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(a) General. The provisions in this section apply instead of other provisions in this part. This section describes when these interim provisions expire. Only the provisions of paragraph (h) of this section apply for Category 3 engines.
(b) [Reserved]
(c) [Reserved]
(d) [Reserved]
(e) [Reserved]
(f) In-use compliance limits. The provisions of this paragraph (f) apply for the first three model years of the Tier 4 standards. For purposes of determining compliance based on testing other than certification or production-line testing, calculate the applicable in-use compliance limits by adjusting the applicable standards/FELs. The PM adjustment does not apply for engines with a PM standard or FEL above 0.04 g/kW-hr. The NOX adjustment does not apply for engines with a NOX FEL above 2.7 g/kW-hr. Add the applicable adjustments in one of the following tables to the otherwise applicable standards and NTE limits. You must specify during certification which add-ons, if any, will apply for your engines.
| Fraction of useful life already used | In-use adjustments (g/kW-hr) | |
|---|---|---|
| For Tier 4 NOX standards | For Tier 4 PM standards | |
| 0 <hours ≤50% of useful life | 0.9 | 0.02 |
| 50 <hours ≤75% of useful life | 1.3 | 0.02 |
| hours >75% of useful life | 1.7 | 0.02 |
| Fraction of useful life already used | In-use adjustments (g/kW-hr) | |
|---|---|---|
| For model year 2017 and earlier Tier 4 NOX standards | For model year 2017 and earlier Tier 4 PM standards | |
| 0 <hours ≤50% of useful life | 0.3 | 0.05 |
| 50 <hours ≤75% of useful life | 0.4 | 0.05 |
| hours >75% of useful life | 0.5 | 0.05 |
(g) Deficiencies for NTE standards. You may ask us to accept as compliant an engine that does not fully meet specific requirements under the applicable NTE standards. Such deficiencies are intended to allow for minor deviations from the NTE standards under limited conditions. We expect your engines to have functioning emission control hardware that allows you to comply with the NTE standards.
(1) Request our approval for specific deficiencies in your application for certification, or before you submit your application. We will not approve deficiencies retroactively to cover engines already certified. In your request, identify the scope of each deficiency and describe any auxiliary emission control devices you will use to control emissions to the lowest practical level, considering the deficiency you are requesting.
(2) We will approve a deficiency only if compliance would be infeasible or unreasonable considering such factors as the technical feasibility of the given hardware and the applicable lead time and production cycles. We may consider other relevant factors.
(3) Our approval applies only for a single model year and may be limited to specific engine configurations. We may approve your request for the same deficiency in the following model year if correcting the deficiency would require unreasonable hardware or software modifications and we determine that you have demonstrated an acceptable level of effort toward complying.
(4) You may ask for any number of deficiencies in the first three model years during which NTE standards apply for your engines. For the next four model years, we may approve up to three deficiencies per engine family. Deficiencies of the same type that apply similarly to different power ratings within a family count as one deficiency per family. We may condition approval of any such additional deficiencies during these four years on any additional conditions we determine to be appropriate. We will not approve deficiencies after the seven-year period specified in this paragraph (g)(4), unless they are related to safety.
(h) Expanded production-line testing. Production-line testing requirements for Category 1 engine families with a projected U.S.-directed production volume below 100 engines and for all families certified by small-volume engine manufacturers start to apply in model year 2024. All manufacturers must test no more than four engine families in a single model year, and small-volume engine manufacturers must test no more than two engine families in a single model year.
(i) [Reserved]
(j) Installing land-based engines in marine vessels. may apply the provisions of §1042.605 to land-based engines with maximum engine power at or above 19 kW and below 600 kW produced under the allowances provided in 40 CFR 1039.625 for model year 2013 marine engines. All the provisions of §1042.605 apply as if those engines were certified to emission standards under 40 CFR part 1039. Similarly, engine manufacturers, vessel manufacturers, and marine equipment manufacturers must comply with all the provisions of 40 CFR 1039.625 as if those engines were installed in land-based equipment.
(1) You must label the engine as described in 40 CFR 1039.135, but identify the engine family name as it was last certified under 40 CFR part 1039 and include the following alternate compliance statement: “THIS ENGINE MEETS THE TIER 3 STANDARDS FOR LAND-BASED NONROAD DIESEL ENGINES UNDER 40 CFR PART 1039. THIS ENGINE MAY BE USED ONLY IN A MARINE VESSEL UNDER THE DRESSING PROVISIONS OF 40 CFR 1042.605 OR 40 CFR 1042.610.”
(2) You must use the provisions of 40 CFR 1068.262 for shipping uncertified engines under this section to secondary engine manufacturers.
