[Federal Register Volume 75, Number 83 (Friday, April 30, 2010)]
[Rules and Regulations]
[Pages 22896-23065]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-2534]
[[Page 22895]]
-----------------------------------------------------------------------
Part II
Environmental Protection Agency
-----------------------------------------------------------------------
40 CFR Parts 80, 85, 86, et al.
Control of Emissions From New Marine Compression-Ignition Engines at or
Above 30 Liters per Cylinder; Final Rule
Federal Register / Vol. 75, No. 83 / Friday, April 30, 2010 / Rules
and Regulations
[[Page 22896]]
-----------------------------------------------------------------------
ENVIRONMENTAL PROTECTION AGENCY
40 CFR Parts 80, 85, 86, 94, 1027, 1033, 1039, 1042, 1043, 1045,
1048, 1051, 1054, 1060, 1065, and 1068
[EPA-HQ-OAR-2007-0121; FRL-9097-4]
RIN 2060-AO38
Control of Emissions From New Marine Compression-Ignition Engines
at or Above 30 Liters per Cylinder
AGENCY: Environmental Protection Agency (EPA).
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: EPA is finalizing emission standards for new marine diesel
engines with per-cylinder displacement at or above 30 liters (called
Category 3 marine diesel engines) installed on U.S. vessels. These
emission standards are equivalent to those adopted in the amendments to
Annex VI to the International Convention for the Prevention of
Pollution from Ships (MARPOL Annex VI). The emission standards apply in
two stages--near-term standards for newly built engines will apply
beginning in 2011; long-term standards requiring an 80 percent
reduction in NOX emissions will begin in 2016. We are also
finalizing a change to our diesel fuel program that will allow for the
production and sale of 1,000 ppm sulfur fuel for use in Category 3
marine vessels. In addition, the new fuel requirements will generally
forbid the production and sale of other fuels above 1,000 ppm sulfur
for use in most U.S. waters, unless alternative devices, procedures, or
compliance methods are used to achieve equivalent emissions reductions.
We are adopting further provisions under the Act to Prevent Pollution
from Ships, especially to apply the emission standards to engines
covered by MARPOL Annex VI that are not covered by the Clean Air Act,
and to require that these additional engines use the specified fuels
(or equivalents).
The final regulations also include technical amendments to our
motor vehicle and nonroad engine regulations; many of these changes
involve minor adjustments or corrections to our recently finalized rule
for new nonroad spark-ignition engines, or adjustment to other
regulatory provisions to align with this recent final rule.
DATES: This final rule is effective on June 29, 2010. The incorporation
by reference of certain publications listed in this regulation is
approved by the Director of the Federal Register as of June 29, 2010.
ADDRESSES: EPA has established a docket for this action under Docket ID
No. EPA-HQ-OAR-2007-0121. All documents in the docket are listed on the
http://www.regulations.gov Web site. Although listed in the index, some
information is not publicly available, e.g., CBI or other information
whose disclosure is restricted by statute. Certain other material, such
as copyrighted material, is not placed on the Internet and will be
publicly available only in hard copy form. Publicly available docket
materials are available either electronically in http://www.regulations.gov or in hard copy at the EPA-HQ-OAR-2007-0121 Docket,
EPA/DC, EPA West, Room 3334, 1301 Constitution Ave., NW., Washington,
DC. The Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday
through Friday, excluding legal holidays. The telephone number for the
Public Reading Room is (202) 566-1744, and the telephone number for the
EPA-HQ-OAR-2007-0121 is (202) 566-1742.
FOR FURTHER INFORMATION CONTACT: Amy Kopin, U.S. EPA, Office of
Transportation and Air Quality, Assessment and Standards Division
(ASD), Environmental Protection Agency, 2000 Traverwood Drive, Ann
Arbor, MI 48105; telephone number: (734) 214-4417; fax number: (734)
214-4050; e-mail address: [email protected], or Assessment and
Standards Division Hotline; telephone number: (734) 214-4636.
SUPPLEMENTARY INFORMATION:
General Information
Does This Action Apply to Me?
This action affects companies that manufacture, sell, or import
into the United States new marine compression-ignition engines with per
cylinder displacement at or above 30 liters for use on vessels flagged
or registered in the United States; companies and persons that make
vessels that will be flagged or registered in the United States and
that use such engines; and the owners or operators of such U.S.
vessels. Additionally, this action may affect companies and persons
that rebuild or maintain these engines. Finally, this action may also
affect those that manufacture, import, distribute, sell, and dispense
fuel for use by Category 3 marine vessels. Affected categories and
entities include the following:
----------------------------------------------------------------------------------------------------------------
Category NAICS Code \a\ Examples of potentially affected entities
----------------------------------------------------------------------------------------------------------------
Industry..................................... 333618 Manufacturers of new marine diesel engines.
Industry..................................... 336611 Manufacturers of marine vessels.
Industry..................................... 811310 Engine repair and maintenance.
Industry..................................... 483 Water transportation, freight and passenger.
Industry..................................... 324110 Petroleum Refineries.
Industry..................................... 424710, 424720 Petroleum Bulk Stations and Terminals;
Petroleum and Petroleum Products Wholesalers.
Industry..................................... 483113 Coastal and Great Lakes Freight Transportation
Industry..................................... 483114 Coastal and Great Lakes Passenger
Transportation
----------------------------------------------------------------------------------------------------------------
Note:
\a\ North American Industry Classification System (NAICS).
This table is not intended to be exhaustive, but rather provides a
guide for readers regarding entities likely to be regulated by this
action. This table lists the types of entities that EPA is now aware
will be regulated by this action. Other types of entities not listed in
the table may also be regulated. To determine whether your company is
regulated by this action, you should carefully examine the
applicability criteria in 40 CFR 80.501, 94.1, 1042.1, and 1065.1, and
the final regulations. If you have questions, consult the person listed
in the preceding FOR FURTHER INFORMATION CONTACT section.
Table of Contents
I. Overview
A. What Are the Elements of EPA's Coordinated Strategy for
Ships?
B. Why Is EPA Making This Rule?
C. Statutory Basis for Action
II. Air Quality, Health and Welfare Impacts
A. Public Health Impacts
B. Environmental Impacts
C. Air Quality Modeling Results
D. Emissions From Ships With Category 3 Engines
III. Engine Standards
A. What Category 3 Marine Engines Are Covered?
[[Page 22897]]
B. What Standards Are We Finalizing for Newly Manufactured
Engines?
C. Are the Standards Feasible?
IV. Fuel Standards
A. Background
B. Diesel Fuel Standards Prior to This Final Rule
C. Applicability
D. Fuel Sulfur Standards
E. Technical Amendments to the Current Diesel Fuel Sulfur
Program Regulations
V. Emission Control Areas for U.S. Coasts
A. What Is an ECA?
B. U.S. Emission Control Area Designation
C. Technological Approaches To Comply With Fuel Standards
D. ECA Designation and Foreign-Flagged Vessels
VI. Certification and Compliance Program
A. Compliance Provisions for Category 3 Engines
B. Compliance Provisions To Implement Annex VI NOX
Regulation and the NOX Technical Code
C. Changes to the Requirements Specific to Engines Below 30
Liters per Cylinder
D. Other Regulatory Issues
E. U.S. Vessels Enrolled in the Maritime Security Program
VII. Costs and Economic Impacts
A. Estimated Fuel Costs
B. Estimated Engine Costs
C. Cost Effectiveness
D. Economic Impact Analysis
VIII. Benefits
A. Overview
B. Quantified Human Health Impacts
C. Monetized Benefits
D. What Are the Limitations of the Benefits Analysis?
E. Comparison of Costs and Benefits
IX. Public Participation
X. Statutory and Executive Order Reviews
A. Executive Order 12866: Regulatory Planning and Review
B. Paperwork Reduction Act
C. Regulatory Flexibility Act
D. Unfunded Mandates Reform Act
E. Executive Order 13132: Federalism
F. Executive Order 13175: Consultation and Coordination With
Indian Tribal Governments
G. Executive Order 13045: Protection of Children From
Environmental Health and Safety Risks
H. Executive Order 13211: Actions That Significantly Affect
Energy Supply, Distribution, or Use
I. National Technology Transfer Advancement Act
J. Executive Order 12898: Federal Actions To Address
Environmental Justice in Minority Populations and Low-Income
Populations
K. Congressional Review Act
XI. Statutory Provisions and Legal Authority
I. Overview
This final rule is part of a coordinated strategy to address
emissions from ocean-going vessels and is an important step in EPA's
ongoing National Clean Diesel Campaign. In recent years, we have
adopted major new programs designed to reduce emissions from new diesel
engines, including those used in highway (66 FR 5001, January 18,
2001), nonroad (69 FR 38957, June 29, 2004), locomotive, and marine
applications (73 FR 25098, May 6, 2008). When fully phased in, these
programs will significantly reduce emissions of harmful pollutants from
these categories of engines and vehicles. This final rule sets out the
next step in this ambitious effort by addressing emissions from the
largest marine diesel engines, called Category 3 marine diesel engines.
These are engines with per-cylinder displacement at or above 30 liters
per cylinder, which are used primarily for propulsion power on ocean-
going vessels (OGV).\1\
---------------------------------------------------------------------------
\1\ This final rule generally applies to vessels with the
largest marine diesel engines, which are called Category 3 engines
in our regulations. In this preamble, we often refer to vessels
using these engines as Category 3 vessels. We also refer to them as
ocean-going vessels although this intended to be only a descriptive
term. While the large majority of these vessels operate in the
oceans, some operate solely in our internal waters such as in the
Great Lakes. Therefore, we do not use the term ocean-going vessels
to exclude the few vessels with Category 3 engines that operate only
in fresh-water lakes or rivers or to exclude ocean-going vessels
with Category 2 or Category 1 engines, but rather to reflect the way
the vessels being regulated are more commonly known to the general
public. Note also that, pursuant to 40 CFR 1043 which implements
APPS, the fuel requirements described in this rule, unless otherwise
specified, generally apply also to fuel used in gas turbines and
steam boilers on marine vessels.
---------------------------------------------------------------------------
Emissions from Category 3 engines remain at high levels. These
engines use emission control technology that is comparable to that used
by nonroad engines in the early 1990s, and use fuel that can have a
sulfur content of 30,000 ppm or more. As a result, these engines emit
high levels of pollutants that contribute to unhealthy air in many
areas of the U.S. Nationally, in 2009, emissions from Category 3
engines account for about 10 percent of mobile source emissions of
nitrogen oxides (NOX), about 24 percent of mobile source
diesel PM2.5 emissions (with PM2.5 referring to
particles with a nominal mean aerodynamic diameter less than or equal
to 2.5 [mu]m), and about 80 percent of mobile source emissions of
sulfur oxides (SOX). As we look into the future, however,
emissions from Category 3 engines are expected to become an even more
dominant inventory source. This will be due to both emission reductions
from other mobile sources as new emission controls go into effect and
to the anticipated activity growth for ocean transportation. Without
new controls, we anticipate the contribution of Category 3 engines to
national emission inventories to increase to about 24 percent, 34
percent, and 93 percent of mobile source NOX,
PM2.5, and SOX emissions, respectively in 2020,
growing to 40 percent, 48 percent, and 95 percent respectively in 2030.
The coordinated emission control strategy will lead to significant
reductions in these emissions and important benefits to public health.
The evolution of EPA's strategy to control mobile source diesel
emissions has followed a technology progression, beginning with the
application of high-efficiency advanced aftertreatment approaches and
lower sulfur fuel requirements first to highway vehicles, then to
nonroad engines and equipment, followed by locomotives and smaller
marine diesel engines. The benefits of this approach include maximizing
air quality benefits by focusing on the largest populations of sources
with the shortest service lives, allowing engine manufacturers to
spread initial research and development costs over a larger population
of engines, and allowing manufacturers to address the challenges of
applying advanced emission controls on smaller engines first.
This approach also allowed us and the shipping community sufficient
lead time to resolve technical issues with the use of advanced emission
control technology and lower-sulfur fuel on the largest of these
engines on vessels engaged in international trade. To that end, EPA has
been working with engine manufacturers and other industry stakeholders
for many years to identify and resolve challenges associated with
applying advanced diesel engine technology to Category 3 engines to
achieve significant NOX emission reductions and using lower-
sulfur fuels to achieve significant PM and SOX emission
reductions. This work was fundamental in developing the emission limits
for Category 3 engines that we are finalizing in this action and
informed the position advocated by the United States in the
international negotiations for more stringent tiers of international
engine emission limits.
Our coordinated strategy to control emissions from ocean-going
vessels consists of actions at both the national and international
levels. It includes: (1) The engine and fuel controls we are finalizing
in this action under our Clean Air Act authority; (2) the proposal \2\
submitted by the U.S. Government to the International Maritime
Organization (IMO) to amend Annex VI of the
[[Page 22898]]
International Convention for the Prevention of Pollution from Ships
(MARPOL Annex VI) to designate U.S. coasts as an Emission Control Area
(ECA) \3\ in which all vessels, regardless of flag, would be required
to meet the most stringent engine and marine fuel sulfur requirements
in Annex VI; and (3) the new engine emission and fuel sulfur limits
contained in the amendments to Annex VI that are applicable to all
vessels regardless of flag through the Act to Prevent Pollution from
Ships (APPS), as well as clarification on implementation of those
standards, application to domestic and foreign-flagged vessels in
internal waters, and application to nonparty foreign-flagged vessels.
---------------------------------------------------------------------------
\2\ Proposal to Designate an Emission Control Area for Nitrogen
Oxides, Sulphur Oxides and Particulate Matter, Submitted by the
United States and Canada. IMO Document MEPC59/6/5, 27 March, 2009. A
copy of this document can be found at http://www.epa.gov/otaq/regs/nonroad/marine/ci/mepc-59-eca-proposal.pdf.
\3\ For the purpose of this final rule, the term ``ECA'' refers
to both the ECA and internal U.S. waters. Refer to Section VI.B. for
a discussion of the application of the fuel sulfur and engine
emission limits to U.S. internal waters through APPS.
---------------------------------------------------------------------------
The amendments to APPS to incorporate Annex VI require compliance
with MARPOL Annex VI by U.S. and foreign vessels that enter U.S. ports
or operate in U.S. waters. In light of this, we are deciding not to
revisit our existing approach with respect to foreign vessels in this
rule. However, the MARPOL Annex VI Tier III NOX and
stringent fuel sulfur limits are geographically based and would not
become effective absent designation of U.S. coasts as an ECA. As noted
above, the United States forwarded a proposal to IMO to amend Annex VI
to designate U.S. coasts as an ECA. This proposal to amend Annex VI was
approved in principle and circulated for adoption. We expect the
proposed ECA amendment will be adopted at MEPC 60, in March 2010. If
this amendment is not adopted in a timely manner by IMO, we intend to
take supplemental action to control emissions from vessels that affect
U.S. air quality.
Our coordinated strategy for ocean-going vessels will significantly
reduce emissions from foreign and domestic vessels that affect U.S. air
quality, and the impacts on human health and welfare will be
substantial. We project that by 2030 this program will reduce annual
emissions of NOX, SOX, and particulate matter
(PM) by 1.2 million, 1.3 million, and 143,000 tons, respectively, and
the magnitude of these reductions would continue to grow well beyond
2030.\4\ These reductions are estimated to annually prevent between
12,000 and 30,000 PM-related premature deaths, between 210 and 920
ozone-related premature deaths, 1,400,000 work days lost, and 9,600,000
minor restricted-activity days. The estimated annual monetized health
benefits of this coordinated strategy in 2030 would be between $110 and
$270 billion, assuming a 3-percent discount rate (or between $99 and
$240 billion assuming a 7-percent discount rate). The annual cost of
the overall program in 2030 would be significantly less, at
approximately $3.1 billion.
---------------------------------------------------------------------------
\4\ These emission inventory reductions include reductions from
ships operating within the 24 nautical mile regulatory zone off the
California Coastline, beginning with the effective date of the
Coordinated Strategy program elements. The California regulation
contains a provision that would sunset the requirements of the rule
if the Federal program achieves equivalent emission reductions. See
http://www.arb.ca.gov/regact/2008/fuelogv08/fro13.pdf at 13 CCR
2299.2(j)(1).
---------------------------------------------------------------------------
A. What Are the Elements of EPA's Coordinated Strategy for Ships?
Our coordinated strategy for ocean-going vessels, including the
emission standards finalized in this action under the Clean Air Act,
continues EPA's program to progressively apply advanced aftertreatment
emission control standards to diesel engines and reflects the evolution
of this technology from the largest inventory source (highway engines),
to land-based nonroad engines, to locomotives and marine diesel engines
up to 30 liters per cylinder. The results of these forerunner programs
are dramatic reductions in NOX and PM2.5
emissions on the order of 80 to 90 percent, which will lead to
significant improvements in national air quality.
The combination of controls in the coordinated strategy for ocean-
going vessels will provide significant reductions in PM2.5,
NOX, SOX, and toxic compounds, both in the near
term (as early as 2011) and in the long term. These reductions will be
achieved in a manner that: (1) Is very cost effective compared to
additional controls on portside vehicles and equipment and other land-
based mobile sources that are already subject to stringent technology-
forcing emission standards; (2) leverages the international program
adopted by IMO to ensure that all ships that operate in areas that
affect U.S. air quality are required to use stringent emission control
technology; and (3) provides the lead time needed to deal with the
engineering design workload that is involved in applying advanced high-
efficiency aftertreatment technology to these very large engines.
Overall, the coordinated strategy constitutes a comprehensive program
that addresses the problems caused by ocean-going vessel emissions from
both a near-term and long-term perspective. It does this while
providing for an orderly and cost-effective implementation schedule for
the vessel owners and manufacturers, and in a way that is consistent
with the international requirements for these vessels.
The human health and welfare impacts of emissions from Category 3
vessels, along with estimates of their contribution to national
emission inventories, are described in Section II. The new tiers of
engine emission standards under the Clean Air Act for addressing these
emissions, and our justifications for them, are discussed in Section
III. Section IV contains changes to our existing marine diesel fuel
program. In Section V, we describe a key component of the coordinated
strategy: The recently-submitted proposal to amend MARPOL Annex VI to
designate U.S. coasts as an ECA, as well as the IMO amendment process.
In addition to the new emission limits, we are finalizing several
revisions to our Clean Air Act testing, certification, and compliance
provisions to better ensure emission control in use. We are also
finalizing regulations for the purpose of implementing MARPOL Annex VI
pursuant to the Act to Prevent Pollution from Ships (33 U.S.C. 1901 et
seq.). These revisions are described in Section VI. Sections VII and
VIII present the estimated costs and benefits of our coordinated
program to address OGV emissions.
(1) What CAA Standards Is EPA Finalizing?
We are finalizing new tiers of Category 3 marine diesel engine
standards under our Clean Air Act authority, as well as certain
revisions to our marine fuel program.
Category 3 Engine Standards. Previous standards for Category 3
engines were adopted in 2003. These Tier 1 standards are equivalent to
the first tier of MARPOL Annex VI NOX limits and require the
use of control technology comparable to that used by nonroad engines in
the early 1990s. We did not adopt PM standards at that time because the
vast majority of PM emissions from Category 3 engines are the result of
the sulfur content of the residual fuel they use and because of
measurement issues.\5\ The combination of the engine and fuel standards
we are finalizing and the U.S. Government proposal for ECA designation
will
[[Page 22899]]
require all vessels that operate in coastal areas that affect U.S. air
quality to control emissions of NOX, SOX, and PM.
---------------------------------------------------------------------------
\5\ As explained in the proposed rule leading to the 2003 final
rule, there were concerns about measuring PM from Category 3 marine
engines (67 FR 37569, May 29, 2002). Specifically, established PM
test methods showed unacceptable variability when sulfur levels
exceed 0.8 weight percent. However, as described in Section VI, we
now believe these measurement issues have been resolved.
---------------------------------------------------------------------------
We are revising our engine requirements under the Clean Air Act to
include two additional tiers of NOX standards for new
Category 3 marine diesel engines installed on vessels flagged or
registered in the United States. The near-term Tier 2 standards will
apply beginning in 2011 and will require more efficient use of engine
technologies being used today, including engine timing, engine cooling,
and advanced computer controls. The long-term Tier 3 standards will
apply beginning in 2016 and will require the use of more advanced
technology such as selective catalytic reduction.
Because much of the operation of U.S. vessels occurs in areas that
will have little, if any, impact on U.S. air quality, our Clean Air Act
program will allow the use of alternative emission control devices
(AECDs) that will permit a ship to meet less stringent requirements on
the open sea. The use of these devices will be subject to certain
restrictions, including a requirement that the AECD not disable
emission controls while operating in areas where emissions can
reasonably be expected to adversely affect U.S. air quality, and that
the engine is equipped with a NOX emission monitoring
device. In addition, the engine will be required to meet the Tier 2
NOX limits when the AECD is implemented, and an AECD will
not be allowed on any Tier 2 or earlier engine.
In addition to the NOX emission limits, we are
finalizing standards for emissions of hydrocarbons (HC) and carbon
monoxide (CO) from new Category 3 engines. As explained in Section
III.B.1, below, we are not setting a standard for PM emissions for
Category 3 engines. However, significant PM emissions control will be
achieved through the ECA fuel sulfur requirements that will apply
through APPS to ships that operate in areas that affect U.S. air
quality. We are also requiring engine manufacturers to measure and
report PM emissions pursuant to our authority in section 208 of the
Clean Air Act.
Fuel Sulfur Limits. We are finalizing fuel sulfur limits under
section 211(c) of the Clean Air Act that match the limits that apply
under Annex VI in ECAs. First, we are revising our existing diesel fuel
program to allow for the production and sale of 1,000 ppm sulfur fuel
for use in Category 3 marine vessels. This will allow production and
distribution of fuel consistent with the new sulfur limits that will
become applicable, under Annex VI, in ECAs beginning in 2015. Our
current diesel fuel program sets a sulfur limit of 15 ppm that will be
fully phased-in by December 1, 2014 for land-based nonroad, locomotive,
and marine (NRLM) diesel fuel produced for distribution, sale and use
in the United States. Without this change to our existing diesel fuel
regulations, fuel with a sulfur content of up to 1,000 ppm could be
used in Category 3 marine vessels, but it could not be legally produced
in the U.S. after June 1, 2014. Second, we are generally forbidding the
production and sale of fuel oil with a sulfur content above 1,000 ppm
for use in the waters within the proposed ECA (see Note 3, supra). The
exception to this is if the vessel uses alternative devices,
procedures, or compliance methods that achieve equivalent emission
control as operating on 1,000 ppm sulfur fuel.
(2) What Is the U.S. Government Proposal for Designation of an Emission
Control Area?
MARPOL Annex VI contains international standards for air emissions
from ships, including NOX, SOX, and PM emissions.
The Annex VI NOX and SOX/PM limits are set out in
Table I-1. Annex VI was adopted by the Parties in 1997 but did not go
into force until 2005, after it was ratified by fifteen countries
representing at least 50 percent of the world's merchant shipping
tonnage. These Annex VI NOX standards currently apply to all
engines above 130 kW installed on a ship constructed on or after
January 1, 2000 and reduce NOX emissions by about 30 percent
from uncontrolled levels. As originally adopted, Annex VI included two
fuel sulfur limits: A global limit of 45,000 ppm and a more stringent
15,000 ppm limit for SOX Emission Control Areas (SECAs).
This approach ensures that the cleanest fuel is used in areas that
demonstrate a need for additional SOX reductions, while
retaining the ability of ships to use higher-sulfur residual fuel on
the open ocean.
Annex VI was amended in October 2008, adding two tiers of
NOX limits (Tier II and Tier III) and two sets of fuel
sulfur standards.\6\ These amendments will enter into force on July 1,
2010. The most stringent NOX and fuel sulfur limits are
regionally based and will apply only in designated ECAs.
---------------------------------------------------------------------------
\6\ Note that the MARPOL Annex VI standards are referred to as
Tiers I, II, and III; EPA's Category 3 emission standards are
referred to as Tiers 1, 2, and 3.
Table I-1--Annex VI NOX Emission Standards and Fuel Sulfur Limits
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less than 130 130-2,000 RPM
RPM \a\ Over 2,000 RPM
--------------------------------------------------------------------------------------------------------------------------------------------------------
NOX g/kW-hr................................... Tier I.......................... \b\ 2004 17.0 45.0[middot]n(- 9.8
0.20)
Tier II......................... 2011 14.4 44.0[middot]n(- 7.7
0.23)
Tier III........................ 2016 3.4 9.0[middot]n(- 2.0
0.23)
--------------------------------------------------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
Global
ECA
----------------------------------------------------------------------------------------------------------------
Fuel Sulfur............................. 2004 c 45,000 ppm 2005 c 15,000 ppm
2012 c 35,000 ppm 2010 c 10,000 ppm
2020 c d 5,000 ppm 2015 c 1,000 ppm
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Applicable standards are calculated from n (maximum in-use engine speed in revolutions per minute (rpm)),
rounded to one decimal place.
\b\ Tier 1 NOX standards apply for engines originally manufactured after 2004, and proposed also to certain
earlier engines.
\c\ Annex VI standards are in terms of percent sulfur. Global sulfur limits are 4.5%; 3.5%; 0.5%. ECA sulfur
limits are 1.5%; 1.0%; 0.1%.
\d\ Subject to a feasibility review in 2018; may be delayed to 2025.
To realize the benefits from the MARPOL Annex VI Tier III NOX and
most stringent fuel sulfur controls, areas must be designated as
Emission Control Areas. On July 17, 2009, the IMO approved in principle
a U.S.-Canada proposal to amend MARPOL Annex VI to designate North
American coastal waters as an ECA (referred to as the
[[Page 22900]]
``U.S./Canada ECA'' or the ``North American ECA'').\7\ In addition,
France has joined the ECA proposal on behalf of the Saint Pierre and
Miquelon archipelago. A description of this proposal and the IMO ECA
designation process is set out in Section V. ECA designation would
ensure that ships that affect U.S. air quality meet stringent
NOX and fuel sulfur requirements while operating within 200
nautical miles of U.S. coasts. We expect the North American proposal
will be adopted by the Parties to MARPOL Annex VI in March 2010,
entering into force as early as 2012. If, however, the proposed
amendment is not adopted in a timely manner, we intend to take
supplemental action to control harmful emissions from vessels that
affect U.S. air quality.
