CFR > Title 40 - Protection of Environment > CHAPTER I—ENVIRONMENTAL PROTECTION AGENCY > SUBCHAPTER U—AIR POLLUTION CONTROLS (Parts 1027–1074) > PART 1042—CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE COMPRESSION-IGNITION ENGINES AND VESSELS > SUBPART B—Emission Standards and Related Requirements (§1042.101 to §1042.145) > 1042.104—Exhaust emission standards for Category 3 engines.

1042.104—Exhaust emission standards for Category 3 engines.

Except as provided in this section and § 1042.5, the regulations in this part 1042 apply for all new compression-ignition marine engines (including new engines deemed to be compression-ignition engines under this section) and vessels containing such engines. See § 1042.901 for the definitions of engines and vessels considered to be new.
(a) The emission standards of this part 1042 for freshly manufactured engines apply for new marine engines starting with the model years noted in the following tables:
Table 1 to § 1042.1 —Part 1042 Applicability by Model Year
Engine category Maximum engine power a Displacement (L/cyl) or application Model year
Category 1 kW < 75 disp. < 0.9 b 2009
75 ≤ kW ≤ 3700 disp. < 0.9 2012
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0.9 ≤ disp. < 1.2 2013
1.2 ≤ disp. < 2.5 2014
2.5 ≤ disp. < 3.5 2013
3.5 ≤ disp. < 7.0 2012
kW > 3700 disp. < 7.0 2014
Category 2 kW ≤ 3700 7.0 < disp. < 15.0 2013
kW > 3700 7.0 ≤ disp. < 15.0 2014
All 15 ≤ disp. < 30 2014
Category 3 All disp. ≥ 30 2011
a See § 1042.140 , which describes how to determine maximum engine power.
b See Table 1 of § 1042.101 for the first model year in which this part 1042 applies for engines with maximum engine power below 75 kW and displacement at or above 0.9 L/cyl.
(b) New engines with maximum engine power below 37 kW and originally manufactured and certified before the model years identified in Table 1 to this section are subject to emission standards and requirements of 40 CFR part 89. The provisions of this part 1042 do not apply for such engines certified under 40 CFR part 89, except as follows beginning June 29, 2010:
(1) The allowances of this part apply.
(2) The definitions of “new marine engine” and “model year” apply.
(c) Freshly manufactured engines with maximum engine power at or above 37 kW and originally manufactured and certified before the model years identified in Table 1 to this section are subject to emission standards and requirements of 40 CFR part 94. The provisions of this part 1042 do not apply for such engines certified under 40 CFR part 89, except as follows beginning June 29, 2010:
(1) The allowances of this part apply.
(2) The definitions of “new marine engine” and “model year” apply.
(3) The remanufacturing provisions in subpart I of this part may apply for remanufactured engines originally manufactured in model years before the model years identified in Table 1 to this section.
(4) 40 CFR part 94 specifies other provisions from this part 1042 that apply.
(d) Engines with model years before those specified in Table 1 to this section are generally subject to the Tier 1 or Tier 2 standards of 40 CFR part 94. Such engines may be certified to those standards under this part 1042. All the provisions of this part except the emission standards apply to such engines if they are certified under this part. Note that engines subject to, but not certified to, the standards of 40 CFR part 94 are subject to the requirements and prohibitions of this part and 40 CFR part 1068.
(e) The requirements of subpart I of this part apply to remanufactured Category 1 and Category 2 engines beginning July 7, 2008.
(f) The marine engines listed in this paragraph (f) are subject to all the requirements of this part even if they do not meet the definition of “compression-ignition” in § 1042.901. The following engines are deemed to be compression-ignition engines for purposes of this part:
(1) Marine engines powered by natural gas or other gaseous fuels with maximum engine power at or above 250 kW. Note that gaseous-fueled engines with maximum engine power below 250 kW may or may not meet the definition of “compression-ignition” in § 1042.901.
(2) Marine gas turbine engines.
(3) Other marine internal combustion engines that do not meet the definition of “spark-ignition” in § 1042.901.
(g) Some of the provisions of this part may apply for other engines as specified in 40 CFR part 1043.

