operate only domestically.
* * * * *
    (d) We may reduce the reporting and recordkeeping requirements in
this section.

0
188. Section 1042.620 is revised to read as follows:

Sec.  1042.620  Engines used solely for competition.

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

0
189. Section 1042.625 is amended by adding introductory text to read as
follows:

Sec.  1042.625  Special provisions for engines used in emergency
applications.

    This section describes an exemption that is available for certain
Category 1 and Category 2 engines. This exemption is not available for
Category 3 engines.
* * * * *

0
190. Section 1042.630 is amended by revising the introductory text to
read as follows:

Sec.  1042.630  Personal-use exemption.

    This section applies to individuals who manufacture vessels for
personal use with used Category 1 engines. If you and your vessel meet
all the conditions of this section, the vessel and its engine are
considered to be exempt from the standards and requirements of this
part that apply to new engines and new vessels. The prohibitions in
Sec.  1068.101(a)(1) do not apply to engines exempted under this
section. For example, you may install an engine that was not certified
as a marine engine.
* * * * *

0
191. Section 1042.635 is amended by revising paragraph (a) to read as
follows:

Sec.  1042.635  National security exemption.

* * * * *
    (a) An engine is exempt without a request if it will be used or
owned by an agency of the Federal government responsible for national
defense, where the vessel in which it is installed has armor,
permanently attached weaponry,

specialized electronic warfare systems, unique stealth performance
requirements, and/or unique combat maneuverability requirements. This
applies to both remanufactured and freshly manufactured marine engines.
Gas turbine engines are also exempt without a request if they will be
owned by an agency of the Federal government responsible for national
defense.
* * * * *

0
192. Section 1042.650 is amended by revising the section heading and
the introductory text and adding a new paragraph (d) to read as
follows:

Sec.  1042.650  Exemptions for migratory vessels and auxiliary engines
on Category 3 vessels.

    The provisions of this section apply for Category 1 and Category 2
engines, including auxiliary engines installed on vessels with Category
3 propulsion engines. These provisions do not apply for any Category 3
engines. All engines exempted under this section must comply with the
applicable requirements of 40 CFR part 1043.
* * * * *
    (d) Auxiliary engines on Category 3 vessels. As specified in this
paragraph (d), auxiliary engines on vessels with Category 3 propulsion
engines are exempt from the standards of this part.
    (1) To be eligible for this exemption, the engine must meet all of
the following criteria.
    (i) The engine must conform fully to the applicable NOX
standards of Annex VI and meet all other applicable requirements of 40
CFR part 1043. Engines installed on vessels constructed on or after
January 1, 2016 must conform fully to the Annex VI Tier III
NOX standards under 40 CFR part 1043 and meet all other
applicable requirements in 40 CFR part 1043. Engines that would
otherwise be subject to the Tier 4 standards of this part must also
conform fully to the Annex VI Tier III NOX standards under
40 CFR part 1043.
    (ii) The engine may not be used for propulsion (except for
emergency engines).
    (iii) The engine may be equipped with on-off NOX
controls, provided it conforms to the requirements of Sec.
1042.115(g).
    (2) You must notify the Designated Compliance Officer of your
intent to use this exemption when applying for the EIAPP certificate
for the engine under 40 CFR part 1043.
    (3) The remanufactured engine requirements of subpart I of this
part do not apply.
    (4) If you introduce an engine into U.S. commerce under this
paragraph (d), you must meet the labeling requirements in Sec.
1042.135, but add the following statement instead of the compliance
statement in Sec.  1042.135(c)(10):
    THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION
STANDARDS UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN VESSELS WITH
CATEGORY 3 PROPULSION ENGINES. INSTALLATION OR USE OF THIS ENGINE IN
ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTY.

0
193. A new Sec.  1042.655 is added to subpart G to read as follows:

Sec.  1042.655  Special certification provisions for--Category 3
engines with aftertreatment.

    This section describes an optional approach for demonstrating for
certification that catalyst-equipped engines (or engines equipped with
other aftertreatment devices) comply with applicable emission
standards. You must use good engineering judgment for all aspects of
this allowance.
    (a) Eligibility. You may use the provisions of this section without
our prior approval to demonstrate that aftertreatment-equipped Category
3 engines meet the Tier 3 standards. In unusual circumstances, we may
also allow you to use this approach to demonstrate that aftertreatment-
equipped Category 2 engines meet the Tier 4 standards. We will
generally approve this for Category 2 engines only if the engines are
too large to be practically tested in a laboratory with a fully
assembled aftertreatment system. If we approve this approach for a
Category 2 engine, interpret references to Tier 3 in this section to
mean Tier 4, and interpret references to Tier 2 in this section to mean
Tier 3.
    (b) Required testing. The emission-data engine must be tested as
specified in Subpart F to verify that the engine-out emissions comply
with the Tier 2 standards. The catalyst material or other
aftertreatment device must be tested under conditions that accurately
represent actual engine conditions for the test points. This catalyst
or aftertreatment testing may be performed on a benchscale.
    (c) Engineering analysis. Include with your application a detailed
engineering analysis describing how the test data collected for the
engine and aftertreatment demonstrate that all engines in the family
will meet all applicable emission standards. We may require that you
submit this analysis separately from your application, or that you
obtain preliminary approval under Sec.  1042.210.
    (d) Verification. You must verify your design by testing a complete
production engine with installed aftertreatment in the final assembled
configuration. Unless we specify otherwise, do this by complying with
production-line testing requirements of subpart D of this part.
    (e) Other requirements. All other requirements of this part,
including the non-testing requirements for certification, apply for
these engines. Nothing in this section affects requirements in other
regulatory parts, such as Coast Guard safety requirements.

0
194. Section 1042.660 is revised to read as follows:

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

    (a) For vessels equipped with emission controls requiring the use
of specific fuels, lubricants, or other fluids, owners and operators
must comply with the manufacturer/remanufacturer's specifications for
such fluids when operating the vessels. Failure to comply with the
requirements of this paragraph is a violation of 40 CFR 1068.101(b)(1).
For marine vessels that are excluded from the requirements of 40 CFR
part 1043 because they operate only domestically, it is also a
violation of 40 CFR 1068.101(b)(1) to operate the vessel using residual
fuel on or after January 1, 2015. Note that 40 CFR part 80 also
includes provisions that restrict the use of certain fuels by certain
marine engines.
    (b) For vessels equipped with SCR systems requiring the use of urea
or other reductants, owners and operators must report to us within 30
days any operation of such vessels without the appropriate reductant.
Failure to comply with the requirements of this paragraph is a
violation of 40 CFR 1068.101(a)(2). Note that such operation is a
violation of 40 CFR 1068.101(b)(1).
    (c) The provisions of this paragraph (c) apply for marine vessels
containing Category 3 engines.
    (1) The requirements of this paragraph (c)(1) apply only for
Category 3 engines. All maintenance, repair, adjustment, and alteration
of Category 3 engines subject to the provisions of this part performed
by any owner, operator or other maintenance provider must be perform
using good engineering judgment, in such a manner that the engine
continues (after the maintenance, repair, adjustment or alteration) to
meet the emission standards it was certified as meeting prior to the
need for service. This includes but is not limited to complying with
the maintenance

instructions described in Sec.  1042.125. Adjustments are limited to
the range specified by the engine manufacturer in the approved
application for certification. Note that where a repair (or other
maintenance) cannot be completed while at sea, it is not a violation to
continue operating the engine to reach your destination.
    (2) It is a violation of 40 CFR 1068.101(b)(1) to operate the
vessel with the engine adjusted outside of the specified adjustable
range. Each two-hour period of such operation constitutes a separate
offense. A violation lasting less than two hours constitutes a single
offense.
    (3) The owner and operator of the engine must maintain on board the
vessel records of all maintenance, repair, and adjustment that could
reasonably affect the emission performance of any engine subject to the
provision of this part. Owners and operators must also maintain, on
board the vessel, records regarding certification, parameter
adjustment, and fuels used. For engines that are automatically adjusted
electronically, all adjustments must be logged automatically. Owners
and operators must make these records available to EPA upon request.
These records must include the following:
    (i) The Technical File, Record Book of Engine Parameters, and
bunker delivery notes as specified in 40 CFR 1043.70. The Technical
File must be transferred to subsequent purchasers in the event of a
sale of the engine or vessel. (ii) Specific descriptions of engine
maintenance, repair, adjustment, and alteration (including rebuilding).
The descriptions must include at least the date, time, and nature of
the maintenance, repair, adjustment, or alteration and the position of
the vessel when the maintenance, repair, adjustment, or alteration was
made.
    (iii) Emission-related maintenance instructions provided by the
manufacturer. These instructions must be transferred to subsequent
purchasers in the event of a sale of the engine or vessel.
    (4) Owners and operators of engines equipped with on-off emission
controls must comply with the requirements of this paragraph (c)(4)
whenever a malfunction of the emission controls is indicated as
specified in Sec.  1042.110(d). You must determine the cause of the
malfunction and remedy it consistent with paragraph (c)(1) of this
section. See paragraph (b) of this section if the malfunction is due to
either a lack of reductant or inadequate reductant quality. If the
malfunction occurs during the useful life, report the malfunction to
the certificate holder for investigation and compliance with defect
reporting requirements of 40 CFR 1068.501 (unless the malfunction is
due to operation without adequate urea or other malmaintenance).
    (d) For each marine vessel containing a Category 3 engine, the
owner must annually review the vessel's records and submit to EPA a
signed statement certifying compliance during the preceding year with
the requirements of this part that are applicable to owners and
operators of such vessels. Alternately, if review of the vessel's
records indicates that there has been one or more violations of the
requirements of this part, the owner must submit to EPA a signed
statement specifying the noncompliance, including the nature of the
noncompliance, the time of the noncompliance, and any efforts made to
remedy the noncompliance. The statement of compliance (or
noncompliance) required by this paragraph must be signed by the
executive with responsibility for marine activities of the owner. If
the vessel is operated by a different business entity than the vessel
owner, the reporting requirements of this paragraph (e) apply to both
the owner and the operator. Compliance with these review and
certification requirements by either the vessel owner or the vessel
operator with respect to a compliance statement will be considered
compliance with these requirements by both of these parties for that
compliance statement. The executive(s) may authorize a captain or other
primary operator to conduct this review and submit the certification,
provided that the certification statement is accompanied by written
authorization for that individual to submit such statements. The
Administrator may waive the requirements of this paragraph when
equivalent assurance of compliance is otherwise available.
    (e) Manufacturers, owners and operators must allow emission tests
and inspections required by this part to be conducted and must provide
reasonable assistance to perform such tests or inspections.