---------------------------------------------------------------------------
\7\ Proposal to Designate an Emission Control Area for Nitrogen
Oxides, Sulphur Oxides and Particulate Matter, Submitted by the
United States and Canada. IMO Document MEPC59/6/5, 27 March 2009. A
copy of this document can be found at http://www.epa.gov/otaq/regs/nonroad/marine/ci/mepc-59-eca-proposal.pdf.
---------------------------------------------------------------------------
(3) Regulations To Implement Annex VI
The United States became a party to MARPOL Annex VI by depositing
its instrument of ratification with IMO on October 8, 2008. This was
preceded by the President signing into law the Maritime Pollution
Prevention Act of 2008 (Pub. L. 110-280) on July 21, 2008, that
contains amendments to the Act to Prevent Pollution from Ships (33
U.S.C. 1901 et seq.). These APPS amendments require compliance with
Annex VI by all persons subject to the engine and vessel requirements
of Annex VI. The amendments also authorize the U.S. Coast Guard and EPA
to enforce the provisions of Annex VI against domestic and foreign
vessels and to develop implementing regulations, as necessary. In
addition, APPS gives EPA sole authority to certify engines installed on
U.S. vessels to the Annex VI requirements. This final rule contains
regulations codifying the Annex VI requirements and regulations to
implement several aspects of the Annex VI engine and fuel regulations,
which we are finalizing under that APPS authority. Our cost and benefit
analyses for the coordinated strategy include the costs for U.S.
vessels to implement the requirements of this MARPOL Annex VI program,
including requirements that will apply upon entry into force of the
North American ECA.
(4) Technical Amendments
The finalized regulations also include technical amendments to our
motor vehicle and nonroad engine regulations. Many of these changes
involve minor adjustments or corrections to our recently finalized rule
for new nonroad spark-ignition engines, or adjustment to other
regulatory provisions to align with this recent final rule.
(5) Summary
The emission control requirements in our coordinated strategy are
the MARPOL Annex VI global Tier II NOX standards included in
the amendments to Annex VI and the ECA Tier III NOX limits
and fuel sulfur limits that will apply when the U.S. coasts are
designated as an ECA through an additional amendment to Annex VI. The
Annex VI requirements, including the future ECA requirements, will be
enforceable for U.S. and foreign vessels operating in U.S. waters
through the Act to Prevent Pollution from Ships.
We are also adopting the NOX emission standards for
Category 3 engines on U.S. vessels under section 213 of the Clean Air
Act.
Finally, we are adopting additional requirements that are not part
of the Annex VI program or the ECA. These are (1) limits on hydrocarbon
and carbon monoxide emissions for Category 3 engines; (2) a PM
measurement requirement to obtain data on PM emissions from engines
operating on distillate fuel; and (3) changes to our diesel fuel
program under the Clean Air Act to allow production and sale of ECA-
compliant fuel. We are also changing our emission control program for
smaller marine diesel engines to harmonize with the Annex VI
NOX requirements for U.S. vessels that operate
internationally.
B. Why Is EPA Making This Rule?
(1) Category 3 Engines Contribute to Serious Air Quality Problems
Category 3 engines generate significant emissions of
PM2.5, SOX, and NOX that contribute to
nonattainment of the National Ambient Air Quality Standards (NAAQS) for
PM2.5 and ground-level ozone (smog). NOX and
SOX are both precursors to secondary PM2.5
formation. Both PM2.5 and NOX adversely affect
human health. NOX is a key precursor to ozone as well.
NOX, SOX and PM2.5 emissions from
ocean-going vessels also cause harm to public welfare, including
contributing to deposition of nitrogen and sulfur, visibility
impairment and other harmful environmental impacts across the U.S.
The health and environmental effects associated with these
emissions are a classic example of a negative externality (an activity
that imposes uncompensated costs on others). With a negative
externality, an activity's social cost (the costs borne to society
imposed as a result of the activity taking place) is not taken into
account in the total cost of producing goods and services. In this
case, as described in this section below and in Section II, emissions
from ocean-going vessels impose public health and environmental costs
on society, and these added costs to society are not reflected in the
costs of providing the transportation services. The market system
itself cannot correct this externality because firms in the market are
rewarded for minimizing their production costs, including the costs of
pollution control. In addition, firms that may take steps to use
equipment that reduces air pollution may find themselves at a
competitive disadvantage compared to firms that do not. To correct this
market failure and reduce the negative externality from these
emissions, we are setting a cap on the rate of emission production from
these sources. EPA's coordinated strategy for ocean-going vessels will
accomplish this since both domestic and foreign ocean-going vessels
will be required to reduce their emissions to a technologically
feasible limit.
Emissions from ocean-going vessels account for substantial portions
of the country's ambient PM2.5, SOX and
NOX levels. We estimate that in 2009 these engines account
for about 80 percent of mobile source sulfur dioxide (SO2)
emissions, 10 percent of mobile source NOX emissions and
about 24 percent of mobile source diesel PM2.5 emissions.
Emissions from ocean-going vessels are expected to dominate the mobile
source inventory in the future, due to both the expected emission
reductions from other mobile sources as a result of more stringent
emission controls and due to growth in the demand for ocean
transportation services. By 2030, the coordinated strategy will reduce
annual SO2 emissions from these diesel engines by 1.3
million tons, annual NOX emissions by 1.2 million tons, and
PM2.5 emissions by 143,000 tons, and those reductions will
continue to grow beyond 2030 as fleet turnover to the clean engines
continues. While a share of these emissions occur at sea, our air
quality modeling results described in Section II show they have a
significant impact on ambient air quality far inland.
Both ozone and PM2.5 are associated with serious public
health problems, including premature mortality, aggravation of
respiratory and cardiovascular disease (as indicated by increased
hospital admissions and emergency room visits, school absences, lost
work days, and restricted activity days), changes in lung function and
increased respiratory symptoms, altered
[[Page 22901]]
respiratory defense mechanisms, and chronic bronchitis. Diesel exhaust
is of special public health concern, and since 2002 EPA has classified
it as likely to be carcinogenic to humans by inhalation at
environmental exposures. Recent studies are showing that populations
living near large diesel emission sources such as major roadways, rail
yards, and marine ports are likely to experience greater diesel exhaust
exposure levels than the overall U.S. population, putting them at
greater health risks.8 9 10
---------------------------------------------------------------------------
\8\ U. S. EPA (2004). Final Regulatory Impact Analysis: Control
of Emissions from Nonroad Diesel Engines, Chapter 3. Report No.
EPA420-R-04-007. http://www.epa.gov/nonroad-diesel/2004fr.htm#ria.
\9\ State of California Air Resources Board. (2004). Roseville
Rail Yard Study. Sacramento, CA: California EPA, California Air
Resources Board (CARB). Stationary Source Division. This document is
available electronically at: http://www.arb.ca.gov/diesel/documents/rrstudy.htm.
\10\ Di, P., Servin, A., Rosenkranz, K., Schwehr, B., Tran, H.,
(2006). Diesel Particulate Matter Exposure Assessment Study for the
Ports of Los Angeles and Long Beach. Sacramento, CA: California EPA,
California Air Resources Board (CARB). Retrieved March 19, 2009 from
http://www.arb.ca.gov/regact/marine2005/portstudy0406.pdf.
---------------------------------------------------------------------------
EPA recently updated its initial screening-level analysis \11\ of
selected marine port areas to better understand the populations that
are exposed to diesel particulate matter emissions from these
facilities.12 13 14 15 This screening-level analysis focused
on a representative selection of national marine ports.\16\ Of the 45
marine ports selected, the results indicate that at least 18 million
people, including a disproportionate number of low-income households,
African-Americans, and Hispanics, live in the vicinity of these
facilities and are being exposed to ambient diesel PM levels that are
2.0 [micro]g/m\3\ and 0.2 [micro]g/m\3\ above levels found in areas
further from these facilities. Considering only ocean-going marine
engine diesel PM emissions, the results indicate that 6.5 million
people are exposed to ambient diesel particulate matter (DPM) levels
that are 2.0 [micro]g/m\3\ and 0.2 [micro]g/m\3\ above levels found in
areas further from these facilities. Because those populations exposed
to diesel PM emissions from marine ports are more likely to be low-
income and minority residents, these populations would benefit from the
controls being proposed in this action. The detailed findings of this
study are available in the public docket for this rulemaking.
---------------------------------------------------------------------------
\11\ This type of screening-level analysis is an inexact tool
and not appropriate for regulatory decision-making; it is useful in
beginning to understand potential impacts and for illustrative
purposes. Additionally, the emissions inventories used as inputs for
the analyses are not official estimates and likely underestimate
overall emissions because they are not inclusive of all emission
sources at the individual ports in the sample.
\12\ ICF International. September 28, 2007. Estimation of diesel
particulate matter concentration isopleths for marine harbor areas
and rail yards. Memorandum to EPA under Work Assignment Number 0-3,
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2007-0121.
\13\ ICF International. September 28, 2007. Estimation of diesel
particulate matter population exposure near selected harbor areas
and rail yards. Memorandum to EPA under Work Assignment Number 0-3,
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2007-0121.
\14\ ICF International, December 10, 2008. Estimation of diesel
particulate matter population exposure near selected harbor areas
with revised harbor emissions. Memorandum to EPA under Work
Assignment Number 2-9. Contract Number EP-C-06-094. This memo is
available in Docket EPA-HQ-OAR-2007-0121.
\15\ ICF International. December 1, 2008. Estimation of diesel
particulate matter concentration isopleths near selected harbor
areas with revised emissions. Memorandum to EPA under Work
Assignment Number 1-9. Contract Number EP-C-06-094. This memo is
available in Docket EPA-HQ-OAR-2007-0121.
\16\ The Agency selected a representative sample from the top
150 U.S. ports including coastal and Great Lake ports.
---------------------------------------------------------------------------
Even outside port areas, millions of Americans continue to live in
areas that do not meet existing air quality standards today. With
regard to PM2.5 nonattainment, in 2005 EPA designated 39
nonattainment areas for the 1997 PM2.5 NAAQS (70 FR 943,
January 5, 2005). These areas are composed of 208 full or partial
counties with a total population exceeding 88 million. The 1997
PM2.5 NAAQS was recently revised and the 2006
PM2.5 NAAQS became effective on December 18, 2006. As of
December 22, 2008, there are 58 2006 PM2.5 nonattainment
areas composed of 211 full or partial counties. These numbers do not
include individuals living in areas that may fail to maintain or
achieve the PM2.5 NAAQS in the future. Currently, ozone
concentrations exceeding the 8-hour ozone NAAQS occur over wide
geographic areas, including most of the nation's major population
centers. As of December 2008, there are approximately 132 million
people living in 57 areas (293 full or partial counties) designated as
not in attainment with the 8-hour ozone NAAQS. These numbers do not
include people living in areas where there is a potential that the area
may fail to maintain or achieve the 8-hour ozone NAAQS.
In addition to public health impacts, there are serious public
welfare and environmental impacts associated with PM2.5 and
ozone emissions. Specifically, NOX and SOX
emissions from diesel engines contribute to the acidification,
nitrification, and eutrophication of water bodies. NOX,
SOX and direct emissions of PM2.5 can contribute
to the substantial impairment of visibility in many parts of the U.S.
where people live, work, and recreate, including national parks,
wilderness areas, and mandatory class I Federal areas.\17\ The
deposition of airborne particles can also reduce the aesthetic appeal
of buildings and culturally important articles through soiling, and can
contribute directly (or in conjunction with other pollutants) to
structural damage by means of corrosion or erosion. Finally, ozone
causes damage to vegetation which leads to crop and forestry economic
losses, as well as harm to national parks, wilderness areas, and other
natural systems.
---------------------------------------------------------------------------
\17\ These areas are defined in section 162 of the Act as those
national parks exceeding 6,000 acres, wilderness areas and memorial
parks exceeding 5,000 acres, and all international parks which were
in existence on August 7, 1977. Section 169 of the Clean Air Act
provides additional authority to address existing visibility
impairment and prevent future visibility impairment in the 156
national parks, forests and wilderness areas categorized as
mandatory class I Federal areas.
---------------------------------------------------------------------------
EPA has already adopted many emission control programs that are
expected to reduce ambient PM2.5 and ozone levels, including
the Nonroad Spark Ignition Engine rule (73 FR 59034, Oct 8, 2008), the
Locomotive and Marine Diesel Engine Rule (73 FR 25098, May 6, 2008),
the Clean Air Interstate Rule (CAIR) (70 FR 25162, May 12, 2005), the
Clean Air Nonroad Diesel Rule (69 FR 38957, June 29, 2004), the Heavy
Duty Engine and Vehicle Standards and Highway Diesel Fuel Sulfur
Control Requirements (66 FR 5002, Jan. 18, 2001), and the Tier 2
Vehicle and Gasoline Sulfur Program (65 FR 6698, Feb. 10, 2000). The
additional PM2.5, SOX, and NOX
emission reductions resulting from the coordinated approach described
in this action will assist States in attaining and maintaining the
PM2.5 and ozone NAAQS near term and in the decades to come.
Our air quality modeling projects that in 2020 at least 13 counties
with about 30 million people may violate the 1997 standards for
PM2.5 and 50 counties with about 50 million people may
violate the 2008 standards for ozone. These numbers likely
underestimate the impacted population since they do not include the
people who live in areas which do not meet the 2006 PM2.5
NAAQS. In addition, these numbers do not include the additional 13
million people in 12 counties who live in areas that have air quality
measurements within 10 percent of the 1997 PM2.5 NAAQS and
the additional 80 million people in 135 counties who live in areas
[[Page 22902]]
that have air quality measurements within 10% of the 2008 ozone NAAQS.
The emission reductions resulting from this coordinated strategy will
assist these and other States to both attain and maintain the
PM2.5 and ozone NAAQS.
State and local governments are working to protect the health of
their citizens and comply with requirements of the Clean Air Act. As
part of this effort, they recognize the need to secure additional major
reductions in diesel PM2.5, SOX and
NOX emissions by undertaking numerous State level actions,
while also seeking Agency action, including the Category 3 engine
standards being finalized in this final rule and the U.S. proposal to
IMO to amend Annex VI to designate U.S. coastal areas as an ECA, and
related certification and fuel provisions under the Clean Air Act to
complement that ECA proposal. EPA's coordinated strategy to reduce OGV
emissions through engine emission controls and fuel sulfur limits will
play a critical part in State efforts to attain and maintain the NAAQS
through the next two decades.
In addition to regulatory programs, the Agency has a number of
innovative programs that partner government, industry, and local
communities together to help address challenging air quality problems.
Under the National Clean Diesel Campaign, EPA promotes a variety of
emission reduction strategies such as retrofitting, repairing,
replacing and repowering engines, reducing idling and switching to
cleaner fuels.
In 2008, Congress appropriated funding for the Diesel Emission
Reduction Program under the Energy Policy Act of 2005 (EPAct 2005) to
reduce emissions from heavy-duty diesel engines in the existing fleet.
The EPAct 2005 directs EPA to break the funding into two different
components: a National competition and a State allocation program. The
National Program, with 70 percent of the funding, consists of three
separate competitions: (1) The National Clean Diesel Funding Assistance
Program; (2) the National Clean Diesel Emerging Technologies Program;
and (3) the SmartWay Clean Diesel Finance Program. The State Clean
Diesel Grant and Loan Program utilizes the remaining 30 percent of the
funding. In the first year of the program, EPA awarded 119 grants
totaling $49.2 million for diesel emission reduction projects and
programs across the country for cleaner fuels, verified technologies,
and certified engine configurations.
Through $300 million in funding provided to the Diesel Emission
Reduction Program under the American Reinvestment and Recovery Act of
2009, EPA will promote and preserve jobs while improving public health
and achieving significant reductions in diesel emissions.
Furthermore, EPA's National Clean Diesel Campaign, through its
Clean Ports USA program, is working with port authorities, terminal
operators, shipping, truck, and rail companies to promote cleaner
diesel technologies and strategies through education, incentives, and
financial assistance for diesel emission reductions at ports. Part of
these efforts involves clean diesel programs that can further reduce
emissions from the existing fleet of diesel engines. Finally, many of
the companies operating in States and communities suffering from poor
air quality have voluntarily entered into Memoranda of Understanding
(MOUs) designed to ensure that the cleanest technologies are used first
in regions with the most challenging air quality issues.
Taken together, these voluntary approaches can augment the
coordinated strategy and help States and communities achieve larger
reductions sooner in the areas of our country that need them the most.
The Agency remains committed to furthering these programs and others so
that all of our citizens can breathe clean healthy air.
(2) Advanced Emission Technology Solutions Are Available
Air pollution from marine diesel exhaust is a challenging problem.
However, we believe manufacturers can apply a combination of existing
and new technologies to meet the emission standards we are adopting in
this final rule. Optimizing air intake fuel injection systems can
substantially reduce engine-out emissions. Further NOX
control can be achieved with advanced technology such as aftertreatment
devices with high-efficiency catalysts. As discussed in greater detail
in Section III.C, the development of these aftertreatment technologies
for highway and nonroad diesel applications has advanced rapidly in
recent years, so that very large emission reductions in NOX
emissions can be achieved. Manufacturers might also deploy other
advanced technologies such as water-based in-cylinder controls to
reduce NOX emissions.
While aftertreatment technologies can be sensitive to sulfur, their
use will be required only in ECAs designated under MARPOL Annex VI, and
they are expected to be able to operate on ECA fuel meeting a 1,000 ppm
fuel sulfur. With the lead time available and the assurance of 1,000
ppm fuel for ocean-going vessels in 2015, as would be required through
ECA designation for U.S. coasts, we are confident the application of
advanced NOX technology to Category 3 marine engines will
proceed at a reasonable rate of progress and will result in systems
capable of achieving the finalized standards on schedule. Use of this
lower sulfur fuel will also result in substantial PM emission
reductions, since PM emissions from Category 3 engines come mostly from
the use of high sulfur residual fuel. Note that vessels may be equipped
with alternative devices, procedures, or compliance methods provided
they achieve equivalent emissions reductions.
C. Statutory Basis for Action
Authority for the actions proposed in this documents is granted to
the Environmental Protections Agency by sections 114, 203, 205, 206,
207, 208, 211, 213, 216, and 301(a) of the Clean Air Act as amended in
1990 (42 U.S.C. 7414, 7522, 7524, 7525, 7541, 7542, 7545, 7547, 7550
and 7601(a)), and by sections 1901-1915 of the Act to Prevent Pollution
from Ships (33 U.S.C. 1909 et seq.).
(1) Clean Air Act Basis for Action
EPA is proposing the fuel requirements pursuant to its authority in
section 211(c) of the Clean Air Act, which allows EPA to regulate fuels
that contribute to air pollution that endangers public health or
welfare (42 U.S.C. 7545(c)). As discussed previously in EPA's Clean Air
Nonroad Diesel rule (69 FR 38958) and in Section II, the combustion of
high sulfur diesel fuel by nonroad, locomotive, and marine diesel
engines contributes to air quality problems that endanger public health
and welfare. Section II also discusses the significant contribution to
these air quality problems by Category 3 marine vessels. Additional
support for the procedural and enforcement-related aspects of the fuel
controls in the final rule, including the recordkeeping requirements,
comes from Clean Air Act sections 114(a) and 301(a) (42 U.S.C. sections
7414(a) and 7601(a)).
EPA is finalizing emission standards for new Category 3 marine
diesel engines pursuant to its authority under section 213(a)(3) of the
Clean Air Act, which directs the Administrator to set standards
regulating emissions of NOX, volatile organic compounds
(VOCs), or CO for classes or categories of engines, such as marine
diesel engines, that contribute to ozone or carbon monoxide
concentrations in more than one nonattainment area. These ``standards
shall achieve the greatest degree of
[[Page 22903]]
emission reduction achievable through the application of technology
which the Administrator determines will be available for the engines or
vehicles, giving appropriate consideration to cost, lead time, noise,
energy, and safety factors associated with the application of such
technology.''
EPA is finalizing a PM measurement requirement for new Category 3
marine diesel engines pursuant to its authority under section 208,
which requires manufacturers and other persons subject to Title II
requirements to ``provide information the Administrator may reasonably
require * * * to otherwise carry out the provisions of this part * *
*''
EPA is also acting under its authority to implement and enforce the
Category 3 marine diesel emission standards. Section 213(d) provides
that the standards EPA adopts for marine diesel engines ``shall be
subject to Sections 206, 207, 208, and 209'' of the Clean Air Act, with
such modifications that the Administrator deems appropriate to the
regulations implementing these sections.'' In addition, the marine
standards ``shall be enforced in the same manner as [motor vehicle]
standards prescribed under section 202'' of the Act. Section 213(d)
also grants EPA authority to promulgate or revise regulations as
necessary to determine compliance with and enforce standards adopted
under section 213.
As required under section 213(a)(3), we believe the evidence
provided in Section III.C and in Chapter 4 of Final Regulatory Impact
Analysis (RIA) indicates that the stringent NOX emission
standards finalized in this final rule for newly built Category 3
marine diesel engines are feasible and reflect the greatest degree of
emission reduction achievable through the use of technology that will
be available in the model years to which they apply. We have given
appropriate consideration to costs in finalizing these standards. Our
review of the costs and cost-effectiveness of these standards indicate
that they are reasonable and comparable to the cost-effectiveness of
other mobile source emission reduction strategies that have been
required. We have also reviewed and given appropriate consideration to
the energy factors of this rule in terms of fuel efficiency as well as
any safety and noise factors associated with these standards.
The information in Section II and Chapter 2 of the Final Regulatory
Impact Analysis regarding air quality and public health impacts
provides strong evidence that emissions from Category 3 marine diesel
engines significantly and adversely impact public health or welfare.
EPA has already found in previous rules that emissions from new marine
diesel engines contribute to ozone and CO concentrations in more than
one area which has failed to attain the ozone and carbon monoxide NAAQS
(64 FR 73300, December 29, 1999).
The NOX and PM emission reductions achieved through the
coordinated strategy will be important to States' efforts to attain and
maintain the Ozone and the PM2.5 NAAQS in the near term and
in the decades to come, and will significantly reduce the risk of
adverse effects to human health and welfare.
(2) APPS Basis for Action
EPA is finalizing regulations to implement MARPOL Annex VI pursuant
to its authority in section 1903 of the Act to Prevent Pollution from
Ships (APPS). Section 1903 gives the Administrator the authority to
prescribe any necessary or desired regulations to carry out the
provisions of Regulations 12 through 19 of Annex VI.
The Act to Prevent Pollution from Ships implements Annex VI and
makes those requirements enforceable domestically. However, certain
clarifications are necessary for implementing Regulation 13 and the
requirements of the NOX Technical Code with respect to
issuance of Engine International Air Pollution Prevention (EIAPP)
certificates and approval of alternative compliance methods.
Clarification is also needed with respect to the application of the
Annex VI requirements to certain U.S. and foreign vessels that operate
in U.S. waters.
II. Air Quality, Health and Welfare Impacts
The coordinated strategy will significantly reduce emissions of
NOX, PM, and SOX from ocean-going vessels.
Emissions of these compounds contribute to PM and ozone nonattainment
and environmental effects including deposition, visibility impairment
and harm to ecosystems from ozone. In addition diesel particulate
matter is associated with a host of adverse health effects, including
cancer.
This section summarizes the general health and welfare effects of
these emissions and the modeled projections of changes in air quality
due to the coordinated strategy. Interested readers are encouraged to
refer to the RIA for more in-depth discussions.
A. Public Health Impacts
(1) Particulate Matter
Particulate matter is a generic term for a broad class of
chemically and physically diverse substances. It can be principally
characterized as discrete particles that exist in the condensed (liquid
or solid) phase spanning several orders of magnitude in size. Since
1987, EPA has delineated that subset of inhalable particles small
enough to penetrate to the thoracic region (including the
tracheobronchial and alveolar regions) of the respiratory tract
(referred to as thoracic particles). Current NAAQS use PM2.5
as the indicator for fine particles (with PM2.5 referring to
particles with a nominal mean aerodynamic diameter less than or equal
to 2.5 [mu]m), and use PM10 as the indicator for purposes of
regulating the coarse fraction of PM10 (referred to as
thoracic coarse particles or coarse-fraction particles; generally
including particles with a nominal mean aerodynamic diameter greater
than 2.5 [mu]m and less than or equal to 10 [mu]m, or
PM10-2.5). Ultrafine particles are a subset of fine
particles, generally less than 100 nanometers (0.1 [mu]m) in
aerodynamic diameter.
Fine particles are produced primarily by combustion processes and
by transformations of gaseous emissions (e.g., SOX,
NOX and VOC) in the atmosphere. The chemical and physical
properties of PM2.5 may vary greatly with time, region,
meteorology, and source category. Thus, PM2.5 may include a
complex mixture of different pollutants including sulfates, nitrates,
organic compounds, elemental carbon and metal compounds. These
particles can remain in the atmosphere for days to weeks and travel
hundreds to thousands of kilometers.
(a) Health Effects of PM
Scientific studies show ambient PM is associated with a series of
adverse health effects. These health effects are discussed in detail in
EPA's 2004 Particulate Matter Air Quality Criteria Document (PM AQCD)
and the 2005 PM Staff Paper.18 19 20 Further discussion of
[[Page 22904]]
health effects associated with PM can also be found in the RIA for this
rule.
---------------------------------------------------------------------------
\18\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter. Volume I EPA600/P-99/002aF and Volume II EPA600/P-99/002bF.
Retrieved on March 19, 2009 from Docket EPA-HQ-OAR-2003-0190 at
http://www.regulations.gov/.
\19\ U.S. EPA (2005). Review of the National Ambient Air Quality
Standard for Particulate Matter: Policy Assessment of Scientific and
Technical Information, OAQPS Staff Paper. EPA-452/R-05-005a.
Retrieved March 19, 2009 from http://www.epa.gov/ttn/naaqs/standards/pm/data/pmstaffpaper_20051221.pdf.