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[75 FR 22994, Apr. 30, 2010]

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Effective Date Note: At 76 FR 37977, June 28, 2011, § 1042.1 was amended by adding paragraph (h), effective August 29, 2011. For the convenience of the user, the added text is set forth as follows: § 1042.1 Applicability (h) Starting with the model years noted in Table 1 of this section, all of the subparts of this part, except subpart I, apply as specified in 40 CFR part 60 , subpart IIII, to freshly manufactured stationary compression-ignition engines subject to the standards of 40 CFR part 60 , subpart IIII, that have a per-cylinder displacement at or above 10 liters and below 30 liters per cylinder. Such engines are considered Category 2 engines for purposes of this part 1042 .
This part 1042 is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part 1042 and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify engines under this part. Note that § 1042.145 discusses certain interim requirements and compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate of conformity.
(d) Subpart D of this part describes general provisions for testing production-line engines.
(e) Subpart E of this part describes general provisions for testing in-use engines.
(f) Subpart F of this part and 40 CFR 1065 describe how to test your engines.
(g) Subpart G of this part and 40 CFR part 1068 describe requirements, prohibitions, and other provisions that apply to engine manufacturers, vessel manufacturers, owners, operators, rebuilders, and all others.
(h) Subpart H of this part describes how you may generate and use emission credits to certify your engines.
(i) Subpart I of this part describes how these regulations apply for remanufactured engines.
(j) Subpart J of this part contains definitions and other reference information.
(a) Part 1043 of this chapter describes requirements related to international pollution prevention that apply for some of the engines subject to this part.
(b) The evaporative emission requirements of part 1060 of this chapter apply to vessels that include installed engines fueled with a volatile liquid fuel as specified in § 1042.107. (Note: Conventional diesel fuel is not considered to be a volatile liquid fuel.)
(c) Part 1065 of this chapter describes procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part 1042 describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the exhaust emission standards in this part.
(d) The requirements and prohibitions of part 1068 of this chapter apply to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part 1042, or vessels containing these engines. Part 1068 of this chapter describes general provisions, including these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vessel manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Defect reporting and recall.
(7) Procedures for hearings.
(e) Other parts of this chapter apply if referenced in this part.

Code of Federal Regulations

[75 FR 22995, Apr. 30, 2010]
(a) Duty-cycle standards. Exhaust emissions from your engines may not exceed emission standards, as follows:
(1) Measure emissions using the test procedures described in subpart F of this part.
(2) The following CO emission standards in this paragraph (a)(2) apply starting with the applicable model year identified in § 1042.1 :
(i) 8.0 g/kW-hr for engines below 8 kW.
(ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.
(iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.
(iv) 5.0 g/kW-hr for engines at or above 37 kW.
(3) Except as described in paragraphs (a)(4) and (5) of this section, the Tier 3 standards for PM and NOX HC emissions are described in the following tables:

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[Please see PDF for image: ER30AP10.104 ]
Table 2 to § 1042.101 —Tier 3 Standards for Category 2 Engines Below 3700 kW a
Displacement (L/cyl) Maximum engine power Model year PM(g/kW-hr) NOX HC(g/kW-hr)
7.0 ≤ disp. < 15.0 kW < 2000 2013 0.14 6.2
2000 ≤ kW < 3700 2013 0.14 b 7.8
15.0 ≤ disp. < 20.0 c kW < 2000 2014 0.34 7.0
20.0 ≤ disp. < 25.0 c kW < 2000 2014 0.27 9.8
25.0 ≤ disp. < 30.0 c kW < 2000 2014 0.27 11.0
a No Tier 3 standards apply for Category 2 engines at or above 3700 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines.
b For engines subject to the 7.8 g/kW-hr NOX HC standard, FELs may not be higher than the Tier 1 NOX standard specified in Appendix I of this part.
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c No Tier 3 standards apply for Category 2 engines with per-cylinder displacement above 15.0 liters if maximum engine power is at or above 2000 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines.
(4) For Tier 3 engines at or above 19 kW and below 75 kW with displacement below 0.9 L/cyl, you may alternatively certify some or all of your engine families to a PM emission standard of 0.20 g/kW-hr and a NOX HC emission standard of 5.8 g/kW-hr for 2014 and later model years.
(5) Starting with the 2014 model year, recreational marine engines at or above 3700 kW (with any displacement) must be certified under this part 1042 to the Tier 3 standards specified in this section for 3.5 to 7.0 L/cyl recreational marine engines.
(6) Interim Tier 4 PM standards apply for 2014 and 2015 model year engines between 2000 and 3700 kW as specified in this paragraph (a)(6). These engines are considered to be Tier 4 engines.
(i) For Category 1 engines, the Tier 3 PM standards from Table 1 to this section continue to apply. PM FELs for these engines may not be higher than the applicable Tier 2 PM standards specified in Appendix I of this part.
(ii) For Category 2 engines with per-cylinder displacement below 15.0 liters, the Tier 3 PM standards from Table 2 to this section continue to apply. PM FELs for these engines may not be higher than 0.27 g/kW-hr.
(iii) For Category 2 engines with per-cylinder displacement at or above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or above 3300 kW and below 3700 kW. PM FELs for these engines may not be higher than 0.50 g/kW-hr.
(7) Except as described in paragraph (a)(8) of this section, the Tier 4 standards for PM, NOX, and HC emissions are described in the following table:
Table 3 to § 1042.101 —Tier 4 Standards for Category 2 and Commercial Category 1 Engines Above 600 kW
Maximum engine power Displacement(L/cyl) Model year PM(g/kW-hr) NOX(g/kW-hr) HC(g/kW-hr)
600 ≤ kW < 1400 all 2017 0.04 1.8 0.19
1400 ≤ kW < 2000 all 2016 0.04 1.8 0.19
2000 ≤ kW < 3700 a all 2014 0.04 1.8 0.19
kW ≥ 3700 disp. <15.0 2014-2015 0.12 1.8 0.19
15.0 ≤ disp.< 30.0 2014-2015 0.25 1.8 0.19
all 2016 0.06 1.8 0.19
a See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for engines between 2000 and 3700 kW. The Tier 4 NOX FEL cap for engines at or above 2000 kW and below 3700 kW is 7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for engines at or above 2000 kW and below 3700 kW is 0.34 g/kW-hr.
(8) The following optional provisions apply for complying with the Tier 3 and Tier 4 standards specified in paragraphs (a)(3) and (6) of this section:
(i) You may use NOX credits accumulated through the ABT program to certify Tier 4 engines to a NOX HC emission standard of 1.9 g/kW-hr instead of the NOX and HC standards that would otherwise apply by certifying your family to a NOX HC FEL. Calculate the NOX credits needed as specified in subpart H of this part using the NOX HC emission standard and FEL in the calculation instead of the otherwise applicable NOX standard and FEL. You may not generate credits relative to the alternate standard or certify to the standard without using credits.
(ii) For engines below 1000 kW, you may delay complying with the Tier 4 standards in the 2017 model year for up to nine months, but you must comply no later than October 1, 2017.
(iii) For engines at or above 3700 kW, you may delay complying with the Tier 4 standards in the 2016 model year for up to twelve months, but you must comply no later than December 31, 2016.
(iv) For Category 2 engines at or above 1400 kW, you may alternatively comply with the Tier 3 and Tier 4 standards specified in Table 4 of this section instead of the NOX, HC, NOX HC, and PM standards specified in paragraphs (a)(3) and (6) of this section. The CO standards specified in paragraph (a)(2) of this section apply without regard to whether you choose this option. If you choose this option, you must do so for all engines at or above 1400 kW in the same displacement category (that is, 7-15, 15-20, 20-25, or 25-30 liters per cylinder) in model years 2012 through 2015.
Table 4 to § 1042.101 —Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW
Tier Maximum engine power Model year PM(g/kW-hr) NOX(g/kW-hr) HC(g/kW-hr)
Tier 3 kW ≥ 1400 2012-2014 0.14 7.8 NOX HC
Tier 4 1400 ≤ kW < 3700 2015 0.04 1.8 0.19
kW ≥ 3700 2015 0.06 1.8 0.19
(b) Averaging, banking, and trading. You may generate or use emission credits under the averaging, banking, and trading (ABT) program as described in subpart H of this part for demonstrating compliance with NOX, NOX HC, and PM emission standards for Category 1 and Category 2 engines. You may also use NOX or NOX HC emission credits to comply with the alternate NOX HC standard in paragraph (a)(8)(i) of this section. Generating or using emission credits requires that you specify a family emission limit (FEL) for each pollutant you include in the ABT program for each engine family. These FELs serve as the emission standards for the engine family with respect to all required testing instead of the standards specified in paragraph (a) of this section. The FELs determine the not-to-exceed standards for your engine family, as specified in paragraph (c) of this section. Unless otherwise specified, the following FEL caps apply:
(1) FELs for Tier 3 engines may not be higher than the applicable Tier 2 standards specified in Appendix I of this part.
(2) FELs for Tier 4 engines may not be higher than the applicable Tier 3 standards specified in paragraph (a)(3) of this section.
(c) Not-to-exceed standards. Except as noted in § 1042.145(e), exhaust emissions from all engines subject to the requirements of this part may not exceed the not-to-exceed (NTE) standards as follows:
(1) Use the following equation to determine the NTE standards:
(i) NTE standard for each pollutant = STD × M.
Where:
STD = The standard specified for that pollutant in this section if you certify without using ABT for that pollutant; or the FEL for that pollutant if you certify using ABT.
M = The NTE multiplier for that pollutant.
(ii) Round each NTE standard to the same number of decimal places as the emission standard.
(2) Determine the applicable NTE zone and subzones as described in § 1042.515. Determine NTE multipliers for specific zones and subzones and pollutants as follows:
(i) For commercial marine engines certified using the duty cycle specified in § 1042.505(b)(1), except for variable-speed propulsion marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.5 for NOX HC standards.
(D) Subzone 2: 1.9 for PM and CO standards.
(ii) For recreational marine engines certified using the duty cycle specified in § 1042.505(b)(2), except for variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzones 2 and 3: 1.5 for NOX HC standards.
(D) Subzones 2 and 3: 1.9 for PM and CO standards.
(iii) For variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers that are certified using the duty cycle specified in § 1042.505(b)(1), (2), or (3), apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.5 for NOX HC standards.
(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE standard in Subzone 2b for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(iv) For constant-speed engines certified using a duty cycle specified in § 1042.505(b)(3) or (4), apply the following NTE multipliers:
(A) Subzone 1: 1.2 for Tier 3 NOX HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.5 for NOX HC standards.
(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE standard for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(v) For variable-speed auxiliary marine engines certified using the duty cycle specified in § 1042.505(b)(5)(ii) or (iii) :
(A) Subzone 1: 1.2 for Tier 3 NOX HC standards.
(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.
(C) Subzone 2: 1.2 for Tier 3 NOX HC standards.
(D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO standards. However, there is no NTE standard for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.
(3) The NTE standards apply to your engines whenever they operate within the NTE zone for an NTE sampling period of at least thirty seconds, during which only a single operator demand set point may be selected. Engine operation during a change in operator demand is excluded from any NTE sampling period. There is no maximum NTE sampling period.
(4) Collect emission data for determining compliance with the NTE standards using the procedures described in subpart F of this part.
(5) You may ask us to accept as compliant an engine that does not fully meet specific requirements under the applicable NTE standards where such deficiencies are necessary for safety.
(d) Fuel types. The exhaust emission standards in this section apply for engines using the fuel type on which the engines in the engine family are designed to operate.
(1) You must meet the numerical emission standards for hydrocarbons in this section based on the following types of hydrocarbon emissions for engines powered by the following fuels:
(i) Alcohol-fueled engines must comply with Tier 3 HC standards based on THCE emissions and with Tier 4 standards based on NMHCE emissions.
(ii) Natural gas-fueled engines must comply with HC standards based on NMHC emissions.
(iii) Diesel-fueled and all other engines not described in paragraph (d)(1)(i) or (ii) of this section must comply with Tier 3 HC standards based on THC emissions and with Tier 4 standards based on NMHC emissions.
(2) Tier 3 and later engines must comply with the exhaust emission standards when tested using test fuels containing 15 ppm or less sulfur (ultra low-sulfur diesel fuel). Manufacturers may use low-sulfur diesel fuel (without request) to certify an engine otherwise requiring an ultra low-sulfur test fuel; however, emissions may not be corrected to account for the effects of using higher sulfur fuel.
(3) Engines designed to operate using residual fuel must comply with the standards and requirements of this part when operated using residual fuel in addition to complying with the requirements of this part when operated using diesel fuel.
(e) Useful life. Your engines must meet the exhaust emission standards of this section over their full useful life, expressed as a period in years or hours of engine operation, whichever comes first.
(1) The minimum useful life values are as follows, except as specified by paragraph (e)(2) or (3) of this section:
(i) 10 years or 1,000 hours of operation for recreational Category 1 engines
(ii) 5 years or 3,000 hours of operation for commercial engines below 19 kW.
(iii) 7 years or 5,000 hours of operation for commercial engines at or above 19 kW and below 37kW.
(iv) 10 years or 10,000 hours of operation for commercial Category 1 engines at or above 37 kW.
(v) 10 years or 20,000 hours of operation for Category 2 engines.
(2) Specify a longer useful life in hours for an engine family under either of two conditions:
(i) If you design, advertise, or market your engine to operate longer than the minimum useful life (your recommended hours until rebuild indicates a longer design life).
(ii) If your basic mechanical warranty is longer than the minimum useful life.
(3) You may request in your application for certification that we approve a shorter useful life for an engine family. We may approve a shorter useful life, in hours of engine operation but not in years, if we determine that these engines will rarely operate longer than the shorter useful life. If engines identical to those in the engine family have already been produced and are in use, your demonstration must include documentation from such in-use engines. In other cases, your demonstration must include an engineering analysis of information equivalent to such in-use data, such as data from research engines or similar engine models that are already in production. Your demonstration must also include any overhaul interval that you recommend, any mechanical warranty that you offer for the engine or its components, and any relevant customer design specifications. Your demonstration may include any other relevant information. The useful life value may not be shorter than any of the following:
(i) 1,000 hours of operation.
(ii) Your recommended overhaul interval.
(iii) Your mechanical warranty for the engine.
(f) Applicability for testing. The duty-cycle emission standards in this subpart apply to all testing performed according to the procedures in § 1042.505, including certification, production-line, and in-use testing. The not-to-exceed standards apply for all testing performed according to the procedures of subpart F of this part.

