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:
(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.
(7) In subpart I of this part we specify certain records related to meeting requirements for remanufactured engines.
(b) We specify the following requirements related to testing in 40 CFR part 1065:
(1) In 40 CFR 1065.2 we give an overview of principles for reporting information.
(2) In 40 CFR 1065.10 and 1065.12 we specify information needs for establishing various changes to published test procedures.
(3) In 40 CFR 1065.25 we establish basic guidelines for storing test information.
(4) In 40 CFR 1065.695 we identify 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.
Sec. Appendix I to Part 1042--Summary of Previous Emission Standards
The following standards apply to compression-ignition marine 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 to Appendix I--Emission Standards for Engines Below 37 kW (g/kW-hr)----------------------------------------------------------------------------------------------------------------
Rated power (kW) Tier Model year NMHC + NOX CO PM----------------------------------------------------------------------------------------------------------------kW<8.......................... Tier 1.......... 2000 10.5 8.0 1.0
Tier 2.......... 2005 7.5 8.0 0.808<=kW<19...................... Tier 1.......... 2000 9.5 6.6 0.80
Tier 2.......... 2005 7.5 6.6 0.8019<=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. NOX 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) 45.0 x N-0.20 when maximum test speed is at or above 130 but below 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 from Category 1 engines at or above 37 kW and all Category 2 engines may not exceed the values shown in the following table:
Table 2 to Appendix I--Primary Tier 2 Emission Standards for Commercial and Recreational Marine Engines at or Above 37 kW (g/kW-hr)--------------------------------------------------------------------------------------------------------------------------------------------------------
NOX + THC g/
Engine size liters/cylinder Maximum engine power Category Model year kW-hr CO g/kW-hr PM g/kW-hr--------------------------------------------------------------------------------------------------------------------------------------------------------disp. <0.9............................... power [gteqt]37 kW.......... Category 1 Commercial...... 2005 7.5 5.0 0.40
Category 1 Recreational.... 2007 7.5 5.0 0.400.9 <=disp. <1.2......................... All......................... Category 1 Commercial...... 2004 7.2 5.0 0.30
Category 1 Recreational.... 2006 7.2 5.0 0.301.2 <=disp. <2.5......................... All......................... Category 1 Commercial...... 2004 7.2 5.0 0.20
Category 1 Recreational.... 2006 7.2 5.0 0.202.5 <=disp. <5.0......................... All......................... Category 1 Commercial...... 2007 7.2 5.0 0.20
Category 1 Recreational.... 2009 7.2 5.0 0.205.0 <=disp. <15.0........................ All......................... Category 2................. 2007 7.8 5.0 0.2715.0 <=disp. <20.0....................... power <3300 kW.............. Category 2................. 2007 8.7 5.0 0.50
power [gteqt]3300 kW........ Category 2................. 2007 9.8 5.0 0.5020.0 <=disp. <25.0....................... All......................... Category 2................. 2007 9.8 5.0 0.5025.0 <=disp. <30.0....................... All......................... Category 2................. 2007 11 5.0 0.5--------------------------------------------------------------------------------------------------------------------------------------------------------
(3) Tier 2 supplemental standards. The not-to-exceed emission standards specified in 40 CFR 94.8(e) apply for all engines subject to the Tier 2 standards described in paragraph (b)(2) of this appendix. [73 FR 37243, June 30, 2008, as amended at 75 FR 23012, Apr. 30, 2010]
Sec. Appendix II to Part 1042--Steady-State Duty Cycles
(a) The following duty cycles apply as specified in Sec. 1042.505(b)(1):
(1) The following duty cycle applies for discrete-mode testing: ------------------------------------------------------------------------
Percent of
E3 mode No. Engine speed \1\ maximum test Weighting
power factors------------------------------------------------------------------------1................. Maximum test speed.. 100 0.2
2................. 91%................. 75 0.53................. 80%................. 50 0.154................. 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 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.
