Control of Emissions of Air Pollution From Locomotive Engines and Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

[Federal Register: April 3, 2007 (Volume 72, Number 63)]
[Proposed Rules]
[Page 16087-16136]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr03ap07-27]

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

[[Continued from page 16086]]

[[Page 16087]]

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

[[Page 16088]]

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

Sec. 1042.210 Preliminary approval.

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

Sec. 1042.220 Amending maintenance instructions.

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

Sec. 1042.225 Amending applications for certification.

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

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

Sec. 1042.230 Engine families.

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

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

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

[[Page 16090]]

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

Sec. 1042.240 Demonstrating compliance with exhaust emission standards.

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

Sec. 1042.245 Deterioration factors.

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

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

Sec. 1042.250 Recordkeeping and reporting.

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

Sec. 1042.255 EPA decisions.

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

[[Page 16092]]

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

Subpart D--Testing Production-Line Engines

Sec. 1042.301 General provisions.

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

Sec. 1042.305 Preparing and testing production-line engines.

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

Sec. 1042.310 Engine selection.

(a) Determine minimum sample sizes as follows:

[[Page 16093]]

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

Sec. 1042.315 Determining compliance.

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

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

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

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

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

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

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

Sec. 1042.335 Reinstating suspended certificates.

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

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

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

[[Page 16094]]

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

Sec. 1042.345 Reporting.

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

Sec. 1042.350 Recordkeeping.

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

Subpart E--In-use Testing

Sec. 1042.401 General Provisions.

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

Subpart F--Test Procedures

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

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

[[Page 16095]]

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

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

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

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

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

[[Page 16096]]

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

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

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

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

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

EF_A = (F)(EF_H) + (1-F)(EF_L)

Where:

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

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

UAF = EF_A-EF_L

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

DAF = EF_H-EF_A

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

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

Subpart G--Special Compliance Provisions

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

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

[[Page 16097]]

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

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

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

[[Page 16098]]

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

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

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

[[Page 16099]]

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

Sec. 1042.620 Engines used solely for competition.

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

Sec. 1042.630 Personal-use exemption.

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

[[Page 16100]]

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

Sec. 1042.640 Special provisions for branded engines.

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

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

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

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

Sec. 1042.701 General provisions.

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

Sec. 1042.705 Generating and calculating emission credits.

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

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

Where:

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

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

[[Page 16101]]

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

Sec. 1042.710 Averaging emission credits.

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

Sec. 1042.715 Banking emission credits.

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

Sec. 1042.720 Trading emission credits.

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

Sec. 1042.725 Information required for the application for certification.

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

Sec. 1042.730 ABT reports.

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

[[Page 16102]]

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

Sec. 1042.735 Recordkeeping.

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

Sec. 1042.745 Noncompliance.

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

Subpart I--Definitions and Other Reference Information

Sec. 1042.801 Definitions.

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

[[Page 16103]]

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

[[Page 16104]]

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

[[Page 16105]]

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

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

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

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

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

[[Page 16106]]

for the latter's pleasure, excluding the following vessels:
(1) Vessels of less than 100 gross tons that carry more than 6
passengers (as defined in this section).
(2) Vessels of 100 gross tons or more that carry one or more
passengers (as defined in this section).
(3) Vessels used solely for competition.
Residual fuel has the meaning given in 40 CFR 80.2. This generally
includes all RM grades of marine fuel without regard to whether they
are known commercially as residual fuel. For example, fuel marketed as
intermediate fuel may be residual fuel.
Revoke has the meaning given in 40 CFR 1068.30. In general this
means to terminate the certificate or an exemption for an engine family.
Round has the meaning given in 40 CFR 1065.1001.
Scheduled maintenance means adjusting, repairing, removing,
disassembling, cleaning, or replacing components or systems
periodically to keep a part or system from failing, malfunctioning, or
wearing prematurely. It also may mean actions you expect are necessary
to correct an overt indication of failure or malfunction for which
periodic maintenance is not appropriate.
Small-volume boat builder means a boat manufacturer with fewer than
500 employees and with annual worldwide production of fewer than 100
boats. For manufacturers owned by a parent company, these limits apply
to the combined production and number of employees of the parent
company and all its subsidiaries.
Small-volume engine manufacturer means a manufacturer with annual
worldwide production of fewer than 1,000 internal combustion engines
(marine and nonmarine). For manufacturers owned by a parent company,
the limit applies to the production of the parent company and all its
subsidiaries.
Spark-ignition means relating to a gasoline-fueled engine or any
other type of engine with a spark plug (or other sparking device) and
with operating characteristics significantly similar to the theoretical
Otto combustion cycle. Spark-ignition engines usually use a throttle to
regulate intake air flow to control power during normal operation.
Steady-state has the meaning given in 40 CFR 1065.1001.
Sulfur-sensitive technology means an emission-control technology
that experiences a significant drop in emission-control performance or
emission-system durability when an engine is operated on low-sulfur
fuel (i.e., fuel with a sulfur concentration of 300 to 500 ppm) as
compared to when it is operated on ultra low-sulfur fuel (i.e., fuel
with a sulfur concentration less than 15 ppm). Exhaust-gas
recirculation is not a sulfur-sensitive technology.
Suspend has the meaning given in 40 CFR 1068.30. In general this
means to temporarily discontinue the certificate or an exemption for an
engine family.
Test engine means an engine in a test sample.
Test sample means the collection of engines selected from the
population of an engine family for emission testing. This may include
testing for certification, production-line testing, or in-use testing.
Tier 1 means relating to the Tier 1 emission standards, as shown in
Appendix I.
Tier 2 means relating to the Tier 2 emission standards, as shown in
Appendix I.
Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec. 1042.101.
Tier 4 means relating to the Tier 4 emission standards, as shown in
Sec. 1042.101.
Total hydrocarbon has the meaning given in 40 CFR 1065.1001. This
generally means the combined mass of organic compounds measured by the
specified procedure for measuring total hydrocarbon, expressed as a
hydrocarbon with a hydrogen-to-carbon mass ratio of 1.85:1.
Total hydrocarbon equivalent has the meaning given in 40 CFR
1065.1001. This generally means the sum of the carbon mass
contributions of non-oxygenated hydrocarbons, alcohols and aldehydes,
or other organic compounds that are measured separately as contained in
a gas sample, expressed as exhaust hydrocarbon from petroleum-fueled
locomotives. The hydrogen-to-carbon ratio of the equivalent hydrocarbon
is 1.85:1.
Ultimate purchaser means, with respect to any new vessel or new
marine engine, the first person who in good faith purchases such new
vessel or new marine engine for purposes other than resale.
Ultra low-sulfur diesel fuel means one of the following:
(1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur
concentration of 15 parts per million.
(2) For testing, ultra low-sulfur diesel fuel has the meaning given
in 40 CFR part 1065.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after
the one currently in production.
U.S.-directed production volume means the number of engine units,
subject to the requirements of this part, produced by a manufacturer
for which the manufacturer has a reasonable assurance that sale was or
will be made to ultimate purchasers in the United States.
Useful life means the period during which the engine is designed to
properly function in terms of reliability and fuel consumption, without
being remanufactured, specified as a number of hours of operation or
calendar years, whichever comes first. It is the period during which a
new engine is required to comply with all applicable emission
standards. See Sec. 1042.101(e).
Variable-speed engine means an engine that is not a constant-speed
engine.
Vessel means a marine vessel.
Vessel operator means any individual that physically operates or
maintains a vessel or exercises managerial control over the operation
of the vessel.
Vessel owner means the individual or company that holds legal title
to a vessel.
Void has the meaning given in 40 CFR 1068.30. In general this means
to invalidate a certificate or an exemption both retroactively and
prospectively.
Volatile liquid fuel means any fuel other than diesel or biodiesel
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure
higher than 2.0 pounds per square inch.
We (us, our) means the Administrator of the Environmental
Protection Agency and any authorized representatives.

Sec. 1042.805 Symbols, acronyms, and abbreviations.

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

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

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

[[Page 16107]]

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

Sec. 1042.810 Reference materials.

Documents listed in this section have been incorporated by
reference into this part. The Director of the Federal Register approved
the incorporation by reference as prescribed in 5 U.S.C. 552(a) and 1
CFR part 51. Anyone may inspect copies at the U.S. EPA, Air and
Radiation Docket and Information Center, 1301 Constitution Ave., NW.,
Room B102, EPA West Building, Washington, DC 20460 or at the National
Archives and Records Administration (NARA). For information on the
availability of this material at NARA, call 202-741-6030, or go to:
http://www.archives.gov/federal_register/code_of_federal_regulations/ibr_locations.html.
(a) SAE material. Table 1 of this section lists material from the
Society of Automotive Engineers that we have incorporated by reference.
The first column lists the number and name of the material. The second
column lists the sections of this part where we reference it. Anyone
may purchase copies of these materials from the Society of Automotive
Engineers, 400 Commonwealth Drive, Warrendale, PA 15096 or
http://www.sae.org. Table 1 follows:

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

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

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

Sec. 1042.815 Confidential information.

(a) Clearly show what you consider confidential by marking,
circling, bracketing, stamping, or some other method.
(b) We will store your confidential information as described in 40
CFR part 2. Also, we will disclose it only as specified in 40 CFR part
2. This applies both to any information you send us and to any
information we collect from inspections, audits, or other site visits.
(c) If you send us a second copy without the confidential
information, we will assume it contains nothing confidential whenever
we need to release information from it.
(d) If you send us information without claiming it is confidential,
we may make it available to the public without further notice to you,
as described in 40 CFR 2.204.

Sec. 1042.820 Hearings.

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

Sec. 1042.825 Reporting and recordkeeping requirements.

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

[[Page 16108]]

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

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

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

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

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

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

[[Page 16109]]

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

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

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

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

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

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

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

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

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

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

[[Page 16110]]

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

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

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

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

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

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

(a) The following Figure 1 illustrates the default NTE zone for
commercial marine engines certified using the duty cycle specified
in Sec. 1042.505(b)(1):
BILLING CODE 6560-50-P

[[Page 16111]]
[GRAPHIC]
[TIFF OMITTED] TP03AP07.007

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

[[Page 16112]]

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

[[Page 16113]]
[GRAPHIC]
[TIFF OMITTED] TP03AP07.008

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

[[Page 16114]]

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

[[Page 16115]]
[GRAPHIC]
[TIFF OMITTED] TP03AP07.009

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

[[Page 16116]]
[GRAPHIC]
[TIFF OMITTED] TP03AP07.010

[[Page 16117]]

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

PART 1065--ENGINE-TESTING PROCEDURES

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

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

Subpart A--[Amended]

15. Section 1065.1 is revised to read as follows:

Sec. 1065.1 Applicability.

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

Sec. 1065.2 Submitting information to EPA under this part.

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

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

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

[[Page 16118]]

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

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

Sec. 1065.10 Other procedures.

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

Sec. 1065.12 Approval of alternate procedures.

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

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

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

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[GRAPHIC]
[TIFF OMITTED] TP03AP07.011
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BILLING CODE 6560-50-C
21. Section 1065.20 is amended by revising paragraphs (f) and (g)
to read as follows:

Sec. 1065.20 Units of measure and overview of calculations.