\20\ The PM NAAQS is currently under review and the EPA is
considering all available science on PM health effects, including
information which has been published since 2004, in the development
of the upcoming PM Integrated Science Assessment Document (ISA). A
second draft of the PM ISA was completed in July 2009 and was
submitted for review by the Clean Air Scientific Advisory Committee
(CASAC) of EPA's Science Advisory Board. Comments from the general
public have also been requested. For more information, see http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=210586.
---------------------------------------------------------------------------
Health effects associated with short-term exposures (hours to days)
to ambient PM include premature mortality, aggravation of
cardiovascular and lung disease (as indicated by increased hospital
admissions and emergency department visits), increased respiratory
symptoms including cough and difficulty breathing, decrements in lung
function, altered heart rate rhythm, and other more subtle changes in
blood markers related to cardiovascular health.\21\ Long-term exposure
to PM2.5 and sulfates has also been associated with
mortality from cardiopulmonary disease and lung cancer, and effects on
the respiratory system such as reduced lung function growth or
development of respiratory disease. A new analysis shows an association
between long-term PM2.5 exposure and a subclinical measure
of atherosclerosis.22 23
---------------------------------------------------------------------------
\21\ U.S. EPA (2006). National Ambient Air Quality Standards for
Particulate Matter. 71 FR 61144, October 17, 2006.
\22\ K[uuml]nzli, N., Jerrett, M., Mack, W.J., et al. (2004).
Ambient air pollution and atherosclerosis in Los Angeles. Environ
Health Perspect.,113, 201-206
\23\ This study is included in the 2006 Provisional Assessment
of Recent Studies on Health Effects of Particulate Matter Exposure.
The provisional assessment did not and could not (given a very short
timeframe) undergo the extensive critical review by CASAC and the
public, as did the PM AQCD. The provisional assessment found that
the ``new'' studies expand the scientific information and provide
important insights on the relationship between PM exposure and
health effects of PM. The provisional assessment also found that
``new'' studies generally strengthen the evidence that acute and
chronic exposure to fine particles and acute exposure to thoracic
coarse particles are associated with health effects. Further, the
provisional science assessment found that the results reported in
the studies did not dramatically diverge from previous findings, and
taken in context with the findings of the AQCD, the new information
and findings did not materially change any of the broad scientific
conclusions regarding the health effects of PM exposure made in the
AQCD. However, it is important to note that this assessment was
limited to screening, surveying, and preparing a provisional
assessment of these studies. For reasons outlined in Section I.C of
the preamble for the final PM NAAQS rulemaking in 2006 (see 71 FR
61148-49, October 17, 2006), EPA based its NAAQS decision on the
science presented in the 2004 AQCD.
---------------------------------------------------------------------------
Studies examining populations exposed over the long term (one or
more years) to different levels of air pollution, including the Harvard
Six Cities Study and the American Cancer Society Study, show
associations between long-term exposure to ambient PM2.5 and
both all cause and cardiopulmonary premature
mortality.24 25 26 In addition, an extension of the American
Cancer Society Study shows an association between PM2.5 and
sulfate concentrations and lung cancer mortality.\27\
---------------------------------------------------------------------------
\24\ Dockery, D.W., Pope, C.A. III, Xu, X, et al. (1993). An
association between air pollution and mortality in six U.S. cities.
N Engl J Med, 329, 1753-1759. Retrieved on March 19, 2009 from
http://content.nejm.org/cgi/content/full/329/24/1753.
\25\ Pope, C.A., III, Thun, M.J., Namboodiri, M.M., Dockery,
D.W., Evans, J.S., Speizer, F.E., and Heath, C.W., Jr. (1995).
Particulate air pollution as a predictor of mortality in a
prospective study of U.S. adults. Am. J. Respir. Crit. Care Med,
151, 669-674.
\26\ Krewski, D., Burnett, R.T., Goldberg, M.S., et al. (2000).
Reanalysis of the Harvard Six Cities study and the American Cancer
Society study of particulate air pollution and mortality. A special
report of the Institute's Particle Epidemiology Reanalysis Project.
Cambridge, MA: Health Effects Institute. Retrieved on March 19, 2009
from http://es.epa.gov/ncer/science/pm/hei/Rean-ExecSumm.pdf.
\27\ Pope, C. A., III, Burnett, R.T., Thun, M.J., Calle, E.E.,
Krewski, D., Ito, K., Thurston, G.D., (2002). Lung cancer,
cardiopulmonary mortality, and long-term exposure to fine
particulate air pollution. J. Am. Med. Assoc., 287, 1132-1141.
---------------------------------------------------------------------------
(b) Health Effects of Diesel Particulate Matter
Marine diesel engines emit diesel exhaust (DE), a complex mixture
composed of carbon dioxide, oxygen, nitrogen, water vapor, carbon
monoxide, nitrogen compounds, sulfur compounds and numerous low-
molecular-weight hydrocarbons. A number of these gaseous hydrocarbon
components are individually known to be toxic, including aldehydes,
benzene and 1,3-butadiene. The diesel particulate matter (DPM) present
in DE consists of fine particles (< 2.5 [mu]m), including a subgroup
with a large number of ultrafine particles (< 0.1 [mu]m). These
particles have a large surface area which makes them an excellent
medium for adsorbing organics and their small size makes them highly
respirable. Many of the organic compounds present in the gases and on
the particles, such as polycyclic organic matter (POM), are
individually known to have mutagenic and carcinogenic properties.
Diesel exhaust varies significantly in chemical composition and
particle sizes between different engine types (heavy-duty, light-duty),
engine operating conditions (idle, accelerate, decelerate), and fuel
formulations (high/low sulfur fuel). Also, there are emissions
differences between on-road and nonroad engines because the nonroad
engines are generally of older technology. This is especially true for
marine diesel engines.\28\
---------------------------------------------------------------------------
\28\ U.S. EPA (2002). Health Assessment Document for Diesel
Engine Exhaust. EPA/600/8-90/057F Office of Research and
Development, Washington DC. Retrieved on March 17, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060. pp. 1-1 1-2.
---------------------------------------------------------------------------
After being emitted in the engine exhaust, diesel exhaust undergoes
dilution as well as chemical and physical changes in the atmosphere.
The lifetime for some of the compounds present in diesel exhaust ranges
from hours to days.\29\
---------------------------------------------------------------------------
\29\ U.S. EPA (2002). Health Assessment Document for Diesel
Engine Exhaust. EPA/600/8-90/057F Office of Research and
Development, Washington, DC. Retrieved on March 17, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060.
---------------------------------------------------------------------------
(i) Diesel Exhaust: Potential Cancer Effects
In EPA's 2002 Diesel Health Assessment Document (Diesel HAD),\30\
exposure to diesel exhaust was classified as likely to be carcinogenic
to humans by inhalation from environmental exposures, in accordance
with the revised draft 1996/1999 EPA cancer guidelines. A number of
other agencies (National Institute for Occupational Safety and Health,
the International Agency for Research on Cancer, the World Health
Organization, California EPA, and the U.S. Department of Health and
Human Services) have made similar classifications. However, EPA also
concluded in the Diesel HAD that it is not possible currently to
calculate a cancer unit risk for diesel exhaust due to a variety of
factors that limit the current studies, such as limited quantitative
exposure histories in occupational groups investigated for lung cancer.
---------------------------------------------------------------------------
\30\ U.S. EPA (2002). Health Assessment Document for Diesel
Engine Exhaust. EPA/600/8-90/057F Office of Research and
Development, Washington DC. Retrieved on March 17, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060. pp. 1-1 1-2.
---------------------------------------------------------------------------
For the Diesel HAD, EPA reviewed 22 epidemiologic studies on the
subject of the carcinogenicity of workers exposed to diesel exhaust in
various occupations, finding increased lung cancer risk, although not
always statistically significant, in 8 out of 10 cohort studies and 10
out of 12 case-control studies within several industries. Relative risk
for lung cancer associated with exposure ranged from 1.2 to 1.5,
although a few studies show relative risks as high as 2.6.
Additionally, the Diesel HAD also relied on two independent meta-
analyses, which examined 23 and 30 occupational studies respectively,
which found statistically significant increases in smoking-adjusted
relative lung cancer risk associated with exposure to diesel exhaust of
1.33 to 1.47. These meta-analyses demonstrate the effect of pooling
many studies and in this case show the positive relationship between
[[Page 22905]]
diesel exhaust exposure and lung cancer across a variety of diesel
exhaust-exposed occupations.31 32
---------------------------------------------------------------------------
\31\ Bhatia, R., Lopipero, P., Smith, A. (1998). Diesel exposure
and lung cancer. Epidemiology, 9(1), 84-91.
\32\ Lipsett, M. Campleman, S. (1999). Occupational exposure to
diesel exhaust and lung cancer: a meta-analysis. Am J Public Health,
80(7), 1009-1017.
---------------------------------------------------------------------------
In the absence of a cancer unit risk, the Diesel HAD sought to
provide additional insight into the significance of the diesel exhaust-
cancer hazard by estimating possible ranges of risk that might be
present in the population. An exploratory analysis was used to
characterize a possible risk range by comparing a typical environmental
exposure level for highway diesel sources to a selected range of
occupational exposure levels. The occupationally observed risks were
then proportionally scaled according to the exposure ratios to obtain
an estimate of the possible environmental risk. A number of
calculations are needed to accomplish this, and these can be seen in
the EPA Diesel HAD. The outcome was that environmental risks from
diesel exhaust exposure could range from a low of 10-4 to
10-5 to as high as 10-3, reflecting the range of
occupational exposures that could be associated with the relative and
absolute risk levels observed in the occupational studies. Because of
uncertainties, the analysis acknowledged that the risks could be lower
than 10-4 or 10-5, and a zero risk from diesel
exhaust exposure was not ruled out.
(ii) Diesel Exhaust: Other Health Effects
Noncancer health effects of acute and chronic exposure to diesel
exhaust emissions are also of concern to the EPA. EPA derived a diesel
exhaust reference concentration (RfC) from consideration of four well-
conducted chronic rat inhalation studies showing adverse pulmonary
effects.33 34 35 36 The RfC is 5 [mu]g/m\3\ for diesel
exhaust as measured by DPM. This RfC does not consider allergenic
effects such as those associated with asthma or immunologic effects.
There is growing evidence, discussed in the Diesel HAD, that exposure
to diesel exhaust can exacerbate these effects, but the exposure-
response data are presently lacking to derive an RfC. The EPA Diesel
HAD states, ``With DPM [diesel particulate matter] being a ubiquitous
component of ambient PM, there is an uncertainty about the adequacy of
the existing DE [diesel exhaust] noncancer database to identify all of
the pertinent DE-caused noncancer health hazards.'' (p. 9-19). The
Diesel HAD concludes ``that acute exposure to DE [diesel exhaust] has
been associated with irritation of the eye, nose, and throat,
respiratory symptoms (cough and phlegm), and neurophysiological
symptoms such as headache, lightheadedness, nausea, vomiting, and
numbness or tingling of the extremities.'' \37\
---------------------------------------------------------------------------
\33\ Ishinishi, N. Kuwabara, N. Takaki, Y., et al. (1988). Long-
term inhalation experiments on diesel exhaust. In: Diesel exhaust
and health risks. Results of the HERP studies. Ibaraki, Japan:
Research Committee for HERP Studies; pp.11-84.
\34\ Heinrich, U., Fuhst, R., Rittinghausen, S., et al. (1995).
Chronic inhalation exposure of Wistar rats and two different strains
of mice to diesel engine exhaust, carbon black, and titanium
dioxide. Inhal Toxicol, 7, 553-556.
\35\ Mauderly, J.L., Jones, R.K., Griffith, W.C., et al. (1987).
Diesel exhaust is a pulmonary carcinogen in rats exposed chronically
by inhalation. Fundam. Appl. Toxicol., 9, 208-221.
\36\ Nikula, K.J., Snipes, M.B., Barr, E.B., et al. (1995).
Comparative pulmonary toxicities and carcinogenicities of
chronically inhaled diesel exhaust and carbon black in F344 rats.
Fundam. Appl. Toxicol, 25, 80-94.
\37\ U.S. EPA (2002). Health Assessment Document for Diesel
Engine Exhaust. EPA/600/8-90/057F Office of Research and
Development, Washington, DC. Retrieved on March 17, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=29060. p. 9-9.
---------------------------------------------------------------------------
(iii) Ambient PM2.5 Levels and Exposure to Diesel Exhaust PM
The Diesel HAD also briefly summarizes health effects associated
with ambient PM and discusses the EPA's annual PM2.5 NAAQS
of 15 [mu]g/m\3\. There is a much more extensive body of human data
showing a wide spectrum of adverse health effects associated with
exposure to ambient PM, of which diesel exhaust is an important
component. The PM2.5 NAAQS is designed to provide protection
from the noncancer and premature mortality effects of PM2.5
as a whole.
(iv) Diesel Exhaust PM Exposures
Exposure of people to diesel exhaust depends on their various
activities, the time spent in those activities, the locations where
these activities occur, and the levels of diesel exhaust pollutants in
those locations. The major difference between ambient levels of diesel
particulate and exposure levels for diesel particulate is that exposure
accounts for a person moving from location to location, proximity to
the emission source, and whether the exposure occurs in an enclosed
environment.
Occupational Exposures
Occupational exposures to diesel exhaust from mobile sources,
including marine diesel engines, can be several orders of magnitude
greater than typical exposures in the non-occupationally exposed
population.
Over the years, diesel particulate exposures have been measured for
a number of occupational groups. A wide range of exposures have been
reported, from 2 [mu]g/m\3\ to 1,280 [mu]g/m\3\, for a variety of
occupations. As discussed in the Diesel HAD, the National Institute of
Occupational Safety and Health (NIOSH) has estimated a total of
1,400,000 workers are occupationally exposed to diesel exhaust from on-
road and nonroad vehicles including marine diesel engines.
Elevated Concentrations and Ambient Exposures in Mobile Source-Impacted
Areas
Regions immediately downwind of marine ports may experience
elevated ambient concentrations of directly-emitted PM2.5
from diesel engines. Due to the unique nature of marine ports,
emissions from a large number of diesel engines are concentrated in a
small area.
A 2006 study from the California Air Resources Board (CARB)
evaluated air quality impacts of diesel engine emissions within the
Ports of Long Beach and Los Angeles in California, one of the largest
ports in the U.S.\38\ The port study employed the ISCST3 dispersion
model. With local meteorological data used in the modeling, annual
average concentrations were substantially elevated over an area
exceeding 200,000 acres. Because the ports are located near heavily-
populated areas, the modeling indicated that over 700,000 people lived
in areas with at least 0.3 [mu]g/m\3\ of port-related diesel PM in
ambient air, about 360,000 people lived in areas with at least 0.6
[mu]g/m\3\ of diesel PM, and about 50,000 people lived in areas with at
least 1.5 [mu]g/m\3\ of ambient diesel PM directly from the port. This
study highlights the substantial contribution ports can make to
elevated ambient concentrations in populated areas.
---------------------------------------------------------------------------
\38\ Di, P., Servin, A., Rosenkranz, K., Schwehr, B., Tran, H.,
(2006). Diesel Particulate Matter Exposure Assessment Study for the
Ports of Los Angeles and Long Beach. Sacramento, CA: California EPA,
California Air Resources Board (CARB). Retrieved March 19, 2009 from
http://www.arb.ca.gov/regact/marine2005/portstudy0406.pdf.
---------------------------------------------------------------------------
EPA recently updated its initial screening-level analysis of a
representative selection of national marine port areas to better
understand the populations that are exposed to DPM emissions from these
facilities.39 40 41 42 As part of this study,
[[Page 22906]]
a computer geographic information system (GIS) was used to identify the
locations and property boundaries of 45 marine ports.\43\ Census
information was used to estimate the size and demographic
characteristics of the population living in the vicinity of the ports.
The results indicate that at least 18 million people, including a
disproportionate number of low-income households, African-Americans,
and Hispanics, live in the vicinity of these facilities and are being
exposed to annual average ambient DPM levels that are 2.0 [mu]g/m\3\
and 0.2 [mu]g/m\3\ above levels found in areas further from these
facilities. These populations will benefit from the coordinated
strategy. This study is discussed in greater detail in Chapter 2 of the
RIA and detailed findings of this study are available in the public
docket for this rulemaking.
---------------------------------------------------------------------------
\39\ ICF International. September 28, 2007. Estimation of diesel
particulate matter concentration isopleths for marine harbor areas
and rail yards. Memorandum to EPA under Work Assignment Number 0-3,
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2007-0121.
\40\ ICF International. September 28, 2007. Estimation of diesel
particulate matter population exposure near selected harbor areas
and rail yards. Memorandum to EPA under Work Assignment Number 0-3,
Contract Number EP-C-06-094. This memo is available in Docket EPA-
HQ-OAR-2007-0121.
\41\ ICF International, December 10, 2008. Estimation of diesel
particulate matter population exposure near selected harbor areas
with revised harbor emissions. Memorandum to EPA under Work
Assignment Number 2-9. Contract Number EP-C-06-094. This memo is
available in Docket EPA-HQ-OAR-2007-0121.
\42\ ICF International. December 1, 2008. Estimation of diesel
particulate matter concentration isopleths near selected harbor
areas with revised emissions. Memorandum to EPA under Work
Assignment Number 1-9. Contract Number EP-C-06-094. This memo is
available in Docket EPA-HQ-OAR-2007-0121.
\43\ The Agency selected a representative sample from the top
150 U.S. ports including coastal, inland, and Great Lake ports.
---------------------------------------------------------------------------
(2) Ozone
Ground-level ozone pollution is typically formed by the reaction of
VOC and NOX in the lower atmosphere in the presence of heat
and sunlight. These pollutants, often referred to as ozone precursors,
are emitted by many types of pollution sources, such as highway and
nonroad motor vehicles and engines, power plants, chemical plants,
refineries, makers of consumer and commercial products, industrial
facilities, and smaller area sources.
The science of ozone formation, transport, and accumulation is
complex.\44\ Ground-level ozone is produced and destroyed in a cyclical
set of chemical reactions, many of which are sensitive to temperature
and sunlight. When ambient temperatures and sunlight levels remain high
for several days and the air is relatively stagnant, ozone and its
precursors can build up and result in more ozone than typically occurs
on a single high-temperature day. Ozone can be transported hundreds of
miles downwind from precursor emissions, resulting in elevated ozone
levels even in areas with low local VOC or NOX emissions.
---------------------------------------------------------------------------
\44\ U.S. EPA (2006). Air Quality Criteria for Ozone and Related
Photochemical Oxidants (Final). EPA/600/R-05/004aF-cF. Washington,
DC: U.S. EPA. Retrieved on March 19, 2009 from Docket EPA-HQ-OAR-
2003-0190 at http://www.regulations.gov/.
---------------------------------------------------------------------------
(a) Health Effects of Ozone
The health and welfare effects of ozone are well documented and are
assessed in EPA's 2006 Air Quality Criteria Document (ozone AQCD) and
2007 Staff Paper.45 46 Ozone can irritate the respiratory
system, causing coughing, throat irritation, and/or uncomfortable
sensation in the chest. Ozone can reduce lung function and make it more
difficult to breathe deeply; breathing may also become more rapid and
shallow than normal, thereby limiting a person's activity. Ozone can
also aggravate asthma, leading to more asthma attacks that require
medical attention and/or the use of additional medication. In addition,
there is suggestive evidence of a contribution of ozone to
cardiovascular-related morbidity and highly suggestive evidence that
short-term ozone exposure directly or indirectly contributes to non-
accidental and cardiopulmonary-related mortality, but additional
research is needed to clarify the underlying mechanisms causing these
effects. In a recent report on the estimation of ozone-related
premature mortality published by the National Research Council (NRC), a
panel of experts and reviewers concluded that short-term exposure to
ambient ozone is likely to contribute to premature deaths and that
ozone-related mortality should be included in estimates of the health
benefits of reducing ozone exposure.\47\ Animal toxicological evidence
indicates that with repeated exposure, ozone can inflame and damage the
lining of the lungs, which may lead to permanent changes in lung tissue
and irreversible reductions in lung function. People who are more
susceptible to effects associated with exposure to ozone can include
children, the elderly, and individuals with respiratory disease such as
asthma. Those with greater exposures to ozone, for instance due to time
spent outdoors (e.g., children and outdoor workers), are of particular
concern.
---------------------------------------------------------------------------
\45\ U.S. EPA (2006). Air Quality Criteria for Ozone and Related
Photochemical Oxidants (Final). EPA/600/R-05/004aF-cF. Washington,
DC: U.S. EPA. Retrieved on March 19, 2009 from Docket EPA-HQ-OAR-
2003-0190 at http://www.regulations.gov/.
\46\ U.S. EPA (2007). Review of the National Ambient Air Quality
Standards for Ozone: Policy Assessment of Scientific and Technical
Information, OAQPS Staff Paper. EPA-452/R-07-003. Washington, DC,
U.S. EPA. Retrieved on March 19, 2009 from Docket EPA-HQ-OAR-2003-
0190 at http://www.regulations.gov/.
\47\ National Research Council (NRC), 2008. Estimating Mortality
Risk Reduction and Economic Benefits from Controlling Ozone Air
Pollution. The National Academies Press: Washington, DC.
---------------------------------------------------------------------------
The 2006 ozone AQCD also examined relevant new scientific
information that has emerged in the past decade, including the impact
of ozone exposure on such health effects as changes in lung structure
and biochemistry, inflammation of the lungs, exacerbation and causation
of asthma, respiratory illness-related school absence, hospital
admissions and premature mortality. Animal toxicological studies have
suggested potential interactions between ozone and PM with increased
responses observed to mixtures of the two pollutants compared to either
ozone or PM alone. The respiratory morbidity observed in animal studies
along with the evidence from epidemiologic studies supports a causal
relationship between acute ambient ozone exposures and increased
respiratory-related emergency room visits and hospitalizations in the
warm season. In addition, there is suggestive evidence of a
contribution of ozone to cardiovascular-related morbidity and non-
accidental and cardiopulmonary mortality.
(3) NOX and SOX
Nitrogen dioxide (NO2) is a member of the NOX
family of gases. Most NO2 is formed in the air through the
oxidation of nitric oxide (NO) emitted when fuel is burned at a high
temperature. SO2, a member of the sulfur oxide
(SOX) family of gases, is formed from burning fuels
containing sulfur (e.g., coal or oil derived), extracting gasoline from
oil, or extracting metals from ore.
SO2 and NO2 can dissolve in water vapor and
further oxidize to form sulfuric and nitric acid which react with
ammonia to form sulfates and nitrates, both of which are important
components of ambient PM. The health effects of ambient PM are
discussed in Section II.A.1 of this preamble. NOX along with
non-methane hydrocarbon (NMHC) are the two major precursors of ozone.
The health effects of ozone are covered in Section II.A.2.
(a) Health Effects of NOX
Information on the health effects of NO2 can be found in
the U.S. Environmental Protection Agency
[[Page 22907]]
Integrated Science Assessment (ISA) for Nitrogen Oxides.\48\ The U.S.
EPA has concluded that the findings of epidemiologic, controlled human
exposure, and animal toxicological studies provide evidence that is
sufficient to infer a likely causal relationship between respiratory
effects and short-term NO2 exposure. The ISA concludes that
the strongest evidence for such a relationship comes from epidemiologic
studies of respiratory effects including symptoms, emergency department
visits, and hospital admissions. The ISA also draws two broad
conclusions regarding airway responsiveness following NO2
exposure. First, the ISA concludes that NO2 exposure may
enhance the sensitivity to allergen-induced decrements in lung function
and increase the allergen-induced airway inflammatory response at
exposures as low as 0.26 ppm NO2 for 30 minutes. Second,
exposure to NO2 has been found to enhance the inherent
responsiveness of the airway to subsequent nonspecific challenges in
controlled human exposure studies of asthmatic subjects. Enhanced
airway responsiveness could have important clinical implications for
asthmatics since transient increases in airway responsiveness following
NO2 exposure have the potential to increase symptoms and
worsen asthma control. Together, the epidemiologic and experimental
data sets form a plausible, consistent, and coherent description of a
relationship between NO2 exposures and an array of adverse
health effects that range from the onset of respiratory symptoms to
hospital admission.
---------------------------------------------------------------------------
\48\ U.S. EPA (2008). Integrated Science Assessment for Oxides
of Nitrogen--Health Criteria (Final Report). EPA/600/R-08/071.
Washington, DC: U.S. EPA. Retrieved on March 19, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=194645.
---------------------------------------------------------------------------
Although the weight of evidence supporting a causal relationship is
somewhat less certain than that associated with respiratory morbidity,
NO2 has also been linked to other health endpoints. These
include all-cause (nonaccidental) mortality, hospital admissions or
emergency department visits for cardiovascular disease, and decrements
in lung function growth associated with chronic exposure.
(b) Health Effects of SOX
Information on the health effects of SO2 can be found in
the U.S. Environmental Protection Agency Integrated Science Assessment
for Sulfur Oxides.\49\ SO2 has long been known to cause
adverse respiratory health effects, particularly among individuals with
asthma. Other potentially sensitive groups include children and the
elderly. During periods of elevated ventilation, asthmatics may
experience symptomatic bronchoconstriction within minutes of exposure.
Following an extensive evaluation of health evidence from epidemiologic
and laboratory studies, the EPA has concluded that there is a causal
relationship between respiratory health effects and short-term exposure
to SO2. Separately, based on an evaluation of the
epidemiologic evidence of associations between short-term exposure to
SO2 and mortality, the EPA has concluded that the overall
evidence is suggestive of a causal relationship between short-term
exposure to SO2 and mortality.
---------------------------------------------------------------------------
\49\ U.S. EPA (2008). Integrated Science Assessment (ISA) for
Sulfur Oxides--Health Criteria (Final Report). EPA/600/R-08/047F.
Washington, DC: U.S. Environmental Protection Agency. Retrieved on
March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=198843.
---------------------------------------------------------------------------
B. Environmental Impacts
(1) Deposition of Nitrogen and Sulfur
Emissions of NOX and SOX from ships
contribute to atmospheric deposition of nitrogen and sulfur in the U.S.