0
195. A new Sec.  1042.670 is added to subpart G to read as follows:

Sec.  1042.670  Special provisions for gas turbine engines.

    The provisions of this section apply for gas turbine engines.
    (a) Implementation schedule. The requirements of this part do not
apply for gas turbine engines below 600 kW before the 2014 model year.
The requirements of this part do not apply for Tier 3 or earlier gas
turbine engines at or above 600 kW. The provisions of 40 CFR part 1068
also do not apply for gas turbine engines produced in these earlier
model years.
    (b) Special test procedures. Manufacturers seeking certification of
gas turbine engines must obtain preliminary approval of the test
procedures to be used, consistent with Sec.  1042.210 and 40 CFR
1065.10.
    (c) Remanufacturing. The requirements of subpart I of this part do
not apply for gas turbine engines.
    (d) Equivalent displacement. Apply displacement-based provisions of
this part by calculating an equivalent displacement from the maximum
engine power. The equivalent per-cylinder displacement (in liters)
equals the maximum engine power in kW multiplied by 0.00311, except
that all gas turbines with maximum engine power above 9,300 kW are
considered to have an equivalent per-cylinder displacement of 29.0
liters.
    (e) Emission-related components. All components meeting the
criteria of 40 CFR 1068.501(a)(1) are considered to be emission-related
components with respect to maintenance, warranty, and defect reporting
for gas turbine engines.
    (f) Engines used for national defense. See Sec.  1042.635 for
provisions related to exempting gas turbine engines used for national
defense.

Subpart H--[Amended]

0
196. Section 1042.701 is amended by adding introductory text to read as
follows:

Sec.  1042.701  General provisions.

    This subpart describes how you may use emission credits to
demonstrate that Category 1 and Category 2 engines comply with emission
standards under this part. The provisions of this subpart do not apply
for Category 3 engines.
* * * * *

0
197. Section 1042.705 is amended by revising paragraph (a) introductory
text, before the equation, to read as follows:

Sec.  1042.705  Generating and calculating emission credits.

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

(kg) using consistent units throughout the following equation:
* * * * *

0
198. Section 1042.715 is revised to read as follows:

Sec.  1042.715  Banking 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.  1042.730 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
199. Section 1042.720 is amended by revising paragraph (b) to read as
follows:

Sec.  1042.720  Trading 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
200. Section 1042.725 is amended by revising paragraph (b)(2) to read
as follows:

Sec.  1042.725  Information required for the 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
201. Section 1042.730 is amended by revising paragraphs (b)(3), (b)(4),
and (b)(5) to read as follows:

Sec.  1042.730  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 under each FEL.
    (4) The projected and actual U.S.-directed production volumes for
the model year, as described in Sec.  1042.705(c). If you changed an
FEL during the model year, identify the actual production volume
associated with each FEL.
    (5) Maximum engine power for each engine configuration, and the
average engine power weighted by U.S.-directed production volumes for
the engine family.
* * * * *

0
202. Section 1042.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:

Sec.  1042.735  Recordkeeping.

* * * * *
    (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
203. Section 1042.801 is amended by revising the introductory text and
paragraph (a) to read as follows:

Sec.  1042.801  General provisions.

    This subpart describes how the provisions of this part 1042 apply
for certain remanufactured marine engines.
    (a) The requirements of this subpart apply for remanufactured Tier
2 and earlier commercial Category 1 and Category 2 marine engines at or
above 600 kW, excluding those engines originally manufactured before
1973. Note that the requirements of this subpart do not apply for
engines below 600 kW, Category 3 engines, engines installed on
recreational vessels, or Tier 3 and later engines.
* * * * *

0
204. Section 1042.836 is amended by revising the introductory text and
paragraphs (a) introductory text and (c) to read as follows:

Sec.  1042.836  Marine certification of locomotive remanufacturing
systems.

    If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system
for locomotives under 40 CFR part 1033, you may also certify the system
under this part 1042, according to the provisions of this section. Note
that in certain cases before 2013, locomotives may be certified under
40 CFR part 1033 to the standards of 40 CFR part 92.
    (a) Include the following with your application for certification
under 40 CFR part 1033 (or as an amendment to your application):
* * * * *
    (c) Systems certified to the standards of 40 CFR part 92 are
subject to the following restrictions:
    (1) Tier 0 locomotives systems may not be used for any Category 1
engines or Tier 1 or later Category 2 engines.
    (2) Where systems certified to the standards of 40 CFR part 1033
are also available for an engine, you may not use a system certified to
the standards of 40 CFR part 92.

0
205. Section 1042.850 is amended by revising paragraph (c) to read as
follows:

Sec.  1042.850  Exemptions and hardship relief.

* * * * *
    (c) If you believe that a remanufacturing system that we identified
as being available cannot be installed without significant modification
of your vessel, you may ask us to determine that a remanufacturing
system is not considered available for your vessel because the cost
would exceed the total marginal cost threshold in Sec.  1042.815(a)(2).
* * * * *

Subpart J--[Amended]

0
206. Section 1042.901 is amended as follows:
0
a. By revising the definitions for ``Carryover'', ``Category 1'',
``Category 2'', ``Category 3'', ``Compression-ignition'',
``Deterioration factor'', ``Engine configuration'', ``Freshly
manufactured marine engine'', ``Hydrocarbon (HC)'', ``Manufacture'',
``Manufacturer'', ``Model year'', ``New marine engine'', ``Residual
fuel'', ``Small-volume boat builder'', ``Small-volume engine
manufacturer'', ``Tier 2'', ``Tier 3'', ``Total hydrocarbon
equivalent'', and ``Useful life''.
0
b. Adding new definitions for ``2008 Annex VI'', ``Alcohol-fueled
engine'', ``Date of manufacture'', ``ECA associated area'', ``Emission
control area (ECA)'', ``Gas turbine engine'', ``Maximum in-use engine
speed'', ``Reflag'', ``NOX Technical Code'', and ``U.S.
waters'' in alphanumeric order.
0
c. By removing the definition for ``Annex VI Technical Code''.

Sec.  1042.901  Definitions.

* * * * *
    2008 Annex VI means MARPOL Annex VI, which is an annex to the
International Convention on the Prevention of Pollution from Ships,
1973, as modified by the protocol of 1978 relating thereto
(incorporated by reference in Sec.  1042.910).
* * * * *
    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.  1042.235(d).
    Category 1 means relating to a marine engine with specific engine
displacement below 7.0 liters per cylinder. See Sec.  1042.670 to
determine equivalent per-cylinder displacement for nonreciprocating
marine engines (such as gas turbine engines).
    Category 2 means relating to a marine engine with a specific engine
displacement at or above 7.0 liters per cylinder but less than 30.0
liters per cylinder. See Sec.  1042.670 to determine equivalent per-
cylinder displacement for nonreciprocating marine engines (such as gas
turbine engines).
    Category 3 means relating to a reciprocating marine engine with a
specific engine displacement at or above 30.0 liters per cylinder.
* * * * *
    Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine. Note
that certain other marine engines (such as those powered by natural gas
with maximum engine power at or above 250 kW) are deemed to be
compression-ignition engines in Sec.  1042.1.
* * * * *
    Date of manufacture has the meaning given in 40 CFR 1068.30.
* * * * *
    Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point (see
Sec. Sec.  1042.240 and 1042.245), expressed in one of the following
ways:
    (1) For multiplicative deterioration factors, the ratio of
emissions at the end of useful life to emissions at the low-hour test
point.
    (2) For additive deterioration factors, the difference between
emissions at the end of useful life and emissions at the low-hour test
point.
* * * * *
    ECA associated area has the meaning given in 40 CFR 1043.20.
    Emission control area (ECA) has the meaning given in 40 CFR
1043.20.
* * * * *
    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.
* * * * *
    Freshly manufactured marine engine means a marine engine that has
not been placed into service. An engine becomes freshly manufactured
when it is originally manufactured. See the definition of ``New marine
engine'' for provisions that specify that certain other types of new
engines are treated as freshly manufactured engines.
* * * * *
    Gas turbine engine has the meaning given in 40 CFR 1068.30. In
general, this means anything commercially known as a gas turbine
engine. It does not include external combustion steam engines.
* * * * *
    Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in Sec.
1042.101(d) and Sec.  1042.104(a).
* * * * *
    Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine or a vessel, or
modifying or operating an engine or vessel in a way that makes it a new
marine engine or new marine vessel.
    Manufacturer means any person who manufactures (see definition of
``manufacture'' in this section) a new engine or vessel or imports such
engines or vessels for resale. All manufacturing entities under the
control of the same person are considered to be a single manufacturer.
    (1) This term includes, but is not limited to:
    (i) Any person who manufactures an engine or vessel for sale in the
United States or otherwise introduces a new marine engine into U.S.
commerce.
    (ii) Importers who import engines or vessels for resale.
    (iii) Post-manufacture marinizers.
    (iv) Vessel owners/operators that reflag a formerly foreign vessel
as a U.S.-flagged vessel.
    (v) Any person who modifies or operates an engine or vessel in a
way that makes it a new marine engine or new marine vessel.
    (2) Dealers that do not cause an engine or vessel to become new are
not manufacturers.
* * * * *
    Maximum in-use engine speed has the meaning given in Sec.
1042.140.
* * * * *
    Model year means any of the following:
    (1) For freshly manufactured marine engines (see definition of
``new marine engine,'' paragraph (1)), model year means one of the
following:
    (i) Calendar year.
    (ii) Your annual new model production period if it is different
than the calendar year. This must include January 1 of the calendar
year for which the model year is named. It may not begin before January
2 of the previous calendar year and it must end by December 31 of the
named calendar year. For seasonal production periods not including
January 1, model year means the calendar year in which the production
occurs, unless you choose to certify the applicable engine family with
the following model year. For example, if your production period is
June 1, 2010 through November 30, 2010, your model year would be 2010
unless you choose to certify the engine family for model year 2011.
    (2) For an engine that is converted to a marine engine after being
certified and placed into service as a motor vehicle engine, a nonroad
engine that is not a marine engine, or a stationary engine, model year
means the calendar year in which the engine was originally produced.
For an engine that is