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

Subpart B--[Amended]

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

Sec. 1065.101 Overview.

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

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

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

Sec. 1065.120 Fuel properties and fuel temperature and pressure.

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

Sec. 1065.122 Engine cooling and lubrication.

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

[[Page 16121]]

26. Section 1065.125 is revised to read as follows:

Sec. 1065.125 Engine intake air.

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

Sec. 1065.130 Engine exhaust.

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

[[Page 16122]]

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

Sec. 1065.140 Dilution for gaseous and PM constituents.

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

[[Page 16123]]

may configure the system with turbulence generators such as orifice
plates or fins to achieve good mixing. We recommend a minimum Reynolds
number, Re#, of 4000 for the diluted exhaust stream, where
Re# is based on the inside diameter of the dilution tunnel.
Re# is defined in Sec. 1065.640.
(4) Flow measurement preconditioning. You may condition the diluted
exhaust before measuring its flow rate, as long as this conditioning
takes place downstream of any sample probes, as follows:
(i) You may use flow straighteners, pulsation dampeners, or both of
these.
(ii) You may use a filter.
(iii) You may use a heat exchanger to control the temperature
upstream of any flow meter. Note paragraph (c)(6) of this section
regarding aqueous condensation.
(5) Flow measurement. Section 1065.240 describes measurement
instruments for diluted exhaust flow.
(6) Aqueous condensation. To ensure that you measure a flow that
corresponds to a measured concentration, you may either prevent aqueous
condensation between the sample probe location and the flow meter inlet
in the dilution tunnel or you may allow aqueous condensation to occur
and then measure humidity at the flow meter inlet. Calculations in
Sec. 1065.645 and Sec. 1065.650 account for either method of
addressing humidity in the diluted exhaust. Note that preventing
aqueous condensation involves more than keeping pure water in a vapor
phase (see Sec. 1065.1001).
(7) Flow compensation. Maintain nominally constant molar,
volumetric or mass flow of diluted exhaust. You may maintain nominally
constant flow by either maintaining the temperature and pressure at the
flow meter or by directly controlling the flow of diluted exhaust. You
may also directly control the flow of proportional samplers to maintain
proportional sampling. For an individual test, validate proportional
sampling as described in Sec. 1065.545.
(d) Partial-flow dilution (PFD). You may dilute a partial flow of
raw or previously diluted exhaust before measuring emissions. Section
1065.240 describes PFD-related flow measurement instruments. PFD may
consist of constant or varying dilution ratios as described in
paragraphs (d)(2) and (3) of this section. An example of a constant
dilution ratio PFD is a ``secondary dilution PM'' measurement system.
An example of a varying dilution ratio PFD is a ``bag mini-diluter'' or BMD.
(1) Applicability. (i) You may use PFD to extract a proportional
raw exhaust sample for any batch or continuous PM emission sampling
over any transient duty cycle, any steady-state duty cycle or any
ramped-modal cycle (RMC).
(ii) You may use PFD to extract a proportional raw exhaust sample
for any batch or continuous gaseous emission sampling over any transient
duty cycle, any steady-state duty cycle or any ramped-modal cycle (RMC).
(iii)You may use PFD to extract a proportional raw exhaust sample
for any batch or continuous field-testing.
(iv) You may use PFD to extract a proportional diluted exhaust
sample from a CVS for any batch or continuous emission sampling.
(v) You may use PFD to extract a constant raw or diluted exhaust
sample for any continuous emission sampling.
(vi) You may use PFD to extract a constant raw or diluted exhaust
sample for any steady-state emission sampling.
(2) Constant dilution-ratio PFD. Do one of the following for
constant dilution-ratio PFD:
(i) Dilute an already proportional flow. For example, you may do
this as a way of performing secondary dilution from a CVS tunnel to
achieve temperature control for PM sampling.
(ii) Continuously measure constituent concentrations. For example,
you might dilute to precondition a sample of raw exhaust to control its
temperature, humidity, or constituent concentrations upstream of
continuous analyzers. In this case, you must take into account the
dilution ratio before multiplying the continuous concentration by the
sampled exhaust flow rate.
(iii) Extract a proportional sample from a separate constant
dilution ratio PFD system. For example, you might use a variable-flow
pump to proportionally fill a gaseous storage medium such as a bag from
a PFD system. In this case, the proportional sampling must meet the
same specifications as varying dilution ratio PFD in paragraph (d)(3)
of this section.
(iv) For each mode of a discrete-mode test (such as a locomotive
notch setting or a specific setting for speed and torque), use a
constant dilution ratio for any batch or continuous sampling. You may
change the dilution ratio between modes, but you must account for this
change in dilution ratio in your emission calculations. Also, you may
not sample emissions at the same time you are changing the dilution
ratio from one constant dilution ratio to another.
(3) Varying dilution-ratio PFD. All the following provisions apply
for varying dilution-ratio PFD:
(i) Use a control system with sensors and actuators that can
maintain proportional sampling over intervals as short as 200 ms (i.e.,
5 Hz control).
(ii) For control input, you may use any sensor output from one or
more measurements; for example, intake-air flow, fuel flow, exhaust
flow, engine speed, and intake manifold temperature and pressure.
(iii) Account for any emission transit time in the PFD system, as
necessary.
(iv) You may use preprogrammed data if they have been determined
for the specific test site, duty cycle, and test engine from which you
dilute emissions.
(v) We recommend that you run practice cycles to meet the
validation criteria in Sec. 1065.545. Note that you must validate
every emission test by meeting the validation criteria with the data
from that specific test. Data from previously validated practice cycles
or other tests may not be used to validate a different emission test.
(vi) You may not use a PFD system that requires preparatory tuning
or calibration with a CVS or with the emission results from a CVS.
Rather, you must be able to independently calibrate the PFD.
(e) Dilution air temperature, dilution ratio, residence time, and
temperature control. Dilute PM samples at least once upstream of
transfer lines. You may dilute PM samples upstream of a transfer line
using full-flow dilution, or partial-flow dilution immediately
downstream of a PM probe. Configure dilution systems as follows:
(1) Control dilution air temperature just upstream of the mixing
zones to (25 ± 5) [deg]C. We recommend controlling dilution
air temperature to within a narrower tolerance of (25 ± 1) [deg]C.
(2) Adjust the dilution system s dilution ratio for your particular
engine and duty cycle to achieve a maximum dewpoint of the diluted
exhaust of (20 ±3) [deg]C.
(3) Configure your dilution system to achieve a sample residence
time of (1 to 5) seconds from the initial point at which dilution air
was first introduced into the exhaust to the sample media. When
calculating residence time, use an assumed flow temperature of 25 [deg]C.
(4) Control inside wall temperature to a (42 to 52) [deg]C
tolerance, as measured anywhere within 20 cm upstream or downstream of
the PM storage media (such as a filter). Measure this temperature with
a bare-wire junction thermocouple with wires that are (0.500 < plus-
minus>0.025) mm diameter, or with another suitable instrument that has
equivalent performance. If heat must be rejected from the sample to
meet this requirement, reject the heat after the point at which the
last dilution air was introduced into the diluted exhaust and

[[Page 16124]]

reject as little heat as practical to meet this specification.
29. Section 1065.145 is revised to read as follows:

Sec. 1065.145 Gaseous and PM probes, transfer lines, and sampling
system components.

(a) Continuous and batch sampling. Determine the total mass of each
constituent with continuous or batch sampling, as described in Sec.
1065.15(c)(2). Both types of sampling systems have probes, transfer lines,
and other sampling system components that are described in this section.
(b) Gaseous and PM sample probes. A probe is the first fitting in a
sampling system. It protrudes into a raw or diluted exhaust stream to
extract a sample, such that its inside and outside surfaces are in
contact with the exhaust. A sample is transported out of a probe into a
transfer line, as described in paragraph (c) of this section. The
following provisions apply to sample probes:
(1) Probe design and construction. Use sample probes with inside
surfaces of 300 series stainless steel or, for raw exhaust sampling,
use any nonreactive material capable of withstanding raw exhaust
temperatures. Locate sample probes where constituents are mixed to
their mean sample concentration. Take into account the mixing of any
crankcase emissions that may be routed into the raw exhaust. Locate
each probe to minimize interference with the flow to other probes. We
recommend that all probes remain free from influences of boundary
layers, wakes, and eddies--especially near the outlet of a raw-exhaust
tailpipe where unintended dilution might occur. Make sure that purging
or back-flushing of a probe does not influence another probe during
testing. You may use a single probe to extract a sample of more than
one constituent as long as the probe meets all the specifications for
each constituent.
(2) Probe installation on multi-stack engines. We recommend
combining multiple exhaust streams from multi-stack engines before
emission sampling as described in Sec. 1065.130(c)(6). If this is
impractical, you may install symmetrical probes and transfer lines in
each stack. In this case, each stack must be installed such that
similar exhaust velocities are expected at each probe location. Use
identical probe and transfer line diameters, lengths, and bends for
each stack. Minimize the individual transfer line lengths, and manifold
the individual transfer lines into a single transfer line to route the
combined exhaust sample to analyzers and/or batch samplers. For PM
sampling the manifold design must merge the individual sample streams
within 12.5[deg] of the single sample stream's flow. Note that the
manifold must meet the same specifications as the transfer line
according to paragraph (c) of this section. If you use this probe
configuration and you determine your exhaust flow rates with a chemical
balance of exhaust gas concentrations and either intake air flow or
fuel flow, then show by prior testing that the concentration of
O₂ in each stack remains within 5% of the mean O₂
concentration throughout the entire duty cycle.
(3) Gaseous sample probes. Use either single-port or multi-port
probes for sampling gaseous emissions. You may orient these probes in
any direction relative to the raw or diluted exhaust flow. For some
probes, you must control sample temperatures, as follows:
(i) For probes that extract NO_X from diluted exhaust,
control the probe's wall temperature to prevent aqueous condensation.
(ii) For probes that extract hydrocarbons for NMHC or NMHCE
analysis from the diluted exhaust of compression-ignition engines, 2-
stroke spark-ignition engines, or 4-stroke spark-ignition engines below
19 kW, maintain a probe wall temperature tolerance of (191 ± 11) [deg]C.
(4) PM sample probes. Use PM probes with a single opening at the
end. Orient PM probes to face directly upstream. If you shield a PM
probe's opening with a PM pre-classifier such as a hat, you may not use
the preclassifier we specify in paragraph (e)(1) of this section. We
recommend sizing the inside diameter of PM probes to approximate
isokinetic sampling at the expected mean flow rate.
(c) Transfer lines. You may use transfer lines to transport an
extracted sample from a probe to an analyzer, storage medium, or
dilution system. Minimize the length of all transfer lines by locating
analyzers, storage media, and dilution systems as close to probes as
practical. We recommend that you minimize the number of bends in
transfer lines and that you maximize the radius of any unavoidable
bend. Avoid using 90[deg] elbows, tees, and cross-fittings in transfer
lines. Where such connections and fittings are necessary, take steps,
using good engineering judgment, to ensure that you meet the
temperature tolerances in this paragraph (c). This may involve
measuring temperature at various locations within transfer lines and
fittings. You may use a single transfer line to transport a sample of
more than one constituent, as long as the transfer line meets all the
specifications for each constituent. The following construction and
temperature tolerances apply to transfer lines:
(1) Gaseous samples. Use transfer lines with inside surfaces of 300
series stainless steel, PTFE, VitonTM, or any other material
that you demonstrate has better properties for emission sampling. For
raw exhaust sampling, use a non-reactive material capable of
withstanding raw exhaust temperatures. You may use in-line filters if
they do not react with exhaust constituents and if the filter and its
housing meet the same temperature requirements as the transfer lines,
as follows:
(i) For NO_X transfer lines upstream of either an
NO₂-to-NO converter that meets the specifications of Sec.
1065.378 or a chiller that meets the specifications of Sec. 1065.376,
maintain a sample temperature that prevents aqueous condensation.
(ii) For THC transfer lines for testing compression-ignition
engines, 2-stroke spark-ignition engines, or 4-stroke spark-ignition
engines below 19 kW, maintain a wall temperature tolerance throughout
the entire line of (191 ± 11) [deg]C. If you sample from raw
exhaust, you may connect an unheated, insulated transfer line directly
to a probe. Design the length and insulation of the transfer line to
cool the highest expected raw exhaust temperature to no lower than 191
[deg]C, as measured at the transfer line's outlet.
(2) PM samples. We recommend heated transfer lines or a heated
enclosure to minimize temperature differences between transfer lines
and exhaust constituents. Use transfer lines that are inert with
respect to PM and are electrically conductive on the inside surfaces.
We recommend using PM transfer lines made of 300 series stainless
steel. Electrically ground the inside surface of PM transfer lines.
(d) Optional sample-conditioning components for gaseous sampling.
You may use the following sample-conditioning components to prepare
gaseous samples for analysis, as long as you do not install or use them
in a way that adversely affects your ability to show that your engines
comply with all applicable gaseous emission standards.
(1) NO2-to-NO converter. You may use an NO₂-to-NO
converter that meets the efficiency-performance check specified in
Sec. 1065.378 at any point upstream of a NO_X analyzer,
sample bag, or other storage medium.
(2) Sample dryer. You may use either type of sample dryer described
in this paragraph (d)(2) to decrease the effects of water on gaseous
emission measurements. You may not use a