Atmospheric deposition of nitrogen and sulfur contributes to
acidification, altering biogeochemistry and affecting animal and plant
life in terrestrial and aquatic ecosystems across the U.S. The
sensitivity of terrestrial and aquatic ecosystems to acidification from
nitrogen and sulfur deposition is predominantly governed by geology.
Prolonged exposure to excess nitrogen and sulfur deposition in
sensitive areas acidifies lakes, rivers and soils. Increased acidity in
surface waters creates inhospitable conditions for biota and affects
the abundance and nutritional value of preferred prey species,
threatening biodiversity and ecosystem function. Over time, acidifying
deposition also removes essential nutrients from forest soils,
depleting the capacity of soils to neutralize future acid loadings and
negatively affecting forest sustainability. Major effects include a
decline in sensitive forest tree species, such as red spruce (Picea
rubens) and sugar maple (Acer saccharum), and a loss of biodiversity of
fishes, zooplankton, and macro invertebrates.
In addition to the role nitrogen deposition plays in acidification,
nitrogen deposition also causes ecosystem nutrient enrichment leading
to eutrophication that alters biogeochemical cycles. Excess nitrogen
also leads to the loss of nitrogen sensitive lichen species as they are
outcompeted by invasive grasses as well as altering the biodiversity of
terrestrial ecosystems, such as grasslands and meadows. Nitrogen
deposition contributes to eutrophication of estuaries and the
associated effects including toxic algal blooms and fish kills. For a
broader explanation of the topics treated here, refer to the
description in Section 2.3.1 of the RIA.
There are a number of important quantified relationships between
nitrogen deposition levels and ecological effects. Certain lichen
species are the most sensitive terrestrial taxa to nitrogen with
species losses occurring at just 3 kg N/ha/yr in the Pacific Northwest,
southern California and Alaska. A United States Forest Service study
conducted in areas within the Tongass Forest in Southeast Alaska found
evidence of sulfur emissions impacting lichen communities.\50\ The
authors concluded that the main source of nitrogen and sulfur found in
lichens from Mt. Roberts (directly north of the City of Juneau in
southeastern Alaska) is likely the burning of fossil fuels by cruise
ships and other vehicles and equipment in Juneau. According to the
Alaska DEC, damage to lichen populations has widespread effects in
Alaskan ecosystems.\51\
---------------------------------------------------------------------------
\50\ Dillman, K., Geiser, L., & Brenner, G. (2007). Air Quality
Bio-Monitoring with Lichens. The Togass National Forest. USDA Forest
Service. Retrieved March 18, 2009 from http://gis.nacse.org/lichenair/?page=reports.
\51\ Alaska Department of Environmental Conservation,
``Statement in Support of EPA Considering Alaska as Part of a Marine
Emission Control Area,'' October 1, 2008.
---------------------------------------------------------------------------
Across the U.S., there are many terrestrial and aquatic ecosystems
that have been identified as particularly sensitive to nitrogen
deposition. The most extreme effects resulting from nitrogen deposition
on aquatic ecosystems are due to nitrogen enrichment which contributes
to ``hypoxic'' zones devoid of life. Three hypoxia zones of special
concern in the U.S. are the zones located in the Gulf of Mexico, the
Chesapeake Bay in the mid-Atlantic region, and Long Island Sound in the
northeast U.S.\52\
---------------------------------------------------------------------------
\52\ U.S. EPA (2008). Nitrogen Dioxide/Sulfur Dioxide Secondary
NAAQS Review: Integrated Science Assessment (ISA). Washington, DC:
U.S. Environmental Protection Agency. Retrieved on March 18, 2009
from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=180903.
---------------------------------------------------------------------------
(2) Deposition of Particulate Matter and Air Toxics
The coordinated strategy will reduce NOX,
SOX, and PM2.5 emissions from ships. Ship
emissions of PM2.5 contain small amounts of metals: Nickel,
[[Page 22908]]
vanadium, cadmium, iron, lead, copper, zinc, and
aluminum.53 54 55 Investigations of trace metals near
roadways and industrial facilities indicate that a substantial burden
of heavy metals can accumulate on vegetative surfaces. Copper, zinc,
and nickel are directly toxic to vegetation under field conditions.\56\
While metals typically exhibit low solubility, limiting their
bioavailability and direct toxicity, chemical transformations of metal
compounds occur in the environment, particularly in the presence of
acidic or other oxidizing species. These chemical changes influence the
mobility and toxicity of metals in the environment. Once taken up into
plant tissue, a metal compound can undergo chemical changes, accumulate
and be passed along to herbivores, or can re-enter the soil and further
cycle in the environment.
---------------------------------------------------------------------------
\53\ Agrawal H., Malloy Q.G.J., Welch W.A., Wayne Miller J.,
Cocker III D.R. (2008) In-use gaseous and particulate matter
emissions from a modern ocean going container vessel. Atmospheric
Environment, 42(21), 5504-5510.
\54\ Miller, W., et al. (2008 June 10). Measuring Emissions from
Ocean Going Vessels. Presentation presented at the Fuel, Engines,
and Control Devices Workshop, San Pedro, California.
\55\ Isakson J., Persson T.A., E. Selin Lindgren E. (2001)
Identification and assessment of ship emissions and their effects in
the harbour of Gteborg, Sweeden. Atmospheric Environment, 35(21),
3659-3666.
\56\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter (AQCD). Washington, DC: U.S. Environmental Protection Agency.
Retrieved on March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=87903.
---------------------------------------------------------------------------
Although there has been no direct evidence of a physiological
association between tree injury and heavy metal exposures, heavy metals
have been implicated because of similarities between metal deposition
patterns and forest decline.57 58 This correlation was
further explored in high elevation forests in the northeast U.S. and
the data strongly imply that metal stress causes tree injury and
contributes to forest decline in the Northeast.\59\ Contamination of
plant leaves by heavy metals can lead to elevated soil levels. Trace
metals absorbed into the plant frequently bind to the leaf tissue, and
then are lost when the leaf drops. As the fallen leaves decompose, the
heavy metals are transferred into the soil.60 61
---------------------------------------------------------------------------
\57\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter (AQCD). Washington, DC: U.S. Environmental Protection Agency.
Retrieved on March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=87903.
\58\ Gawel, J.E.; Ahner, B.A.; Friedland, A.J.; Morel, F.M.M.
(1996) Role for heavy metals in forest decline indicated by
phytochelatin measurements. Nature (London), 381, 64-65.
\59\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter (AQCD). Washington, DC: U.S. Environmental Protection Agency.
Retrieved on March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=87903.
\60\ Cotrufo M.F., De Santo A.V., Alfani A., Bartoli G., De
Cristofaro A. (1995) Effects of urban heavy metal pollution on
organic matter decomposition in Quercus ilex L. Woods. Environmental
Pollution, 89(1), 81-87.
\61\ Niklinska M., Laskowski R., Maryanski M. (1998). Effect of
heavy metals and storage time on two types of forest litter: Basal
respiration rate and exchangeable metals. Ecotoxicological
Environmental Safety, 41, 8-18.
---------------------------------------------------------------------------
Ships also emit air toxics, including polycyclic aromatic
hydrocarbons (PAHs), a class of polycyclic organic matter (POM) that
contains compounds which are known or suspected carcinogens. Since the
majority of PAHs are adsorbed onto particles less than 1.0 [mu]m in
diameter, long range transport is possible. Particles of this size can
remain airborne for days or even months and travel distances up to
10,000 km before being deposited on terrestrial or aquatic
surfaces.\62\ Atmospheric deposition of particles is believed to be the
major source of PAHs to the sediments of Lake Michigan, Chesapeake Bay,
Tampa Bay and other coastal areas of the U.S.63 64 65 66 67
PAHs tend to accumulate in sediments and reach high enough
concentrations in some coastal environments to pose an environmental
health threat that includes cancer in fish populations, toxicity to
organisms living in the sediment, and risks to those (e.g., migratory
birds) that consume these organisms.68 69 PAHs tend to
accumulate in sediments and bioaccumulate in fresh water, flora and
fauna.
---------------------------------------------------------------------------
\62\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter (AQCD). Washington, DC: U.S. Environmental Protection Agency.
Retrieved on March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=87903.
\63\ Dickhut R.M., Canuel E.A., Gustafson K.E., Liu K., Arzayus
K.M., Walker S.E., Edgecombe G., Gaylor M.O., MacDonald E.H. (2000).
Automotive Sources of Carcinogenic Polycyclic Aromatic Hydrocarbons
Associated with Particulate Matter in the Chesapeake Bay Region.
Environmental Science & Technology, 34(21), 4635-4640.
\64\ Simcik M.F., Eisenreich, S.J., Golden K.A., et al. (1996).
Atmospheric Loading of Polycyclic Aromatic Hydrocarbons to Lake
Michigan as Recorded in the Sediments. Environmental Science and
Technology, 30, 3039-3046.
\65\ Simcik M.F., Eisenreich S.J., Lioy P.J. (1999). Source
apportionment and source/sink relationship of PAHs in the coastal
atmosphere of Chicago and Lake Michigan. Atmospheric Environment,
33, 5071-5079.
\66\ Poor N., Tremblay R., Kay H., et al. (2002). Atmospheric
concentrations and dry deposition rates of polycyclic aromatic
hydrocarbons (PAHs) for Tampa Bay, Florida, USA. Atmospheric
Environment, 38, 6005-6015.
\67\ Arzavus K.M., Dickhut R.M., Canuel E.A. (2001). Fate of
Atmospherically Deposited Polycyclic Aromatic Hydrocarbons (PAHs) in
Chesapeake Bay. Environmental Science & Technology, 35, 2178-2183.
\68\ Simcik M.F., Eisenreich, S.J., Golden K.A., et al. (1996).
Atmospheric Loading of Polycyclic Aromatic Hydrocarbons to Lake
Michigan as Recorded in the Sediments. Environmental Science and
Technology, 30, 3039-3046.
\69\ Simcik M.F., Eisenreich S.J., Lioy P.J. (1999). Source
apportionment and source/sink relationship of PAHs in the coastal
atmosphere of Chicago and Lake Michigan. Atmospheric Environment,
33, 5071-5079.
---------------------------------------------------------------------------
Atmospheric deposition of pollutants can reduce the aesthetic
appeal of buildings and culturally important articles through soiling,
and can contribute directly (or in conjunction with other pollutants)
to structural damage by means of corrosion or erosion.\70\ Atmospheric
deposition may affect materials principally by promoting and
accelerating the corrosion of metals, by degrading paints, and by
deteriorating building materials such as concrete and limestone.
Particles contribute to these effects because of their electrolytic,
hygroscopic, and acidic properties, and their ability to adsorb
corrosive gases (principally sulfur dioxide). The rate of metal
corrosion depends on a number of factors, including the deposition rate
and nature of the pollutant; the influence of the metal protective
corrosion film; the amount of moisture present; variability in the
electrochemical reactions; the presence and concentration of other
surface electrolytes; and the orientation of the metal surface.
---------------------------------------------------------------------------
\70\ U.S. EPA (2005). Review of the National Ambient Air Quality
Standards for Particulate Matter: Policy Assessment of Scientific
and Technical Information, OAQPS Staff Paper. Retrieved on April 9,
2009 from http://www.epa.gov/ttn/naaqs/standards/pm/data/pmstaffpaper_20051221.pdf.
---------------------------------------------------------------------------
(3) Impacts on Visibility
Emissions from ships contribute to poor visibility in the U.S.
through their primary PM2.5 emissions, as well as their
NOX and SOX emissions which contribute to the
formation of secondary PM2.5.\71\ Visibility can be defined
as the degree to which the atmosphere is transparent to visible light.
Airborne particles degrade visibility by scattering and absorbing
light. Visibility is important because it has direct significance to
people's enjoyment of daily activities in all parts of the country.
Individuals value good visibility for the well-being it provides them
directly, where they live and work and in places where they enjoy
recreational opportunities. Visibility is also highly valued in
significant natural areas such as national parks and
[[Page 22909]]
wilderness areas, and special emphasis is given to protecting
visibility in these areas. For more information on visibility, see the
final 2004 PM AQCD as well as the 2005 PM Staff Paper.72 73
---------------------------------------------------------------------------
\71\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter (AQCD). Volume I Document No. EPA600/P-99/002aF and Volume II
Document No. EPA600/P-99/002bF. Washington, DC: U.S. Environmental
Protection Agency. Retrieved on March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=87903.
\72\ U.S. EPA (2004). Air Quality Criteria for Particulate
Matter (AQCD). Volume I Document No. EPA600/P-99/002aF and Volume II
Document No. EPA600/P-99/002bF. Washington, DC: U.S. Environmental
Protection Agency. Retrieved on March 18, 2009 from http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=87903.
\73\ U.S. EPA (2005). Review of the National Ambient Air Quality
Standard for Particulate Matter: Policy Assessment of Scientific and
Technical Information, OAQPS Staff Paper. EPA-452/R-05-005.
Washington, DC: U.S. Environmental Protection Agency.
---------------------------------------------------------------------------
EPA is pursuing a two-part strategy to address visibility. First,
EPA has set secondary PM2.5 standards which act in
conjunction with the establishment of a regional haze program. In
setting the secondary PM2.5 standard, EPA has concluded that
PM2.5 causes adverse effects on visibility in various
locations, depending on PM concentrations and factors such as chemical
composition and average relative humidity. Second, section 169 of the
Clean Air Act provides additional authority to address existing
visibility impairment and prevent future visibility impairment in the
156 national parks, forests and wilderness areas categorized as
mandatory class I Federal areas (62 FR 38680-81, July 18, 1997).\74\ In
July 1999, the regional haze rule (64 FR 35714) was put in place to
protect the visibility in mandatory class I Federal areas. Visibility
can be said to be impaired in both PM2.5 nonattainment areas
and mandatory class I Federal areas.
---------------------------------------------------------------------------
\74\ These areas are defined in section 162 of the Act as those
national parks exceeding 6,000 acres, wilderness areas and memorial
parks exceeding 5,000 acres, and all international parks which were
in existence on August 7, 1977.
---------------------------------------------------------------------------
(4) Plant and Ecosystem Effects of Ozone
Elevated ozone levels contribute to environmental effects, with
impacts to plants and ecosystems being of most concern. Ozone can
produce both acute and chronic injury in sensitive species depending on
the concentration level and the duration of the exposure. Ozone effects
also tend to accumulate over the growing season of the plant, so that
even low concentrations experienced for a longer duration have the
potential to create chronic stress on vegetation. Ozone damage to
plants includes visible injury to leaves and impaired photosynthesis,
both of which can lead to reduced plant growth and reproduction,
resulting in reduced crop yields, forestry production, and use of
sensitive ornamentals in landscaping. In addition, the impairment of
photosynthesis, the process by which the plant makes carbohydrates (its
source of energy and food), can lead to a subsequent reduction in root
growth and carbohydrate storage below ground, resulting in other, more
subtle plant and ecosystems impacts.
These latter impacts include increased susceptibility of plants to
insect attack, disease, harsh weather, interspecies competition and
overall decreased plant vigor. The adverse effects of ozone on forest
and other natural vegetation can potentially lead to species shifts and
loss from the affected ecosystems, resulting in a loss or reduction in
associated ecosystem goods and services. Lastly, visible ozone injury
to leaves can result in a loss of aesthetic value in areas of special
scenic significance like national parks and wilderness areas. The final
2006 ozone AQCD presents more detailed information on ozone effects on
vegetation and ecosystems.
C. Air Quality Modeling Results
Air quality modeling was performed to assess the impact of the
coordinated strategy. We looked at impacts on future ambient
PM2.5 and ozone levels, as well as nitrogen and sulfur
deposition levels and visibility impairment. In this section, we
present information on current levels of pollution as well as model
projected levels of pollution for 2020 and 2030.\75\
---------------------------------------------------------------------------
\75\ As discussed in Section 3.7 of the RIA, the inventories
used for the air quality modeling in 2020 and 2030 differ slightly
from each other. The difference between 2020 and 2030 is small and
was due to an error in calculating the 200 nautical miles distance.
In addition, as discussed in Section 3.7 of the RIA, the 2020 air
quality control case does not include global controls for areas that
are beyond 200 nautical miles but within the air quality modeling
domain. The impact of this latter difference is expected to be
minimal.
---------------------------------------------------------------------------
The air quality modeling uses EPA's Community Multiscale Air
Quality (CMAQ) model. The CMAQ modeling domain is rectangular in shape
and encompasses all of the lower 48 States, portions of Canada and
Mexico, and areas extending into the ocean up to 1,000 nautical miles
(nm), depending on the coast. The smallest area of ocean coverage is
over the northeast U.S. In places like Maine and Cape Cod, the
easternmost points of the contiguous U.S., the distance to the edge of
the CMAQ modeling domain is approximately 150 nm. The rest of the U.S.
shoreline has at least 200 nm between the shoreline and boundary of the
air quality modeling. The CMAQ modeling domain is described in more
detail in Section 2.4.5.2 of the RIA. The performance of the CMAQ
modeling was evaluated using a 2002 base case simulation. More detail
about the performance evaluation is contained within the Section
2.4.5.4 of the RIA. The model was able to reproduce historical
concentrations of ozone and PM2.5 at land-based monitors
with low amounts of bias and error. While we are not able to evaluate
the model's performance over the ocean due to the absence of surface
monitors, there is no evidence to suggest that model performance is
unsatisfactory over the ocean.
The emission control scenarios used in the air quality modeling are
slightly different than the final coordinated strategy emission control
scenarios. For example, the 2020 air quality impacts are based on
inventory estimates that were modeled using incorrect ECA boundary
information off of the western coast of the U.S. A calculation error
placed the western 200 nautical mile (nm) ECA boundary approximately 50
nm closer to shore. Additionally, the 2020 air quality control case
does not reflect emission reductions related to global controls for
areas that are beyond 200 nm but within the CMAQ air quality modeling
domain. Finally, the emission control scenarios do not consider the
exemption of Great Lakes steamships from the final fuel sulfur
standards. The impact of these differences is expected to be minimal.
(1) Particulate Matter
The coordinated strategy described in this final rule will
significantly reduce ambient PM concentrations through reductions in
emissions of direct PM, as well as NOX and SOX
which contribute to secondary PM.
(a) Current Levels
PM2.5 concentrations exceeding the level of the
PM2.5 NAAQS occur in many parts of the country. In 2005, EPA
designated 39 nonattainment areas for the 1997 PM2.5 NAAQS
(70 FR 943, January 5, 2005). These areas are composed of 208 full or
partial counties with a total population exceeding 88 million. The 1997
PM2.5 NAAQS was recently revised and the 2006 24-hour
PM2.5 NAAQS became effective on December 18, 2006. On
October 8, 2009, the EPA issued final nonattainment area designations
for the 24-hour PM2.5 NAAQS (74 FR 58688, November 13,
2009). These designations include 31 areas composed of 120 full or
partial counties.
(b) Projected Levels
A number of State governments have told EPA that they need the
reductions the coordinated strategy will provide in order to meet and
maintain the PM2.5
[[Page 22910]]
NAAQS.\76\ Most areas designated as not attaining the 1997
PM2.5 NAAQS will need to attain the 1997 standards in the
2010 to 2015 time frame, and then maintain them thereafter. The 2006
24-hour PM2.5 nonattainment areas will be required to attain
in the 2014 to 2019 time frame and then maintain thereafter. The fuel
sulfur emission standards will become effective in 2010 and 2015, and
the NOX engine emission standards will become effective in
2016. Therefore, the coordinated strategy emission reductions will be
useful to States in attaining or maintaining the PM2.5
NAAQS.
---------------------------------------------------------------------------
\76\ See the Advanced Notice of Proposed Rule Making at Docket
Number: EPA-HQ-OAR-2007-0121.
---------------------------------------------------------------------------
EPA has already adopted many emission control programs that are
expected to reduce ambient PM2.5 levels and which will
assist in reducing the number of areas that fail to achieve the
PM2.5 NAAQS. Even so, our air quality modeling for this rule
projects that in 2020, with all current controls but excluding the
reductions expected to occur as a result of the coordinated strategy,
at least 13 counties with a population of almost 30 million may not
attain the 1997 annual PM2.5 standard of 15 [mu]g/m\3\ and
47 counties with a population of over 53 million may not attain the
2006 24-hour PM2.5 standard of 35 [mu]g/m\3\. These numbers
do not account for those areas that are close to (e.g., within 10
percent of) the PM2.5 standards. These areas, although not
violating the standards, will also benefit from the additional
reductions from this rule ensuring long term maintenance of the
PM2.5 NAAQS.
Air quality modeling of the expected impacts of the coordinated
strategy shows that in 2020 and 2030 all of the modeled counties will
experience decreases in their annual and 24-hour PM2.5
design values. For areas with current annual PM2.5 design
values greater than 15[mu]g/m\3\, the modeled future-year, population-
weighted annual PM2.5 design values are expected to decrease
on average by 0.8 [mu]g/m\3\ in 2020 and by 1.7 [mu]g/m\3\ in 2030. For
areas with current 24-hour PM2.5 design values greater than
35[mu]g/m\3\, the modeled future-year, population-weighted annual
PM2.5 design values are expected to decrease on average by
1.3 [mu]g/m\3\ in 2020 and by 3.4 [mu]g/m\3\ in 2030. In 2030, the
maximum projected decrease for an annual PM2.5 design value
is 6.0 [mu]g/m\3\ in Miami, FL, and the maximum projected decrease for
a 24-hour PM2.5 design value is 11.7 [mu]g/m \3\ in Los
Angeles, CA. The air quality modeling methodology and the projected
reductions are discussed in more detail in Chapter 2 of the RIA.
(2) Ozone
(a) Current Levels
In 2008, the U.S. EPA amended the ozone NAAQS (73 FR 16436, March
27, 2008). The final 2008 ozone NAAQS rule set forth revisions to the
previous 1997 NAAQS for ozone to provide increased protection of public
health and welfare. As of July 31, 2009 there are 54 areas designated
as nonattainment for the 1997 8-hour ozone NAAQS, comprising 282 full
or partial counties with a total population of almost 127 million
people. These numbers do not include the people living in areas where
there is a future risk of failing to maintain or attain the 1997 8-hour
ozone NAAQS. The numbers above likely underestimate the number of
counties that are not meeting the ozone NAAQS because the nonattainment
areas associated with the more stringent 2008 8-hour ozone NAAQS have
not yet been designated.\77\ Table II-1 provides an estimate, based on
2005-07 air quality data, of the counties with design values greater
than the 2008 8-hour ozone NAAQS of 0.075 ppm.
---------------------------------------------------------------------------
\77\ On September 16, 2009, the Administrator announced that the
EPA is reconsidering the 2008 ozone standards to determine whether
they adequately protect public health and the environment. She also
announced that the Agency will propose to temporarily stay the 2008
standards for the purpose of attainment and nonattainment area
designations. Under the stay, all activities to designate areas for
the 2008 ozone standards would be suspended for the duration of the
reconsideration period. EPA intends to complete the reconsideration
by August 31, 2010. If, as a result of the reconsideration, EPA
determines that the 2008 ozone standards are not supported by the
scientific record and promulgates different ozone standards, the new
2010 ozone standards would replace the 2008 ozone standards and the
requirement to designate areas for the 2008 standards would no
longer apply. If EPA promulgates new ozone standards in 2010, EPA
intends to accelerate the designations process to that the
designations would be effective in August 2011.
Table II-1--Counties With Design Values Greater Than the 2008 Ozone
NAAQS Based on 2005-2007 Air Quality Data
------------------------------------------------------------------------
Number of
counties Population \a\
------------------------------------------------------------------------
1997 Ozone Standard: counties within 282 126,831,848
the 54 areas currently designated
as nonattainment (as of 7/31/09)...
2008 Ozone Standard: additional 227 41,285,262
counties that would not meet the
2008 NAAQS \b\.....................
-----------------------------------
Total........................... 509 168,117,110
------------------------------------------------------------------------
Notes:
\a\ Population numbers are from 2000 census data.
\b\ Attainment designations for the 2008 ozone NAAQS have not yet been
made. Nonattainment for the 2008 Ozone NAAQS will be based on three
years of air quality data from later years. Also, the county numbers
in this row include only the counties with monitors violating the 2008
Ozone NAAQS. The numbers in this table may be an underestimate of the
number of counties and populations that will eventually be included in
areas with multiple counties designated nonattainment.
(b) Projected Levels
States with 8-Hour ozone nonattainment areas are required to take
action to bring those areas into compliance in the future. Based on the
final rule designating and classifying 8-hour ozone nonattainment areas
for the 1997 standard (69 FR 23951, April 30, 2004), most 8-hour ozone
nonattainment areas will be required to attain the 1997 ozone NAAQS in
the 2007 to 2013 time frame and then maintain the NAAQS thereafter. In
addition, there will be attainment dates associated with the
designation of nonattainment areas as a result of the reconsideration
of the 2008 ozone NAAQS. Many of these nonattainment areas will need to
adopt additional emission reduction programs, and the NOX
reductions that will result from the coordinated strategy will be
particularly important for these States.
EPA has already adopted many emission control programs that are
expected to reduce ambient ozone levels and assist in reducing the
number of areas that fail to achieve the ozone NAAQS. Even so, our air
quality modeling projects that in 2020, with all
[[Page 22911]]
current controls but excluding the reductions achieved through the
coordinated strategy, up to 50 counties with a population of almost 50
million may not attain the 2008 ozone standard of 0.075 ppm. These
numbers do not account for those areas that are close to (e.g., within
10 percent of) the 2008 ozone standard. These areas, although not
violating the standards, will also benefit from the additional
reductions from this rule ensuring long-term maintenance of the ozone
NAAQS.
These air quality modeling results suggest that emission reductions
achieved through the coordinated strategy will improve both the average
and population-weighted average ozone design value concentrations for
the U.S. in 2020 and 2030. In addition, the air quality modeling shows
that on average the coordinated program described in this action will
help bring counties closer to ozone attainment as well as assist
counties whose ozone concentrations are within 10 percent below the
standard. For example, in projected nonattainment counties, on a
population-weighted basis, the 8-hour ozone design value will on
average decrease by 0.5 ppb in 2020 and 1.6 ppb in 2030. The air
quality modeling methodology and the projected reductions are discussed
in more detail in Chapter 2 of the RIA.