converted to a marine engine after being placed into service as a motor
vehicle engine, a nonroad engine that is not a marine engine, or a
stationary engine without having been certified, model year means the
calendar year in which the engine becomes a new marine engine. (See
definition of ``new marine engine,'' paragraph (2)).
    (3) For an uncertified marine engine excluded under Sec.  1042.5
that is later subject to this part 1042 as a result of being installed
in a different vessel, model year means the calendar year in which the
engine was installed in the non-excluded vessel. For a marine engine
excluded under Sec.  1042.5 that is later subject to this part 1042 as
a result of reflagging the vessel, model year means the calendar year
in which the engine was originally manufactured. For a marine engine
that become new under paragraph (7) of the definition of ``new marine
engine,'' model year means the calendar year in which the engine was
originally manufactured. (See definition of ``new marine engine,''
paragraphs (3) and (7)).
    (4) For engines that do not meet the definition of ``freshly
manufactured'' but are installed in new vessels, model year means the
calendar year in which the engine is installed in the new vessel. (See
definition of ``new marine engine,'' paragraph (4)).
    (5) For remanufactured engines, model year means the calendar year
in which the remanufacture takes place.
    (6) For imported engines:
    (i) For imported engines described in paragraph (5)(i) of the
definition of ``new marine engine,'' model year has the meaning given
in paragraphs (1) through (4) of this definition.
    (ii) For imported engines described in paragraph (5)(ii) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is remanufactured.
    (iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is first assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
    (iv) For imported engines described in paragraph (5)(iv) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is imported.
    (7) [Reserved].
    (8) For freshly manufactured vessels, model year means the calendar
year in which the keel is laid or the vessel is at a similar stage of
construction. For vessels that become new under paragraph (2) of the
definition of ``new vessel'' (as a result of modifications), model year
means the calendar year in which the modifications physically begin.
* * * * *
    New marine engine means any of the following:
    (1) A freshly manufactured marine engine for which the ultimate
purchaser has never received the equitable or legal title. This kind of
engine might commonly be thought of as ``brand new.'' In the case of
this paragraph (1), the engine is new from the time it is produced
until the ultimate purchaser receives the title or the product is
placed into service, whichever comes first.
    (2) An engine originally manufactured as a motor vehicle engine, a
nonroad engine that is not a marine engine, or a stationary engine that
is later used or intended to be used as a marine engine. In this case,
the engine is no longer a motor vehicle, nonmarine, or stationary
engine and becomes a ``new marine engine.'' The engine is no longer new
when it is placed into marine service as a marine engine. This
paragraph (2) applies for engines we exclude under Sec.  1042.5, where
that engine is later installed as a marine engine in a vessel that is
covered by this part 1042. For example, this would apply to an engine
that is no longer used in a foreign vessel. An engine converted to a
marine engine without having been certified is treated as a freshly
manufactured engine under this part 1042.
    (3) A marine engine that has been previously placed into service in
an application we exclude under Sec.  1042.5, where that engine is
installed in a vessel that is covered by this part 1042. The engine is
new when it first enters U.S. waters on a vessel covered by this part
1042. For example, this would apply to an engine that is no longer used
in a foreign vessel and for engines on a vessel that is reflagged as a
U.S. vessel. Note paragraph (7) of this definition may also apply.
    (4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. This
generally includes installation of used engines in new vessels. The
engine is no longer new when the ultimate purchaser receives a title
for the vessel or it is placed into service, whichever comes first.
Such an engine is treated as a freshly manufactured engine under this
part 1042, whether or not it meets the definition of ``freshly
manufactured marine engine.''
    (5) A remanufactured marine engine. An engine becomes new when it
is remanufactured (as defined in this section) and ceases to be new
when placed back into service.
    (6) An imported marine engine, subject to the following provisions:
    (i) An imported marine engine covered by a certificate of
conformity issued under this part that meets the criteria of one or
more of paragraphs (1) through (4) of this definition, where the
original engine manufacturer holds the certificate, is new as defined
by those applicable paragraphs.
    (ii) An imported remanufactured engine that would have been
required to be certified if it had been remanufactured in the United
States.
    (iii) An imported engine that will be 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 marine 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.
    (iv) An imported marine engine that is not covered by a certificate
of conformity issued under this part at the time of importation is new,
but only if it was produced on or after the dates shown in the
following table. This addresses uncertified engines and vessels
initially placed into service that someone seeks to import into the
United States. Importation of this kind of engine (or vessel containing
such an engine) is generally prohibited by 40 CFR part 1068.

                   Applicability of Emission Standards for Compression-Ignition Marine Engines
----------------------------------------------------------------------------------------------------------------
                                                                                Initial
                                                                         Per-cylinder displacement    model year
         Engine category and type                   Power (kW)                    (L/cyl)            of emission
                                                                                standards
----------------------------------------------------------------------------------------------------------------
Category 1...............................  P < 19.....................  All........................         2000

Category 1...............................  19 <= P < 37...............  All........................         1999
Category 1, Recreational.................  P >= 37....................  disp. < 0.9................         2007
Category 1, Recreational.................  All........................  0.9 <= disp. < 2.5.........         2006
Category 1, Recreational.................  All........................  disp. >= 2.5...............         2004
Category 1, Commercial...................  P >= 37....................  disp. < 0.9................         2005
Category 1, Commercial...................  All........................  disp. >= 0.9...............         2004
Category 2 and Category 3................  All........................  disp. >= 5.0...............         2004
----------------------------------------------------------------------------------------------------------------

    (7) A marine engine that is not covered by a certificate of
conformity issued under this part on a U.S.-flag vessel entering U.S.
waters is new, but only if it was produced on or after the dates
identified in paragraph (6)(iv) of this definition. Such entrance is
deemed to be introduction into U.S. commerce.
* * * * *
    NOX Technical Code means the ``Technical Code on Control of
Emission of Nitrogen Oxides from Marine Diesel Engines'' adopted by the
International Maritime Organization (incorporated by reference in Sec.
1042.910). The Technical Code is part of 2008 Annex VI.
* * * * *
    Reflag means to register as a U.S. vessel any vessel that
previously had a foreign registry or had been placed into service
without registration.
* * * * *
    Residual fuel means any fuel with a T90 greater than 700
[deg]F as measured with the distillation test method specified in 40
CFR 1065.1010. This generally includes all RM grades of marine fuel
without regard to whether they are known commercially as residual fuel.
For example, fuel marketed as intermediate fuel may be residual fuel.
* * * * *
    Small-volume boat builder means a boat manufacturer with fewer than
500 employees and with annual worldwide production of fewer than 100
boats. For manufacturers owned by a parent company, these limits apply
to the combined production and number of employees of the parent
company and all its subsidiaries. Manufacturers that produce vessels
with Category 3 engines are not small-volume boat builders.
    Small-volume engine manufacturer means a manufacturer of Category 1
and/or Category 2 engines with annual worldwide production of fewer
than 1,000 internal combustion engines (marine and nonmarine). For
manufacturers owned by a parent company, the limit applies to the
production of the parent company and all its subsidiaries.
Manufacturers that certify or produce any Category 3 engines are not
small-volume engine manufacturers.
* * * * *
    Tier 2 means relating to the Tier 2 emission standards, as shown in
Sec.  1042.104 and Appendix I.
    Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec.  1042.101 and Sec.  1042.104.
* * * * *
    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.
* * * * *
    U.S. waters includes U.S. navigable waters and the U.S. EEZ.
    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 an
engine is required to comply with all applicable emission standards.
See Sec. Sec.  1042.101(e) and 1042.104(d).

0
207. Section 1042.905 is amended by adding the acronyms ``ECA'',
``EEZ'', and ``IMO'' in alphabetical order to read as follows:

Sec.  1042.905  Symbols, acronyms, and abbreviations.

* * * * *
ECA Emission Control Area.
EEZ Exclusive Economic Zone.
* * * * *
IMO International Maritime Organization.
* * * * *

0
208. Section 1042.910 is revised to read as follows:

Sec.  1042.910  Reference materials.

    Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460,<PHONE_NUMBER>, or
at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_
federal_regulations/ibr_locations.html.
    (a) IMO material. This paragraph (a) lists material from the
International Maritime Organization that we have incorporated by
reference. Anyone may purchase copies of these materials from the
International Maritime Organization, 4 Albert Embankment, London SE1
7SR, United Kingdom, or http://www.imo.org, or 44-(0)20-7735-7611.
    (1) Revised MARPOL Annex VI, Regulations for the Prevention of Air
Pollution from Ships, and NOX Technical Code 2008, 2009
edition.
    (i) Revised MARPOL Annex VI, Regulations for the Prevention of
Pollution from Ships (``2008 Annex VI''); IBR approved for Sec.
1042.901.
    (ii) NOX Technical Code 2008 (``NOX Technical
Code''); IBR approved for Sec. Sec.  1042.104(g), 1042.230(d),
1042.302(c) and (e), 1042.501(g), and 1042.901.
    (2) [Reserved]
    (b) [Reserved]

0
209. Appendix I to part 1042 is amended by revising paragraphs (b)(2)
introductory text and (b)(3) to read as follows:

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

* * * * *
    (b) * * *
    (2) Tier 2 primary standards. Exhaust emissions from Category 1
engines at or

above 37 kW and all Category 2 engines may not exceed the values
shown in the following table:
* * * * *
    (3) Tier 2 supplemental standards. The not-to-exceed emission
standards specified in 40 CFR 94.8(e) apply for all engines subject
to the Tier 2 standards described in paragraph (b)(2) of this
appendix.

