- § 1042.301 - General provisions.
- § 1042.302 - Applicability of this subpart for Category 3 engines.
- § 1042.305 - Preparing and testing production-line engines.
- § 1042.310 - Engine selection for Category 1 and Category 2 engines.
- § 1042.315 - Determining compliance.
- § 1042.320 - What happens if one of my production-line engines fails to meet emission standards?
- § 1042.325 - What happens if an engine family fails the production-line testing requirements?
- § 1042.330 - Selling engines from an engine family with a suspended certificate of conformity.
- § 1042.335 - Reinstating suspended certificates.
- § 1042.340 - When may EPA revoke my certificate under this subpart and how may I sell these engines again?
- § 1042.345 - Reporting.
- § 1042.350 - Recordkeeping.
§ 1042.301 - General provisions.
(a) If you produce freshly manufactured marine 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 your application for certification and include your basis for projecting a production volume below 100 units. We will approve your request if we agree that you have made good-faith estimates of your production volumes. Your exemption is approved when we grant your certificate. You must promptly notify us if your actual production exceeds 100 units during the model year. If you exceed the production limit or if there is evidence of a nonconformity, we may require you to test production-line engines under this subpart, or under 40 CFR part 1068, subpart E, even if we have approved an exemption under this paragraph (a)(2).
(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 §§ 1042.325 and 1042.340).
(c) Other regulatory provisions authorize us to suspend, revoke, or void your certificate of conformity, or order recalls for engine families, without regard to whether they have passed these production-line testing requirements. The requirements of this subpart do not affect our ability to do selective enforcement audits, as described in 40 CFR part 1068. Individual engines in families that pass these production-line testing requirements must also conform to all applicable regulations of this part and 40 CFR part 1068.
(d) You may use alternate programs or measurement methods for testing production-line engines in the following circumstances:
(2) You may test your engines using the CumSum procedures specified in 40 CFR part 1045 or 1051 instead of the procedures specified in this subpart, except that the threshold for establishing quarterly or annual test periods is based on U.S.-directed production volumes of 800 instead of 1600. This alternate program does not require prior approval.
(3) You may ask to use another alternate program or measurement method for testing production-line engines. In your request, you must show us that the alternate program gives equal assurance that your engines 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 a Category 1 or Category 2 engine family with carryover emission data, as described in § 1042.235(d), and these equivalent engine families consistently pass the production-line testing requirements over the preceding two-year period, you may ask for a reduced testing rate for further production-line testing for that family. The minimum testing rate is one engine per engine family. If we reduce your testing rate, we may limit our approval to any number of model years. In determining whether to approve your request, we may consider the number of engines that have failed the emission tests.
(f) We may ask you to make a reasonable number of production-line engines available for a reasonable time so we can test or inspect them for compliance with the requirements of this part. For Category 3 engines, you are not required to deliver engines to us, but we may inspect and test your engines at any facility at which they are assembled or installed in vessels.
§ 1042.302 - Applicability of this subpart for Category 3 engines.
If you produce Tier 3 or later Category 3 engines that are certified under this part, you must test them as described in this subpart, except as specified in this section.
(a) You must test each Category 3 engine at the sea trial of the vessel in which it is installed or within the first 300 hours of operation, whichever occurs first. This may involve testing a fully assembled production engine before it is installed in the vessel. For engines with on-off controls, you may omit testing to demonstrate compliance with Tier 2 standards if the engine does not rely on aftertreatment when Tier 3 emission controls are disabled. Since you must test each engine, the provisions of §§ 1042.310 and 1042.315(b) do not apply for Category 3 engines. If we determine that an engine failure under this subpart is caused by defective components or design deficiencies, we may revoke or suspend your certificate for the engine family as described in § 1042.340. If we determine that an engine failure under this subpart is caused only by incorrect assembly, we may suspend your certificate for the engine family as described in § 1042.325. If the engine fails, you may continue operating only to complete the sea trial and return to port. It is a violation of 40 CFR 1068.101(b)(1) to operate the vessel further until you remedy the cause of failure. Each two-hour period of such operation constitutes a separate offense. A violation lasting less than two hours constitutes a single offense.
(b) You are only required to measure NO
(c) If you are unable to operate the engine at the test points for the specified duty cycle, you may approximate these points consistent with the specifications of section 6 of Appendix 8 to the NO
(d) You may measure NO
(e) You may ask to measure emissions according to the Direct Measurement and Monitoring method specified in section 6.4 of the NO
§ 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. For Category 1 and Category 2 engines, the not-to-exceed standards apply for this testing of Category 1 and Category 2 engines, but you need not do additional testing to show that production-line engines meet the not-to-exceed standards. The mode cap standards apply for the testing of Category 3 engines.