It should be noted that even though our air quality modeling
predicts important reductions in nationwide ozone levels, three
counties (of 661 that were part of the analysis) are expected to
experience an increase in their ozone design values in 2030. There are
two counties in Washington, Clallam County and Clark County, and Orange
County, CA, which will experience 8-hour ozone design value increases
due to the NOX disbenefits which occur in these VOC-limited
ozone nonattainment areas. Briefly, NOX reductions at
certain times and in some areas can lead to increased ozone levels. The
air quality modeling methodology (Section 2.4.5), the projected
reductions (Section 2.4), and the limited NOX disbenefits
(Section 2.4.2.2.2), are discussed in more detail in Chapter 2 of the
RIA.
(c) Case Study of Shipping Emissions and Ozone Impacts on Forests
The section below attempts to estimate the impacts of the
coordinated strategy on forests through a case study.
Assessing the impact of ground-level ozone on forests in the United
States involves understanding the risk/effect of tree species to ozone
ambient concentrations and accounting for the prevalence of those
species within the forest. As a way to quantify the risk/effect of
particular plants to ground-level ozone, scientists have developed
ozone-exposure/tree-response functions by exposing tree seedlings to
different ozone levels and measuring reductions in growth as ``biomass
loss.''\78\
---------------------------------------------------------------------------
\78\ Chappelka, AH, Samuelson, LJ. (1998). Ambient ozone effects
on forest trees of the Eastern United States: a review. New
Phytologist, 139, 91-108.
---------------------------------------------------------------------------
With knowledge of the distribution of sensitive species and the
level of ozone at particular locations, it is possible to estimate a
``biomass loss'' for each species across their range. EPA performed an
analysis for 2020 in which we examined biomass loss with and without
ship emissions to determine the benefit of reducing these emissions on
sensitive tree species in the U.S.\79\ The biomass loss attributable to
shipping appears to range from 0 to 6.5% depending on the particular
species. The species most sensitive to ozone related biomass loss in
the U.S. is black cherry (Prunus serotina); the area of its range with
more than 10% total biomass loss in 2020 decreased by 8.5% in the case
in which emissions from ships were removed. Likewise, yellow-poplar
(Liriodendron tulipifera), eastern white pine (Pinus strobus), aspen
(Populus spp.), and ponderosa pine (Pinus ponderosa) saw areas with
more then 2% biomass loss reduced by 2.1% to 3.8% in 2020. This 2%
level of biomass loss is important, because a consensus workshop on
ozone effects reported that a 2% annual biomass loss causes harm due to
the potential for compounding effects over multiple years as short-term
negative effects on seedlings affect long-term forest
health.80 81
---------------------------------------------------------------------------
\79\ Note that while the coordinated strategy does not eliminate
ship emissions, it will be directionally helpful in reducing ship
emissions.
\80\ Prasad A.M, Iverson L.R. (2003). Little's range and FIA
importance value database for 135 eastern U.S. tree species.
Northeastern Research Station, USDA Forest Service, Delaware, Ohio.
[online] Retrieved on March 19, 2009, from http://www.fs.fed.us/ne/delaware/4153/global/littlefia/index.html.
\81\ Heck W.W., Cowling E.B. (1997) The need for a Long Term
Cumulative Secondary Ozone Standard--an Ecological Perspective. Air
and Waste Management Association, EM, 23-33.
---------------------------------------------------------------------------
(3) Nitrogen and Sulfur Deposition
(a) Current Levels
Over the past two decades, the EPA has undertaken numerous efforts
to reduce nitrogen and sulfur deposition across the U.S. Analyses of
long-term monitoring data for the U.S. show that deposition of both
nitrogen and sulfur compounds has decreased over the last 17 years
although many areas continue to be negatively impacted by deposition.
Deposition of inorganic nitrogen and sulfur species routinely measured
in the U.S. between 2004 and 2006 were as high as 9.6 kg N/ha/yr and
21.3 kg S/ha/yr. The data shows that reductions were more substantial
for sulfur compounds than for nitrogen compounds. These numbers are
generated by the U.S. national monitoring network and they likely
underestimate nitrogen deposition because NH3 is not
measured. In the eastern U.S., where data are most abundant, total
sulfur deposition decreased by about 36% between 1990 and 2005 while
total nitrogen deposition decreased by 19% over the same time
frame.\82\
---------------------------------------------------------------------------
\82\ U.S. EPA. U.S. EPA's 2008 Report on the Environment (Final
Report). U.S. Environmental Protection Agency, Washington, DC, EPA/
600/R-07/045F (NTIS PB2008-112484).
---------------------------------------------------------------------------
(b) Projected Levels
The emissions reductions that result from the coordinated strategy
will significantly reduce the annual total sulfur and nitrogen
deposition occurring in sensitive U.S. ecosystems including forests,
wetlands, lakes, streams, and estuaries. For sulfur deposition,
adopting the coordinated strategy will result in reductions ranging
from 5% to 20% in 2020 along the entire Atlantic and Gulf coasts with
higher levels of reduction, exceeding 25%, occurring in the near-land
coastal waters of the U.S. In a few land areas on the Atlantic and Gulf
coasts, such as the southern parts of the States of Louisiana, Texas,
and Florida, 2020 sulfur deposition reductions will be much higher,
i.e., over 30%. Along the Pacific Coast, sulfur deposition reductions
will exceed 25% in the entire Southern California area, and the Pacific
Northwest. For a map of 2020 sulfur reductions and additional
information on these impacts see Section 2.4.3 of the RIA.
Overall, nitrogen deposition reductions in 2020 resulting from the
coordinated strategy described in this action are less than sulfur
deposition reductions. Nitrogen deposition reductions will range from
3% to 7% along the entire Atlantic, Pacific and Gulf Coasts. As with
sulfur deposition reductions, a few areas such as the southern parts of
the States of Louisiana, Texas, and Florida will experience larger
reductions of nitrogen up to 9%. The Pacific coastal waters will see
higher nitrogen reductions, exceeding 20% in some instances. See
Section 2.4.3 of the RIA for a map and additional information on
nitrogen deposition impacts.
[[Page 22912]]
(4) Visibility
(a) Current Levels
As mentioned in Section II.C.1, millions of people live in
nonattainment areas for the PM2.5 NAAQS. These populations,
as well as large numbers of individuals who travel to these areas, are
likely to experience visibility impairment. In addition, while
visibility trends have improved in mandatory class I Federal areas, the
most recent data show that these areas continue to suffer from
visibility impairment. In summary, visibility impairment is experienced
throughout the U.S., in multi-State regions, urban areas, and remote
mandatory class I Federal areas.
(b) Projected Levels
The air quality modeling conducted for the coordinated strategy was
also used to project visibility conditions in 133 mandatory class I
Federal areas across the U.S. in 2020 and 2030. The results indicate
that improvements in visibility due to OGV emissions reductions will
occur in all 133 mandatory class I Federal areas in the future,
although all areas will continue to have annual average deciview levels
above background in 2020 and 2030.\83\ The average visibility on the 20
percent worst days at these scenic locales is projected to improve by
0.22 deciviews, or 1.4 percent in 2020 and by 0.43 deciviews or 2.7% in
2030.
---------------------------------------------------------------------------
\83\ The level of visibility impairment in an area is based on
the light-extinction coefficient and a unit less visibility index,
called a ``deciview'', which is used in the valuation of visibility.
The deciview metric provides a scale for perceived visual changes
over the entire range of conditions, from clear to hazy. Under many
scenic conditions, the average person can generally perceive a
change of one deciview. The higher the deciview value, the worse the
visibility. Thus, an improvement in visibility is a decrease in
deciview value.
---------------------------------------------------------------------------
The greatest improvements in visibilities will occur in coastal
areas. For instance, the Agua Tibia Wilderness area (near Los Angeles)
will see a 9% improvement (2.17 DV) in 2020 and a 17% improvement (4.6
DV) in 2030 as a result of the emission reductions from the coordinated
strategy. National parks and national wilderness areas in other parts
of the country will also see improvements. For example, in 2030 the
Swanquarter National Wildlife Refuge (North Carolina) will have a 5%
improvement in visibility (1.11 DV) and Acadia National Park (Maine)
will have a 6% improvement (1.27 DV) with the coordinated strategy.
Even inland mandatory class I Federal areas are projected to see
improvements as a result of the controls from the coordinated strategy.
For example in 2030, the Grand Canyon National Park, located in the
State of Arizona, will see a 54% improvement in visibility (0.42 DV)
with the coordinated strategy. For the table which contains the full
visibility results over the 133 analyzed areas see Section 2.2.4.2 of
the RIA.
D. Emissions From Ships With Category 3 Engines
(1) Overview
This section describes the contribution of Category 3 vessels to
national emission inventories of NOX, PM2.5, and
SO2. A Category 3 vessel has a Category 3 propulsion engine.
Emissions from a Category 3 vessel include the emissions from both the
propulsion and auxiliary engines on that vessel. Propulsion and
auxiliary engine emissions were estimated separately to account for
differences in emission factors, engine size and load, and activity.
We estimate that in 2009, Category 3 vessels will contribute almost
913,000 tons (10 percent) to the national mobile source NOX
inventory, about 71,000 tons (24 percent) to the mobile source diesel
PM2.5 inventory, and nearly 597,000 tons (80 percent) to the
mobile source SO2 inventory. Expressed as a percentage of
all anthropogenic emissions, Category 3 vessels contribute 6 percent to
the national NOX inventory, 3 percent to the national
PM2.5 inventory, and 11 percent to the total SO2
inventory in 2009. In 2030, absent the strategy discussed in this rule,
these vessels will contribute about 2.1 million tons (40 percent) to
the mobile source NOX inventory, 168,000 tons (75 percent)
to the mobile source diesel PM2.5 inventory, and about 1.4
million tons (95 percent) to the mobile source SO2
inventory. Expressed as a percentage of all anthropogenic emissions,
Category 3 vessels will contribute 19 percent to the national
NOX inventory, 5 percent to the national PM2.5
inventory, and 15 percent to the total SO2 inventory in
2030. Under this strategy, by 2030, annual NOX emissions
from these vessels will be reduced by 1.2 million tons,
PM2.5 emissions by 143,000 tons, and SO2
emissions by 1.3 million tons.\84\
---------------------------------------------------------------------------
\84\ These emission inventory reductions include reductions from
ships operating within the 24 nautical mile regulatory zone off the
California Coastline, beginning with the effective date of the
Coordinated Strategy program elements. The California regulation
contains a provision that would sunset the requirements of the rule
if the Federal program achieves equivalent emission reductions. See
http://www.arb.ca.gov/regact/2008/fuelogv08/fro13.pdf at 13 CCR
2299.2(j)(1).
---------------------------------------------------------------------------
Each sub-section below discusses one of the three affected
pollutants, including expected emission reductions that will result
from the combination of the proposed CAA NOX standards along
with the ECA designation through amendment to MARPOL Annex VI and
related fuel standards. Table II-2 summarizes the impacts of these
reductions for 2020 and 2030 on a national basis. Chapter 3 of the RIA
also presents regional emissions inventories, such as those for the
Great Lakes. Table II-3 provides the estimated 2030 NOX
emission reductions (and PM reductions) for the coordinated strategy
compared to the Locomotive and Marine rule, Clean Air Nonroad Diesel
(CAND) program, and the Heavy-Duty Highway rule. Further details on our
inventory estimates are available in Chapter 3 of the RIA. Note that
the inventories presented here do not consider the exemption of Great
Lakes steamships from the final fuel sulfur standards. This change to
the program is not expected to have a significant impact on national
inventory estimates. We intend to follow up with a more detailed study
of the impacts of the emission control program on Great Lakes carriers
which may provide information that will help us refine our Great Lakes
emission inventories.
As described in Chapter 3 of the RIA, the Category 3 vessel
emission inventories presented in this section are estimated by
combining two sets of emissions inventories, one for U.S. port areas
and one for operation on the open ocean. With regard to operation on
the open ocean, it was necessary to specify an outer boundary of the
modeling domain; otherwise, emissions from ships operating as far away
as Asia or Europe would be included in the U.S. emission inventory. For
simplicity, we set the outer boundary for inventory modeling roughly
equivalent to the U.S. Exclusive Economic Zone (EEZ). It consists of
the area that extends 200 nautical miles (nm) from the official U.S.
baseline, which is recognized as the low-water line along the coast as
marked on the official U.S. nautical charts in accordance with the
articles of the Law of the Sea. The U.S. region was then clipped to the
boundaries of the U.S. EEZ. While this area will exclude emissions that
occur outside the 200 nm boundary but that are transported to the U.S.
landmass, it has the advantage of corresponding to an area in which the
United States has a clear environmental interest. This area also
corresponds well to the CMAQ modeling domain for most coasts.
[[Page 22913]]
Table II-2--Estimated National (50 State) Reductions in Emissions From
Category 3 Commercial Marine Vessels a
------------------------------------------------------------------------
Pollutant [short tons] 2020 2030
------------------------------------------------------------------------
NOX: ........... ...........
NOX Emissions without Coordinated Strategy 1,361,000 2,059,000
NOX Emissions with Coordinated Strategy... 952,000 878,000
NOX Reductions Resulting from Coordinated 409,000 1,181,000
Strategy.................................
Direct PM2.5:
PM2.5 Emissions without Coordinated 110,000 168,000
Strategy.................................
PM2.5 Emissions with Coordinated Strategy. 16,000 25,000
PM2.5 Reductions Resulting from 94,000 143,000
Coordinated Strategy.....................
SO2:
SO2 Emissions without Coordinated Strategy 928,000 1,410,000
SO2 Emissions with Coordinated Strategy... 51,000 78,000
SO2 Reductions Resulting from Coordinated 877,000 1,332,000
Strategy.................................
------------------------------------------------------------------------
Notes:
\a\ Emissions are included within 200 nautical miles of the U.S.
coastline.
Table II-3--Projected 2030 Emissions Reductions From Recent Mobile
Source Rules
[Short Tons] a
------------------------------------------------------------------------
Rule NOX PM2.5
------------------------------------------------------------------------
Category 3 Marine............................. 1,181,000 143,000
Locomotive and Marine......................... 795,000 27,000
Clean Air Nonroad Diesel...................... 738,000 129,000
Heavy-Duty Highway............................ 2,600,000 109,000
------------------------------------------------------------------------
Notes:
\a\ Locomotive and Marine Rule (73 FR 25098, May 6, 2008) Clean Air
Nonroad Diesel Rule (69 FR 38957, June 29, 2004) Heavy-Duty Highway
Rule (66 FR 5001, January 18, 2001).
(2) NOX Emission Reductions
In 2009, annual emissions from Category 3 marine vessels will total
about 913,000 tons. Earlier Tier 1 NOX engine standards
became effective in 2000, but the reductions due to the Tier 1
standards are offset by the growth in this sector, resulting in
increased NOX emissions of 1.4 million tons and 2.1 million
tons in 2020 and 2030, respectively.
As shown in Table II-2, the coordinated strategy will reduce annual
NOX emissions from the current national inventory baseline
by 409,000 tons in 2020 and 1,181,000 tons in 2030.
As shown in Table II-3, the 2030 NOX reductions for the
coordinated strategy will exceed those for the other two nonroad rules.
(3) PM2.5 Emissions Reductions
In 2009, annual emissions from Category 3 marine vessels will total
about 71,000 tons. By 2030, these engines, absent the coordinated
strategy, would contribute about 168,000 tons.
As shown in Table II-2, the coordinated strategy will reduce annual
PM2.5 emissions by 94,000 tons in 2020 and 143,000 tons in
2030. As seen in Table II-3, the 2030 PM2.5 emission
reduction will be larger than any of the reductions achieved with other
recent rules.
(4) SO2 Emissions Reductions
In 2009, annual emissions from Category 3 marine vessels will total
about 597,000 tons. By 2030, these engines, absent the coordinated
strategy, will contribute about 1.4 million tons.
As shown in Table II-2 the coordinated strategy will reduce annual
SO2 emissions by 877,000 tons in 2020 and 1.3 million tons
in 2030.
III. Engine Standards
This section details the emission standards, implementation dates,
and other major requirements being finalized under the Clean Air Act. A
discussion of the technological feasibility of the finalized
NOX standards follows the description of the proposed
program.
Other elements of our coordinated strategy to control emissions
from ships are discussed in subsequent sections. Provisions related to
our Clean Air Act fuel controls are described in Section IV. Section V
summarizes the U.S. and Canada's recent proposal to amend MARPOL Annex
VI to designate much of the U.S. and Canadian coasts as an Emission
Control Area.\85\ Finally, provisions revising our Clean Air Act test
procedures and related certification requirements, provisions to
implement MARPOL Annex VI through APPS, and various changes we are
making to our Category 1 and 2 (marine diesel engines with per cylinder
displacement less than 30 liters per cylinder) marine diesel engine
program are described in Section VI.
---------------------------------------------------------------------------
\85\ The ECA proposal and associated Technical Support Document
can be found at http://www.epa.gov/otaq/oceanvessels.htm. France has
since joined the ECA proposal on behalf of the Saint Pierre and
Miquelon archipelago.
---------------------------------------------------------------------------
A. What Category 3 Marine Engines Are Covered?
Consistent with our existing marine diesel emission control
program, the engine emission standards being finalized will apply to
any new marine diesel engine with per-cylinder displacement at or above
30 liters installed on a vessel flagged or registered in the United
States.
With regard to marine diesel engines on foreign vessels that enter
U.S. ports, we are retaining our current approach and not applying this
Clean Air Act program to those engines. This is appropriate because
engines on foreign vessels are subject to the same NOX
limits through MARPOL Annex VI, and the United States can enforce
compliance pursuant to Annex VI and the recent amendments to the Act to
Prevent Pollution from Ships (33 U.S.C. 1901 et seq.). At the same
time, however, the effectiveness of this approach is contingent on the
designation of U.S. coasts as an ECA
[[Page 22914]]
pursuant to MARPOL Annex VI, since the Annex VI Tier III NOX
limits are geographic in scope and apply only if an ECA has been
adopted. We anticipate that MARPOL Annex VI will be amended to include
the North American ECA proposal. However, if the proposed amendment is
not adopted in a timely manner by IMO, we will reconsider whether
additional action is necessary to control harmful emissions from all
vessels affecting U.S. air quality. Section V contains a description of
the ECA designation process.
The combination of this Clean Air Act program, MARPOL Annex VI, and
APPS will apply comparable emission standards to the vast majority of
vessels entering U.S. ports or operating in U.S. waters.\86\ Most
significantly, these vessels will be required to meet the
NOX limits described below. As described later in this
Section III and in Section VI, there will be some minor differences
between the finalized Clean Air Act program and the requirements that
apply under MARPOL Annex VI. Nevertheless, with respect to U.S. air
quality, these differences will have a negligible effect on emissions
from foreign vessels.
---------------------------------------------------------------------------
\86\ Certain public vessels such as military vessels and foreign
vessels in innocent passage may be exempt.
---------------------------------------------------------------------------
B. What Standards Are We Finalizing for Newly Manufactured Engines?
This subsection details the emission standards (and implementation
dates) we are finalizing for freshly manufactured (i.e., new) Category
3 engines on U.S. vessels. As described in Section III.C, we believe
the standards will be challenging to manufacturers, yet ultimately
feasible and cost-effective within the finalized lead time. These
standards, along with other parts of our program, are the outcome of
our work with stakeholders to resolve the challenges associated with
applying advanced diesel engine technology to Category 3 engines to
achieve significant NOX reductions.
(1) NOX Standards
We are finalizing new Tier 2 and Tier 3 NOX emission
standards for Category 3 marine diesel engines. Our existing Tier 1
NOX standards for Category 3 engines were dependent on the
rated speed of the engine for speeds between 130 revolutions per minute
(rpm) and 2,000 rpm. Fixed standards applied for lower and higher
speeds. Thus, the standards were expressed as an equation that applies
for speeds between 130 rpm and 2,000 rpm, along with fixed values that
were calculated from the equation for 130 rpm and 2,000 rpm that apply
for lower and higher speeds. This was done to account for the fact that
brake-specific NOX emissions are inherently higher for lower
speed engines (and lower for higher speed engines). Note that this same
approach is used by the IMO for the same technical reasons. We are
continuing this approach for Tier 2 and Tier 3, as shown in Table III-
1.
Table III-1--NOX Emission Standards for Category 3 Engines
[g/kW-hr]
----------------------------------------------------------------------------------------------------------------
Less than Over 2,000
130 RPM 130-2,000 RPM \a\ RPM
----------------------------------------------------------------------------------------------------------------
Tier 1................................ \b\ 2004 17.0 45.0[middot]n(-0.20) 9.8
Tier 2................................ 2011 14.4 44.0[middot]n(-0.23) 7.7
Tier 3................................ 2016 3.4 9.0[middot]n(-0.20) 2.0
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Applicable standards are calculated from n (maximum in-use engine speed in RPM), rounded to one decimal
place.
\b\ Tier 1 NOX standards applied for engines originally manufactured after 2004, and also to certain earlier
engines.
Our analysis, which is described in the RIA, shows that these
standards will give the greatest degree of emission control achievable
considering compliance costs, lead time, and other relevant factors.
The technological bases are also discussed briefly below.
Note that other important provisions related to compliance with
these standards are described in Section VI. This includes provisions
to ensure effective control of NOX emissions over a broad
range of operating conditions.
(a) Tier 2 NOX Limits
We are finalizing the proposed Tier 2 NOX emission
standards for Category 3 marine diesel engines. In-cylinder emission
control technology for Category 3 marine engines has progressed
substantially in recent years. Significant reductions can be achieved
in the near term with little or no impact on overall vessel
performance. These technologies include traditional engine-out controls
such as electronically-controlled high-pressure common-rail fuel
systems, turbocharger optimization, compression-ratio changes, and
electronically-controlled exhaust valves. We are setting a near-term
NOX emission standard requiring a reduction of approximately
20 percent below the current Tier 1 standard beginning 2011.
(b) Tier 3 NOX Limits
While the Tier 2 standards will achieve modest reductions quickly,
the finalized Tier 3 standards are intended to achieve much greater
emission reductions through the use of more advanced emission control
technology. These standards will achieve reductions of about 80 percent
from the current Tier 1 standards. As explained in the RIA, we
evaluated the possibility of requiring the Tier 3 limits on an earlier
schedule than 2016. However, we found that a schedule requiring Tier 3
limits prior to 2016 had significant feasibility issues, and are
therefore finalizing the 2016 implementation date for Tier 3 standards.
Under the finalized approach, manufacturers of Category 3 engines will
have about the same amount of lead time allowed manufacturers for
smaller diesel marine engines and for locomotives.
(2) PM and SOX Standards
We are not establishing new engine standards for PM or
SOX emissions. We intend to rely instead on the use of
cleaner fuels as described in Section IV and V. SOX
emissions and the majority of the direct PM emissions from Category 3
marine engines operated on residual fuels are a direct result of fuel
quality, most notably the sulfur in the fuel, and engine-based PM
controls are not currently feasible for engines using these higher
sulfur fuels. Other components of residual fuel, such as ash and heavy
metals, also contribute directly to PM.
Using cleaner distillate fuel is the most effective means to
achieve significant PM and SOX reductions for
[[Page 22915]]
Category 3 engines. We are finalizing requirements to substantially
reduce the sulfur content of fuel purchased in the U.S. for use in an
ECA. This complements Annex VI which requires that fuels used in ECAs
around the world have sulfur levels no higher than 1,000 ppm. This
sulfur limit is expected to necessitate the use of distillate fuel
which will result not only in reductions in sulfate PM emissions, but
also reductions in organic PM and metallic ash particles in the
exhaust.
Even though the sulfur limit is much lower than current levels, it
is not clear if this fuel sulfur level would be low enough to allow
Category 3 engines to be equipped with the catalytic PM filters similar
to those being used by trucks today. If we were to require technology
that needs lower sulfur fuel, such as 15 ppm, ship operators would need
to have access to this fuel around the world and at this time, it is
not clear if 15 ppm sulfur fuel could be made available globally.
Operating on higher sulfur fuel, such as for outside of our waters,
could otherwise result in damage to the PM control equipment. In any
case, the 1,000 ppm sulfur fuel requirement alone will eliminate 85
percent of PM emissions from ships operating in ECAs.
To further our understanding of PM emissions from ships, we are
requiring engine manufacturers to measure and report PM emissions even
though we are not finalizing a PM standard. The information gathered
will help support our efforts as we continue to evaluate the
feasibility of achieving further PM reductions. It will also help us to
better characterize the PM emission rates associated with operating
Category 3 engines on distillate fuel. If we determine that further PM
reductions are feasible or that a specific PM limit is necessary to
ensure anticipated reductions in PM emissions from ships, we may
propose PM standards for Category 3 engines in the future.
(3) HC and CO Standards
We are finalizing HC and CO standards of 2.0 g/kW-hr and 5.0 g/kW-
hr, respectively. Emission control technologies for Category 3 marine
engines have been concentrated on reducing NOX and PM
emissions, but these emission standards will prevent increases in
emissions of HC and CO that might otherwise occur as a result of use of
certain technologies for controlling NOX, such as those that
significantly degrade combustion efficiency.
(4) CO2 Standards
We are not adopting CO2 standards for marine diesel
engines at this time. Marine diesel engines are included in other
ongoing Agency actions, including our Advance Notice of Proposed
Rulemaking (ANPRM) for mobile sources (73 FR 44353, July 30, 2008) and
our Greenhouse Gas Reporting Rule (74 FR 16448, April 10, 2009). In
addition, EPA is participating in the U.S. Government delegation to
IMO, which is currently engaged in negotiations for an international
program to address greenhouse emissions from ships.