[[Page 16125]]

chemical dryer, or use dryers upstream of PM sample filters.
(i) Osmotic-membrane. You may use an osmotic-membrane dryer
upstream of any gaseous analyzer or storage medium, as long as it meets
the temperature specifications in paragraph (c)(1) of this section.
Because osmotic-membrane dryers may deteriorate after prolonged
exposure to certain exhaust constituents, consult with the membrane
manufacturer regarding your application before incorporating an
osmotic-membrane dryer. Monitor the dewpoint, T_dew, and
absolute pressure, p_total, downstream of an osmotic-membrane
dryer. You may use continuously recorded values of T_dew and
p_total in the amount of water calculations specified in
Sec. 1065.645. If you do not continuously record these values, you may
use their peak values observed during a test or their alarm setpoints
as constant values in the calculations specified in Sec. 1065.645. You
may also use a nominal p_total, which you may estimate as the
dryer's lowest absolute pressure expected during testing.
(ii) Thermal chiller. You may use a thermal chiller upstream of
some gas analyzers and storage media. You may not use a thermal chiller
upstream of a THC measurement system for compression-ignition engines,
2-stroke spark-ignition engines, or 4-stroke spark-ignition engines
below 19 kW. If you use a thermal chiller upstream of an
NO₂-to-NO converter or in a sampling system without an
NO₂-to-NO converter, the chiller must meet the
NO₂ loss-performance check specified in Sec. 1065.376.
Monitor the dewpoint, T_dew, and absolute pressure,
p_total, downstream of a thermal chiller. You may use
continuously recorded values of T_dew and p_total
in the emission calculations specified in Sec. 1065.650. If you do not
continuously record these values, you may use the maximum temperature
and minimum pressure values observed during a test or the high alarm
temperature setpoint and the low alarm pressure setpoint as constant
values in the amount of water calculations specified in Sec. 1065.645.
You may also use a nominal p_total, which you may estimate as
the dryer's lowest absolute pressure expected during testing. If it is
valid to assume the degree of saturation in the thermal chiller, you
may calculate T_dew based on the known chiller efficiency and
continuous monitoring of chiller temperature, T_chiller. If
you do not continuously record values of T_chiller, you may
use its peak value observed during a test, or its alarm setpoint, as a
constant value to determine a constant amount of water according to
Sec. 1065.645. If it is valid to assume that T_chiller is
equal to T_dew, you may use T_chiller in lieu of
T_dew according to Sec. 1065.645. If it is valid to assume a
constant temperature offset between T_chiller and
T_dew, due to a known and fixed amount of sample reheat
between the chiller outlet and the temperature measurement location,
you may factor in this assumed temperature offset value into emission
calculations. If we ask for it, you must show by engineering analysis
or by data the validity of any assumptions allowed by this paragraph
(d)(2)(ii).
(3) Sample pumps. You may use sample pumps upstream of an analyzer
or storage medium for any gas. Use sample pumps with inside surfaces of
300 series stainless steel, PTFE, or any other material that you
demonstrate has better properties for emission sampling. For some
sample pumps, you must control temperatures, as follows:
(i) If you use a NO_X sample pump upstream of either an
NO₂-to-NO converter that meets Sec. 1065.378 or a chiller
that meets Sec. 1065.376, it must be heated to prevent aqueous
condensation.
(ii) For testing compression-ignition engines, 2-stroke spark-
ignition engines, or 4-stroke compression ignition engines below 19 kW,
if you use a THC sample pump upstream of a THC analyzer or storage
medium, its inner surfaces must be heated to a tolerance of (191 < plus-
minus> 11) [deg]C
(e) Optional sample-conditioning components for PM sampling. You
may use the following sample-conditioning components to prepare PM
samples for analysis, as long as you do not install or use them in a
way that adversely affects your ability to show that your engines
comply with the applicable PM emission standards. You may condition PM
samples to minimize positive and negative biases to PM results, as follows:
(1) PM preclassifier. You may use a PM preclassifier to remove
large-diameter particles. The PM preclassifier may be either an
inertial impactor or a cyclonic separator. It must be constructed of
300 series stainless steel. The preclassifier must be rated to remove
at least 50% of PM at an aerodynamic diameter of 10 [mu]m and no more
than 1% of PM at an aerodynamic diameter of 1 [mu]m over the range of
flow rates for which you use it. Follow the preclassifier manufacturer
s instructions for any periodic servicing that may be necessary to
prevent a buildup of PM. Install the preclassifier in the dilution
system downstream of the last dilution stage. Configure the
preclassifier outlet with a means of bypassing any PM sample media so
the preclassifier flow may be stabilized before starting a test. Locate
PM sample media within 75 cm downstream of the preclassifier's exit.
You may not use this preclassifier if you use a PM probe that already
has a preclassifier. For example, if you use a hat-shaped preclassifier
that is located immediately upstream of the probe in such a way that it
forces the sample flow to change direction before entering the probe,
you may not use any other preclassifier in your PM sampling system.
(2) Other components. You may request to use other PM conditioning
components upstream of a PM preclassifier, such as components that
condition humidity or remove gaseous-phase hydrocarbons from the
diluted exhaust stream. You may use such components only if we approve
them under Sec. 1065.10.
30. Section 1065.170 is amended by revising the introductory text
and paragraphs (a) and (c)(1) to read as follows:

Sec. 1065.170 Batch sampling for gaseous and PM constituents.

Batch sampling involves collecting and storing emissions for later
analysis. Examples of batch sampling include collecting and storing
gaseous emissions in a bag or collecting and storing PM on a filter.
You may use batch sampling to store emissions that have been diluted at
least once in some way, such as with CVS, PFD, or BMD. You may use
batch-sampling to store undiluted emissions.
(a) Sampling methods. If you extract from a constant-volume flow
rate, sample at a constant-volume flow rate. If you extract from a
varying flow rate, vary the sample rate in proportion to the varying
flow rate. Validate proportional sampling after an emission test as
described in Sec. 1065.545. Use storage media that do not
significantly change measured emission levels (either up or down). For
example, do not use sample bags for storing emissions if the bags are
permeable with respect to emissions or if they offgas emissions to the
extent that it affects your ability to demonstrate compliance with the
applicable gaseous emission standards. As another example, do not use
PM filters that irreversibly absorb or adsorb gases to the extent that
it affects your ability to demonstrate compliance with the applicable
PM emission standard.
* * * * *
(c) * * *
(1) If you use filter-based sampling media to extract and store PM
for measurement, your procedure must meet the following specifications:
(i) If you expect that a filter's total surface concentration of PM
will exceed

[[Page 16126]]

0.473 [mu]g/mm2 for a given test interval, you may use
filter media with a minimum initial collection efficiency of 98%;
otherwise you must use a filter media with a minimum initial collection
efficiency of 99.7%. Collection efficiency must be measured as
described in ASTM D 2986-95a (incorporated by reference in Sec.
1065.1010), though you may rely on the sample-media manufacturer's
measurements reflected in their product ratings to show that you meet
this requirement.
(ii) The filter must be circular, with an overall diameter of 46.50
± 0.6 mm and an exposed diameter of at least 38 mm. See the
cassette specifications in paragraph (c)(1)(vii) of this section.
(iii) We highly recommend that you use a pure PTFE filter material
that does not have any flow-through support bonded to the back and has
an overall thickness of 40 ± 20 [mu]m. An inert polymer ring
may be bonded to the periphery of the filter material for support and
for sealing between the filter cassette parts. We consider
Polymethylpentene (PMP) and PTFE inert materials for a support ring,
but other inert materials may be used. See the cassette specifications
in paragraph (c)(1)(vii) of this section. We allow the use of PTFE-
coated glass fiber filter material, as long as this filter media
selection does not affect your ability to demonstrate compliance with
the applicable standards, which we base on a pure PTFE filter material.
Note that we will use pure PTFE filter material for compliance testing,
and we may require you to use pure PTFE filter material for any
compliance testing we require, such as for selective enforcement audits.
(iv) You may request to use other filter materials or sizes under
the provisions of Sec. 1065.10.
(v) To minimize turbulent deposition and to deposit PM evenly on a
filter, use a 12.5[deg] (from center) divergent cone angle to
transition from the transfer-line inside diameter to the exposed diameter
of the filter face. Use 300 series stainless steel for this transition.
(vi) Maintain sample velocity at the filter face at or below 100
cm/s, where filter face velocity is the measured volumetric flow rate
of the sample at the pressure and temperature upstream of the filter
face, divided by the filter's exposed area.
(vii) Use a clean cassette designed to the specifications of Figure
1 of Sec. 1065.170 and made of any of the following materials:
DelrinTM, 300 series stainless steel, polycarbonate,
acrylonitrile-butadiene-styrene (ABS) resin, or conductive
polypropylene. We recommend that you keep filter cassettes clean by
periodically washing or wiping them with a compatible solvent applied
using a lint-free cloth. Depending upon your cassette material, ethanol
(C₂H₅OH) might be an acceptable solvent. Your
cleaning frequency will depend on your engine's PM and HC emissions.
(viii) If you store filters in cassettes in an automatic PM
sampler, cover or seal individual filter cassettes after sampling to
prevent communication of semi-volatile matter from one filter to another.
* * * * *
31. Section 1065.190 is amended by revising paragraphs (e) and
(g)(6) to read as follows:

Sec. 1065.190 PM-stabilization and weighing environments for
gravimetric analysis.