(b) Modifying a test engine. Once an engine is selected for testing (see § 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 or Category 3 engine to any setting within its specified 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 specified adjustable range by considering their effect on emission levels. We may also consider how likely it is that someone will make such an adjustment with in-use engines.
(e) 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 or Category 3 engines, you may ask us to approve a Green Engine Factor for each regulated pollutant for each engine family. Use the Green Engine Factor to adjust measured emission levels to establish a stabilized low-hour emission level.
(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 § 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 we determine that you improperly invalidated a test, we may require you to ask for our approval for future testing before substituting results of the new tests for invalid ones.
§ 1042.310 - Engine selection for Category 1 and Category 2 engines.
(a) Determine minimum sample sizes as follows:
(1) For Category 1 engines, the minimum sample size is one engine or one percent of the projected U.S.-directed production volume for all your Category 1 engine families, whichever is greater.
(2) For Category 2 engines, the minimum sample size is one engine or one percent of the projected U.S.-directed production volume for all your Category 2 engine families, whichever is greater.
(b) Randomly select one engine from each engine family early in the model year. 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, unless we specify a different schedule for your tests. For example, we may require you to disproportionately select engines from the early part of a model year for a new engine model that has not previously been subject to production-line testing.
(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 days, whichever 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 § 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.
§ 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 § 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 and round the test results for each engine. If you do several tests on an engine, calculate the initial results for each test, then add all the test results together and divide by the number of tests. Round this final calculated value for the final test results on that engine. Include the Green Engine Factor to determine low-hour emission results, if applicable.
(2) Final deteriorated test results. Apply the deterioration factor for the engine family to the final test results (see § 1042.240(c)).
(3) Round deteriorated test results. Round the results to the number of decimal places in the emission standard expressed to one more decimal place.
(b) For Category 1 and Category 2 engines, if a production-line engine fails to meet emission standards and you test two additional engines as described in § 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 § 1042.225(f).
§ 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 § 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 the test results and describe the remedy for each engine in the written report required under § 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 § 1042.225).
(c) For catalyst-equipped engines, you may ask us to allow you to exclude an initial failed test if all of the following are true:
(1) The catalyst was in a green condition when tested initially.
(2) The engine met all emission standards when retested after degreening the catalyst.
(3) No additional emission-related maintenance or repair was performed between the initial failed test and the subsequent passing test.
§ 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 § 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 § 1042.920). 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 before or after we suspend your certificate as described in § 1042.225(f). We will approve your request if the failure is not caused by a defect and it is clear that you used good engineering judgment in establishing the original FEL.
§ 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 § 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.
§ 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.
§ 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 § 1042.325 is inadequate to solve the problem or requires you to change the engine's design or emission control system.
(b) To sell engines from an engine family with a revoked certificate of conformity, you must modify the engine family and then show it complies with the requirements of this part.
(1) If we determine your proposed design change may not control emissions for the engine's full useful life, we will tell you within five working days after receiving your report. In this case we will decide whether production-line testing will be enough for us to evaluate the change or whether you need to do more testing.
(2) Unless we require more testing, you may show compliance by testing production-line engines as described in this subpart.
(3) We will issue a new or updated certificate of conformity when you have met these requirements.
§ 1042.345 - Reporting.
(a) Within 45 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; all initial test results; final test results; and final deteriorated test results for all tests. Provide the emission results for all measured pollutants. Include information for both valid and invalid tests and the reason for any invalidation.
(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 § 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. We may also ask you to send less information.
(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 § 1042.915 for information on how we treat information you consider confidential.
§ 1042.350 - Recordkeeping.
(a) Organize and maintain your records as described in this section. We may review your records at any time.
(b) Keep paper or electronic records of your production-line testing for eight years after you complete all the testing required for an engine family in a model year.
(c) Keep a copy of the written reports described in § 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 § 1042.345 that you do not include in your written reports.
(e) If we ask, you must give us a more detailed description of projected or actual production figures for an engine family. We may ask you to divide your production figures by maximum engine power, displacement, fuel type, or assembly plant (if you produce engines at more than one plant).
(f) Keep records of the engine identification number for each engine you produce under each certificate of conformity. You may identify these numbers as a range. Give us these records within 30 days if we ask for them.
(g) We may ask you to keep or send other information necessary to implement this subpart.