C. Are the Standards Feasible?
We have analyzed a variety of technologies available for
NOX reduction in the Category 3 marine sector. As described
in more detail in our RIA, we are projecting that marine diesel engine
manufacturers will choose to use in-cylinder, or engine design-based
emission control technologies to achieve the NOX reductions
required to meet the final Tier 2 standard.
The in-cylinder, or engine-out, NOX emissions of a
diesel engine can be controlled by utilizing engine design and
calibration parameters (e.g., fuel delivery and valve timing) to limit
the formation of NOX. NOX formation rate has a
strong exponential relationship to combustion temperature. Therefore,
high temperatures result in high NOX formation
rates.87 88 Any changes to engine design and calibration
which can reduce the peak temperature realized during combustion will
also reduce NOX emissions. Many of the approaches and
technologies for reducing in-cylinder NOX emissions are
discussed in our RIA.
---------------------------------------------------------------------------
\87\ Flynn, P., et al., ``Minimum Engine Flame Temperature
Impacts on Diesel and Spark-Ignition Engine NOX
Production'', SAE 2000-01-1177, 2000.
\88\ Heywood, John B., ``Internal Combustion Engine
Fundamentals'', McGraw-Hill, 1988.
---------------------------------------------------------------------------
To achieve the 80 percent NOX reductions required to
meet the final Tier 3 standard, we believe many manufacturers will
choose selective catalytic reduction (SCR) exhaust aftertreatment
technology. SCR is a commonly-used technology for meeting stricter
NOX emissions standards in diesel applications worldwide.
Stationary power plants fueled with coal, diesel and natural gas have
used SCR for three decades as a means of controlling NOX
emissions, and European heavy-duty truck manufacturers are currently
using this technology to meet Euro 5 emissions limits. To a lesser
extent, SCR has been introduced on diesel engines in the U.S. market,
but the applications have been limited to marine ferryboat and
stationary electrical power generation demonstration projects in
California and several of the Northeast States. SCR systems are
currently being designed and developed for use on ocean-going vessels
worldwide, and we project that SCR will continue to be a viable
technology for control of Category 3 NOX emissions.
When operating in the ECA, SCR units would be active, meaning that
urea would be injected into the exhaust to facilitate catalytic
reduction of NOX emissions. When outside of the ECA, the
unit would likely be inactive, meaning that urea would not be injected
into the exhaust. When the SCR unit is inactive, the exhaust flow could
either continue to pass through the SCR unit or be diverted around the
catalyst. Under the MARPOL NOX Technical Code, a means for
monitoring the use of urea must be provided which must include
``sufficient information to allow a ready means of demonstrating that
the consumption of such additional substances is consistent with
achieving compliance with the applicable NOX limit.'' In
addition, where a NOX reducing device, such as SCR, is used,
one of the options for providing verification of compliance with the
NOX standard is through direct measurement and monitoring of
NOX emissions. A more detailed discussion of SCR technology
can be found in our RIA.
SCR is not the only approach under consideration for meeting the
Tier 3 standards. Manufacturers may choose a combination of other in-
cylinder technologies, such fuel-water emulsification, direct water
injection, intake air humidification, or exhaust gas recirculation
(EGR) to reduce NOX emissions and meet the final standards.
These ``in-cylinder'' approaches could be calibrated and applied in one
manner to achieve Tier 3 NOX levels when operating with an
ECA, and then adjusted, or re-calibrated, in another manner to achieve
Tier 2 NOX levels when operating outside an ECA. This is
discussed in more detail in the RIA.
Another technology, which is currently under investigation, is the
use of an exhaust gas cleaning unit (EGCS) to reduce NOX
emissions. One significant technological issue that must be addressed
is the prevention of nitrates from being introduced into the water. In
a typical diesel exhaust gas mixture, NOX is composed of
roughly 5-10% NO2, with the majority of the remainder in the
form of NO. NO2 is soluble in water, and therefore may be
removed by the water in the scrubber. It is possible to treat the
exhaust upstream of the scrubber to convert
[[Page 22916]]
more of the NOX to NO2, thereby facilitating the
use of a scrubber to remove NO2. However, we are concerned
that this would add to nitrogen loading of the water in which the ship
is operating. As discussed in Section II.B.1, nitrogen loading can lead
to serious water quality impacts. This issue is addressed in the IMO
EGCS guidelines by limiting the amount of nitrates that may be removed
by the scrubber, and washed overboard. However, a scrubber design may
be acceptable if it removes nitrates from the wash water, which in turn
are disposed of properly, or prevents nitrates from forming in the wash
water. One manufacturer has stated that their unique EGCS design
converts NOX to nitrogen (N2), rather than
nitrates. This is discussed in more detail in the RIA.
IV. Fuel Standards
A. Background
EPA is finalizing standards for fuel manufactured or distributed in
the U.S. that are consistent with those recently adopted as amendments
to MARPOL Annex VI. As amended, Annex VI includes revised fuel sulfur
standards for use in engines onboard ships, and it also set more
stringent fuel sulfur limits for ``any fuel oil used onboard ships * *
* operating within an Emission Control Area'' (Annex VI, Regulation
14).
Under the Annex, the process by which an Emission Control Area
(ECA) is to be designated is through amendment of the Annex. The U.S.
and Canadian governments have submitted a proposal to amend MARPOL
Annex VI to designate an ECA to include waters off much of the U.S. and
Canada. Specifically, the proposed ECA includes the waters off of the
contiguous 48 States, Southeastern Alaska, and the Main Hawaiian
Islands, extending to a distance of 200 nautical miles from the
coastline. This amendment was considered at the July 2009 Marine
Environment Protection Committee (MEPC 59), and we expect that the
amendment will be adopted in March 2010, at MEPC 60. If this amendment
is not adopted in a timely manner by IMO, we intend to take
supplemental action to control emissions from vessels that affect U.S.
air quality.
EPA is in this notice finalizing fuel sulfur limits under section
211(c) of the Clean Air Act that match the limits that apply under
Annex VI in ECAs. The adoption of such standards will: (1) Allow for
the production and sale of up to 1,000 ppm sulfur fuel for use in
Category 3 marine vessels; and (2) forbid the production and sale of
fuel oil above 1,000 ppm sulfur for use in the waters within an ECA and
ECA associated areas (per 40 CFR 1043.20) except as allowed under 40
CFR Part 1043, as described below.89 90
---------------------------------------------------------------------------
\89\ Per 40 CFR 1043.20, ``ECA associated areas'' are U.S.
internal waters that are navigable from the ECA. This term does not
include internal waters that are shoreward of ocean waters that are
not part of an emission control area. Though the outer limits of the
sulfur limitation are the same as for the proposed ECA, the sulfur
limitation in this final rule is not dependent on adoption of the
ECA.
\90\ For the purpose of the discussion in this section with
regard to the CAA fuel standards in 40 CFR 80, ``Category 3 vessel''
refers to a commercial vessel with a Category 3 propulsion engine;
``Category 2 vessel'' refers to a commercial or recreational vessel
with a Category 2 propulsion engine; and ``Category 1 vessel''
refers to a commercial or recreational vessel with only Category 1
or smaller engines. The fuel provisions being finalized today apply
to all of the engines on a given vessel.
---------------------------------------------------------------------------
There are a few exceptions that will allow for the use of fuel
greater than 1,000 ppm sulfur in an ECA. First, as an alternative to
using lower sulfur fuel, Annex VI allows for the use of approaches,
such as exhaust gas scrubbers, that can achieve equivalent emission
reductions even when the fuel is operating on high sulfur residual
fuel. In the event that a vessel is using an alternative device,
procedure, or compliance method, provided they achieve equivalent
emissions reductions, fuel oil above 1,000 ppm sulfur may be purchased
in the U.S. for use in an ECA and ECA associated areas. This is
discussed in more detail in Section V of this preamble. As discussed
further in Section VI.B.5, existing steamships operating exclusively on
the Great Lakes are not subject to the 1,000 ppm sulfur requirement,
and vessels that have been granted temporary relief on the basis of
serious economic hardship are also not subject to the standard. These
three exceptions are all set out in the regulations at 40 CFR Part
1043.
The majority of vessels with a Category 3 propulsion engine operate
on high-sulfur, heavy fuel oil (HFO) (also known as residual, or
bunker, fuel). Due to their use of heavy fuel, these marine diesel
engines have very high PM and SO2 emissions. Sulfur in the
fuel is emitted from engines primarily as SO2; however a
small fraction is emitted as sulfur trioxide (SO3) which
immediately forms sulfate and is emitted as PM by the engine. In
addition, much of the SO2 emitted from the engine reacts in
the atmosphere to form secondary PM. Reductions in residual fuel sulfur
levels will lead to significant sulfate PM and SO2 emission
reductions which will provide dramatic environmental and public health
benefits. However, in most cases, fuels that meet the long-term fuel
sulfur standards will likely be distillate fuels, rather than HFO. In
addition to reductions in sulfate PM, switching from HFO to distillate
fuel may reduce black carbon emissions, fine particle counts, organic
carbon, and metallic ash particles. Further information on these
impacts as well as a discussion of the technological feasibility of
fuel switching, or using alternative approaches, is discussed in
Section V.
HFO sold for use by these vessels is currently not subject to any
EPA sulfur limits (as it is not regulated by our current sulfur
program) and generally has very high levels of sulfur. The finalized
modifications to our existing diesel fuel program prohibit the
production and sale of this fuel for use in an ECA associated area, and
fuel sold for use in such areas will not be allowed to exceed a sulfur
content of 1,000 ppm, except as allowed under 40 CFR Part 1043. In a
complementary fashion, the amendment to MARPOL Annex VI designating the
North American ECA will ensure that fuel used in an ECA, including fuel
purchased in another country but used within the North American ECA,
also either meets a 1,000 ppm sulfur limit or meets required emissions
limits through the use of alternative devices, procedures, or
compliance methods, provided they achieve equivalent emissions
reductions (equivalents). Under our finalized regulations, fuel sold
for use by Category 3 vessels without equivalents in an ECA and ECA
associated areas will be allowed to have a sulfur content as high as
this 1,000 ppm sulfur limit (except as otherwise allowed under 40 CFR
Part 1043), while fuel sold for use in Category 1 (marine diesel
engines up to 7 liters per cylinder displacement) and Category 2
(marine diesel engines from 7 to 30 liters per cylinder) vessels will
continue to be subject to the nonroad, locomotive, and marine \91\
(NRLM) diesel fuel sulfur requirements. In the event that the North
American ECA is not approved in a timely manner, we will revisit the
standards being finalized here in that context.
---------------------------------------------------------------------------
\91\ For the purposes of this final rule (and the final 40 CFR
Part 80 regulations), the term ``marine'' as it is used here refers
to Category 1 and 2 marine diesel engines unless otherwise stated.
---------------------------------------------------------------------------
B. Diesel Fuel Standards Prior to This Final Rule
The Nonroad Diesel program (finalized on June 29, 2004 (69 FR
38958)) reduces the sulfur content of NRLM diesel fuel from
uncontrolled levels down to a maximum sulfur level of 15 ppm. Refiners
and importers are
[[Page 22917]]
required to produce or import all NRLM diesel fuel at a sulfur level of
15 ppm or less by June 1, 2014. The main compliance mechanism of the
diesel sulfur program is the Designate and Track (D&T) provisions,
which allows NRLM diesel fuel to be distinguished from similar products
(e.g., heating oil) and yet provides a means for diesel fuel to be
fungibly transported through the fuel production and distribution
system. Under D&T, refiners and importers are required to designate the
type and sulfur level of each batch of fuel produced or imported. As
this fuel is transferred through the distribution system, product
transfer documents (PTDs) must be exchanged each time the batch changes
custody. Along with PTDs, other required elements of D&T include
quarterly and annual reporting, fuel pump labeling, and recordkeeping.
The Nonroad Diesel program also contains certain provisions to ease
refiners' transition to the lower sulfur standards and to enable the
efficient distribution of all diesel fuels. These provisions, as
discussed more below in Section IV.B.2, include special provisions for
qualified small refiners, transmix processors, and entities in the fuel
distribution system.
(1) Scope of the Nonroad Diesel Fuel Program
The sulfur standards finalized by the Nonroad Diesel rule apply to
all the diesel fuel that is produced and sold for use in NRLM diesel
applications (all fuel used in NRLM diesel engines, except for fuels
heavier than a No. 2 distillate used in Category 2 and 3 marine engines
\92\ and any fuel that is exempted for national security or other
reasons). While the Nonroad Diesel rule did not set sulfur standards
for other distillate fuels (such as jet fuel, heating oil, kerosene,
and No. 4 fuel oil), it did implement provisions to prevent the
inappropriate use of heating oil and other higher sulfur distillate
fuels in NRLM and locomotive and marine (LM) diesel applications. Sale
of distillate fuels for use in nonroad, locomotive, or marine diesel
engines will generally be prohibited unless the fuel meets the diesel
fuel sulfur standards of 40 CFR Part 80.\93\ The regulated fuels under
our diesel fuel sulfur program include those fuels listed in the
regulations at 40 CFR 80.2(qqq).
---------------------------------------------------------------------------
\92\ Category 3 marine engines frequently are designed to use
residual fuels and include special fuel handling equipment to use
the residual fuel.
\93\ For the purposes of the diesel sulfur program, the term
heating oil basically refers to any No. 1 or No. 2 distillate other
than jet fuel, kerosene, and diesel fuel used in highway or NRLM
applications. For example, heating oil includes fuel which is
suitable for use in furnaces and similar applications and is
commonly or commercially known or sold as heating oil, fuel oil, or
other similar trade names.
---------------------------------------------------------------------------
The sulfur standards do not apply to: (1) No. 1 distillate fuel
used to power aircraft; (2) Number 4, 5, and 6 fuels (e.g., residual
fuels or residual fuel blends, intermediate fuel oil (IFO) Heavy Fuel
Oil Grades 30 and higher), used for stationary source purposes; (3) any
distillate fuel with a T-90 distillation point greater than 700 [deg]F,
when used in Category 2 or 3 marine diesel engines (this includes
Number 4, 5, and 6 fuels (e.g., IFO Heavy Fuel Oil Grades 30 and
higher), including fuels meeting the American Society for Testing and
Materials (ASTM) specifications DMB, DMC, and RMA-10 and heavier); and
(4) any fuel for which a national security or research and development
exemption has been approved or fuel that is exported from the U.S. The
criterion that any distillate fuel with a T-90 greater than 700 [deg]F
will not be subject to the sulfur standards when used in Category 2 or
3 marine engines was intended to exclude fuels heavier than No. 2
distillate, including blends containing residual fuel. In addition,
residual fuel was not subject to the sulfur standards.
While many marine diesel engines use No. 2 distillate, ASTM
specifications for marine fuels identify four kinds of marine
distillate fuels: DMX, DMA, DMB, and DMC. DMX is a special light
distillate intended mainly for use in emergency engines. DMA (also
called marine gas oil, or ``MGO'') is a general purpose marine
distillate that contains no trace of residual fuel. These fuels can be
used in all marine diesel engines but are primarily used by Category 1
engines. DMX and DMA fuels intended for use in any marine diesel engine
are subject to EPA's fuel sulfur standards.
DMB, also called marine diesel oil, is not typically used with
Category 1 engines, but is used for Category 2 and 3 engines. DMB is
allowed to have a trace of residual fuel, which can be high in sulfur.
This contamination with residual fuel usually occurs due to the
distribution process, when distillate is brought on board a vessel via
a barge that has previously contained residual fuel, or using the same
supply lines as are used for residual fuel. DMB is produced when fuels
such as DMA are brought on board the vessel in this manner. EPA's fuel
sulfur standards do apply to the distillate that is used to produce the
DMB, for example the DMA distillate, up to the point that it becomes
DMB. However, DMB itself is not subject to the EPA fuel sulfur
standards when it is used in Category 2 or 3 engines.
DMC is a grade of marine fuel that may contain some residual fuel
and is often a residual fuel blend. This fuel is similar to No. 4
diesel, and can be used in Category 2 and Category 3 marine diesel
engines. DMC is produced by blending a distillate fuel with residual
fuel, for example at a location downstream in the distribution system.
EPA's fuel sulfur standards apply to the distillate that is used to
produce the DMC, up to the point that it is blended with the residual
fuel to produce DMC. However, DMC itself is not subject to the EPA fuel
sulfur standards when it is used in Category 2 or 3 marine engines.
Residual fuel was not previously covered by the sulfur content
standards as it is not a distillate fuel. Residual fuel is typically
designated by the prefix RM (e.g., RMA, RMB, etc.). These fuels are
also identified by their nominal viscosity (e.g., RMA10, RMG35, etc.).
Most residual fuels require treatment by an onboard purifier-clarifier
centrifuge system, although RMA and RMB do not require this.
The distillation criterion adopted by EPA, T-90 greater than 700
[deg]F, was designed to identify those fuels that are not subject to
the sulfur standards when used in Category 2 or 3 marine diesel
engines. It is intended to exclude DMB, DMC, and other heavy
distillates or blends, when used in Category 2 or 3 marine diesel
engines. We are not amending this provision in this action. However,
under this final rule, all of these fuels, and any other diesel fuels
or fuel oils, will be subject to a 1,000 ppm sulfur limit if they are
produced or sold for use in an ECA, except as otherwise allowed under
40 CFR Part 1043.
(2) Flexibilities
Compliance flexibilities were provided in the nonroad diesel sulfur
regulations for qualified small refiners (69 FR 39047; Section IV.B.1)
and for transmix processors (69 FR 39045; Section IV.A.3.d). Small
refiners were provided, among other flexibility options, additional
time for compliance with the 15 ppm NRLM standard, until June 1, 2014.
Transmix processors, who distill off-specification interface mixtures
of petroleum products from pipeline systems into gasoline and
distillate fuel, have a simple refinery configuration that does not
make it cost-effective for them to install and operate a hydrotreater
to reduce distillate fuel sulfur content. As a result, transmix
processors were provided with the flexibility to continue to produce
all of their NRLM diesel fuel to meet the 500 ppm sulfur standard until
June 1, 2014, and all of their LM diesel fuel to meet a 500 ppm sulfur
limit indefinitely. The
[[Page 22918]]
latter flexibility also allows for an outlet for off-spec fuel that may
be produced in the distribution system.
The D&T provisions, first established to distinguish highway from
nonroad 500 ppm fuel, were thus continued beyond 2014 to ensure that
500 ppm NRLM could be distinguished from similar fuel (e.g., heating
oil that has a sulfur level of 500 ppm). In 2014 and beyond, D&T is
essential to ensure that heating oil is not being inappropriately
shifted downstream of the refiner into the NRLM and LM diesel fuel
markets, circumventing the NRLM standards (as mentioned above in
Section IV.B.1). Provisions in the Nonroad Diesel rule to ensure that
heating oil is not used in NRLM applications include the use of a fuel
marker to distinguish heating oil from NRLM and LM diesel fuel, dye
solvent yellow 124, which is added to heating oil at the terminal
level. The D&T provisions also provided parties in the diesel fuel
industry with inherent flexibility. D&T maximizes the efficiency of the
distribution system by allowing for fungible distribution of physically
similar products, and minimizing the need for product segregation.
Under D&T, diesel fuel with similar sulfur levels can be fungibly
shipped up to the point of distribution from a terminal (where off-
highway diesel fuels must be dyed red, pursuant to Internal Revenue
Service (IRS) requirements, to indicate its tax exempt status).
(3) Northeast/Mid-Atlantic Area
In the Northeast, heating oil is distributed in significant
quantities. Discussions with terminal operators in the Northeast (and
other representatives of heating oil users and distributors) during the
development of the Nonroad Diesel rule revealed concerns that the
heating oil marker requirement would represent a significant burden on
terminal operators and users of heating oil given the large volume of
heating oil used in the Northeast. These parties suggested that if EPA
prohibited the sale and use of diesel fuel produced by those utilizing
the flexibilities described above, this area could be exempted from the
marker requirement.
Thus, the Northeast/Mid-Atlantic (NE/MA) area was developed (69 FR
39063, Section IV.D.1.b.ii; see also 40 CFR 80.510(g) for the specific
States and counties that comprise the NE/MA area). As there would be no
way to distinguish heating oil from 500 ppm NRLM and 500 ppm LM diesel
fuel in 2014 and beyond without the fuel marker, these fuel types are
not allowed to be produced/imported, distributed and/or sold in the NE/
MA area during this time period (500 ppm NRLM diesel fuel may not be
produced/imported, distributed and/or sold in the NE/MA area after
2012).
Similarly, high sulfur NRLM (HSNRLM) produced through the use of
credits is not allowed in Alaska. However, EPA-approved small refiners
in Alaska may produce HSNRLM diesel fuel. To receive this approval, a
small refiner must provide EPA with a compliance plan showing how their
HSNRLM diesel fuel will be segregated from all other distillate fuels
through its distribution to end-users.
(4) Nonroad Diesel Program Transition Schedule
The transition to lower sulfur diesel fuel for NRLM equipment is
depicted in Figure VI-1 below. The transition for urban (areas served
by the Federal Aid Highway System) and rural Alaska are shown below in
Figure VI-2.
BILLING CODE 6560-50-P
[[Page 22919]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.101
[[Page 22920]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.102
BILLING CODE 6560-50-C
[[Page 22921]]
C. Applicability
Assuming adoption of an amendment to MARPOL Annex VI establishing a
U.S. ECA, pursuant to Annex VI, the fuel used in that ECA cannot exceed
1,000 ppm sulfur beginning January 1, 2015.\94\ As mentioned above, we
are incorporating a similar 1,000 ppm sulfur limit into our CAA
regulations at 40 CFR Part 80 through both a prohibition on the
production and sale of fuel oil above 1,000 ppm sulfur for use in any
marine vessels (Categories 1, 2, and 3) in an ECA and ECA associated
areas except as allowed under 40 CFR Part 1043, and an allowance for
the production and use of 1,000 ppm sulfur fuel to be used in Category
3 marine vessels. Fuel produced and sold for use in any engine on
Category 1 and Category 2 marine vessels will continue to be subject to
the existing diesel sulfur requirements which are more stringent than
those being finalized in this action for Category 3 marine vessels. We
requested comment on whether or not Category 1 and 2 engines installed
on Category 3 marine vessels should be allowed to use 1,000 ppm sulfur
fuel. To reduce burden that could potentially be caused by requiring
that these engines burn 15 ppm diesel fuel (which could result in a
vessel needing to carry three different types of fuel onboard), we are
finalizing that Category 1 and 2 auxiliary engines installed on
Category 3 marine vessels will be allowed to use 1,000 ppm fuel.
---------------------------------------------------------------------------
\94\ Annex VI, Regulation 14 (located in the rulemaking docket,
EPA-HQ-OAR-2007-0121-0107).
---------------------------------------------------------------------------
Discussions with stakeholders in the diesel fuel production and
distribution industry have indicated that they anticipate that most (if
not all) fuel oil that could meet a 1,000 ppm sulfur standard would be
considered a distillate or diesel fuel, because at a 1,000 ppm sulfur
level it is nearly impossible for fuel to have a T-90 distillation
point at or above 700 [deg]F (i.e., be considered residual fuel). As
discussed in Section IV.B.1, fuel with a T-90 less than 700 [deg]F will
be required to meet the standards of our existing diesel sulfur program
which, in 2014 and beyond, is 15 ppm. We believe that because of the
limits on the sulfur content of fuel used in ECAs, the existing diesel
fuel sulfur program should be revised to allow for the production,
distribution, purchase, and use of 1,000 ppm sulfur fuel oil for use in
Category 3 marine vessels. Therefore, we are finalizing a new 1,000 ppm
sulfur category for fuel oil produced and purchased for use in Category
3 marine vessels (called ``ECA marine fuel''). This finalized fuel
sulfur requirement will largely supplement the existing diesel fuel
sulfur requirements and will harmonize EPA's diesel sulfur program with
the requirements of Annex VI. Under this final action, owners of
Category 3 marine vessels will be able to purchase and use 1,000 ppm
sulfur ECA marine fuel, which will allow those vessels to comply with
the sulfur limits in any ECA worldwide and in ECA associated areas.
D. Fuel Sulfur Standards
As discussed above in Section IV.C, in addition to the prohibition
on the sale of fuel greater than 1,000 ppm sulfur for use in marine
vessels (except as allowed under 40 CFR Part 1043) operating within an
ECA and ECA associated areas, we are also finalizing the allowance of
the production, distribution, and sale of 1,000 ppm sulfur ECA marine
fuel, which we discuss more in this section.
Prior to this action, and pending the establishment of the North
American ECA, the kind of fuel produced and sold for use by Category 3
marine vessels had uncontrolled sulfur levels as it was not subject to
the NRLM sulfur limits. This was reflected in the regulations by
exempting these kinds of fuel from the definition of NRLM diesel fuel
and the NRLM sulfur limits (40 CFR 80.2(nnn)). The combined effect of
Annex VI and these regulations is to require that any fuel sold for use
in a Category 3 marine vessel operating in an ECA be 1,000 ppm sulfur
or lower, except as allowed under 40 CFR Part 1043. Fuel oil used or
sold for use in Category 3 marine vessels in an ECA and ECA associated
areas will therefore go from uncontrolled, high sulfur levels to no
higher than 1,000 ppm sulfur (except as otherwise allowed under 40 CFR
Part 1043). Under Annex VI, fuel with sulfur levels greater than 1,000
ppm cannot be used in a marine vessel without sulfur abatement
technology operating in an ECA, no matter where the fuel is purchased.
Consistent with this, the finalized section 211(c) controls will
prohibit the production and sale of any fuel for use in an ECA and ECA
associated areas that is above 1,000 ppm sulfur, except as allowed
under 40 CFR Part 1043.
The requirements for 1,000 ppm sulfur fuel oil will apply to the
North Sea, the Baltic Sea, and any other ECAs established around the
world, so this fuel will be produced by refiners in other countries.