0
210. A new part 1043 is added to subchapter U to read as follows:

PART 1043--CONTROL OF NOX, SOX, AND PM EMISSIONS FROM MARINE
ENGINES AND VESSELS SUBJECT TO THE MARPOL PROTOCOL

Sec.
1043.1 Overview.
1043.5 Effective dates.
1043.10 Applicability.
1043.20 Definitions.
1043.30 General obligations.
1043.40 EIAPP certificates.
1043.41 EIAPP certification process.
1043.50 Approval of methods to meet Tier 1 retrofit NOX
standards.
1043.55 Applying equivalent controls instead of complying with fuel
requirements.
1043.60 Operating requirements for engines and vessels subject to
this part.
1043.70 General recordkeeping and reporting requirements.
1043.80 Recordkeeping and reporting requirements for fuel suppliers.
1043.90 [RESERVED]
1043.95 Interim provisions.
1043.100 Reference materials.

    Authority: 33 U.S.C. 1901-1915.

Sec.  1043.1  Overview.

    The Act to Prevent Pollution from Ships (APPS) requires engine
manufacturers, owners and operators of vessels, and other persons to
comply with Annex VI of the MARPOL Protocol. This part implements
portions of APPS as it relates to Regulations 13, 14 and 18 of Annex
VI. These regulations clarify the application of some Annex VI
provisions; provide procedures and criteria for the issuance of EIAPP
certificates; and specify requirements applicable to ships that are not
registered by Parties to Annex VI. This part includes provisions to
apply the equivalency provisions of Regulation 4 of Annex VI with
respect to Regulations 14 and 18 of Annex VI. Additional regulations
may also apply with respect to the Annex VI, such as those issued
separately by the U.S. Coast Guard. Note that references in this part
to a specific subsection of an Annex VI regulation (such as Regulation
13.5.1) reflect the regulation numbering of the 2008 Annex VI
(incorporated by reference in Sec.  1043.100).
    (a) The general requirements for non-public U.S.-flagged and other
Party vessels are specified in Annex VI, as implemented by 33 U.S.C.
1901-1915. These requirements apply to engine manufacturers, owners and
operators of vessels, and other persons.
    (b) The provisions of this part specify how Regulations 13, 14 and
18 of Annex VI, as implemented by APPS, will be applied to U.S.-flagged
vessels that operate only domestically.
    (c) This part implements section 33 U.S.C. 1902(e) by specifying
that non-public vessels flagged by a country that is not a party to
Annex VI are subject to certain provisions under this part that are
equivalent to the substantive requirements of Regulations 13, 14 and 18
of Annex VI as implemented by APPS.
    (d) This part also describes where the requirements of Regulation
13.5.1 of Annex VI and Regulation 14.4 of Annex VI will apply.
    (e) This part 1043 does not limit the requirements specified in
Annex VI, as implemented by APPS, except as specified in Sec.
1043.10(a)(2) and (b)(3).
    (f) Nothing in this part limits the operating requirements and
restrictions applicable for engines and vessels subject to 40 CFR part
1042 or the requirements and restrictions applicable for fuels subject
to 40 CFR part 80.
    (g) The provisions of this part specify how to obtain EIAPP
certificates and certificates for Approved Methods.

Sec.  1043.5  Effective dates.

    (a) The requirement of APPS for marine vessels to comply with Annex
VI of the MARPOL Protocol is in effect.
    (b) The amendments to Annex VI adopted on October 8, 2008 enter
into force July 1, 2010. The requirement of APPS for marine vessels to
comply with the amended Annex VI is effective July 1, 2010, although
some requirements do not become applicable until later dates.
    (c) Compliance with the applicable regulations of this part is
required for all persons as of July 1, 2010. (Note that certain
requirements begin later, as described in paragraph (d) of this
section.) Note also that compliance with Sec. Sec.  1043.40 and 1043.41
is required to obtain EIAPP certificates under this part whether the
application is submitted before July 1, 2010 or later.
    (d) Compliance with the requirements related to ECAs are effective
as follows:
    (1) Compliance with the ECA NOX requirements (see Sec.
1043.60(a)) is required beginning on the date on which the ECA enters
into force for the United States under Annex VI.
    (2) Compliance with the fuel content requirements applicable within
ECAs and ECA associated areas (see Sec.  1043.60(b)) is required
beginning 12 months after date on which the ECA enters into force for
the United States under Annex VI.

Sec.  1043.10  Applicability.

    (a) U.S.-flagged vessels. The provisions of this part apply for all
U.S.-flagged vessels wherever they are located (including engines
installed or intended to be installed on such vessels), except as
specified in this paragraph (a) or in Sec.  1043.95.
    (1) Public vessels are excluded from this part.
    (2) Vessels that operate only domestically and conform to the
requirements of this paragraph (a)(2) are excluded from Regulation 13
of Annex VI (including the requirement to obtain an EIAPP certificate)
and the NOX-related requirements of this part. For the
purpose of this exclusion, the phrase ``operate only domestically''
means the vessels do not enter waters subject to the jurisdiction or
control of any foreign country, except for Canadian portions of the
Great Lakes. (See Sec. Sec.  1043.60 and 1043.70 for provisions related
to fuel use by such vessels). To be excluded, the vessel must conform
to each of the following provisions:
    (i) All compression-ignition engines on the vessel must conform
fully to all applicable provisions of 40 CFR parts 94 and 1042.
    (ii) The vessel may not contain any engines with a specific engine
displacement at or above 30.0 liters per cylinder.
    (iii) Any engine installed in the vessel that is not covered by an
EIAPP must be labeled as specified in 40 CFR 1042.135 with respect to
whether it meets the requirements of Regulation 13 of Annex VI.
    (b) Foreign-flagged vessels. The provisions of this part apply for
all non-public foreign-flagged vessels (including engines installed on
such vessels) as follows:
    (1) The requirements of this part apply for foreign-flagged vessels
operating in U.S. navigable waters or the U.S. EEZ.
    (2) For non-public vessels flagged by a country that is not a party
to Annex VI, the requirements of this part apply in the same manner as
apply for Party vessels, except as otherwise provided in this part. For
example, see Sec.  1043.30(b)(3) for provisions related to showing
compliance with this requirement without an EIAPP certificate. See
Sec.  1043.60 for specific operating requirements.
    (3) Canadian vessels that operate only within the Great Lakes and
are subject to an alternative NOX control measure
established by the Canadian government

are excluded from the NOX-related requirements of this part.
    (c) Fuel suppliers. The provisions of Sec.  1043.80 apply for all
persons supplying fuel to any vessel subject to this part.
    (d) Sea bed mineral exploration. This part does not apply to
emissions directly arising from the exploration, exploitation, and
associated offshore processing of sea-bed mineral resources. Note that
other regulations apply with respect to these emissions in certain
circumstances, and that engines that are not solely dedicated to such
activities are otherwise subject to all requirements of this part.

Sec.  1043.20  Definitions.

    The following definitions apply to this part:
    2008 Annex VI means Annex VI to the MARPOL Protocol, including
amendments adopted in October 2008. The 2008 Annex VI is incorporated
by reference in Sec.  1043.100. Note that this version of Annex VI does
not include any amendments that may be adopted in the future. This 2008
version applies for certain provisions of this part such as those
applicable for internal waters and for non-Party vessels.
    Administrator means the Administrator of the Environmental
Protection Agency.
    Annex VI means Annex VI of the MARPOL Protocol.
    APPS means the Act to Prevent Pollution from Ships (33 U.S.C. 1901-
1915).
    Designated Certification Officer means the EPA official to whom the
Administrator has delegated authority to issue EIAPP certificates. Note
that the Designated Certification Officer is also delegated certain
authorities under this part in addition to the authority to issue EIAPP
certificates.
    ECA associated area means the U.S. internal waters that are
navigable from the ECA. This term does not include internal waters that
are shoreward of ocean waters that are not part of an emission control
area.
    EIAPP certificate means a certificate issued to certify initial
compliance with Regulation 13 of Annex VI. (Note that EIAPP stands for
Engine International Air Pollution Prevention under Annex VI.)
    Emission control area (ECA) means an area designated pursuant to
Annex VI as an Emission Control Area that:
    (1) Is in force; and
    (2) Includes waters of the U.S. territorial sea and/or EEZ.
    Engine has the meaning given in 40 CFR 1068.30.
    EPA means the United States Environmental Protection Agency.
    Foreign-flagged vessel means a vessel of foreign registry or a
vessel operated under the authority of a country other than the United
States.
    Good engineering judgment has the meaning given in 40 CFR 1068.30.
We will evaluate engineering judgments as described in 40 CFR 1068.5.
    Great Lakes means all the streams, rivers, lakes, and other bodies
of water that are within the drainage basin of the St. Lawrence River,
west of Anticosti Island.
    IMO means the International Maritime Organization.
    Major conversion has the meaning given in 2008 Annex VI
(incorporated by reference in Sec.  1043.100).
    MARPOL Protocol has the meaning given in 33 U.S.C. 1901.
    Navigable waters has the meaning given in 33 U.S.C. 1901.
    Non-Party vessel means a vessel flagged by a country that is not a
party to Annex VI.
    NOX Technical Code means the ``Technical Code on Control of
Emission of Nitrogen Oxides from Marine Diesel Engines'' adopted by IMO
(incorporated by reference in Sec.  1043.100). The Technical Code is
part of 2008 Annex VI.
    Operator has the meaning given in 33 U.S.C. 1901.
    Owner has the meaning given in 33 U.S.C. 1901.
    Party vessel means a vessel flying the flag of, registered in, or
operating under the authority of a country that is a party to Annex VI.
    Person has the meaning given in 33 U.S.C. 1901.
    Public vessels means warships, naval auxiliary vessels, and other
vessels owned or operated by a sovereign country when engaged in
noncommercial service.
    Secretary has the meaning given in 33 U.S.C. 1901.
    U.S. EEZ means the Exclusive Economic Zone of the United States, as
defined in Presidential Proclamation 5030 of March 10, 1983.
    U.S.-flagged vessel means a vessel of U.S. registry or a vessel
operated under the authority of the United States.
    Vessel has the meaning given to ``ship'' in APPS.
    We means EPA.