(b) The following duty cycles apply as specified in Sec. 1042.505(b)(2):
(1) The following duty cycle applies for discrete-mode testing: ------------------------------------------------------------------------
Percent of
E5 mode No. Engine speed \1\ maximum test Weighting
power factors------------------------------------------------------------------------1................. Maximum test speed.. 100 0.082................. 91%................. 75 0.133................. 80%................. 50 0.174................. 63%................. 25 0.325................. Warm 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 mode
RMC mode (seconds) Engine speed \1 3\ Power (percent) \2 3\----------------------------------------------------------------------------------------------------------------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.\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) The following duty cycles apply as specified in Sec. 1042.505(b)(3):
(1) The following duty cycle applies for discrete-mode testing: ------------------------------------------------------------------------
Torque Weighting
E2 mode No. Engine speed \1\ (percent) \2\ factors------------------------------------------------------------------------1................. Engine Governed..... 100 0.22................. Engine Governed..... 75 0.53................. 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...................... 229 Engine Governed........ 100.1b Transition........................ 20 Engine Governed........ Linear transition.2a Steady-state...................... 166 Engine Governed........ 25.2b Transition........................ 20 Engine Governed........ Linear transition.3a Steady-state...................... 570 Engine Governed........ 75.3b Transition........................ 20 Engine Governed........ Linear transition.4a Steady-state...................... 175 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. [73 FR 37243, June 30, 2008, as amended at 75 FR 68461, Nov. 8, 2010]
Sec. Appendix III to Part 1042--Not-to-Exceed Zones
(a) The following definitions apply for this Appendix III:
(1) Percent power means the percentage of the maximum power achieved at Maximum Test Speed (or at Maximum Test Torque for constant-speed engines).
(2) Percent speed means the percentage of Maximum Test Speed.
(b) Figure 1 of this Appendix illustrates the default NTE zone for commercial marine engines certified using the duty cycle specified in Sec. 1042.505(b)(1), except for variable-speed propulsion marine engines used with controllable-pitch propellers or with electrically coupled propellers, as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power =0.7 [middot] (percent speed) \2.5\.
(ii) Percent power <=(percent speed/0.9) \3.5\.
(iii) Percent power =3.0 [middot] (100%--percent speed).
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power =0.7 [middot] (percent speed) \2.5\.
(ii) Percent power <=(percent speed/0.9) \3.5\.
(iii) Percent power <3.0 [middot] (100% - percent speed).
(iv) Percent speed =70 percent. [GRAPHIC] [TIFF OMITTED] TR06MY08.013
(c) Figure 2 of this Appendix illustrates the default NTE zone for recreational marine engines certified using the duty cycle specified in Sec. 1042.505(b)(2), except for variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers, as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power =0.7 [middot] (percent speed) \2.5\.
(ii) Percent power <=(percent speed/0.9) \3.5\.
(iii) Percent power =3.0 [middot] (100%-percent speed).
(iv) Percent power <=95 percent.
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power =0.7 [middot] (percent speed) \2.5\.
(ii) Percent power <=(percent speed/0.9) \3.5\.
(iii) Percent power <3.0 [middot] (100%-percent speed).
(iv) Percent speed =70 percent.
(3) Subzone 3 is defined by the following boundaries:
(i) Percent power <=(percent speed/0.9) \3.5\.
(ii) Percent power 95 percent. [GRAPHIC] [TIFF OMITTED] TR06MY08.014
(d) Figure 3 of this Appendix illustrates the default NTE zone for variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers that are certified using the duty cycle specified in Sec. 1042.505(b)(1), (2), or (3), as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power =0.7 [middot] (percent speed) \2.5\.
(ii) Percent power =3.0 [middot] (100%-percent speed).
(iii) Percent speed =78.9 percent.
(2) Subzone 2a is defined by the following boundaries:
(i) Percent power =0.7 [middot] (percent speed) \2.5\.
(ii) Percent speed =70 percent.
(iii) Percent speed <78.9 percent, for Percent power 63.3 percent.
(iv) Percent power <3.0 [middot] (100%-percent speed), for Percent speed =78.9 percent.
(3) Subzone 2b is defined by the following boundaries:
(i) The line formed by connecting the following two points on a plot of speed-vs.-power:
(A) Percent speed = 70 percent; Percent power = 28.7 percent.
(B) Percent speed = 40 percent at governed speed; Percent power = 40 percent.
(ii) Percent power <0.7 [middot] (percent speed) \2.5\. [GRAPHIC] [TIFF OMITTED] TR06MY08.015
(e) Figure 4 of this Appendix illustrates the default NTE zone for constant-speed engines certified using a duty cycle specified in Sec. 1042.505(b)(3) or (b)(4), as follows:
(1) Subzone 1 is defined by the following boundaries:
(i) Percent power =70 percent.
(ii) [Reserved]
(2) Subzone 2 is defined by the following boundaries:
(i) Percent power <70 percent.
(ii) Percent power =40 percent. [GRAPHIC] [TIFF OMITTED] TR06MY08.016
(f) Figure 5 of this Appendix illustrates the default NTE zone for variable-speed auxiliary marine engines certified using the duty cycle specified in Sec. 1042.505(b)(5)(ii) or (iii), as follows:
(1) The default NTE zone is defined by the boundaries specified in 40 CFR 86.1370-2007(b)(1) and (2).
(2) A special PM subzone is defined in 40 CFR 1039.515(b). [GRAPHIC] [TIFF OMITTED] TR06MY08.017