* * * * *
(e) Verify the following ambient conditions using measurement
instruments that meet the specifications in subpart C of this part:
(1) Continuously measure dewpoint and ambient temperature. Use
these values to determine if the stabilization and weighing
environments have remained within the tolerances specified in paragraph
(d) of this section for at least 60 min before weighing filters. We
recommend that you provide an interlock that automatically prevents the
balance from reporting values if either of the environments have not
been within the applicable tolerances for the past 60 min.
(2) Continuously measure atmospheric pressure within the weighing
environment. You may use a shared atmospheric pressure meter as long as
you can show that your ventilation system for the weighing environment
maintains ambient pressure at the balance within ±100 Pa of
the shared atmospheric pressure meter. Provide a means to record the
most recent atmospheric pressure when you weigh each PM sample. Use
this value to calculate the PM buoyancy correction in Sec. 1065.690.
* * * * *
(g) * * *
(6) We recommend that you neutralize PM sample media to within
±2.0 V of neutral. Measure static voltages as follows:
(i) Measure static voltage of PM sample media according to the
electrostatic voltmeter manufacturer's instructions.
(ii) Measure static voltage of PM sample media while the media is
at least 15 cm away from any grounded surfaces to avoid mirror image
charge interference.
32. Section 1065.195 is amended by revising paragraph (c)(4) to
read as follows:

Sec. 1065.195 PM-stabilization environment for in-situ analyzers.

* * * * *
(c) * * *
(4) Absolute pressure. Use good engineering judgment to maintain a
tolerance of absolute pressure if your PM measurement instrument
requires it.
* * * * *

Subpart C--[Amended]

33. Section 1065.201 is amended by revising paragraphs (a), (b),
and (d) and adding paragraph (h) to read as follows:

Sec. 1065.201 Overview and general provisions.

(a) Scope. This subpart specifies measurement instruments and
associated system requirements related to emission testing in a
laboratory or similar environment and in the field. This includes
laboratory instruments and portable emission measurement systems (PEMS)
for measuring engine parameters, ambient conditions, flow-related
parameters, and emission concentrations.
(b) Instrument types. You may use any of the specified instruments
as described in this subpart to perform emission tests. If you want to
use one of these instruments in a way that is not specified in this
subpart, or if you want to use a different instrument, you must first
get us to approve your alternate procedure under Sec. 1065.10. Where
we specify more than one instrument for a particular measurement, we
may identify which instrument serves as the reference for comparing
with an alternate procedure.
* * * * *
(d) Redundant systems. For all measurement instruments described in
this subpart, you may use data from multiple instruments to calculate
test results for a single test. If you use redundant systems, use good
engineering judgment to use multiple measured values in calculations or
to disregard individual measurements. Note that you must keep your
results from all measurements, as described in Sec. 1065.25. This
requirement applies whether or not you actually use the measurements in
your calculations.
* * * * *
(h) Recommended practices. This subpart identifies a variety of
recommended but not required practices for proper measurements. We
believe in most cases it is necessary to follow these recommended
practices for accurate and

[[Page 16127]]

repeatable measurements and we intend to follow them as much as
possible for our testing. However, we do not specifically require you
to follow these recommended practices to perform a valid test, as long
as you meet the required calibrations and verifications of measurement
systems specified in subpart D of this part.
34. Section 1065.210 is amended by revising paragraph (a) before
the figure to read as follows:

Sec. 1065.210 Work input and output sensors.

(a) Application. Use instruments as specified in this section to
measure work inputs and outputs during engine operation. We recommend
that you use sensors, transducers, and meters that meet the
specifications in Table 1 of Sec. 1065.205. Note that your overall
systems for measuring work inputs and outputs must meet the linearity
verifications in Sec. 1065.307. We recommend that you measure work
inputs and outputs where they cross the system boundary as shown in
Figure 1 of Sec. 1065.210. The system boundary is different for air-
cooled engines than for liquid-cooled engines. If you choose to measure
work before or after a work conversion, relative to the system
boundary, use good engineering judgment to estimate any work-conversion
losses in a way that avoids overestimation of total work. For example,
if it is impractical to instrument the shaft of an exhaust turbine
generating electrical work, you may decide to measure its converted
electrical work. As another example, you may decide to measure the
tractive (i.e., electrical output) power of a locomotive, rather than
the brake power of the locomotive engine. In these cases, divide the
electrical work by accurate values of electrical generator efficiency
([eta]< 1), or assume an efficiency of 1 ([eta]=1), which would
overestimate brake-specific emissions. For the example of using
locomotive tractive power with a generator efficiency of 1 ([eta]=1),
this means using the tractive power as the brake power in emission
calculations. Do not underestimate any work conversion efficiencies for
any components outside the system boundary that do not return work into
the system boundary. And do not overestimate any work conversion
efficiencies for components outside the system boundary that do return
work into the system boundary. In all cases, ensure that you are able
to accurately demonstrate compliance with the applicable standards.
* * * * *
35. Section 1065.215 is amended by revising paragraph (e) to read
as follows:

Sec. 1065.215 Pressure transducers, temperature sensors, and dewpoint
sensors.

* * * * *
(e) Dewpoint. For PM-stabilization environments, we recommend
chilled-surface hygrometers, which include chilled mirror detectors and
chilled surface acoustic wave (SAW) detectors. For other applications,
we recommend thin-film capacitance sensors. You may use other dewpoint
sensors, such as a wet-bulb/dry-bulb psychrometer, where appropriate.
36. Section 1065.220 is amended by revising paragraph (d) to read
as follows:

Sec. 1065.220 Fuel flow meter.

* * * * *
(d) Flow conditioning. For any type of fuel flow meter, condition
the flow as needed to prevent wakes, eddies, circulating flows, or flow
pulsations from affecting the accuracy or repeatability of the meter.
You may accomplish this by using a sufficient length of straight tubing
(such as a length equal to at least 10 pipe diameters) or by using
specially designed tubing bends, straightening fins, or pneumatic
pulsation dampeners to establish a steady and predictable velocity
profile upstream of the meter. Condition the flow as needed to prevent
any gas bubbles in the fuel from affecting the fuel meter.
37. Section 1065.265 is amended by revising paragraph (c) to read
as follows:

Sec. 1065.265 Nonmethane cutter.

* * * * *
(c) Configuration. Configure the nonmethane cutter with a bypass
line if it is needed for the verification described in Sec. 1065.365.
* * * * *
38. Section 1065.270 is amended by revising paragraph (c) to read
as follows:

Sec. 1065.270 Chemiluminescent detector.

* * * * *
(c) NO2-to-NO converter. Place upstream of the CLD an internal or
external NO₂-to-NO converter that meets the verification in
Sec. 1065.378. Configure the converter with a bypass line if it is
needed to facilitate this verification.
* * * * *
39. Section 1065.280 is revised to read as follows:

Sec. 1065.280 Paramagnetic and magnetopneumatic O₂
detection analyzers.

(a) Application. You may use a paramagnetic detection (PMD) or
magnetopneumatic detection (MPD) analyzer to measure O₂
concentration in raw or diluted exhaust for batch or continuous
sampling. You may use O₂ measurements with intake air or
fuel flow measurements to calculate exhaust flow rate according to
Sec. 1065.650.
(b) Component requirements. We recommend that you use a PMD or MPD
analyzer that meets the specifications in Table 1 of Sec. 1065.205.
Note that it must meet the linearity verification in Sec. 1065.307.
You may use a PMD or MPD that has compensation algorithms that are
functions of other gaseous measurements and the engine's known or
assumed fuel properties. The target value for any compensation
algorithm is 0.0% (that is, no bias high and no bias low), regardless
of the uncompensated signal's bias.
40. Section 1065.290 is amended by revising paragraph (c)(1) to
read as follows:

Sec. 1065.290 PM gravimetric balance.

* * * * *
(c) * * *
(1) Use a pan that centers the PM sample media (such as a filter)
on the weighing pan. For example, use a pan in the shape of a cross
that has upswept tips that center the PM sample media on the pan.
* * * * *

Subpart D--[Amended]

41. Section 1065.303 is revised to read as follows:

Sec. 1065.303 Summary of required calibration and verifications

The following table summarizes the required and recommended
calibrations and verifications described in this subpart and indicates
when these have to be performed:

[[Page 16128]]

Table 1 of Sec. 1065.303.--Summary of Required Calibration and
Verifications
------------------------------------------------------------------------
Type of calibration or
verification Minimum frequency \a\
------------------------------------------------------------------------
Sec. 1065.305: Accuracy, Accuracy: Not required, but
repeatability and noise. recommended for initial
installation.
Repeatability: Not required, but
recommended for initial
installation.
Noise: Not required, but recommended
for initial installation.
Sec. 1065.307: Linearity........ Speed: Upon initial installation,
within 370 days before testing and
after major maintenance.
Torque: Upon initial installation,
within 370 days before testing and
after major maintenance.
Electrical power: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Clean gas and diluted exhaust flows:
Upon initial installation, within
370 days before testing and after
major maintenance, unless flow is
verified by propane check or by
carbon or oxygen balance.
Raw exhaust flow: Upon initial
installation, within 185 days
before testing and after major
maintenance, unless flow is
verified by propane check or by
carbon or oxygen balance.
Gas analyzers: Upon initial
installation, within 35 days before
testing and after major
maintenance.
PM balance: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Stand-alone pressure and
temperature: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Sec. 1065.308: Continuous Upon initial installation, after
analyzer system response and system reconfiguration, and after
recording. major maintenance.
Sec. 1065.309: Continuous Upon initial installation, after
analyzer uniform response. system reconfiguration, and after
major maintenance.
Sec. 1065.310: Torque........... Upon initial installation and after
major maintenance.
Sec. 1065.315: Pressure, Upon initial installation and after
temperature, dewpoint. major maintenance.
Sec. 1065.320: Fuel flow........ Upon initial installation and after
major maintenance.
Sec. 1065.325: Intake flow...... Upon initial installation and after
major maintenance.
Sec. 1065.330: Exhaust flow..... Upon initial installation and after
major maintenance.
Sec. 1065.340: Diluted exhaust Upon initial installation and after
flow (CVS). major maintenance.
Sec. 1065.341: CVS sampler and Upon initial installation, within 35
batch verification. days before testing, and after
major maintenance.
Sec. 1065.345: Vacuum leak...... Before each laboratory test
according to subpart F of this part
and before each field test
according to subpart J of this
part.
Sec. 1065.350: CO2 NDIR H2O Upon initial installation and after
interference. major maintenance.
Sec. 1065.355: CO NDIR CO2 and Upon initial installation and after
H2O interference. major maintenance.
Sec. 1065.360: FID calibration Calibrate all FID analyzers: Upon
THC FID optimization, and THC FID initial installation and after
verification. major maintenance.
Optimize and determine CH4 response
for THC FID analyzers: Upon initial
installation and after major
maintenance.
Verify CH4 response for THC FID
analyzers: Upon initial
installation, within 185 days
before testing, and after major
maintenance.
Sec. 1065.362: Raw exhaust FID For all FID analyzers: Upon initial
O2 interference. installation, after major
maintenance.
For THC FID analyzers: Upon initial
installation, after major
maintenance, and after FID
optimization according to Sec.
1065.360.
Sec. 1065.365: Nonmethane cutter Upon initial installation, within
penetration. 185 days before testing, and after
major maintenance.
Sec. 1065.370: CLD CO2 and H2O Upon initial installation and after
quench. major maintenance.
Sec. 1065.372: NDUV HC and H2O Upon initial installation and after
interference. major maintenance.
Sec. 1065.376: Chiller NO2 Upon initial installation and after
penetration. major maintenance.
Sec. 1065.378: NO2-to-NO Upon initial installation, within 35
converter conversion. days before testing, and after
major maintenance.
Sec. 1065.390: PM balance and Independent verification: Upon
weighing. initial installation, within 370
days before testing, and after
major maintenance.
Zero, span, and reference sample
verifications: Within 12 hours of
weighing, and after major
maintenance.
Sec. 1065.395: Inertial PM Independent verification: Upon
balance and weighing. initial installation, within 370
days before testing, and after
major maintenance.
Other verifications: Upon initial
installation and after major
maintenance.
------------------------------------------------------------------------
a Perform calibrations and verifications more frequently, according to
measurement system manufacturer instructions and good engineering
judgment.