Under EPA's NRLM program prior to this final rule, 1,000 ppm sulfur
fuel would have been subject to the 15 ppm NRLM sulfur limit in 2014
and later. If EPA were to require that fuel produced, distributed, and
sold for use for Category 3 vessels in the North American ECA and ECA
associated areas meet the 15 ppm sulfur standard after 2014, we believe
that Category 3 vessel owners would simply purchase 1,000 ppm sulfur
fuel elsewhere to be used here in the North American ECA. This could be
an extremely inefficient process for ship owners. It would also mean a
loss of sales for U.S. refiners of fuel that these Category 3 vessel
owners purchase. These impacts would add to the costs and burdens of
the program with no corresponding environmental benefit. Therefore, we
believe that it is reasonable to allow U.S. refiners and importers to
produce 1,000 ppm sulfur fuel for use by Category 3 vessels. Thus, we
are finalizing a new fuel sulfur standard of 1,000 ppm for fuel
produced, distributed, and sold for use in Category 3 marine vessels.
While we expect use of this fuel to be concentrated in the area of the
North American ECA and ECA associated areas (and any other ECA), we are
allowing its use by Category 3 marine vessels in all locations, to
encourage its general use. After 2014, no fuel above 15 ppm can be used
in Category 1 or Category 2 vessels.
We note that the combination of the Annex VI ECA provisions and the
modifications proposed in this action for the diesel sulfur program
will achieve very significant benefits compared to the existing
program. The production and use of 1,000 ppm ECA marine fuel, as well
as 15 ppm NRLM diesel fuel, will replace much higher sulfur fuel usage,
and there is no additional benefit to be gained by requiring the sale
of 15 ppm sulfur diesel fuel for use by Category 3 vessels as a
practical matter because we believe Category 3 vessels would simply
purchase 1,000 ppm sulfur fuel elsewhere. In order to incorporate these
modifications into our existing program under the Clean Air Act, we
needed to create a new fuel designation for allowable fuel under our
program.
(1) Amendments to the Diesel Fuel Sulfur Program
We are prohibiting the production, distribution, and sale or offer
for sale of any fuel for use in any marine diesel vessels (Categories
1, 2, and 3) operating in the North American ECA and ECA associated
areas that is greater than 1,000 ppm sulfur, except as otherwise
allowed under 40 CFR Part 1043. We are also finalizing a sulfur
standard of 1,000 ppm for fuel produced, distributed, and sold or
offered for sale for use in Category 3 marine vessels operating in
[[Page 22922]]
an ECA and ECA associated areas. To simplify the existing diesel fuel
sulfur program, we are also eliminating the 500 ppm LM diesel fuel
standard once the 1,000 ppm ECA marine fuel standard becomes effective.
Under the diesel sulfur program prior to this final rule, 500 ppm LM
diesel fuel could be produced by transmix processors indefinitely, and
could be used by locomotives and marine vessels that do not require 15
ppm. The original intent of allowing for this fuel was to serve as an
outlet for interface and downgraded diesel fuel post-2014 that would
otherwise not meet the 15 ppm sulfur standard. However, we believe that
the 1,000 ppm sulfur ECA marine fuel can now serve as this outlet. We
believe that transmix generated near the coasts would have ready access
to marine applications, and transmix generated in the mid-continent
could be shipped via rail or fuel barge to markets on the coasts.
Elimination of the 500 ppm LM diesel fuel standard will simplify
the diesel sulfur program such that sulfur can serve as the
distinguishing factor for fuels available for use after 2014 (the
designated products under the diesel fuel program will thus be: 15 ppm
motor vehicle, nonroad, locomotive, and marine (MVNRLM) diesel fuel,
heating oil, and 1,000 ppm ECA marine fuel). With this approach,
beginning in 2014, only 15 ppm NRLM diesel fuel can be used in
locomotive and Category 1/Category 2 marine diesel applications (and
1,000 ppm ECA marine fuel could be used in Category 3 marine vessels).
Further, this will help to streamline the D&T program as there will no
longer be a need for a fuel marker to distinguish 500 ppm LM diesel
fuel from heating oil. Below, we discuss the aspects of D&T that we are
changing, which we believe will greatly simplify the diesel sulfur
program.
(a) Compliance and Implementation
(i) Northeast/Mid-Atlantic Area and the Fuel Marker
With the elimination of the 500 ppm LM designation in 2014, parties
in the fuel production and distribution industry will still be required
to register and designate their products and adhere to PTD, fuel pump
labeling, and recordkeeping requirements. But we believe that the
tracking portion of D&T can be simplified. Annual reporting was
required under Sec. 80.601 for D&T through June 30, 2015 (the final
annual report is due August 31, 2015). The final reporting period was
set to ensure that heating oil was not being inappropriately shifted
into the 500 ppm LM diesel fuel pool. However, with the elimination of
this fuel designation, the final annual reporting period will instead
be July 1, 2013 through May 31, 2014, with the report due to EPA on
August 31, 2014.
As stated in the preamble to the proposed rule, we believe that the
elimination of the 500 ppm LM diesel fuel designation will also,
beginning June 1, 2014, negate the need for the heating oil marker and
the NE/MA area. After 2014, the heating oil marker requirement in the
diesel sulfur program prior to this final rule was for the sole purpose
of distinguishing heating oil from 500 ppm LM diesel fuel, to prevent
heating oil from swelling the 500 ppm LM diesel fuel pool. Also, as
there is no marker requirement for heating oil in the NE/MA area, the
diesel sulfur program did not allow for 500 ppm LM diesel fuel to be
produced, distributed, or purchased for use in the NE/MA area after
2012. As also noted in the proposed rule, without 500 ppm LM diesel
fuel there is no need for the heating oil marker; fuel designations and
sulfur level could serve as the distinguishing factor between the
available fuels (15 ppm MVNRLM diesel fuel, 1,000 ppm ECA marine fuel,
and heating oil). Further, there is no need for the NE/MA area without
the heating oil marker. Thus, we are finalizing to remove the NE/MA
area designation and the heating oil marker requirement.
(ii) PTDs and Labeling
We are finalizing new PTD language for the 1,000 ppm ECA marine
fuel designation at regulation Sec. 80.590. As stated in regulation
Sec. 80.590(a)(7)(vii), we are adding the following statement to PTDs
accompanying 1,000 ppm sulfur ECA marine fuel: ``1,000 ppm sulfur
(maximum) ECA Marine Fuel. For use in Category 3 marine vessels only.
Not for use in engines not installed on Category 3 marine vessels.''
Appendix V of Annex VI also includes language that is required on
bunker delivery notes. Compliance requirements of this action, such as
PTDs, are not intended to supplant or replace requirements of Annex VI
(and we encourage regulated entities to consult Annex VI to ensure that
they are fully aware of all requirements that must be met in addition
to EPA's requirements). However, if a party's bunker delivery note also
contains the information required under our regulations for PTDs, we
will consider the bunker delivery note to also suffice as a PTD.
We are also finalizing new pump labeling language for the 1,000 ppm
sulfur ECA marine fuel designation at regulation Sec. 80.574. Diesel
fuel pump labels required under the existing diesel sulfur regulations
must be prominently displayed in the immediate area of each pump stand
from which diesel fuel is offered for sale or dispensing. However, we
understand that there may be cases where it is not feasible to affix a
label to a fuel pump stand due to space constraints (such as diesel
fuel pumps at marinas) or where there is no pump stand, thus the
current regulations allow for alternative labeling with EPA approval.
Previously approved alternative labeling has included the use of
permanent placards in the immediate vicinity of the fuel pump; and we
will also allow other reasonable alternatives to labeling for
situations where pump labeling may not be feasible. As stated in
regulation Sec. 80.574, we are replacing the 500 ppm LM diesel fuel
pump label language with the following fuel pump label language for
1,000 ppm sulfur ECA marine fuel: ``1,000 ppm SULFUR ECA MARINE FUEL
(1,000 ppm Sulfur Maximum). For use in Category 3 marine vessels only.
Warning--Federal law prohibits use in any engine that is not installed
on a Category 3 marine vessel; use of fuel oil with a sulfur content
greater than 1,000 ppm in an ECA is prohibited, except as allowed by 40
CFR Part 1043.''
Under this program, we are also eliminating MVNRLM diesel fuel
labeling requirements from EPA's regulations. In 2014 and beyond, EPA
will not require ``visible evidence'' of red dye in off-road fuels;
however this requirement still exists in IRS's taxation regulations to
denote that off-road fuels are untaxed. EPA's required label for 15 ppm
NRLM diesel fuel (instead of one 15 ppm MVNRLM diesel fuel label) is
mainly to denote that 15 ppm NRLM will be dyed red, while 15 ppm MV
diesel fuel will not. Further, after October 1, 2014, all MVNRLM diesel
fuel available for purchase and/or distribution will be 15 ppm. We
believe that it is not appropriate for EPA to retain a labeling
requirement for MVNRLM diesel fuel given the fact that the red dye
provision is no longer EPA's requirement. Please note, however, that
marketers and wholesale purchaser-consumers are still free to continue
to label their pump stands to help with consumer awareness. Labeling
will continue to be required for heating oil and, as proposed above,
for 1,000 ppm sulfur ECA marine fuel.
Additionally, EPA will consult with IRS regarding handling labels
in IRS's regulations at Title 26 of the Code of Federal Regulations.
[[Page 22923]]
(b) Timing of the Standard
Currently, all refiners and importers are required to produce all
of their NRLM diesel fuel to meet the 15 ppm standard beginning June 1,
2014. To allow transition time for the distribution system, terminals
are allowed until August 1, 2014 to begin dispensing 15 ppm NRLM diesel
fuel, retailers and wholesale purchaser-consumers are allowed until
October 1, 2014, and end-users are allowed until December 1, 2014. To
be consistent with the existing diesel program, we are allowing
refiners to begin producing 1,000 ppm sulfur ECA marine fuel beginning
June 1, 2014, and downstream parties will follow the current NRLM
transition schedule (August, October, and December). We believe that
following the same transition schedule as the existing diesel sulfur
program would best facilitate the availability of 1,000 ppm ECA marine
fuel for purchase and use by the Annex VI January 1, 2015 date.
(2) Proposed Alternative Options
We identified two potential alternatives in the proposed rule to
the changes to the existing diesel fuel sulfur program discussed above:
The creation of an expanded NE/MA area and the retention of the 500 ppm
LM diesel fuel designation. We requested comment on these alternative
options, as well as any additional alternative options. We received a
comment stating that the 500 ppm sulfur designation should be retained
because, the commenter stated, Category 3 engines can use both 500 ppm
and 1,000 ppm sulfur fuel. Another commenter who supported the
elimination of this fuel category noted that if it is determined that
the 500 ppm LM designation is necessary for the locomotive industry, it
would support the concept of an expanded NE/MA area as a secondary
option.
E. Technical Amendments to the Current Diesel Fuel Sulfur Program
Regulations
Following publication of the technical amendments to the Highway
and Nonroad Diesel Regulations (71 FR 25706, May 1, 2006), we
discovered additional errors and clarifications within the diesel
regulations at 40 CFR Part 80, Subpart I that we are addressing in this
action. These items are merely typographical/printing error and grammar
corrections. A list of the changes that we are making to Subpart I is
below in Table IV-1.
Table IV-1--Technical Amendments to the Diesel Fuel Sulfur Regulations
------------------------------------------------------------------------
Section Description of change
------------------------------------------------------------------------
80.525(a)-(d)............................. Removal of the term ``motor
vehicle'' from this
section.
80.551(f)................................. Correction of printing
error.
80.561.................................... Correction of typographical
error in title.
80.570(a) and (b)......................... Amended to correct date
(``November 30, 2010''
instead of ``September 30,
2010''.
80.593.................................... Correction of typographical
error in introductory text.
80.599(e)(4).............................. Correction of printing error
in definition of terms
``1MV15I'' and
``NPMV15I''.
80.600(a)(12)............................. Amended to correct date
(``May 31, 2014'' instead
of ``June 1, 2014'').
80.600(i)................................. Amended to remove duplicate
sentence.
80.601(b)(3)(x)........................... Amended to correct dates
(``August 31'' instead of
``August 1'').
80.612(b)................................. Amended to fix typographical
error in paragraph.
------------------------------------------------------------------------
V. Emission Control Areas for U.S. Coasts
The finalized Clean Air Act standards described above are part of a
coordinated strategy for ensuring that all ships that affect U.S. air
quality will be required to meet stringent NOX and fuel
sulfur requirements. Another component of this strategy consists of
pursuing ECA designation for U.S. and Canadian coasts in accordance
with Annex VI of MARPOL. ECA designation will ensure that all ships,
foreign-flagged and domestic, are required to meet stringent
NOX and fuel sulfur requirements while operating within 200
nautical miles of most U.S. coasts. This section describes what an ECA
is, the process for obtaining ECA designation at the International
Maritime Organization, and summarizes the U.S. and Canadian proposal
for an amendment to MARPOL Annex VI designating most U.S. and Canadian
coasts as an ECA (referred to as the ``North American ECA''), submitted
to IMO on March 27, 2009.\95\
---------------------------------------------------------------------------
\95\ Proposal to Designate an Emission Control Area for Nitrogen
Oxides, Sulphur Oxides and Particulate Matter, Submitted by the
United States and Canada. IMO Document MEPC59/6/5, 27 March 2009. A
copy of this document can be found at http://www.epa.gov/otaq/regs/nonroad/marine/ci/mepc-59-eca-proposal.pdf.
---------------------------------------------------------------------------
This section also discusses technological approaches to comply with
the fuel standards. These approaches include switching to lower sulfur
fuel and equivalents, such as exhaust gas cleaning units. We also
discuss how emissions from foreign-flagged ships may be covered should
approval of the U.S. ECA be delayed.
A. What Is an ECA?
(1) What Emissions Standards Apply in an ECA?
MARPOL Annex VI contains international standards to control air
emissions from ships. The NOX and SOX/PM programs
each contain two sets of standards. The global standards for the sulfur
content of fuel and NOX emissions from engines apply to
ships at all times. In recognition that some areas may require further
control, Annex VI also contains more stringent NOX and
SOX/PM geographic-based standards that apply to ships
operating in designated Emission Control Areas. Once a North American
ECA is designated through amendment to MARPOL Annex VI, the
requirements will be enforceable for most vessels through the Act to
Prevent Pollution from Ships (see Section VI.B).
The current global fuel sulfur (S) limit is 45,000 ppm \96\ S and
will tighten to 35,000 ppm S in 2012. Depending on a 2018 fuel
availability review, the MARPOL Annex VI global fuel sulfur limit will
be further reduced to 5,000 ppm S as early as 2020. In contrast, ships
operating in designated ECAs are subject to a fuel sulfur limit of
15,000 ppm S. The ECA limit is reduced to 10,000 ppm S in July 2010 and
1,000 ppm S in 2015. In addition, Tier 3 NOX standards will
apply to new engines operating in ECAs beginning in 2016. These Tier 3
NOX standards represent an 80 percent reduction in
NOX beyond current Tier 1 standards and are anticipated to
require the use of aftertreatment technology such as SCR. We are
adopting similar Tier 3 standards as part of our Clean Air Act program
(see Section III).
---------------------------------------------------------------------------
\96\ Note that MARPOL Annex VI expresses these standards in
units of % (m/m) sulfur. 10,000 ppm S equals 1 percent S.
---------------------------------------------------------------------------
There are currently two ECAs in effect today, exclusively
controlling SOX; thus they are called Sulfur Emission
Control Areas, or SECAs. The first SECA was designated to control the
emissions of SOX in the Baltic Sea area and entered into
force in May 2005. The second SECA was designated to control the
emissions of SOX in the North Sea area and entered into
force in November 2006.
[[Page 22924]]
(2) What Is the Process for Obtaining ECA Designation?
A proposal to amend Annex VI to designate an ECA can be submitted
by a party to Annex VI. A party is a country that ratified Annex VI.
The proposal for amendment must be approved by the Parties to MARPOL
Annex VI; this would take place at a meeting of the Marine Environment
Protection Committee (MEPC). The U.S. deposited its Instrument of
Ratification with the IMO on October 8, 2008. Annex VI entered into
force for the U.S. on January 8, 2009, making the U.S. eligible to
apply for an ECA.
The criteria and procedures for ECA designation are set out in
Appendix III to MARPOL Annex VI. A proposal to designate an ECA must
demonstrate a need to prevent, reduce, and control emissions of
SOX, PM, and/or NOX from ships operating in that
area. The specific criteria are summarized below:
A delineation of the proposed area of application;
A description of the areas at risk on land and at sea,
from the impacts of ship emissions;
An assessment of the contribution of ships to ambient
concentrations of air pollution or to
Adverse environmental impacts;
Relevant information pertaining to the meteorological
conditions in the proposed area of
Application to the human populations and environmental
areas at risk;
Description of ship traffic in the proposed ECA;
Description of the control measures taken by the proposing
Party or Parties;
Relative costs of reducing emissions from ships compared
with land-based controls; and
An assessment of the economic impacts on shipping engaged
in international trade.
An amendment to designate an ECA must be adopted by the Parties to
Annex VI, as an amendment to Annex VI. The proposal to amend Annex VI
was approved at MEPC 59, and circulated for adoption. The earliest
possible adoption date is at MEPC 60, which will take place in March
2010 entering into force as early as August 2012.
B. U.S. Emission Control Area Designation
EPA worked with the U.S. Coast Guard, State Department, the
National Oceanic and Atmospheric Administration and other agencies to
develop the analysis supporting ECA designation for U.S. coasts
contained in the U.S. and Canadian submittal to IMO. In addition, we
collaborated with Environment Canada and the California Air Resources
Board. In developing the ECA proposal, EPA consulted with stakeholders
including representatives from the shipping industry, ports, master
mariners, environmental interests and representatives from State and
local governments. EPA began conducting outreach in advance of this
year's ECA proposal; in fact we have been engaged with this industry
for many years with regards to the development of an Emission Control
Area for the United States. Stakeholders also had the opportunity to
comment on the strategy we announced in the Advance Notice of Proposed
Rulemaking (ANPRM) for the Category 3 Marine Diesel Engine Rule,
published on December 7, 2007. In the ANPRM, EPA outlined an approach
to regulating emissions from both new and existing vessels using a
framework that aligns with MARPOL Annex VI, including applying the
standards for Emission Control Areas along U.S. coasts.
The proposal for ECA designation that the USG submitted to IMO
earlier this year is for a combined U.S./Canada ECA submission. This
approach has several advantages. First, the emission reductions within
a Canadian ECA will lead to air quality improvements in the U.S.
Second, a joint ECA helps minimize any competitive issues between U.S.
and Canadian ports, such as in the Puget Sound area, which could arise
from ECA standards. Third, IMO encourages a joint submittal where there
is a common interest in emission reductions on neighboring waters. In
addition, France has since joined the ECA proposal on behalf of the
Saint Pierre and Miquelon archipelago.
(1) What Areas Would Be Covered in a North American ECA?
The area included in the North American ECA submittal to IMO for
ECA designation generally extends 200 nautical miles from the coastal
baseline, except where this distance would enter the Exclusive Economic
Zones (EEZ) of a neighboring country. This area would include the
Pacific Coast, the Atlantic/Gulf Coast and the Southeastern Hawaiian
Islands. On the Pacific Coast, the ECA would be bounded in the north
such that it includes the approaches into Anchorage, Alaska, but not
the Aleutian Islands or points north. It would continue contiguously to
the south including the Pacific coasts of Canada and the U.S., with its
southernmost boundary at the point where California meets the border
with Mexico. In the Atlantic/Gulf Coast, the ECA would be bounded in
the west by the border of Texas with Mexico and continue contiguously
to the east around the peninsula of Florida and north up the Atlantic
coasts of the U.S. and Canada and would be bounded in the north by the
60th North parallel. The Southeastern Hawaiian Islands that were
included in the ECA submittal are Hawaii, Maui, Oahu, Molokai, Niihau,
Kauai, Lanai, and Kahoolawe.
Not included in the ECA submittal were the Pacific U.S.
territories, smaller Hawaiian Islands, the U.S. territories of Puerto
Rico and the U.S. Virgin Islands, Western Alaska including the Aleutian
Islands, and the U.S. and Canadian Arctic. The U.S. and Canada did not
make a determination or imply that these areas suffer no adverse impact
from shipping. Rather, we concluded that information must be gathered
to properly assess these areas. If further information supports the
need for an ECA designation in any of these areas, we would submit a
future, proposal for ECA designation of these areas.
BILLING CODE 6560-50-P
[[Page 22925]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.103
BILLING CODE 6560-50-C
We are currently performing the analyses necessary to support an
ECA designation for Puerto Rico and the U.S. Virgin Islands and will be
engaging stakeholders as part of that effort. That outreach will
include neighboring countries, shipping companies, environmental
organizations, and other stakeholders. Puerto Rico has a population of
4 million people, sees significant shipping traffic and experiences the
highest asthma rate in the United States. Addressing the impact of ship
emissions on Puerto Rico
[[Page 22926]]
and U.S. Virgin Islands is a top priority for the Agency. We plan to
complete the appropriate analysis and stakeholder outreach regarding an
ECA designation for these U.S. territories such that the U.S. with any
interested Caribbean neighbors could make a proposal to the IMO in
advance of MEPC 61 with the intent to see the ECA adopted at MEPC 62
(July 2011) and enter into force 28 months later (December 2013). In
this way, we can be confident that there will be ample time for
consideration and adoption of such an ECA well in advance of January 1,
2015 when the 1,000 ppm fuel sulfur standard enters into effect.
Establishing the ECA boundary for Puerto Rico and the U.S. Virgin
Islands would require vessels operating in this area to meet Tier 3
NOX requirements that become effective in 2016. EPA will
remove the Tier 3 NOX exemption from applying to Puerto Rico
and the U.S. Virgin Islands through an appropriate rule amendment once
the Caribbean ECA boundary is established.
(2) What Analyses Were Performed in Support of a North American ECA?
We performed a comprehensive analysis to estimate the degree of
human health risk and environmental degradation that is posed by air
emissions from ships operating in their ports and along our coasts. To
evaluate the risk to human populations, state-of-the-art assessment
tools were used to apply widely accepted methods with advanced computer
modeling techniques. The analyses incorporated detailed ship traffic
data, the most recent emissions estimates, detailed observed
meteorological data, current scientific understanding of exhaust plume
behavior (both physical dispersion and photochemical reaction) and the
latest epidemiologic databases of health effects attributable to
pollutant exposure levels to estimate the current impacts of shipping
on human health and the environment. In addition, sulfate and nitrate
deposition modeling was performed to assess the impacts of nitrogen
nutrient loading and acidification on U.S. ecosystems.
Two contrasting future scenarios were evaluated: One in which ships
continue to operate with current emissions performance while operating
in the specified area, and one in which ships comply with ECA
standards. The analysis demonstrated that ECA designation for U.S.
coasts could save thousands of lives each year, relieve millions of
acute respiratory symptoms, and benefit many of the most sensitive
ecosystems. This analysis is consistent with, and incorporated in, the
benefits estimates presented in Section VIII.
C. Technological Approaches To Comply With Fuel Standards
When operating within the ECA, all ships would have to comply with
the 0.1 percent fuel sulfur limit beginning in 2015 and vessels built
after December 31, 2015 would have to comply with the Tier 3
NOX limits described above. This section describes how ships
would comply with the fuel standards. Approaches for compliance with
the NOX standards are discussed in Section 3 above.
(1) Fuel Switching
As discussed above, the MARPOL Annex VI fuel sulfur limit for ships
operating in an ECA is 15,000 ppm today and reduces to 10,000 ppm in
July 2010 and further to 1,000 ppm in 2015. We anticipate that the
1,000 ppm fuel sulfur limit, beginning in 2015, will likely result in
the use of distillate fuel for operation in ECAs. This would require
the vessel to switch from a higher sulfur fuel to 1,000 ppm S fuel
before entering the ECA. The practical implications of fuel switching
are discussed below.
Currently, the majority of ocean-going vessels use residual fuel
(also called HFO or IFO) in their main propulsion engines, as this fuel
is relatively inexpensive and has a good energy density. This fuel is
relatively dense (``heavy'') and is created as a refining by-product
from typical petroleum distillation. Residual fuels typically are
composed of heavy, residuum hydrocarbons and can contain various
contaminants such as heavy metals, water and sulfur compounds. It is
these sulfur compounds that cause the SOX emissions when the
fuel is combusted. If the vessel does not employ the use of a sulfur
scrubber or other technology, it will most likely operate on a marine
distillate fuel while in an ECA in order to meet the sulfur emission
requirements.
The sulfur in marine fuel is primarily emitted as SO2;
however, a small fraction (about 2 percent) is converted to
SO3. SO3 almost immediately forms sulfate and is
emitted as direct PM by the engine. Consequently, emissions of
SO2 and sulfate PM are very high for engines operating on
residual fuel. Switching from high sulfur residual fuel to lower sulfur
distillate fuel results in large reductions in SO2 and
sulfate PM emissions. In addition to high sulfur levels, residual fuel
contains relatively high concentrations of low volatility, high
molecular weight organic compounds and metals. Organic compounds that
contribute to PM can be present either as a nucleation aerosol or as a
material adsorbed on the surfaces of agglomerated elemental carbon soot
particles and metallic ash particles. The sulfuric acid aerosol in the
exhaust provides a nucleus for agglomeration of organic compounds.
Operation on higher volatility distillate fuel reduces both nucleation
and adsorption of organic compounds into particulate matter. Therefore,
in addition to direct sulfate PM reductions, switching from residual
fuel to distillate fuel reduces organic PM and metallic ash particles
in the exhaust.
In the majority of vessels which operate on residual fuel, marine
distillate fuel is still used for operation during routine maintenance,
prior to and immediately after engine shut-down, or in emergencies.
Standard procedures today have been established to ensure that this
operational fuel switchover is performed safely and efficiently.
Mainly, in order for the vessel to completely switch between residual
and distillate fuel, the fuel pumps and wetted lines will need to be
completely purged by the new fuel to ensure that the ship is burning
the correct fuel for the area. This purging will vary from ship to ship
due to engine capacity, design, operation, and efficiency. Provided the
ship has separate service tanks for distillate and residual fuel (most,
if not all, vessels do), fuel switching time should be limited only by
maximum allowable rate of fuel temperature change. Additionally, for a
longer operation period such as would occur while in an ECA, we
investigated several other fuel switching topics to ensure that vessels
would not have long-term issues from operating on the marine distillate
fuels.