Sec.  1043.30  General obligations.

    (a) 33 U.S.C. 1907 prohibits any person from violating any
provisions of the MARPOL Protocol, whether or not they are a
manufacturer, owner or operator. For manufacturers, owners and
operators of vessels subject to this part, it is the responsibility of
such manufacturers, owners and operators to ensure that all employees
and other agents operating on their behalf comply with these
requirements.
    (b) Manufacturers of engines to be installed on U.S. vessels
subject to this part must obtain an EIAPP certificate for an engine
prior to it being installed in a vessel.
    (c) Engines with power output of more than 130 kW that are listed
in this paragraph (c) must be covered by a valid EIAPP certificate,
certifying the engine meets the applicable emission standards of Annex
VI, unless the engine is excluded under Sec.  1043.10 or paragraph (d)
of this section. An EIAPP certificate is valid for a given engine only
if it certifies compliance with the tier of standards applicable to
that engine and the vessel into which it is being installed (or a later
tier). Note that none of the requirements of this paragraph (c) are
limited to new engines.
    (1) Engines meeting any of the following criteria must be covered
by a valid EIAPP certificate:
    (i) Engines installed (or intended to be installed) on vessels that
were constructed on or after January 1, 2000. This includes engines
that met the definition of ``new marine engine'' in 40 CFR 1042.901 at
any time on or after January 1, 2000, unless such engines are installed
on vessels that were constructed before January 1, 2000.
    (ii) Engines that undergo a major conversion on or after January 1,
2000, unless the engines have been exempt from this requirement under
paragraph (e) of this section.
    (2) For such engines intended to be installed on U.S.-flagged
vessels, the engine may not be introduced into U.S. commerce before it
is covered by a valid EIAPP certificate, except as allowed by this
paragraph (c)(2).
    (i) This paragraph (c)(2) does not apply for engines installed on
vessels excluded under this part 1043.
    (ii) Engines without a valid EIAPP certificate (because they are
intended for domestic use only) may be introduced into U.S. commerce,
but may not be installed on vessels that do not meet the requirements
of Sec.  1043.10(a)(2).
    (iii) Engines that have been temporarily exempted by EPA under 40
CFR part 1042 or part 1068 may be introduced into U.S. commerce without
a valid EIAPP certificate to the same extent they are allowed to be
introduced into U.S. commerce without a valid part 1042 certificate of
conformity, however, this allowance does not affect whether the engine
must ultimately be covered by an EIAPP certificate. Unless otherwise
excluded or exempted under this part 1043, the engine must be covered
by an EIAPP certificate before

being placed into service. For example, engines allowed to be
temporarily distributed in an uncertified configuration under 40 CFR
1068.260 would not be required to be covered by an EIAPP certificate
while it is covered by the temporary exemption under 40 CFR 1068.260;
however, it would be required to be covered by an EIAPP certificate
before being placed into service.
    (iv) All uninstalled marine engines within the United States are
presumed to be intended to be installed on a U.S.-flagged vessel,
unless there is clear and convincing evidence to the contrary.
    (3) For engines installed on Party vessels, the engine may not
operate in the U.S. navigable waters or the U.S. exclusive economic
zone, or other areas designated under 33 U.S.C. 1902(a)(5)(B)(iii),
(C)(iii), or (D)(iv) unless it is covered by a valid EIAPP certificate.
    (4) Engines installed on non-Party vessels are not required to have
EIAPP certificates, but the operator must have evidence of conformity
with Regulation 13 of Annex VI issued by either the government of a
country that is party to Annex VI or a recognized classification
society. For the purposes of this paragraph, ``recognized
classification society'' means a classification society that is a
participating member of the International Association of Classification
Societies (IACS).
    (d) In addition to the engines excluded under Sec.  1043.10, the
following engines are excluded from the requirement to have an EIAPP
certificate (or equivalent demonstration of compliance in the case of
non-Party vessels) or otherwise meet the requirements of Regulation 13
of Annex VI.
    (1) Spark-ignition engines.
    (2) Non-reciprocating engines.
    (3) Engines that do not use liquid fuel.
    (4) Engines intended to be used solely for emergencies. This
includes engines that power equipment such as pumps that are intended
to be used solely for emergencies and engines installed in lifeboats
intended to be used solely for emergencies. It does not include engines
to be used for both emergency and non-emergency purposes.
    (e) The following requirements apply to Party vessels, including
U.S.-flagged vessels:
    (1) The requirements specified in Annex VI apply for vessels
subject to this part for operation in U.S. navigable waters or the U.S.
EEZ. (See Sec.  1043.60 for a summary of the standards included in
these requirements.)
    (2) Vessels operating in an ECA must also comply with the
requirements of Annex VI applicable to operation in an ECA.
    (3) Vessels operating in waters of an ECA associated area must also
comply with the requirements in Sec.  1043.60.
    (f) The following requirements apply to non-Party vessels:
    (1) Non-Party vessels operating in U.S. navigable waters or the
U.S. EEZ must comply with the operating and recordkeeping requirements
of the 2008 Annex VI (incorporated by reference in Sec.  1043.100)
related to Regulations 13, 14 and 18 of the 2008 Annex VI. This
paragraph (f)(1) does not address requirements of other portions of
Annex VI.
    (2) Non-Party vessels operating in an ECA or ECA associated area
must also comply with the requirements in Sec.  1043.60.
    (g) A replacement engine may be exempted by EPA from Regulation 13
of Annex VI and the NOX-related requirements of this part if
it is identical to the engine being replaced and the old engine was not
subject to Regulation 13 of Annex VI. Send requests for such exemptions
to the Designated Certification Officer.
    (h) Compliance with the provisions of this part 1043 does not
affect your responsibilities under 40 CFR part 1042 for engines subject
to that part 1042.

Sec.  1043.40  EIAPP certificates.

    (a) Engine manufacturers seeking EIAPP certificates for new engines
to be used in U.S.-flagged vessels must apply to EPA for an EIAPP
certificate in compliance with the requirements of this section (which
references 40 CFR part 1042). Note that under APPS engine manufacturers
must comply with the applicable requirements of Regulation 13 of Annex
VI to obtain a certificate. Note also that only the Administrator or
the EPA official designated by the Administrator may issue EIAPP
certificates on behalf of the U.S. Government.
    (b) Persons other than engine manufacturers may apply for and
obtain EIAPP certificates for new engines to be used in U.S.-flagged
vessels by complying with the requirements of this section (which
references 40 CFR part 1042) and the applicable requirements of
Regulation 13 of Annex VI.
    (c) In appropriate circumstances, EPA may issue an EIAPP
certificate under this section for non-new engines or engines for
vessels that will not initially be flagged in the U.S.
    (d) The process for obtaining an EIAPP certificate is described in
Sec.  1043.41. That section references regulations in 40 CFR part 1042,
which apply under the Clean Air Act. References in that part to
certificates of conformity are deemed to mean EIAPP certificates.
References in that part to the Clean Air Act as the applicable statute
are deemed to mean 33 U.S.C. 1901-1915.
    (e) For engines that undergo a major conversion or for engines
installed on imported vessels that become subject to the requirements
of this part, we may specify alternate certification provisions
consistent with the intent of this part.
    (f) This paragraph (f) applies for engines that were originally
excluded from this part because they were intended for domestic use and
were introduced into U.S. commerce without an EIAPP certificate. Note
that such engines must be labeled as specified under 40 CFR 1042.135 to
indicate that they are intended for domestic use. Such engines may be
installed on vessels not intended only for domestic operation provided
the engine manufacturer, vessel manufacturer, or vessel owner obtains
an EIAPP certificate. Similarly, vessels originally intended only for
domestic operation may be used internationally provided the engine
manufacturer, vessel manufacturer, or vessel owner obtains an EIAPP
certificate. In either case, the Technical File must specify that the
engine was originally certified for domestic use only, prior to being
covered by an EIAPP certificate. Engine manufacturers may provide a
supplemental label to clarify that the engine is no longer limited to
domestic service. An engine manufacturer, vessel manufacturer, or
vessel owner may also ask to apply the provisions of this paragraph to
engines originally certified for public vessels.

Sec.  1043.41  EIAPP certification process.