42.Section 1065.305 is amended by revising paragraphs (d)(4) and
(d)(8) to read as follows:

Sec. 1065.305 Verifications for accuracy, repeatability, and noise.

* * * * *
(d) * * *
(4) Use the instrument to quantify a NIST-traceable reference
quantity, [gamma]_ref. For gas analyzers the reference gas
must meet the specifications of Sec. 1065.750. Select a reference
quantity near the mean value expected during testing. For all gas
analyzers, use a quantity near the flow-weighted mean concentration
expected at the standard or expected during testing, whichever is
greater. For a noise verification, use the same zero gas from paragraph
(e) of this section as the reference quantity. In all cases, allow time
for the instrument to stabilize while it measures the reference
quantity. Stabilization time may include time to purge an instrument
and time to account for its response.
* * * * *
(8) Repeat the steps specified in paragraphs (d)(2) through (7) of
this section until you have ten arithmetic means (y₁,
y₂, y_i,* * * y₁₀), ten standard
deviations, ([sigma]₁, [sigma]₂,
[sigma]_i, * * * [sigma]₁₀), and ten errors
([egr]₁, [egr]₂ , [egr]_i , * * *
[egr]₁₀).
* * * * *

[[Page 16129]]

43. Section 1065.307 is amended by revising paragraphs (b) and
(c)(6), adding paragraph (d)(8) and revising Table 1 to read as follows:

Sec. 1065.307 Linearity verification.

* * * * *
(b) Performance requirements. If a measurement system does not meet
the applicable linearity criteria in Table 1 of this section, correct
the deficiency by re-calibrating, servicing, or replacing components as
needed. Repeat the linearity verification after correcting the
deficiency to ensure that the measurement system meets the linearity
criteria. Before you may use a measurement system that does not meet
linearity criteria, you must demonstrate to us that the deficiency does
not adversely affect your ability to demonstrate compliance with the
applicable standards.
(c) * * *
(6) For all measured quantities except temperature, use instrument
manufacturer recommendations and good engineering judgment to select at
least 10 reference values, y_refi, that are within the range
from zero to the highest values expected during emission testing. We
recommend selecting a zero reference signal as one of the reference
values of the linearity verification. For temperature linearity
verifications, we recommend three to five reference values.
* * * * *
(13) Use the arithmetic means, y_i, and reference values,
y_refi, to calculate least-squares linear regression
parameters and statistical values to compare to the minimum performance
criteria specified in Table 1 of this section. Use the calculations
described in Sec. 1065.602. Using good engineering judgment, you may
weight the results of individual data pairs (i.e., (y_refi,
y_i )), in the linear regression calculations.
(d) * * *
(8) Analog-to-digital conversion of stand-alone temperature
signals. For reference values, select a temperature signal calibrator
to simultaneously simulate and measure an analog signal similar to your
temperature sensor(s). Analog signals may include voltage, current,
resistance, frequency, and pulse signals. Use a calibrator that is
independently linearized and cold-junction compensated, as necessary,
and is NIST-traceable within ±0.5% uncertainty.

Table 1 of Sec. 1065.307.--Measurement Systems That Require Linearity Verifications
--------------------------------------------------------------------------------------------------------------------------------------------------------
Linearity criteria
Measurement system Quantity Minimum verification -------------------------------------------------------------------------------
frequency \a\ [bond]a0 [bond]
b a1 c SEE \b\ r 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
Engine speed..................... fn............. Within 370 days <=0.05% fnmax..... 0.98-1.02......... <=2% fnmax........ >=0.990
before testing.
Engine torque.................... T.............. Within 370 days <=1% ?Tmax. 0.98-1.02......... <=2% Tmax......... >=0.990
before testing.
Electrical work.................. W.............. Within 370 days <=1% ?Tmax. 0.98-1.02......... <=2% Tmax......... >=0.990
before testing.
Fuel flow rate................... m.............. Within 370 days <=1% ?mmax. 0.98-1.02 \e\..... <=2% ?mmax. >=0.990
before testing \d\.
Intake-air flow rate............. n.............. Within 370 days <=1% ?nmax. 0.98-1.02 \e\..... <=2% ?nmax. >=0.990
before testing d.
Dilution air flow rate........... n.............. Within 370 days <=1% ?nmax. 0.98-1.02......... <=2% ?nmax. >=0.990
before testing d.
Diluted exhaust flow rate........ n.............. Within 370 days <=1% ?nmax. 0.98-1.02......... <=2% ?nmax. >=0.990
before testing d.
Raw exhaust flow rate............ n.............. Within 185 days <=1% ?nmax. 0.98-1.02 e....... <=2% ?nmax. >=0.990
before testing d.
Batch sampler flow rates......... n.............. Within 370 days <=1% ?nmax. 0.98-1.02......... <=2% ?nmax. >=0.990
before testing d.
Gas dividers..................... x.............. Within 370 days <=0.5% 0.98-1.02......... <=2% ?xmax. >=0.990
before testing. ??x
max.
All gas analyzers................ x.............. Within 35 days <=1% ?xmax. 0.99-1.01......... <=1% ?xmax. >=0.998
before testing.
PM balance....................... m.............. Within 370 days <=1% ?mmax. 0.99-1.01......... <=1% ?mmax. >=0.998
before testing.
Stand-alone pressures............ p.............. Within 370 days <=1% ?pmax. 0.99-1.01......... <=1% ?pmax. >=0.998
before testing.
Analog-to-digital conversion of ?T...... Within 370 days <=1% ?Tmax. 0.99-1.01......... <=1% ?Tmax. >=0.998
stand-alone temperature signals. before testing.
--------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ Perform a linearity verification more frequently if the instrument manufacturer recommends it or based on good engineering judgment.
\b\ ``max.'' refers to the peak value expected during testing or at the applicable standard over any test interval, whichever is greater.
\c\ The specified ranges are inclusive. For example, a specified range of 0.98-1.02 for a1 means 0.98< =a1< =1.02.
\d\ These linearity verifications are not required for systems that pass the flow-rate verification for diluted exhaust as described in Sec. 1065.341
(the propane check) or for systems that agree within ±2% based on a chemical balance of carbon or oxygen of the intake air, fuel, and
exhaust.
\e\ a1 criteria for these quantities must be met only if the absolute value of the quantity is required, as opposed to a signal that is only linearly
proportional to the actual value.

44. Section 1065.308 is revised to read as follows:

Sec. 1065.308 Continuous gas analyzer system-response and updating-
recording verification.

(a) Scope and frequency. Perform this verification after installing
or replacing a gas analyzer that you use for continuous sampling. Also
perform this verification if you reconfigure your system in a way that
would change system response. For example, perform this verification if
you add a significant volume to the transfer lines by increasing their
length or adding a filter; or if you change the frequency at which you
sample and record gas-analyzer concentrations. You do not have to
perform this verification for gas analyzer systems used only for
discrete-mode testing.
(b) Measurement principles. This test verifies that the updating
and recording frequencies match the overall system response to a rapid
change in the value of concentrations at the sample probe. Gas analyzer
systems must be optimized such that their overall response to a rapid
change in concentration is updated and recorded at an appropriate
frequency to prevent loss of information. This test also verifies that
continuous gas analyzer systems meet a minimum response time.
(c) System requirements. To demonstrate acceptable updating and
recording with respect to the system's overall response, use good
engineering judgment to select one of the following criteria that your
system must meet:
(1) The product of the mean rise time and the frequency at which
the system records an updated concentration must be at least 5, and the
product of the mean fall time and the frequency at which the system
records an updated concentration must be at least 5. These criteria
make no assumption regarding the frequency content of changes in
emission concentrations during emission testing; therefore, it is valid for

[[Page 16130]]

any testing. In any case the mean rise time and the mean fall time must
be no more than 10 seconds.
(2) The frequency at which the system records an updated
concentration must be at least 5 Hz. This criteria assumes that the
frequency content of significant changes in emission concentrations
during emission testing do not exceed 1 Hz. In any case the mean rise
time and the mean fall time must be no more than 10 seconds.
(3) You may use other criteria if we approve the criteria in advance.
(4) For PEMS, you do not have to meet this criteria if your PEMS
meets the overall PEMS check in Sec. 1065.920.
(d) Procedure. Use the following procedure to verify the response
of a continuous gas analyzer system:
(1) Instrument setup. Follow the analyzer system manufacturer's
start-up and operating instructions. Adjust the system as needed to
optimize performance.
(2) Equipment setup. Using minimal gas transfer line lengths
between all connections, connect a zero-air source to one inlet of a
fast-acting 3-way valve (2 inlets, 1 outlet). Using a gas divider,
equally blend an NO-CO-CO₂-C₃H₈-
CH₄, balance N₂ span gas with a span gas of
NO₂, balance N₂. Connect the gas divider outlet
to the other inlet of the 3-way valve. Connect the valve outlet to an
overflow at the gas analyzer system's probe or to an overflow fitting
between the probe and transfer line to all the analyzers being
verified. Note that you may omit any of these gas constituents if they
are not relevant to your analyzers for this verification.
(3) Data collection. (i) Switch the valve to flow zero gas.
(ii) Allow for stabilization, accounting for transport delays and
the slowest instrument's full response.
(iii) Start recording data at the frequency used during emission
testing. Each recorded value must be a unique updated concentration
measured by the analyzer; you may not use interpolation to increase the
number of recorded values.
(iv) Switch the valve to flow the blended span gases.
(v) Allow for transport delays and the slowest instrument's full
response.
(vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this
section to record seven full cycles, ending with zero gas flowing to
the analyzers.
(vii) Stop recording.
(e) Performance evaluation. (1) If you chose to demonstrate
compliance with paragraph (c)(1) of this section, use the data from
paragraph (d)(3) of this section to calculate the mean rise time,
t_10-90, and mean fall time, t_90-10, for each of
the analyzers. Multiply these times (in seconds) by their respective
recording frequencies in Hertz (1/second). The value for each result
must be at least 5. If the value is less than 5, increase the recording
frequency or adjust the flows or design of the sampling system to
increase the rise time and fall time as needed. You may also configure
digital filters to increase rise and fall times. The mean rise time and
mean fall time must be no greater than 10 seconds.
(2) If a measurement system fails the criterion in paragraph (e)(1)
of this section, ensure that signals from the system are updated and
recorded at a frequency of at least 5 Hz. In any case, the mean rise
time and mean fall time must be no greater than 10 seconds.
(3) If a measurement system fails the criteria in paragraphs (e)(1)
and (2) of this section, you may use the continuous analyzer system
only if the deficiency does not adversely affect your ability to show
compliance with the applicable standards.
45. Section 1065.309 is revised to read as follows:

Sec. 1065.309 Continuous gas analyzer uniform response verification.