Code of Federal Regulations

[73 37243, June 30, 2008, as amended at 73 FR 59192, Oct. 8, 2008; 74 FR 8425, Feb. 24, 2009; 75 FR 22996, Apr. 30, 2010]
(a) Duty-cycle standards. Exhaust emissions from your engines may not exceed emission standards, as follows:
(1) Measure emissions using the test procedures described in subpart F of this part. Note that while no PM standards apply for Category 3 engines, PM emissions must be measured for certification testing and reported under § 1042.205. Note also that you are not required to measure PM emissions for other testing.
(2) NOX standards apply based on the engine's model year and maximum in-use engine speed as shown in the following table:
Table 1 to § 1042.104 —NOX Emission Standards for Category 3 Engines (g/kW-hr)
Emission standards Model year Maximum in-use engine speed
Less than130 RPM 130-2000RPM a Over 2000RPM
Tier 1 2004-2010 b 17.0 45.0·n (− 0.20 ) 9.8
Tier 2 2011-2015 14.4 44.0·n (− 0.23 ) 7.7
Tier 3 2016 and later 3.4 9.0·n (− 0.20 ) 2.0
a Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in § 1042.140 ). Round the standards to one decimal place.
b Tier 1 NOX standards apply as specified in 40 CFR part 94 for engines originally manufactured in model years 2004 through 2010. They are shown here only for reference.
(3) The HC standard for Tier 2 and later engines is 2.0 g/kW-hr. This standard applies as follows:
(i) Alcohol-fueled engines must comply with HC standards based on THCE emissions.
(ii) Natural gas-fueled engines must comply with HC standards based on NMHC emissions.
(iii) Diesel-fueled and all other engines not described in paragraph (a)(3)(i) or (ii) of this section must comply with HC standards based on THC emissions.
(4) The CO standard for Tier 2 and later engines is 5.0 g/kW-hr.
(b) Averaging, banking, and trading. Category 3 engines are not eligible for participation in the averaging, banking, and trading (ABT) program as described in subpart H of this part.
(c) Mode caps. Measured NOX emissions may not exceed the cap specified in this paragraph (c) for any applicable duty-cycl