    This section describes the process for obtaining the EIAPP
certificate required by Sec.  1043.40.
    (a) You must send the Designated Certification Officer a separate
application for an EIAPP certificate for each engine family. An EIAPP
certificate is valid starting with the indicated effective date and is
valid for any production until such time as the design of the engine
family changes or more stringent emission standards become applicable,
whichever comes first. You may obtain preliminary approval of portions
of the application under 40 CFR 1042.210.
    (b) The application must contain all the information required by
this part. It must not include false or incomplete statements or
information (see 40 CFR 1042.255). Include the information specified in
40 CFR 1042.205 except as follows:

    (1) You must include the dates on which the test engines were built
and the locations where the test engines were built.
    (2) Include a copy of documentation required by this part related
to maintenance and in-use compliance for operators, such as the
Technical File and onboard NOX verification procedures as
specified by the NOX Technical Code (incorporated by
reference in Sec.  1043.100).
    (3) You are not required to provide information specified in 40 CFR
1042.205 regarding useful life, emission labels, deterioration factors,
PM emissions, or not-to-exceed standards.
    (4) You must include a copy of your warranty instructions, but are
not required to describe how you will meet warranty obligations.
    (c) We may ask you to include less information than we specify in
this section as long as you maintain all the information required by
paragraph (b) of this section.
    (d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and
sign the application.
    (f) See 40 CFR 1042.255 for provisions describing how we will
process your application.
    (g) Your application, including the Technical File and onboard
NOX verification procedures, is subject to amendment as
described in 40 CFR 1042.225.
    (h) Perform emission tests as follows:
    (1) 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,
considering all exhaust emission constituents and the range of
installation options available to vessel manufacturers.
    (2) Test your emission-data engines using the procedures and
equipment specified in 40 CFR part 1042, subpart F, or in the
NOX Technical Code (incorporated by reference in Sec.
1043.100). We may require that your test be witnessed by an EPA
official.
    (3) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
    (i) We may decide to do the testing at your plant or any other
facility. You must deliver the test engine to any test facility we
designate. The test engine you provide must include appropriate
manifolds, aftertreatment devices, electronic control units, and other
emission-related components not normally attached directly to the
engine block. If we do the testing at your plant, you must schedule it
as soon as possible and make available the instruments, personnel, and
equipment we need.
    (ii) If we measure emissions from one of your test engines, the
results of that testing become the official emission results for the
engine. Unless we later invalidate these data, we may decide not to
consider your data in determining if your engine family meets
applicable requirements.
    (iii) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see 40
CFR 1042.115(d)).
    (iv) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter.
    (4) We may require you to test a second engine of the same or
different configuration in addition to the engine tested under
paragraph (b) of this section.
    (5) If you use an alternate test procedure under 40 CFR 1065.10 and
later testing shows that such testing does not produce results that are
equivalent to the procedures otherwise required by this part, we may
reject data you generated using the alternate procedure.
    (i) Collect emission data using measurements to one more decimal
place than the applicable standard, then round the value to the same
number of decimal places as the emission standard. Compare the rounded
emission levels to the emission standard for each emission-data engine.
    (j) Your engine family is considered in compliance with the
emission standards in Regulation 13 of Annex VI if all emission-data
engines representing that family have test results showing emission
levels at or below these standards. Your engine family is deemed not to
comply if any emission-data engine representing that family has test
results showing an emission level above an applicable emission standard
for any pollutant.
    (k) If we determine your application is complete and shows that the
engines meet all the requirements of this part, we will issue an EIAPP
certificate for your engines. We may make the approval subject to
additional conditions.

Sec.  1043.50  Approval of methods to meet Tier 1 retrofit NOX
standards.

    Regulation 13 of Annex VI provides for certification of Approved
Methods, which are retrofit procedures that enable Pre-Tier 1 engines
to meet the Tier 1 NOX standard of regulation 13 of Annex
VI. Any person may request approval of such a method by submitting an
application for certification of an Approve Method to the Designated
Certification Officer. If we determine that your application conforms
to the requirements of Regulation 13 of Annex VI, we will issue a
certificate and notify IMO that your Approved Method has been
certified.

Sec.  1043.55  Applying equivalent controls instead of complying with
fuel requirements.

    Regulation 4 of Annex VI allows Administrations to approve the use
of fuels not meeting the requirements of Regulation 14 of the Annex,
provided the vessel applies a method that results in equivalent
emission reductions. This section describes provisions related to
applying this allowance.
    (a) Any person may request approval of such equivalent methods for
controlling emissions on U.S.-flagged vessels by submitting an
application for certification of an equivalent control method to the
Designated Certification Officer. If we determine that your control
method achieves emission levels equivalent to those achieved by the use
of fuels meeting the requirements of Regulation 14 of Annex VI, we will
issue a certificate and notify IMO that your method has been certified.
    (b) The provisions of this paragraph (b) apply for vessels equipped
with controls certified by the Administration of a foreign flag vessel
to achieve emission levels equivalent to those achieved by the use of
fuels meeting the applicable fuel sulfur limits of Regulation 14 of
Annex VI. Fuels not meeting the applicable fuel sulfur limits of
Regulation 14 of Annex VI may be used on such vessels consistent with
the provisions of the IAPP certificate, APPS and Annex VI.
    (c) Compliance with the requirements of this section does not
affect the applicability of requirements or prohibitions specified by
other statutes or regulations with respect to water pollution.

Sec.  1043.60  Operating requirements for engines and vessels subject
to this part.

    This section specifies the operating requirements of this part.
Note that it does not limit the operating requirements of APPS or Annex
VI that

are applicable to U.S.-flagged vessels outside of U.S. domestic waters.
    (a) Except as specified otherwise in this part, NOX
emission limits apply to all vessels subject to this part as specified
in the following table:

                       Table 1 to Sec.   1043.60 Annex VI NOX Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
                                                                              Maximum in-use engine speed
                                      Area of                        -------------------------------------------
             Tier                  applicability        Model year     Less than                      Over 2000
                                                                        130 RPM     130-2000 RPM\a\      RPM
----------------------------------------------------------------------------------------------------------------
Tier 1.......................  All U.S. navigable    2004-2010......         17.0   45.0[middot]n(-          9.8
                                waters and EEZ.                                               0.20)
Tier 2.......................  All U.S. navigable    2011-2015......         14.4   44.0[middot]n(-          7.7
                                waters and EEZ.                                               0.23)
Tier 2.......................  All U.S. navigable    2016 and later.         14.4   44.0[middot]n(-          7.7
                                waters and EEZ,                                               0.23)
                                exluding ECA and
                                ECA associated
                                areas.
Tier 3.......................  ECA and ECA           2016 and later.          3.4    9.0[middot]n(-          2.0
                                associated areas.                                             0.20)
----------------------------------------------------------------------------------------------------------------
\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) Except as specified otherwise in this part, fuel sulfur limits
apply to all vessels subject to this part as specified in the following
table:

                              Table 2 to Sec.   1043.60 Annex VI Fuel Sulfur Limits
                                                     [wt %]
----------------------------------------------------------------------------------------------------------------
                                                                  Sulfur limit in all    Sulfur limit in ECA and
                        Calendar years                           U.S. navigable waters     ECA associated areas
                                                                   and EEZ (percent)            (percent)
----------------------------------------------------------------------------------------------------------------
2010-2011.....................................................                     4.50                     1.00
2012-2015.....................................................                     3.50                     1.00
2016-2019.....................................................                     3.50                     0.10
2020 and later................................................                     0.50                     0.10
----------------------------------------------------------------------------------------------------------------

     (c) Operators of non-Party vessels must comply with the
requirements of paragraphs (a) and (b) of this section as well as other
operating requirements and restrictions specified in 2008 Annex VI
(incorporated by reference in Sec.  1043.100) related to Regulations
13, 14, and 18.
    (d) This paragraph (d) applies for vessels that are excluded from
Regulation 13 of Annex VI and the NOX-related requirements
of this part under Sec.  1043.10(a)(2) or (b)(3) because they operate
only domestically. Where the vessels operate using only fuels meeting
the specifications of 40 CFR part 80 for distillate fuel, they are
deemed to be in full compliance with the fuel use requirements and
prohibitions of this part and of Regulations 14 and 18 of Annex VI.
    (e) Except as noted in paragraph (d) of this section, nothing in
this section limits the operating requirements and restrictions of
Annex VI, as implemented by APPS, for Party vessels, including U.S.-
flagged vessels. Note also that nothing in this part limits the
operating requirements and restrictions applicable for engines and
vessels subject to 40 CFR part 1042 or the requirements and
restrictions applicable for fuels subject to 40 CFR part 80.
    (f) We may exempt historic steamships from the fuel requirements of
this part for operation in U.S. internal waters. Send requests for
exemptions to the Designated Certification Officer.

Sec.  1043.70  General recordkeeping and reporting requirements.

    (a) Under APPS, owners and operators of Party vessels must keep
records related to NOX standards and in-use fuel
specifications such as the Technical File, the Engine Book of Record
Parameters, and bunker delivery notes. Owners and operators of non-
Party vessels must keep these records as specified in the
NOX Technical Code and Regulations 13, 14, and 18 of Annex
VI (incorporated by reference in Sec.  1043.100). We may inspect these
records as allowed by APPS. As part of our inspection, we may require
that the owner submit copies of these records to us.
    (b) Nothing in this part limits recordkeeping and reporting the
Secretary may require, nor does it preclude the Secretary from
providing copies of any records to EPA.
    (c) Nothing in this part limits the recordkeeping and reporting
requirements applicable with respect to engines and vessels subject to
40 CFR part 1042 or with respect to fuels subject to 40 CFR part 80.
    (d) This paragraph (d) applies for vessels that are excluded from
Regulation 13 of Annex VI and the NOX-related requirements
of this part under Sec.  1043.10(a)(2) or (b)(3) because they operate
only domestically. Where the vessel operator has fuel receipts (or
equivalent records) for the preceding three years showing it operated
using only fuels meeting the specifications of 40 CFR part 80 for
distillate fuel, they are deemed to be in full compliance with the fuel
recordkeeping requirements and prohibitions of this part and Annex VI.

Sec.  1043.80  Recordkeeping and reporting requirements for fuel
suppliers.

    Under APPS, fuel suppliers must provide bunker delivery notes to
vessel operators for any fuel for an engine on any vessel identified in
paragraph (a) of this section. Fuel suppliers must also keep copies of
these records.
    (a) The requirements of this section apply for fuel delivered to
any of the following vessels:
    (1) Vessels of 400 gross tonnage and above engaged in voyages to
ports or offshore terminals under the jurisdiction of other Parties.
    (2) Platforms and drilling rigs engaged in voyages to waters under
the sovereignty or jurisdiction of other Parties.