(a) Scope and frequency. Perform this verification if you multiply
or divide one continuous gas analyzer's response by another's to
quantify a gaseous emission. Note that we consider water vapor a
gaseous constituent. You do not have to perform this verification if
you multiply one gas analyzer's response to another's to compensate for
an interference that never requires a compensation more than 2% of the
flow-weighted mean concentration at the applicable standard or during
testing, whichever is greatest. You also do not have to perform this
verification for batch gas analyzer systems or for continuous analyzer
systems that are only used for discrete-mode testing. Perform this
verification after initial installation or major maintenance. Also
perform this verification if you reconfigure your system in a way that
would change system response. For example, perform this verification if
you add a significant volume to the transfer lines by increasing their
length or by adding a filter; or if you change the frequency at which
you sample and record gas-analyzer concentrations.
(b) Measurement principles. This procedure verifies the time-
alignment and uniform response of continuously combined gas measurements.
(c) System requirements. Demonstrate that continuously combined
concentration measurements have a uniform rise and fall during a
simultaneous step change in both concentrations. During a system
response to a rapid change in multiple gas concentrations, demonstrate
that the t₅₀ times of all combined analyzers all occur at
the same recorded second of data or between the same two recorded
seconds of data.
(d) Procedure. Use the following procedure to verify the response
of a continuous gas analyzer system:
(1) Instrument setup. Follow the analyzer system manufacturer's
start-up and operating instructions. Adjust the system as needed to
optimize performance.
(2) Equipment setup. Using a gas divider, equally blend a span gas
of NO-CO-CO₂-C₃H₈-CH₄,
balance N₂, with a span gas of NO₂, balance
N₂. Connect the gas divider outlet to a 100 [deg]C heated
line. Connect the other end of this line to a 100 [deg]C heated three-
way tee. Next connect a dewpoint generator, set at a dewpoint of 50
[deg]C, to one end of a heated line at 100 [deg]C. Connect the other
end of this line to the heated tee and connect a third 100 [deg]C
heated line from the tee to an overflow at the inlet of a 100 [deg]C
heated fast-acting three-way valve (two inlets, one outlet). Connect a
zero-air source, heated to 100 [deg]C, to a separate overflow at the
other inlet of the three-way valve. Connect the three-way valve outlet
to the gas analyzer system's probe or to an overflow fitting between
the probe and transfer line to all the analyzers being verified. Note
that you may omit any of these gas constituents if they are not
relevant to your analyzers for this verification.
(3) Data collection. (i) Switch the valve to flow zero gas.
(ii) Allow for stabilization, accounting for transport delays and
the slowest instrument's full response.
(iii) Start recording data at the frequency used during emission testing.
(iv) Switch the valve to flow span gas.
(v) Allow for transport delays and the slowest instrument's full
response.
(vi) Repeat the steps in paragraphs (d)(3)(i) through (v) of this
section to record seven full cycles, ending with zero gas flowing to
the analyzers.
(vii) Stop recording.
(e) Performance evaluations. Perform the following evaluations:
(1) Uniform response evaluation. (i) Calculate the mean rise time,
t_10-90, mean fall time, t_90-10 for each analyzer.
(ii) Determine the maximum mean rise and fall times for the slowest
responding analyzer in each combination of continuous analyzer signals
that you use to determine a single emission concentration.
(iii) If the maximum rise time or fall time is greater than one
second, verify

[[Page 16131]]

that all other gas analyzers combined with it have mean rise and fall
times of at least 75% of that analyzer's response. If the slowest
analyzer has t_10-90 and t_90-10 values less than 1
sec, no dispersion is necessary for any of the analyzers.
(iv) If any analyzer has shorter rise or fall times, disperse that
signal so that it better matches the rise and fall times of the slowest
signal with which it is combined. We recommend that you perform
dispersion using SAE 2001-01-3536 (incorporated by reference in Sec.
1065.1010) as a guide.
(v) Repeat this verification after optimizing your systems to
ensure that you dispersed signals correctly. If after repeated attempts
at dispersing signals your system still fails this verification, you
may use the continuous analyzer system if the deficiency does not
adversely affect your ability to show compliance with the applicable
standards.
(2) Time alignment evaluation. (i) After all signals are adjusted
to meet the uniform response evaluation, determine the second at
which--or the two seconds between which--each analyzer crossed the
midpoint of its response, t₅₀.
(ii) Verify that all combined gas analyzer signals are time-aligned
such that all of their t₅₀ times occurred at the same second
or between the same two seconds in the recorded data.
(iii) If your system fails to meet this criterion, you may change
the time alignment of your system and retest the system completely. If
after changing the time alignment of your system, some of the
t₅₀ times still are not aligned, take corrective action by
dispersing analyzer signals that have the shortest rise and fall times.
(iv) If some t₅₀ times are still not aligned after
repeated attempts at dispersion and time alignment, you may use the
continuous analyzer system if the deficiency does not adversely affect
your ability to show compliance with the applicable standards.
46. Section 1065.310 is amended by revising paragraph (d) to read
as follows:

Sec. 1065.310 Torque calibration.

* * * * *
(d) Strain gage or proving ring calibration. This technique applies
force either by hanging weights on a lever arm (these weights and their
lever arm length are not used as part of the reference torque
determination) or by operating the dynamometer at different torques.
Apply at least six force combinations for each applicable torque-
measuring range, spacing the force quantities about equally over the
range. Oscillate or rotate the dynamometer during calibration to reduce
frictional static hysteresis. In this case, the reference torque is
determined by multiplying the force output from the reference meter
(such as a strain gage or proving ring) by its effective lever-arm
length, which you measure from the point where the force measurement is
made to the dynamometer's rotational axis. Make sure you measure this
length perpendicular to the reference meter's measurement axis and
perpendicular to the dynamometer's rotational axis.
47. Section 1065.340 is amended by revising paragraphs (f)(6)(ii),
(f)(9), and (g)(6)(i) and Figure 1 to read as follows:

Sec. 1065.340 Diluted exhaust flow (CVS) calibration.

* * * * *
(f) * * *
(6) * * *
(ii) The mean dewpoint of the calibration air, T_dew. See
Sec. 1065.640 for permissible assumptions during emission measurements.
* * * * *
(9) Determine C_d and the lowest allowable
[Delta]p_CFV according to Sec. 1065.640.
* * * * *
(g) * * *
(6) * * *
(i) The mean flow rate of the reference flow meter,
n_ref. This may include several measurements of different
quantities, such as reference meter pressures and temperatures, for
calculating n_ref.
* * * * *
BILLING CODE 6560-50-P

[[Page 16132]]
[GRAPHIC]
[TIFF OMITTED] TP03AP07.012
[[Page 16133]]

BILLING CODE 6560-50-C
48. Section 1065.341 is amended by revising paragraph (g)
introductory text to read as follows:

Sec. 1065.341 CVS and batch sampler verification (propane check).

* * * * *
(g) You may repeat the propane check to verify a batch sampler,
such as a PM secondary dilution system.
* * * * *
49. Section 1065.345 is revised to read as follows:

Sec. 1065.345 Vacuum-side leak verification.

(a) Scope and frequency. Upon initial sampling system installation,
after major maintenance, and before each test according to subpart F of
this part for laboratory tests and according to subpart J of this part
for field tests, verify that there are no significant vacuum-side leaks
using one of the leak tests described in this section. This verification
does not apply to any full-flow portion of a CVS dilution system.
(b) Measurement principles. A leak may be detected either by
measuring a small amount of flow when there should be zero flow, or by
detecting the dilution of a known concentration of span gas when it
flows through the vacuum side of a sampling system.
(c) Low-flow leak test. Test a sampling system for low-flow leaks
as follows:
(1) Seal the probe end of the system by taking one of the following
steps:
(i) Cap or plug the end of the sample probe.
(ii) Disconnect the transfer line at the probe and cap or plug the
transfer line.
(iii) Close a leak-tight valve in-line between a probe and transfer
line.
(2) Operate all vacuum pumps. After stabilizing, verify that the
flow through the vacuum-side of the sampling system is less than 0.5%
of the system's normal in-use flow rate. You may estimate typical
analyzer and bypass flows as an approximation of the system's normal
in-use flow rate.
(d) Dilution-of-span-gas leak test. You may use any gas analyzer
for this test. If you use a FID for this test, correct for any HC
contamination in the sampling system according to Sec. 1065.660. To
avoid misleading results from this test, we recommend using only
analyzers that have a repeatability of 0.5% or better at the span gas
concentration used for this test. Perform a vacuum-side leak test as
follows:
(1) Prepare a gas analyzer as you would for emission testing.
(2) Supply span gas to the analyzer port and verify that it
measures the span gas concentration within its expected measurement
accuracy and repeatability.
(3) Route overflow span gas to one of the following locations in
the sampling system:
(i) The end of the sample probe.
(ii) Disconnect the transfer line at the probe connection, and
overflow the span gas at the open end of the transfer line.
(iii) A three-way valve installed in-line between a probe and its
transfer line, such as a system overflow zero and span port.
(4) Verify that the measured overflow span gas concentration is
within ±0.5% of the span gas concentration. A measured value
lower than expected indicates a leak, but a value higher than expected
may indicate a problem with the span gas or the analyzer itself. A
measured value higher than expected does not indicate a leak.
(e) Vacuum-decay leak test. To perform this test you must apply a
vacuum to the vacuum-side volume of your sampling system and then
observe the leak rate of your system as a decay in the applied vacuum.
To perform this test you must know the vacuum-side volume of your
sampling system to within ±10% of its true volume. For this
test you must also use measurement instruments that meet the
specifications of subpart C of this part and of this subpart D. Perform
a vacuum-decay leak test as follows:
(1) Seal the probe end of the system as close to the probe opening
as possible by taking one of the following steps:
(i) Cap or plug the end of the sample probe.
(ii) Disconnect the transfer line at the probe and cap or plug the
transfer line.
(iii) Close a leak-tight valve in-line between a probe and transfer
line.
(2) Operate all vacuum pumps. Draw a vacuum that is representative
of normal operating conditions. In the case of sample bags, we
recommend that you repeat your normal sample bag pump-down procedure
twice to minimize any trapped volumes.
(3) Turn off the sample pumps and seal the system. Measure and
record the absolute pressure of the trapped gas, the time, and
optionally the system absolute temperature. Wait at least 60 sec and
again record the pressure, time, and optionally temperature. You may
have to adjust your wait time by trial and error to accurately quantify
a change in pressure over a time interval.
(4) Calculate the leak flow rate based on an assumed value of zero
for pumped-down bag volumes and based on known values for the sample
system volume, the initial and final pressures, optional temperatures,
and elapsed time. Verify that the vacuum-decay leak flow rate is less
than 0.5% of the system's normal in-use flow rate.
50. Section 1065.350 is amended by revising paragraphs (c) and (d)
to read as follows:

Sec. 1065.350 H2O interference verification for CO2 NDIR analyzers.