(k) Adjusted implementation dates for Tier 4 standards. Engines and vessels may qualify for delaying the Tier 4 standards specified in § 1042.101 as follows:
(1) The delay is limited to model year 2021 and earlier engines and vessels that meet all the following characteristics:
(i) Category 1 propulsion engines with specific power density above 27.0 kW/liter, up to maximum engine power of 1,400 kW.
(ii) Vessels have total propulsion power at or below 2,800 kW.
(iii) Vessel waterline length is at or below 65 feet.
(iv) Vessels have a maximum speed (in knots) at or above 3.0 · L, where L is the vessel's waterline length, in feet.
(2) The delay also applies through model year 2023 for engines and vessels that meet all the following characteristics:
(i) Category 1 propulsion engines with specific power density above 35.0 kW/liter, up to maximum engine power of 1,000 kW.
(ii) Vessels have total propulsion power at or below 1,000 kW.
(iii) Vessel waterline length is at or below 50 feet.
(iv) Vessels have a maximum speed (in knots) at or above 3.0 · L, where L is the vessel's waterline length, in feet.
(v) Vessels have fiberglass or other nonmetal hulls.
(3) Vessel manufacturers must have a contract or purchase agreement signed before the end of the relief period for each vessel produced under this paragraph (k).
(4) Affected engines must instead be certified to the appropriate Tier 3 emission standards specified in § 1042.101. Engine manufacturers may include engine configurations with maximum engine power below 600 kW in the same engine family even if the power density is below the value specified in paragraph (k)(1) or (2) of this section.
(5) If you introduce an engine into U.S. commerce under this section, you must meet the labeling requirements in § 1042.135, but add the following statement instead of the compliance statement in §1042.135(c)(10):
THIS MARINE ENGINE COMPLIES WITH U.S. EPA TIER 3 EMISSION STANDARDS UNDER 40 CFR 1042.145(k). ANY OTHER INSTALLATION OR USE OF THIS ENGINE MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(l) [Reserved]
(m) Tier 4 waiver. Starting with model year 2024, vessel manufacturers may request an exemption from the Tier 4 standards as follows:
(1) The subject vessels and engines must meet the qualifications of paragraph (k)(2) of this section.
(2) Vessel manufacturers must send a written request for the exemption to the Designated Compliance Officer. The request must describe efforts taken to identify available engines certified to the Tier 4 standards, describe design efforts for installing engines in the subject vessels, identify the number of vessels needing exempt engines, demonstrate that the vessel cannot meet essential performance specifications using available Tier 4 engines, and state that engine and vessel manufacturers will meet all the terms and conditions that apply. We may approve an exemption from the Tier 4 standards based on the submitted information.
(3) Engine manufacturers may ship exempt engines under this paragraph (m) only after receiving a written request from a vessel manufacturer who has received our written approval to build a specific number of vessels. The prohibitions in 40 CFR 1068.101(a)(1) do not apply to a new engine that is subject to Tier 4 standards, subject to the following conditions:
(i) The engine meets the appropriate Tier 3 emission standards in §1042.101 consistent with the provisions specified in 40 CFR 1068.265.
(ii) The engine is installed on a vessel consistent with the conditions of this paragraph (m).
(iii) The engine meets the labeling requirements in §1042.135, with the following statement instead of the compliance statement in §1042.135(c)(10):
THIS MARINE ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION STANDARDS UNDER 40 CFR 1042.145(m). ANY OTHER INSTALLATION OR USE OF THIS ENGINE MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(n) Assigned deterioration factors. Engine manufacturers may use assigned deterioration factors for certifying Tier 4 engines with maximum power up to 1,400 kW, as follows:
(1) For engine families that have at least one configuration with maximum engine power at or below 1,400 kW and power density above 30.0 kW/liter, you may use assigned deterioration factors through model year 2024.
(2) For engine families that have at least one configuration with maximum engine power at or below 1,000 kW and power density above 30.0 kW/liter, you may use assigned deterioration factors through model year 2026.
(3) The assigned deterioration factors are multiplicative values of 1.1 for NOX and 1.4 for HC and CO, and an additive value of 0.003 g/kW-hr for PM, unless we approve your request to use different values. We will approve your proposed values if we determine based on data from similar engines and supporting rationale you submit with your request that they better represent your engines.
(o) Useful life for light-commercial engines. You may certify commercial Category 1 engines at or above 600 kW with power density above 45.00 kW/liter to the exhaust emission standards of this part over a full useful life of 10 years or 5,000 hours of operation instead of the useful-life values specified in §1042.101(e). Engines certified to this shorter useful life must be in their own engine family.
[73 FR 37243, June 30, 2008, as amended at 73 FR 59194, Oct. 8, 2008; 75 FR 23000, Apr. 30, 2010; 78 FR 36396, June 17, 2013; 85 FR 62231, Oct. 2 , 2020; 86 FR 34509, Jun. 29, 2021; 88 FR 4661, Jan. 24, 2023]