    (b) Except as allowed by paragraph (c) of this section, the bunker
delivery note must contain the following:
    (1) The name and IMO number of the receiving vessel.
    (2) Port (or other description of the location, if the delivery
does not take place at a port).
    (3) Date the fuel is delivered to the vessel (or date on which the
delivery begins where the delivery begins on one day and ends on a
later day).
    (4) Name, address, and telephone number of fuel supplier.
    (5) Fuel type and designation under 40 CFR part 80.
    (6) Quantity in metric tons.
    (7) Density at 15 [deg]C, in kg/m\3\.
    (8) Sulfur content in weight percent.
    (9) A signed statement by an authorized representative of fuel
supplier certifying that the fuel supplied conforms to Regulations 14
and 18 of Annex VI consistent with it designation, intended use, and
the date on which it is to be used. For example, with respect to
conformity to Regulation 14 of Annex VI, a fuel designated and intended
for use in an ECA any time between July 1, 2010 and January 1, 2015 may
not have a sulfur content above 1.00 weight percent. This statement is
not required where the vessel conforms to the requirements of Sec.
1043.55.
    (c) You may measure density and sulfur content according to the
specifications of Annex VI, or according to other equivalent methods
that we approve. Where the density and/or sulfur content of the
delivered fuel cannot be measured, we may allow the use of alternate
methods to specify the density and/or sulfur content of the fuel. For
example, where fuel is supplied from multiple tanks on a supply vessel,
we may allow the density and sulfur content of the fuel to be
calculated as a weighted average of the measured densities and sulfur
contents of the fuel that is supplied from each tank.

Sec.  1043.90  [Reserved]

Sec.  1043.95  Interim provisions.

    The interim provisions of this section apply for vessels operating
exclusively in the Great Lakes.
    (a) Notwithstanding other provisions of this part, the requirements
of this part do not apply for vessels propelled by steam turbine
engines or reciprocating steam engines (also known as steamships),
provided they were propelled by steam engines and operated within the
Great Lakes before October 30, 2009 and continue to operate exclusively
within the Great Lakes.
    (b) In cases of serious economic hardship, we may exempt Great
Lakes vessels from the otherwise applicable fuel use requirements under
this part.
    (1) To be eligible, you must demonstrate that all of the following
are true:
    (i) Unusual circumstances exist that impose serious economic
hardship and significantly affect your ability to comply.
    (ii) You have taken all reasonable steps to minimize the extent of
the nonconformity.
    (iii) No other allowances are available under the regulations in
this chapter to avoid the impending violation.
    (2) Send the Designated Certification Officer a written request for
an exemption no later than January 1, 2014.
    (3) Applicants must provide, at a minimum, the following
information:
    (i) Detailed description of existing contract freight rates, the
additional operating costs attributed to complying with the
regulations, any loan covenants or other requirements regarding vessel
financial instruments or agreements.
    (ii) Bond rating of entity that owns the vessels in question (in
the case of joint ventures, include the bond rating of the joint
venture entity and the bond ratings of all partners; in the case of
corporations, include the bond ratings of any parent or subsidiary
corporations).
    (iii) Estimated capital investment needed to comply with the
requirements of this part by the applicable date.
    (4) In determining whether to grant the exemptions, we will
consider all relevant factors, including the following:
    (i) The number of vessels to be exempted.
    (ii) The size of your company and your ability to endure the
hardship.
    (iii) The length of time a vessel is expected to remain out of
compliance with this part.
    (iv) The ability of an individual vessel to recover capital
investments incurred to repower or otherwise modify a vessel to reduce
air emissions.
    (5) In addition to the application requirements of paragraphs
(b)(1) through (4) of this section, your application for temporary
relief under this paragraph (b) must also include a compliance plan
that shows the period over which the waiver is needed.
    (6) We may impose conditions on the waiver, including conditions to
limit or recover any environmental loss.
    (c) Prior to January 1, 2015, it is not a violation of this part
for vessels operating exclusively in the Great Lakes to use a residual
fuel not meeting the sulfur limits of Regulation 14.4.2 of Annex VI,
where the operator bunkers with the lowest sulfur marine residual fuel
that was available within the port area where the vessel bunkered the
fuel. For purposes of this paragraph (c), port area means the
geographic limits of the port as specified by the Army Corps of
Engineers. The reporting and recordkeeping requirements of this part
continue to apply for such operation. In addition, if you operate using
a residual fuel not meeting the sulfur limits of Regulation 14.4.2
under this paragraph (c), you must send a report to the Designated
Certification Officer that identifies the fuel that was used and
documents how you determined that no compliant fuel was available. You
must send this report within three months after the fueling event.

Sec.  1043.100  Reference materials.

    Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460,<PHONE_NUMBER>, or
at the National Archives and Records Administration (NARA). For
information on the availability of this material at NARA, call 202-741-
6030, or go to: http://www.archives.gov/federal_register/code_of_
federal_regulations/ibr_locations.html.
    (a) IMO material. This paragraph (a) lists material from the
International Maritime Organization that we have incorporated by
reference. Anyone may purchase copies of these materials from the
International Maritime Organization, 4 Albert Embankment, London SE1
7SR, United Kingdom, or http://www.imo.org, or 44-(0)20-7735-7611.
    (1) Revised MARPOL Annex VI, Regulations for the Prevention of Air
Pollution from Ships, and NOX Technical Code 2008, 2009
edition.
    (i) Revised MARPOL Annex VI, Regulations for the Prevention of
Pollution from Ships (``2008 Annex VI''); IBR approved for Sec.
1043.1, 1043.20, 1043.30(f), and 1043.60(c), and 1043.70(a).
    (ii) NOX Technical Code 2008 (``NOX Technical
Code''); IBR approved for Sec. Sec.  1043.20, 1043.41(b) and (h), and
1043.70(a).
    (2) [Reserved]
    (b) [Reserved]

PART 1045--CONTROL OF EMISSIONS FROM SPARK-IGNITION PROPULSION
MARINE ENGINES AND VESSELS

0
211. The authority citation for part 1045 continues to read as follows:

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

Subpart B--[Amended]

0
212. Section 1045.103 is amended by revising paragraph (b) introductory
text to read as follows:

Sec.  1045.103  What exhaust emission standards must my outboard and
personal watercraft engines meet?

* * * * *
    (b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with HC+NOX emission standards. For CO emissions,
you may generate or use emission credits for averaging as described in
subpart H of this part, but such credits may not be banked or traded.
To generate or use emission credits, you must specify a family emission
limit for each pollutant you include in the ABT program for each engine
family. These family emission limits serve as the emission standards
for the engine family with respect to all required testing instead of
the standards specified in this section. An engine family meets
emission standards even if its family emission limit is higher than the
standard, as long as you show that the whole averaging set of
applicable engine families meets the emission standards using emission
credits and the engines within the family meet the family emission
limit. The following FEL caps apply:
* * * * *

0
213. Section 1045.125 is amended as follows:
0
a. By revising paragraphs (a)(2).
0
b. By adding paragraph (a)(3).
0
c. By revising paragraph (c).

Sec.  1045.125  What maintenance instructions must I give to buyers?

* * * * *
    (a) * * *
    (2) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph
(a)(3), (b), or (c) of this section.
    (3) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(2) of this section. 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.
* * * * *
    (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.
* * * * *

0
214. Section 1045.140 is amended by revising paragraph (a) to read as
follows:

Sec.  1045.140  What is my engine's maximum engine power?

    (a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt for engines above 30 kW and to the nearest 0.1
kilowatt for engines at or below 30 kW.
* * * * *

0
215. Section 1045.145 is amended by adding paragraph (o) to read as
follows:

Sec.  1045.145  Are there interim provisions that apply only for a
limited time?

* * * * *
    (o) Banking early credits for jet boat engines. Banked emission
credits that were originally generated from outboard and personal
watercraft engines under 40 CFR part 91 may be used to certify jet boat
engines under the provisions Sec.  1045.660.

Subpart C--[Amended]

0
216. Section 1045.201 is amended by adding paragraph (h) to read as
follows:

Sec.  1045.201  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 installed on imported vessels or engines converted to
run on a different fuel, we may specify alternate certification
provisions consistent with the intent of this part. See Sec.  1045.645
and the definition of ``new propulsion marine engine'' in Sec.
1045.801.

0
217. Section 1045.220 is amended by revising paragraph (a) to read as
follows:

Sec.  1045.220  How do I amend the maintenance instructions in my
application?

* * * * *
    (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.
* * * * *

0
218. Section 1045.230 is amended by revising paragraph (b)(4) to read
as follows:

Sec.  1045.230  How do I select engine families?

* * * * *
    (b) * * *
    (4) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
* * * * *

0
219. Section 1045.240 is amended by revising paragraphs (a) and (b) and
adding paragraph (e) to read as follows:

Sec.  1045.240  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 duty-cycle emission standards in Sec.  1045.103
or Sec.  1045.105 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. See paragraph (e) of this
section for provisions related to demonstrating compliance with NTE
standards.
    (b) Your engine family is deemed not to comply with the duty-cycle
emission standards in Sec.  1045.103 or Sec.  1045.105 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.
* * * * *
    (e) Use good engineering judgment to demonstrate compliance with
NTE standards 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.

Subpart E--[Amended]

0
220. Section 1045.405 is amended by revising paragraphs (c) and (e) to
read as follows:

Sec.  1045.405  How does this program work?

* * * * *
    (c) Send us an in-use testing plan for engine families selected for
testing as described in this paragraph (c). Complete the testing within
36 months after we direct you to test a particular engine family. Send
us a complete in-use testing plan according to the following deadlines:
    (1) Within six months after we direct you to test a particular
engine family.
    (2) By February 28 of the following year if you select engine
families for testing under paragraph (b)(1) of this section.
    (3) Within six months after we approve certification for engine
families subject to the requirements of paragraph (b)(2) of this
section.
    (4) If we request additional information or require you to modify
your plan to meet the requirements of this subpart, you must provide
the information or the modified plan within 30 days of our request.
* * * * *
    (e) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may allow more time
to complete testing or we may waive the in-use testing requirement for
an engine family. For example, if your test fleet is destroyed by
severe weather during service accumulation and we agree that completion
of testing is not possible, we would generally waive testing
requirements for that engine family.