* * * * *
(c) System requirements. A CO₂ NDIR analyzer must have
an H₂O interference that is within (0 ±400)
[mu]mol/mol., though we strongly recommend a lower interference that is
within (0 ±200) [mu]mol/mol.
(d) Procedure. Perform the interference verification as follows:
(1) Start, operate, zero, and span the CO₂ NDIR analyzer
as you would before an emission test.
(2) Create a humidified test gas by bubbling zero air that meets
the specifications in Sec. 1065.750 through distilled water in a
sealed vessel at (25 ±10) [deg]C.
(3) Downstream of the vessel, maintain the humidified test gas
temperature at least 5 [deg]
C above its dewpoint. We recommend using a
heated transfer line.
(4) Introduce the humidified test gas upstream of any sample dryer,
if one is used during testing.
(5) Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the transfer line and to
account for analyzer response.
(6) While the analyzer measures the sample's concentration, record
30 seconds of sampled data. Calculate the arithmetic mean of this data.
The analyzer meets the interference verification if this value is
within (0 ±400) [mu]mol/mol.
* * * * *
51. Section 1065.355 is amended by revising paragraphs (d) and
(e)(1) to read as follows:

Sec. 1065.355 H2O and CO2 interference verification for CO NDIR analyzers.

* * * * *
(d) Procedure. Perform the interference verification as follows:
(1) Start, operate, zero, and span the CO NDIR analyzer as you
would before an emission test.
(2) Create a humidified CO₂ test gas by bubbling a
CO₂ span gas through distilled water in a sealed vessel at
(25 ±10) [deg]C.
(3) Downstream of the vessel, maintain the humidified gas
temperature at least 5 [deg]C above its dewpoint. We recommend using a
heated transfer line.
(4) Introduce the humidified CO₂ test gas upstream of
any sample dryer, if one is used during testing.

[[Page 16134]]

(5) Measure the humidified CO₂ test gas dewpoint and
pressure as close as possible to the inlet of the analyzer, or to the
inlet of the sample dryer, if one is used.
(6) Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the transfer line and to
account for analyzer response.
(7) While the analyzer measures the sample's concentration, record
its output for 30 seconds. Calculate the arithmetic mean of this data.
(8) Scale the CO₂ interference by multiplying this mean
value (from paragraph (d)(7) of this section) by the ratio of expected
CO₂ to span gas CO₂ concentration. In other
words, estimate the flow-weighted mean dry concentration of
CO₂ expected during testing, and then divide this value by
the concentration of CO₂ in the span gas used for this
verification. Then multiply this ratio by the mean value recorded
during this verification (from paragraph (d)(7) of this section).
(9) Scale the H₂O interference by estimating the flow-
weighted mean concentration of H₂O expected during testing,
then divide this value by the concentration of H₂O in the
span gas used for this verification. Then multiply this ratio by the
CO₂-scaled result of paragraph (d)(8) of this section.
(10) The analyzer meets the interference verification if the result
of paragraph (d)(9) of this section is within ±2% of the
flow-weighted mean concentration of CO expected at the standard.
(e) * * *
(1) You may omit this verification if you can show by engineering
analysis that for your CO sampling system and your emission
calculations procedures, the combined CO₂ and H₂O
interference for your CO NDIR analyzer always affects your brake-
specific CO emission results within ±0.5% of the applicable CO standard.
* * * * *
52. Section 1065.360 is revised to read as follows:

Sec. 1065.360 FID optimization and verification.

(a) Scope and frequency. For all FID analyzers, calibrate the FID
upon initial installation. Repeat the calibration as needed using good
engineering judgment. For a FID that measures THC, perform the
following steps:
(1) Optimize the response to various hydrocarbons after initial
analyzer installation and after major maintenance as described in
paragraph (c) of this section.
(2) Determine the methane (CH₄) response factor after
initial analyzer installation and after major maintenance as described
in paragraph (d) of this section.
(3) Verify the methane (CH₄) response within 185 days
before testing as described in paragraph (e) of this section.
(b) Calibration. Use good engineering judgment to develop a
calibration procedure, such as one based on the FID-analyzer
manufacturer's instructions and recommended frequency for calibrating
the FID. Alternately, you may remove system components for off-site
calibration. For a FID that measures THC, calibrate using
C₃H₈ calibration gases that meet the
specifications of Sec. 1065.750. For a FID that measures
CH₄, calibrate using CH₄ calibration gases that
meet the specifications of Sec. 1065.750. We recommend FID analyzer
zero and span gases that contain approximately the flow-weighted mean
concentration of O₂ expected during testing. If you use a
FID to measure methane (CH₄) downstream of a nonmethane
cutter, you may calibrate that FID using CH₄ calibration
gases with the cutter. Regardless of the calibration gas composition,
calibrate on a carbon number basis of one (C₁). For example,
if you use a C₃H₈ span gas of concentration 200
[mu]mol/mol, span the FID to respond with a value of 600 [mu]mol/mol.
As another example, if you use a CH₄ span gas with a
concentration of 200 [mu]mol/mol, span the FID to respond with a value
of 200 [mu]mol/mol.
(c) THC FID response optimization. This procedure is only for FID
analyzers that measure THC. Use good engineering judgment for initial
instrument start-up and basic operating adjustment using FID fuel and
zero air. Heated FIDs must be within their required operating
temperature ranges. Optimize FID response at the most common analyzer
range expected during emission testing. Optimization involves adjusting
flows and pressures of FID fuel, burner air, and sample to minimize
response variations to various hydrocarbon species in the exhaust. Use
good engineering judgment to trade off peak FID response to propane
calibration gases to achieve minimal response variations to different
hydrocarbon species. For an example of trading off response to propane
for relative responses to other hydrocarbon species, see SAE 770141
(incorporated by reference in Sec. 1065.1010). Determine the optimum
flow rates for FID fuel, burner air, and sample and record them for
future reference.
(d) THC FID CH₄ response factor determination. This
procedure is only for FID analyzers that measure THC. Since FID
analyzers generally have a different response to CH₄ versus
C₃H₈, determine each THC FID analyzer's
CH₄ response factor, RF_CH4, after FID
optimization. Use the most recent RFCH₄ measured according
to this section in the calculations for HC determination described in
Sec. 1065.660 to compensate for CH₄ response. Determine
RF_CH4 as follows, noting that you do not determine
RFCH₄ for FIDs that are calibrated and spanned using
CH₄ with a nonmethane cutter:
(1) Select a C₃H₈ span gas concentration that
you use to span your analyzers before emission testing. Use only span
gases that meet the specifications of Sec. 1065.750. Record the
C₃H₈ concentration of the gas.
(2) Select a CH₄ span gas concentration that you use to
span your analyzers before emission testing. Use only span gases that
meet the specifications of Sec. 1065.750. Record the CH₄
concentration of the gas.
(3) Start and operate the FID analyzer according to the
manufacturer's instructions.
(4) Confirm that the FID analyzer has been calibrated using
C₃H₈. Calibrate on a carbon number basis of one
(C₁). For example, if you use a C₃H₈
span gas of concentration 200 [mu]mol/mol, span the FID to respond with
a value of 600 [mu]mol/mol.
(5) Zero the FID with a zero gas that you use for emission testing.
(6) Span the FID with the C₃H₈ span gas that
you selected under paragraph (d)(1) of this section.
(7) Introduce at the sample port of the FID analyzer, the
CH₄ span gas that you selected under paragraph (d)(2) of
this section.
(8) Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the analyzer and to
account for its response.
(9) While the analyzer measures the CH₄ concentration,
record 30 seconds of sampled data. Calculate the arithmetic mean of
these values.
(10) Divide the mean measured concentration by the recorded span
concentration of the CH₄ calibration gas. The result is the
FID analyzer's response factor for CH₄, RF_CH4.
(e) THC FID methane (CH₄) response verification. This
procedure is only for FID analyzers that measure THC. If the value of
RF_CH4 from paragraph (d) of this section is within 5.0% of its most
recent previously determined value, the THC FID passes the methane response
verification. For example, if the most recent previous value for RF_CH4 was 1.05
and it changed by ±0.05 to become 1.10 or it changed by -0.05 to become

[[Page 16135]]

1.00, either case would be acceptable because ±4.8% is less
than ±5.0%. Verify RF_CH4 as follows:
(1) First verify that the pressures and flow rates of FID fuel,
burner air, and sample are each within ±0.5% of their most
recent previously recorded values, as described in paragraph (c) of
this section. You may adjust these flow rates as necessary. Then
determine the RF_CH4 as described in paragraph (d) of this
section and verify that it is within the tolerance specified in this
paragraph (e).
(2) If RF_CH4 is not within the tolerance specified in
this paragraph (e), re-optimize the FID response as described in
paragraph (c) of this section.
(3) Determine a new RF_CH4 as described in paragraph (d)
of this section. Use this new value of RF_CH4 in the
calculations for HC determination, as described in Sec. 1065.660.
53. Section 1065.362 is amended by revising paragraph (d) to read
as follows:

Sec. 1065.362 Non-stoichiometric raw exhaust FID O2 interference
verification.

* * * * *
(d) Procedure. Determine FID O₂ interference as follows,
noting that you may use one or more gas dividers to create the
reference gas concentrations that are required to perform this
verification:
(1) Select two span reference gases that contain a
C₃H₈ concentration that you use to span your
analyzers before emission testing. Use only span gases that meet the
specifications of Sec. 1065.750. You may use CH₄ span
reference gases for FIDs calibrated on CH₄ with a nonmethane
cutter. Select the two balance gas concentrations such that the
concentrations of O₂ and N₂ represent the minimum
and maximum O₂ concentrations expected during testing.
(2) Confirm that the FID analyzer meets all the specifications of
Sec. 1065.360.
(3) Start and operate the FID analyzer as you would before an
emission test. Regardless of the FID burner's air source during
testing, use zero air as the FID burner's air source for this verification.
(4) Zero the FID analyzer using the zero gas used during emission
testing.
(5) Span the FID analyzer using a span gas that you use during
emission testing.
(6) Check the zero response of the FID analyzer using the zero gas
used during emission testing. If the mean zero response of 30 seconds
of sampled data is within ±0.5% of the span reference value
used in paragraph (d)(5) of this section, then proceed to the next
step; otherwise restart the procedure at paragraph (d)(4) of this section.
(7) Check the analyzer response using the span gas that has the
minimum concentration of O₂ expected during testing. Record
the mean response of 30 seconds of stabilized sample data as
x_O2minHC.
(8) Check the zero response of the FID analyzer using the zero gas
used during emission testing. If the mean zero response of 30 seconds
of stabilized sample data is within ±0.5% of the span
reference value used in paragraph (d)(5) of this section, then proceed
to the next step; otherwise restart the procedure at paragraph (d)(4)
of this section.
(9) Check the analyzer response using the span gas that has the
maximum concentration of O₂ expected during testing. Record
the mean response of 30 seconds of stabilized sample data as
x_O2maxHC.
(10) Check the zero response of the FID analyzer using the zero gas
used during emission testing. If the mean zero response of 30 seconds
of stabilized sample data is within ±0.5% of the span
reference value used in paragraph (d)(5) of this section, then proceed
to the next step; otherwise restart the procedure at paragraph (d)(4)
of this section.
(11) Calculate the percent difference between x_O2maxHC
and its reference gas concentration. Calculate the percent difference
between x_O2minHC and its reference gas concentration.
Determine the maximum percent difference of the two. This is the
O₂ interference.
(12) If the O₂ interference is within ±1.5%,
the FID passes the O₂ interference verification; otherwise
perform one or more of the following to address the deficiency:
(i) Repeat the verification to determine if a mistake was made
during the procedure.
(ii) Select zero and span gases for emission testing that contain
higher or lower O₂ concentrations and repeat the verification.
(iii) Adjust FID burner air, fuel, and sample flow rates. Note that
if you adjust these flow rates on a THC FID to meet the O₂
interference verification, you must re-verify RF_CH4
according to Sec. 1065.360. Repeat the O₂ interference
verification after adjustment and RF_CH4 verification.
(iv) Repair or replace the FID and repeat the O₂
interference verification.
(v) Demonstrate that the deficiency does not adversely affect your
ability to demonstrate compliance with the applicable emission standards.
54. Section 1065.365 is revised to read as follows:

Sec. 1065.365 Nonmethane cutter penetration fractions.

(a) Scope and frequency. If you use a FID analyzer and a nonmethane
cutter (NMC) to measure methane (CH₄), determine the
nonmethane cutter's penetration fractions of methane, PF_CH4,
and ethane, PF_C2H6. As detailed in this section, these
penetration fractions may be determined as a combination of NMC
penetration fractions and FID analyzer response factors, depending on
your particular NMC and FID analyzer configuration. Perform this
verification after installing the nonmethane cutter. Repeat this
verification within 185 days of testing to verify that the catalytic
activity of the cutter has not deteriorated. Note that because
nonmethane cutters can deteriorate rapidly and without warning if they
are operated outside of certain ranges of gas concentrations and
outside of certain temperature ranges, good engineering judgment may
dictate that you determine a nonmethane cutter's penetration fractions
more frequently.
(b) Measurement principles. A nonmethane cutter is a heated
catalyst that removes nonmethane hydrocarbons from an exhaust sample
stream before the FID analyzer measures the remaining hydrocarbon
concentration. An ideal nonmethane cutter would have a methane
penetration fraction, PF_CH4, of 1.000, and the penetration
fraction for all other nonmethane hydrocarbons would be 0.000, as
represented by PF_C2H6. The emission calculations in Sec.
1065.660 use the measured values from this verification to account for
less than ideal NMC performance.
(c) System requirements. We do not limit NMC penetration fractions
to a certain range. However, we recommend that you optimize a
nonmethane cutter by adjusting its temperature to achieve a
PF_CH4 >0.85 and a PF_C2H6 <0.02, as determined by
paragraphs (d), (e), or (f) of this section, as applicable. If we use a
nonmethane cutter for testing, it will meet this recommendation. If
adjusting NMC temperature does not result in achieving both of these
specifications simultaneously, we recommend that you replace the
catalyst material. Use the most recently determined penetration values
from this section to calculate HC emissions according to Sec. 1065.660
and Sec. 1065.665 as applicable.
(d) Procedure for a FID calibrated with the NMC. If your FID
arrangement is such that a FID is always calibrated to measure
CH₄ with the NMC, then span that FID with the NMC cutter
using a CH₄ span gas, set the product of that FID's
CH₄ response factor and CH₄ penetration fraction,
RF_CH4 ? PF_CH4, equal to 1.0 for all
emission calculations, and determine its ethane (C₂H₆)
penetration fraction, PF_C2H6 as follows:

[[Page 16136]]

(1) Select a CH₄ gas mixture and a
C₂H₆ analytical gas mixture and ensure that both
mixtures meet the specifications of Sec. 1065.750. Select a
CH₄ concentration that you would use for spanning the FID
during emission testing and select a C₂H₆
concentration that is typical of the peak NMHC concentration expected
at the hydrocarbon standard or equal to THC analyzer's span value.
(2) Start, operate, and optimize the nonmethane cutter according to
the manufacturer's instructions, including any temperature optimization.
(3) Confirm that the FID analyzer meets all the specifications of
Sec. 1065.360.
(4) Start and operate the FID analyzer according to the
manufacturer's instructions.
(5) Zero and span the FID with the cutter and use CH₄
span gas to span the FID with the cutter. Note that you must span the
FID on a C₁ basis. For example, if your span gas has a
CH₄ reference value of 100 [mu]mol/mol, the correct FID
response to that span gas is 100 [mu]mol/mol because there is one
carbon atom per CH₄ molecule.
(6) Introduce the C₂H₆ analytical gas mixture
upstream of the nonmethane cutter.
(7) Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the nonmethane cutter and
to account for the analyzer's response.
(8) While the analyzer measures a stable concentration, record 30
seconds of sampled data. Calculate the arithmetic mean of these data points.
(9) Divide the mean by the reference value of
C₂H₆, converted to a C₁ basis. The
result is the C₂H₆ penetration fraction,
PF_C2H6. Use this penetration fraction and the product of the
CH₄ response factor and CH₄ penetration fraction,
RF_CH4 ? PF_CH4, set to 1.0 in emission
calculations according to Sec. 1065.660 or Sec. 1065.665, as applicable.
(e) Procedure for a FID calibrated with propane, bypassing the NMC.
If you use a FID with an NMC that is calibrated with propane,
C₃H₈, by bypassing the NMC, determine penetration
fractions as follows:
(1) Select CH₄ and C₂H₆ analytical
gas mixtures that meet the specifications of Sec. 1065.750 with the
CH₄ concentration typical of its peak concentration expected
at the hydrocarbon standard and the C₂H₆
concentration typical of the peak total hydrocarbon (THC) concentration
expected at the hydrocarbon standard or the THC analyzer span value.
(2) Start and operate the nonmethane cutter according to the
manufacturer's instructions, including any temperature optimization.
(3) Confirm that the FID analyzer meets all the specifications of
Sec. 1065.360.
(4) Start and operate the FID analyzer according to the
manufacturer's instructions.
(5) Zero and span the FID as you would during emission testing.
Span the FID by bypassing the cutter and by using
C₃H₈ span gas to span the FID. Note that you must
span the FID on a C₁ basis. For example, if your span gas
has a propane reference value of 100 [mu]mol/mol, the correct FID
response to that span gas is 300 [mu]mol/mol because there are three
carbon atoms per C₃H₈ molecule.
(6) Introduce the C₂H₆ analytical gas mixture
upstream of the nonmethane cutter.
(7) Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the nonmethane cutter and
to account for the analyzer's response.
(8) While the analyzer measures a stable concentration, record 30
seconds of sampled data. Calculate the arithmetic mean of these data points.
(9) Reroute the flow path to bypass the nonmethane cutter,
introduce the C₂H₆ analytical gas mixture to the
bypass, and repeat the steps in paragraphs (e)(7) through (8) of this
section.
(10) Divide the mean C₂H₆ concentration
measured through the nonmethane cutter by the mean concentration
measured after bypassing the nonmethane cutter. The result is the
C₂H₆ penetration fraction, PF_C2H6. Use
this penetration fraction according to Sec. 1065.660 or Sec.
1065.665, as applicable.
(11) Repeat the steps in paragraphs (e)(6) through (10) of this
section, but with the CH₄ analytical gas mixture instead of
C₂H₆. The result will be the CH₄
penetration fraction, PF_CH4. Use this penetration fraction
according to Sec. 1065.660 or Sec. 1065.665, as applicable.
(f) Procedure for a FID calibrated with methane, bypassing the NMC.
If you use a FID with an NMC that is calibrated with methane, CH₄,
by bypassing the NMC, determine penetration fractions as follows:
(1) Select CH₄ and C₂H₆ analytical
gas mixtures that meet the specifications of Sec. 1065.750, with the
CH₄ concentration typical of its peak concentration expected
at the hydrocarbon standard and the C₂H₆
concentration typical of the peak total hydrocarbon (THC) concentration
expected at the hydrocarbon standard or the THC analyzer span value.
(2) Start and operate the nonmethane cutter according to the
manufacturer's instructions, including any temperature optimization.
(3) Confirm that the FID analyzer meets all the specifications of
Sec. 1065.360.
(4) Start and operate the FID analyzer according to the
manufacturer's instructions.
(5) Zero and span the FID as you would during emission testing.
Span the FID with CH₄ span gas by bypassing the cutter. Note
that you must span the FID on a C₁ basis. For example, if
your span gas has a methane reference value of 100 [mu]mol/mol, the
correct FID response to that span gas is 100 [mu]mol/mol because there
is one carbon atom per CH₄ molecule.
(6) Introduce the C₂H₆ analytical gas mixture
upstream of the nonmethane cutter.
(7) Allow time for the analyzer response to stabilize.
Stabilization time may include time to purge the nonmethane cutter and
to account for the analyzer's response.
(8) While the analyzer measures a stable concentration, record 30
seconds of sampled data. Calculate the arithmetic mean of these data
points.
(9) Reroute the flow path to bypass the nonmethane cutter,
introduce the C₂H₆ analytical gas mixture to the
bypass, and repeat the steps in paragraphs (e)(7) and (8) of this section.
(10) Divide the mean C₂H₆ concentration
measured through the nonmethane cutter by the mean concentration
measured after bypassing the nonmethane cutter. The result is the
C₂H₆ penetration fraction, PF_C2H6. Use
this penetration fraction according to Sec. 1065.660 or Sec.
1065.665, as applicable.
(11) Repeat the steps in paragraphs (e)(6) through (10) of this
section, but with the CH₄ analytical gas mixture instead of
C₂H₆. The result will be the CH₄
penetration fraction, PF_CH4. Use this penetration fraction
according to Sec. 1065.660 or Sec. 1065.665, as applicable.
55. Section 1065.370 is amended by revising paragraphs (e) and
(g)(1) to read as follows:

Sec. 1065.370 CLD CO2 and H2O quench verification.

* * * * *
(e) H2O quench verification procedure. Use the following method to
determine H₂O quench, or use good engineering judgment to
develop a different protocol:
(1) Use PTFE tubing to make necessary connections.
(2) If the CLD has an operating mode in which it detects NO-only,
as opposed to total NO_X, operate the CLD in the NO-only
operating mode.

[[Continued on page 16137]]

Notices For
2007
2006
2005
2004
2003
2002
2001
2000
1999
1998
1997
1996
1995
1994

Control of Emissions of Air Pollution From Locomotive Engines and Marine Compression-Ignition Engines Less Than 30 Liters per Cylinder

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