Subpart F--[Amended]

0
221. Section 1045.515 is amended by revising paragraph (c)(5)
introductory text to read as follows:

Sec.  1045.515  What are the test procedures related to not-to-exceed
standards?

* * * * *
    (c) * * *
    (5) For two-stroke engines not equipped with a catalyst, the NTE
zone described in paragraph (c)(3) of this section is divided into
subzones for testing to determine compliance with the applicable NTE
standards. Measure emissions to get an NTE result by collecting
emissions at five points as described in this paragraph (c)(5).
Calculate a weighted test result for these emission measurements using
the weighting factors from Appendix II of this part for the
corresponding modal result (similar to discrete-mode testing for
certification). Test engines over the following modes corresponding to
the certification duty cycle:
* * * * *

Subpart H--[Amended]

0
222. Section 1045.701 is amended by revising paragraphs (d), (g),
(j)(4) and (j)(5) to read as follows:

Sec.  1045.701  General provisions.

* * * * *
    (d) Sterndrive/inboard engines certified under Sec.  1045.660 for
jet boats may use HC+NOx and CO exhaust credits generated
from outboard and personal watercraft engines, as long as the credit-
using engine is the same model as an engine model from an outboard or
personal watercraft family. Such emission credits that you generate
under this part 1045 may be used for averaging, but not for banking or
trading. The FEL caps for such jet boat families are the
HC+NOx and CO standard for outboard and personal watercraft
engines. U.S.-directed sales from jet boat engines using the provisions
of this paragraph (d) may not be greater than the U.S.-directed sales
of the same engine model for outboard or personal watercraft engines.
* * * * *
    (g) Emission credits may be used for averaging in the model year
they are generated or banked for averaging in future model years,
except that CO emission credits for outboard and personal watercraft
engines may not be banked or traded.
* * * * *
    (j) * * *
    (4) Engines or vessels not subject to the requirements of this
part, such as those excluded under Sec.  1045.5.
    (5) Any other engines or vessels where we indicate elsewhere in
this part 1045 that they are not to be included in the calculations of
this subpart.

0
223. Section 1045.705 is amended by revising paragraph (a) to read as
follows:

Sec.  1045.705  How do I generate and calculate exhaust emission
credits?

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

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

Where:

STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the
averaging, banking, and trading program within the given family
during the model year, as described in Sec.  1045.701(j).
Power = maximum engine power for the family, in kilowatts (see Sec.
1045.140).
UL = The useful life for the given family.
LF = load factor. Use 0.207. We may specify a different load factor
if we approve the use of special test procedures for an engine
family under 40 CFR 1065.10(c)(2), consistent with good engineering
judgment.

* * * * *

Subpart I--[Amended]

0
224. Section 1045.801 is amended by revising the definition of ``Fuel
system'' and paragraphs (2) and (5)(iii) of the definition of ``Model
year'' to read as follows:

Sec.  1045.801  What definitions apply to this part?

* * * * *

    Fuel system means all components involved in transporting,
metering, and mixing the fuel from the fuel tank to the combustion
chamber(s), including the fuel tank, fuel tank cap, fuel pump, fuel
filters, fuel lines, carburetor or fuel-injection components, and all
fuel-system vents. In the case where the fuel tank cap or other
components (excluding fuel lines) are directly mounted on the fuel
tank, they are considered to be a part of the fuel tank.
* * * * *
    Model year * * *
    (2) For an engine that is converted to a propulsion marine engine
after being certified and placed into service as a motor vehicle
engine, a nonroad engine that is not a propulsion marine engine, or a
stationary engine, model year means the calendar year in which the
engine was originally produced. For an engine that is converted to a
propulsion marine engine after being placed into service as a motor
vehicle engine, a nonroad engine that is not a propulsion marine
engine, or a stationary engine without having been certified, model
year means the calendar year in which the engine becomes a new
propulsion marine engine. (See definition of ``new propulsion marine
engine,'' paragraph (2).)
* * * * *
    (5) * * *
    (iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new propulsion marine 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.
* * * * *

PART 1048--CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-
IGNITION ENGINES

0
225. The authority citation for part 1048 continues to read as follows:

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

Subpart A--[Amended]

0
226. Section 1048.15 is amended by revising paragraph (b) to read as
follows:

Sec.  1048.15  Do any other regulation parts apply to me?

* * * * *
    (b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1048 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
227. A new Sec.  1048.30 is added to subpart A to read as follows:

Sec.  1048.30  Submission of information.

    (a) This part includes various requirements to record data or other
information. Refer to Sec.  1048.825 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.  1048.255 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.  1048.801).
    (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
228. Section 1048.120 is amended by revising paragraph (b) to read as
follows:

Sec.  1048.120  What emission-related warranty requirements apply to
me?

* * * * *
    (b) Warranty period. Your emission-related warranty for evaporative
emission controls must be valid for at least two years. Your emission-
related warranty for exhaust emission controls must be valid for at
least 50 percent of the engine's useful life in hours of operation or
at least three years, whichever comes first. In the case of a high-cost
warranted part, the warranty must be valid for at least 70 percent of
the engine's useful life in hours of operation or at least five years,
whichever comes first. You may offer an emission-related warranty more
generous than we require. The emission-related warranty for the engine
may not be shorter than any published warranty you offer without charge
for the engine. Similarly, the emission-related warranty for any
component may not be shorter than any published warranty you offer
without charge for that component. If an engine has no hour meter, we
base the warranty periods in this paragraph (b) only on the engine's
age (in years). The warranty period begins when the engine is placed
into service.
* * * * *

0
229. Section 1048.125 is amended by adding paragraph (a)(4) and
revising paragraph (c) to read as follows:

Sec.  1048.125  What maintenance instructions must I give to buyers?

* * * * *
    (a) * * *
    (4) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) of this section. 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.
* * * * *
    (c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as substandard
fuel or atypical engine operation. For example, you may specify more
frequent cleaning of fuel system components for engines you have reason
to believe will be using fuel that causes substantially more engine
performance problems than commercial fuels of the same type that are
generally available across the United States. 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.
* * * * *

Subpart C--[Amended]

0
230. Section 1048.201 is amended by adding paragraph (h) to read as
follows:

Sec.  1048.201  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.  1048.801.

0
231. Section 1048.220 is amended by revising paragraphs (a) and (c) to
read as follows:

Sec.  1048.220  How do I amend the maintenance instructions in my
application?

* * * * *
    (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.
* * * * *
    (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
232. Section 1048.230 is amended by revising paragraph (b)(6) to read
as follows:

Sec.  1048.230  How do I select engine families?

* * * * *
    (b) * * *
    (6) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
* * * * *

0
233. Section 1048.240 is amended by revising paragraphs (a) and (b) and
adding paragraph (e) to read as follows:

Sec.  1048.240  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 applicable numerical emission standards in Sec.
1048.101(a) and (b) 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 includes
all test points over the course of the durability demonstration. This
also applies for all test points for emission-data engines within the
family used to establish deterioration factors. See paragraph (e) of
this section for provisions related to demonstrating compliance with
field-testing standards.
    (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 from Sec.  1048.101(a) and
(b). 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 field-testing standard for any
pollutant. This also applies for all test points for emission-data
engines within the family used to establish deterioration factors.
* * * * *
    (e) Use good engineering judgment to demonstrate compliance with
field-testing standards 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.

0
234. Section 1048.245 is amended by revising paragraph (e) to read as
follows:

Sec.  1048.245  How do I demonstrate that my engine family complies
with evaporative emission standards?

* * * * *
    (e) You may demonstrate that your engine family complies with the
evaporative emission standards by demonstrating that you use the
following control technologies:
    (1) For certification to the standards specified in Sec.
1048.105(c), with the following technologies:
    (i) Use a tethered or self-closing gas cap on a fuel tank that
stays sealed up to a positive pressure of 24.5 kPa (3.5 psig); however,
they may contain air inlets that open when there is a vacuum pressure
inside the tank. Nonmetal fuel tanks must also use one of the
qualifying designs for controlling permeation emissions specified in 40
CFR 1060.240.
    (ii) [Reserved]
    (2) For certification to the standards specified in Sec.
1048.105(d), demonstrating that you use design features to prevent fuel
boiling under all normal operation. If you install engines in
equipment, you may do this using fuel temperature data measured during
normal operation. Otherwise, you may do this by including appropriate
information in your emission-related installation instructions.
    (3) We may establish additional options for design-based
certification where we find that new test data demonstrate that a
technology will ensure compliance with the emission standards in this
section.

0
235. Section 1048.255 is amended by revising paragraph (b) to read as
follows:

Sec.  1048.255  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.
* * * * *

Subpart E--[Amended]

0
236. Section 1048.405 is amended by revising paragraphs (b) and (d) to
read as follows:

Sec.  1048.405  How does this program work?

* * * * *
    (b) Send us an in-use testing plan within six months after we
direct you to test a particular engine family. If we request additional
information or require you to modify your plan to meet the requirements
of this subpart, you must provide the information or the modified plan
within 30 days of our request. Complete the testing within 36 months
after we direct you to test a particular engine family.
* * * * *
    (d) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may allow more time
to complete testing or we may waive the in-use testing requirement for
an engine family. For example, if your test fleet is destroyed by
severe weather during service accumulation and we agree that completion
of testing is not possible, we would generally waive testing
requirements for that engine family.

Subpart F--[Amended]

0
237. Section 1048.505 is amended by revising the section heading and
paragraph (b)(5)(i) and Table 3 to read as follows:

Sec.  1048.505  How do I test engines using steady-state duty cycles,
including ramped-modal testing?

* * * * *
    (b) * * *
    (5) * * *
    (i) The following duty cycle applies for discrete-mode testing:

                                           Table 3 of Sec.   1048.505
----------------------------------------------------------------------------------------------------------------
                                                            Torque (percent)   Minimum time in      Weighting