Marine distillate fuels are similar in composition and structure to
other petroleum-based middle distillate fuels such as diesel and No. 2
heating oil, but they have a much lower allowable sulfur content than
residual fuels. This lower sulfur content means that by combusting
marine distillate fuel in their propulsion engines, vessels operating
within the ECA would meet the stricter SOX requirements.
However, sulfur content is not the only difference between the marine
residual and distillate fuels; they also have different densities,
viscosities, and other specification limits.
The maritime industry has analyzed the differences between residual
and distillate fuel compositions to address any potential issues that
could arise from switching operation of a Category 3 engine from
residual fuel to distillate fuel. The results from this research has
[[Page 22927]]
evolved into routine operational switching procedures that ensure a
safe and efficient way for the Category 3 engines to switch operation
between the residual and distillate fuels. Engine manufacturers, fuel
suppliers, the American Bureau of Shipping, and the U.S. Coast Guard
have provided guidance on fuel switching
procedures.97 98 99 100 101 A brief summary of the fuel
differences, as well as any potential issues and their usual solutions,
is presented below.
---------------------------------------------------------------------------
\97\ MAN B&W Diesel, ``Operation on Low-Sulphur Fuels; Two-
Stroke Engines,'' 2004.
\98\ Wartsila, ``Low Sulphur Guidelines,'' January 9, 2006.
\99\ American Petroleum Institute, ``Technical Considerations of
Fuel Switching Practices,'' API Technical Issues Workgroup, June 3,
2009.
\100\ American Bureau of Shipping, ``ABS Notes: Use of Low-
Sulphur Marine Fuel for Main and Auxiliary Diesel Engines,'' Fuel
Oil Piping, EWZ-001-02-P04-W007, Attachment G--Revision 1.
\101\ United States Coast Guard, ``Avoiding Propulsion Loss from
Fuel Switching: American Petroleum Institute, Technical
Considerations,'' Marine Safety Alert 03-09, June 16, 2009.
---------------------------------------------------------------------------
(a) Fuel Density
Due to its chemical composition, residual fuel has a slightly
higher density than marine distillates. Using a less dense fuel could
affect the ballast of a ship at sea and would have to require
compensation. Therefore, when beginning to operate on the distillate
fuel, the vessel operator would have to pay attention to the vessel's
ballast and may have to compensate for any changes that may occur. We
anticipate that these procedures would be similar to operating the
vessel with partially-full fuel tanks.
Another consideration when switching to a lower density fuel is the
change in volumetric energy content. Distillate fuel has a lower energy
density content on a per gallon basis when compared to the residual
fuel; however, per ton, distillate fuel's energy density is larger than
the residual fuel. This means that when switching from residual fuel to
distillate fuel, if the vessel's tanks are volumetrically limited
(i.e., the tanks can only hold a set quantity of fuel gallons), the
distance a vessel can travel on the distillate fuel may be slightly
shorter than the distance the vessel could travel on the residual fuel
due to the lower volumetric energy content of distillate fuel, which
could require compensation. This distance reduction would be
approximately 5 percent and would only be of concern while the vessel
was operating on the distillate fuel (i.e., while in the U.S. ECA) as
the majority of the time the vessel will be operating on the residual
fuel. However, if the vessel is limited by weight (draft), the higher
energy content per ton of fuel would provide an operational advantage.
(b) Kinematic Viscosity
Residual fuel's kinematic viscosity is much higher than marine
distillate fuel's viscosity. Viscosity is the ``thickness'' of the
fuel. If this parameter is lowered from the typical value used within a
pump, some issues could arise. If a distillate fuel is used in a system
that typically operates on residual fuel, the decrease in viscosity
could cause problems with high-pressure fuel injection pumps due to the
increased potential for internal leakage of the thinner fuel through
the clearances in the pumping elements. Internal leakage is part of the
design of a fuel pump and is used in part to lubricate the pumping
elements. However, if this leakage rate is too high, the fuel pump
could produce less than optimal fuel injection pressures. If the
distillate fuel's lower viscosity becomes an issue, it is possible to
cool the fuel and increase the viscosity above 2 centistokes, which is
how most vessels operate today during routine fuel switchovers.
(c) Flash Point
Flash point is the temperature at which the vapors off the fuel
ignite with an outside ignition source. This can be a safety concern if
the owner/operator uses an onroad diesel fuel rather than a designated
``marine distillate'' fuel for operation because marine fuels have a
specified minimum flash point of 60 [deg]C (140 [deg]F) to ensure
onboard safety, whereas onroad diesel has a minimum specified flash
point of 52 [deg]C (125.6 [deg]F). However, since most distillate fuels
are created in the same fashion, typical flash points of onroad diesel
are above 60 [deg]C (140 [deg]F), and would meet the marine fuel
specification for this property. Bunker suppliers ensure that marine
fuels meet a minimum flash point of 60 [deg]C (140 [deg]F) through fuel
testing as designated on the bunker delivery note.
(d) Lubricity
Lubricity is the ability of the fuel to lubricate the engine/pump
during operation. Fuels with higher viscosity and high sulfur content
tend to have very good lubricity without the use of specific lubricity-
improving additives. Refining processes that lower fuel sulfur levels
and their viscosities can also remove some of the naturally-occurring
lubricating compounds. Severe hydrotreating of fuel to obtain ultra-low
sulfur levels can result in poor fuel lubricity. Therefore, refineries
commonly add lubricity improvers to ultra-low sulfur diesel. This will
most likely become a concern when very low levels of sulfur are present
in the fuel and/or the fuel has been hydrotreated to reduce sulfur,
e.g., if ultra-low sulfur highway diesel (ULSD) is used in the engine.
Several groups have conducted studies on this subject, and for some
systems where fuel lubricity has become an issue, lubricity additives
can be utilized or the owner/operator can install a lubricating system
for the fuel pump.
(e) Lube Oil
Lube oils are used to neutralize acids formed in combustion, most
commonly sulfuric acids created from sulfur in the fuel. The quantity
of acid-neutralizing additives in lube oil should match the total
sulfur content of the fuel. If excessive amounts of these additives are
used, they may create deposits on engine components. Marine engine
manufacturers have recommended that lube oil only needs to be adjusted
if the fuel is switched for more than one week, but the oil feed rate
may need to be reduced as well as engine operating power. Additional
research has been conducted in this area and several oil companies have
been working to create a lubricating oil that would be compatible with
several different types of fuel.
(f) Asphaltenes
Asphaltenes are heavy, non-volatile, aromatic compounds which are
contained naturally in some types of crude oil. Asphaltenes may
precipitate out of the fuel solution when a fuel rich in carbon
disulfide, such as residual fuel, is mixed with a lighter hydrocarbon
fuel, such as n-pentane or n-heptane found in some distillate fuels.
When these heavy aromatic compounds fall out of the fuel solution, they
can clog filters, create deposition along the fuel lines/combustion
chamber, seize the fuel injection pump, or cause other system troubles.
This risk can be minimized through onboard test kits and by purchasing
distillate and residual fuel from the same refiner. However, according
to the California Air Resources Board, the formation of asphaltenes is
not seen as an issue based on data from previous maritime rules.
As can be seen, if vessel operators choose to operate on marine
distillate fuel while in the ECA, some prudence is required. However,
as described above, issues that could arise with switching between
residual and distillate fuel are addressed through changes to operating
procedures. To conduct a successful switchover between the residual and
marine
[[Page 22928]]
distillate fuels, vessel operators will need to keep the above issues
in mind and follow the engine manufacturer's standard fuel switching
procedure.
(g) Boilers
Steamships operate through the use of steam produced by boilers. In
addition, boilers are often used on diesel-propelled ships for
auxiliary power. Many of these boilers are designed to operate on heavy
fuel oil. As such, the fuel must be heated and the system optimized to
atomize heavy fuel oil and then mix it with air for combustion. To
operate these systems on distillate fuel, certain modifications to the
boiler may be necessary to the burner and fuel systems. These
modifications are more likely to be necessary for older boilers. First,
as with diesel engines, residual fuel needs to be heated to flow
through the pumps. Distillate fuel does not. In addition, the fuel
pumps and injection nozzles must be matched to the viscosity and
lubricity of the fuel. Second, the fuel burners and air mixing system
must be matched to the fuel. In modern boilers, burners generally are
able to operate on distillate fuel and heavy fuel oil. The air mixing
generally needs to be reduced when using distillate fuel which
evaporates easier. The control system must be adjusted so that the main
burner does not accidently re-ignite after a flame-out. If the boiler
loses its ignition source (flame) too high of a mass of fuel may be
vaporized for the boiler to be safely re-lighted. In this case, the
boiler should be purged before relighting the flame. Third, proper
monitoring of the boiler operation will optimize flame supervision and
minimize the risk of problems when operating on distillate fuel.
(2) Equivalents
Regulation 4 of Annex VI allows for alternative devices,
procedures, or compliance methods if they are ``at least as effective
in terms of emissions reductions as that required by this Annex.'' As
an alternative to operating on lower sulfur fuel, an exhaust gas
cleaning device may be used to remove SOX and PM emissions
from the exhaust. These devices are colloquially known as
SOX scrubbers. This section describes the technological
feasibility of SOX scrubbers and how they may be used to
achieve equivalent emission reductions as fuel switching.
SOX scrubbers are capable of removing up to 95 percent
of SOX from ship exhaust using the ability of seawater to
absorb SOX. SOX scrubbers have been widely used
in stationary source applications, where they are a well-established
SOX reduction technology. In these applications, lime or
caustic soda are typically used to neutralize the sulfuric acid in the
washwater. While SOX scrubbers are not widely used on ocean-
going vessels, there have been prototype installations to demonstrate
their viability in this application such as the Krystallon systems
installed on the P&O ferry Pride of Kent and the Holland America Line
cruise ship the ms Zaandam. These demonstrations have shown scrubbers
can replace and fit into the space occupied by the exhaust silencer
units and can work well in marine applications.
There are two main scrubber technologies. The first is an open-loop
design which uses seawater as exhaust washwater and discharges the
treated washwater back to the sea. Such open-loop designs are also
referred to as seawater scrubbers. In a seawater scrubber, the exhaust
gases are brought into contact with seawater, either through spraying
seawater into the exhaust stream or routing the exhaust gases through a
water bath. The SO2 in the exhaust reacts with oxygen to
produce sulfur trioxide which then reacts with water to form sulfuric
acid. The sulfuric acid in the water then reacts with carbonate and
other salts in the seawater to form sulfates which may be removed from
the exhaust. The washwater is then treated to remove solids and raise
the pH prior to discharge back to the sea. The solids are collected as
sludge and held for proper disposal ashore.
A second type of SOX scrubber which uses a closed-loop
design is also feasible for use on marine vessels. In a closed loop
system, fresh water is used as washwater, and caustic soda is injected
into the washwater to neutralize the sulfur in the exhaust. A small
portion of the washwater is bled off and treated to remove sludge,
which is held and disposed of at port, as with the open-loop design.
The treated effluent is held onboard or discharged at open sea.
Additional fresh water is added to the system as needed. While this
design is not completely closed-loop, it can be operated in zero
discharge mode for periods of time.
Exhaust gas scrubbers can achieve reductions in particulate matter
as well. By removing sulfur from the exhaust, the scrubber removes most
of the direct sulfate PM. Sulfates are a large portion of the PM from
ships operating on high sulfur fuels. By reducing the SOX
emissions, the scrubber will also control much of the secondary PM
formed in the atmosphere from SOX emissions. However, simply
mixing alkaline water in the exhaust does not necessarily remove much
of the carbonaceous PM, ash, or metals in the exhaust. While
SO2 associates with the washwater, particles can only be
washed out of the exhaust through direct contact with the water. In
simple scrubber designs, much of the mass of particles can reside in
gas bubbles and escape out the exhaust.
Manufacturers have been improving their scrubber designs to address
carbonaceous soot and other fine particles. Finer water sprays, longer
mixing times, and turbulent action would be expected to directionally
reduce PM emissions through contact impactions. One scrubber design
uses an electric charge on the water to attract particles in the
exhaust to the water. In another design, demisters are used that help
effectively wash out PM from the exhaust stream. In either of these
designs, however, the systems would be effective at removing
SO2 from the exhaust even if the additional hardware needed
for non-sulfate PM reduction were not used.
Annex VI does not present specific exhaust gas limits that are
deemed to be equivalent to the primary standard of operating on lower
sulfur fuel. Prior to the recent amendments to Annex VI, Regulation 14
included a limit of 6 g/kW-hr SO2 as an alternative to the
15,000 ppm sulfur limit for sulfur emission control areas. Under the
amended requirements, the specific SO2 limit was removed and
more general language on equivalents was included.
IMO has developed guidelines for the use of exhaust gas cleaning
systems (EGCS) such as SOX scrubbers as an alternative to
operating on lower sulfur fuel.\102\ These guidelines include a table
of SO2 limits intended to correspond with various fuel
sulfur levels. Based on the methodology that was used to determine the
SO2 limit of 6.0 g/kW-hr for existing ECAs, the
corresponding limit is 0.4 g/kW-hr SO2 for a 1,000 ppm fuel
sulfur limit. This limit is based on an assumed fuel consumption rate
of 200 g/kW-hr and the assumption that all sulfur in the fuel is
converted to SO2 in the exhaust. The IMO guidelines also
allow for an alternative approach of basing the limit on a ratio of
SO2 to CO2. This has the advantage of being
easier to measure during in-use monitoring. In addition, this ratio
holds more constant at lower loads than a brake-specific limit, which
would approach infinity as power approaches zero. For the existing
15,000 ppm fuel sulfur limit in ECAs, a SO2 (ppm)/
CO2 (%) limit of 65 was
[[Page 22929]]
developed. The equivalent limit for a 1,000 ppm fuel sulfur level is
4.0 SO2 (ppm)/CO2 (%).
---------------------------------------------------------------------------
\102\ International Maritime Organization, ``2009 Guidelines for
Exhaust Gas Cleaning Systems,'' Resolution MEPC.184(59), Adopted on
17 July 2009, MEPC 59/24/Add.1/Annex 9.
---------------------------------------------------------------------------
It is our intent that the IMO guidelines will be used by the U.S.
Government in making the determination whether an EGCS meets the
requirements of MARPOL Annex VI, Regulation 4. We are currently working
with the U.S. Coast Guard on developing the U.S. Government process for
approving equivalents. It is not yet clear if a request for an
equivalent determination will be made to EPA or the U.S. Coast Guard.
To prevent multiple requests from having to be made, today's
regulations require such a request to be made to EPA only. This could
change as a result of the discussions between EPA and the U.S. Coast
Guard. If so, we will update the regulatory text accordingly.
Scrubbers are effective at reducing SO2 emissions and
sulfate PM emissions from the exhaust. However, as discussed above, the
effectiveness of the scrubber at removing PM emissions other than
sulfates is dependent on the scrubber design. In addition to sulfate PM
reductions, switching from residual fuel to distillate fuel results in
reductions in organic PM and metallic ash particles in the exhaust. We
expect that ECGS designs will achieve similar PM reductions as fuel
switching; however, if this turns out to not be the case, we will
address this issue, as appropriate, through further action.
Water-soluble components of the exhaust gas such as SO2,
SO3, and NO2 form sulfates and nitrates that are
dissolved into the discharge water. Scrubber washwater also includes
suspended solids, heavy metals, hydrocarbons and polycyclic aromatic
hydrocarbons (PAH). Before the scrubber water is discharged, there are
several approaches that may be used to process the scrubber water to
remove solid particles. Heavier particles may be trapped in a settling
or sludge tank for disposal. The removal process may include cyclone
technology similar to that used to separate water from residual fuel
prior to delivery to the engine. However, depending on particle size
distribution and particle density, settling tanks and hydrodynamic
separation may not effectively remove all suspended solids. Other
approaches include filtration and flocculation techniques.
Flocculation, which is used in many waste water treatment plants,
refers to adding a chemical agent to the water that will cause the fine
particles to aggregate so that they may be filtered out. Sludge
separated from the scrubber water would be stored on board until it is
disposed of at proper facilities.
The IMO guidelines for the use of exhaust gas cleaning devices such
as SOX scrubbers include recommended monitoring and water
discharge practices. The washwater should be continuously monitored for
pH, PAHs and turbidity. Further, the IMO guidance include
specifications for these same items, as well as nitrate content when
washwater is discharged in ports, harbors or estuaries. Finally, the
IMO guidance recommends that washwater residue (sludge) be delivered
ashore to adequate reception facilities and not discharged to the sea
or burned on board.
Any discharges directly into waters of the United States may be
subject to Clean Water Act or other U.S. regulation. To the extent that
the air pollution control technology results in a wastewater discharge,
such discharge will require a permit under the Clean Water Act's
National Pollutant Discharge Elimination System (NPDES) permit program.
For example, the NPDES Vessel General Permit in Section 2.2.26 contains
conditions for Exhaust Gas Scrubber Washwater Discharge. Also, the Act
to Prevent Pollution for Ships may apply to such discharge.
D. ECA Designation and Foreign-Flagged Vessels
In our previous marine diesel engine rulemakings, EPA did not
extend our Clean Air Act standards to engines on vessels flagged by
other countries. In our 2003 rule, many States and localities expressed
concern about the high levels of emissions from ocean-going vessels. We
examined our position and concluded that no change was necessary at
that time because the Tier 1 standards we adopted for Category 3
engines on U.S. vessels were the same as those contained in MARPOL
Annex VI. We indicated we would re-examine this issue in our current
rulemaking and would also review the progress made by the international
community toward the adoption of new more stringent international
standards that reflect the application of advanced emission control
technologies.
We received comments from a broad range of interested parties on
the Advanced Notice of Proposed Rulemaking (ANPRM) for this rulemaking.
Generally, those commenters remained concerned about the contribution
of ocean-going vessels to air quality problems. Many took the position
that EPA should cover engines on foreign-flagged OGV under Clean Air
Act section 213 since they account for the vast majority of OGV
emissions in the United States and because of their perception, at the
time these comments were submitted, that the international process to
set stringent standards was stalled.
In the Notice of Proposed Rulemaking (NPRM) for this rulemaking, we
provided background on EPA's past statements with regard to the
application of our Clean Air Act section 213 standards to engines on
foreign-flagged vessels, and summarized comments we received on this
issue in response to our ANPRM. Because the NOX standards
adopted in the amendments to Annex VI are comparable in stringency and
timing to our final CAA NOX standards, we did not believe it
necessary to extend our Clean Air Act Tier 2 and 3 standards to engines
on foreign-flagged vessels. Therefore, we did not seek to resolve the
issue of whether section 213 of the Act allows us to set standards for
engines on foreign-flagged vessels. However, we stated that our
proposed decision rested on the timely adoption of an amendment to
Annex VI designating the U.S. coastal waters as an ECA, since the most
stringent of the NOX standards will be applicable in such
areas. We maintain the position we expressed in the NPRM, particularly
in light of the recent approval, and circulation for adoption, of the
North American ECA. If the amendment designating a U.S. ECA is not
timely adopted by the Parties to IMO, we will revisit this issue.
EPA received a number of comments in response to the NPRM on the
issue of whether EPA should or could address emissions from engines on
foreign-flagged vessels. Most commenters reiterate their positions as
stated in comments received on the ANPRM.\103\ Environmental group
commenters who previously expressed their position that EPA has
authority--and even obligation--within the Clean Air Act to regulate
foreign-flagged vessels, maintain that position and recognize that
application of the new standards to all vessels, including those that
are foreign-flagged, is necessary to achieve the new standards' public
health and environmental benefits. While some commenters accept EPA's
position that it will revisit this issue without delay in
[[Page 22930]]
the event that a U.S. ECA designation is not timely adopted by the
Parties to the IMO,\104\ others are concerned about the potential for
delay within the IMO and, thus, urge EPA to commence a parallel
rulemaking as a backstop to that potential delay.\105\ Still others
find EPA's reliance on an ECA designation to be insufficient and
suggest that EPA should presently assert authority and extend this
rule's application to foreign-flagged vessels.\106\ That suggestion
also includes a concern that too much reliance on the IMO for authority
to regulate foreign-flagged vessels could expose a gap wherein ships
that are flagged in nations that are not parties to Annex VI would go
unregulated in U.S. waters.\107\ To close that gap, the commenter
recommends direct application of CAA standards to all foreign-flagged
vessels. That concern echoes industry commenters' calls for equal
application of the standards to all vessels in U.S. waters to ensure a
``level playing field'' and ``uniform treatment of the entire merchant
fleet.'' \108\
---------------------------------------------------------------------------
\103\ Ohio Environmental Council, Earth Day Coalition, Marsh
Area Regional Council, Ohio League of Conservation Voters, OAR-2007-
0121-0314; Northeast States for Coordinated Air Use Management, OAR-
2007-0121-0227; American Lung Association with Environmental Defense
Fund, OAR-2007-0121-0366 and OAR-2007-0121-0227; Santa Barbara Air
Pollution Control District, OAR-2007-0121-0231; Clean Air Task
Force, OAR-2007-0121-0264 and OAR-2007-0121-0227; South Coast Air
Quality Management District, OAR-2007-0121-0309 and OAR-2007-0121-
0232.
\104\ Ohio Environmental Council, Earth Day Coalition, Marsh
Area Regional Council, Ohio League of Conservation Voters, OAR-2007-
0121-0314; Northeast States for Coordinated Air Use Management, OAR-
2007-0121-0227; American Lung Association with Environmental Defense
Fund, OAR-2007-0121-0366 and OAR-2007-0121-0227.
\105\ Santa Barbara Air Pollution Control District, OAR-2007-
0121-0231.
\106\ Clean Air Task Force, OAR-2007-0121-0264 and OAR-2007-
0121-0227; South Coast Air Quality Management District, OAR-2007-
0121-0309 and OAR-2007-0121-0232; Earthjustice, Friends of the
Earth, and Center for Biological Diversity, OAR-2007-0121-0320.
\107\ Earthjustice, Friends of the Earth, and Center for
Biological Diversity, OAR-2007-0121-0320.
\108\ World Shipping Council, OAR-2007-0121-0227 and OAR-2007-
0121-0325; Marine Engineers Beneficial Association, OAR-2007-0121-
0259.
---------------------------------------------------------------------------
We appreciate the comments we received and are committed to
revisiting the issue if the U.S. ECA proposal is not timely adopted.
However, we continue to believe we need not revisit this issue at this
time given that foreign-flagged vessels will be subject to standards
under APPS that are comparable to those for U.S.-flagged vessels under
section 213 of the CAA. The issue of whether EPA is compelled to cover
foreign-flagged vessels under section 213 of the CAA was raised in
Bluewater v. EPA, 372 F.3d 404 (DC Cir. 2004), a challenge to EPA's
decision in 2003 not to revisit the issue of whether foreign-flagged
vessels may and should be covered by nonroad emissions standards issued
under section 213 of the CAA. In finding Bluewater's claim to be
premature, the Bluewater court referred back to its determination in
Engine Mfrs. Ass'n v. EPA, 88 F.3d at 1086-87, that ``new nonroad
engine'' as used in 213(a)(3) is ambiguous and reiterated EPA's
undisputed finding that there would be no significant loss of emission
reductions by not revisiting the issue. We do not believe circumstances
have changed to call into question the Bluewater court's finding as
applied to today's setting. In fact, the only changed circumstances
further support EPA's decision not to revisit the issue. Since issuance
of the 2003 final rule and the court's decision in Bluewater, Annex VI
has entered into force, and the United States has become a Party to
Annex VI and has successfully negotiated significant new emission and
fuel standards. In addition, Congress has adopted amendments to the Act
to Prevent Pollution from Ships to implement both the original and
amended Annex VI requirements. Therefore, given that foreign-flagged
vessels are subject to the original and new Annex VI NOX and
fuel requirements under the operation of APPS, we do not believe it is
currently necessary to address whether EPA may or should cover foreign-
flagged vessels under section 213 of the CAA. See South Coast v. EPA,
554 F.3d 1076, 1081 (DC Cir. 2009) (``Deferring resolution of the issue
until it will have an effect remains reasonable and the petitioners'
objection therefore remains premature.'').
However, as noted above, we are committed to revisiting this issue
if the proposed ECA, within which the most stringent NOX and
fuel requirements are applicable, is not timely adopted. Meetings to
discuss adoption of the U.S.-proposed ECA are scheduled shortly after
this rule is finalized, and thus, taking into consideration the lead
times adopted, little time is lost in not revisiting this issue in this
rulemaking. We also note that ships that are flagged in nations that
are not a Party to Annex VI are subject to Annex VI requirements in
U.S. waters under the Act to Prevent Pollution from Ships. Our
regulations to implement the requirements of Annex VI with respect to
such vessels make clear the applicability of those provisions to such
vessels.
VI. Certification and Compliance Program
This section describes the regulatory changes being finalized for
the CAA Category 3 engine compliance program. In general, these changes
are being finalized to ensure that the benefits of the standards are
realized in-use and throughout the useful life of these engines, and to
incorporate lessons learned over the last few years from the existing
test and compliance program.
The most obvious change is that we are applying the plain language
regulations of 40 CFR part 1042 to Category 3 engines. These part 1042
regulations were adopted in 2008 for Category 1 and Category 2 engines
(73 FR 25098, May 6, 2008). They were structured to contain the
provisions that are specific to marine engines and vessels in part
1042, and apply the parts 1065 and 1068 for other provisions not
specific to marine engines. This approach is not intended to
significantly change the compliance program from the program currently
applicable to Category 3 engines under 40 CFR part 94, except as
specifically noted in this notice. These plain language regulations
supersede the regulations in part 94 for Category 3 engines beginning
with the 2011 model year. See Section VI.E for additional discussion of
the transition from part 94 to part 1042.
The changes from the existing programs are described below along
with other notable aspects of the compliance program. These changes are
necessary to implement the new standards as well as to implement the
Annex VI program as required under the amendments to the Act to Prevent
Pollution from Ships.
Finally, we are also including several changes and clarifications
to the compliance program that are not specific to Category 3 engines.
Some of these apply only for marine diesel engines below 30 liters per
cylinder displacement.
A. Compliance Provisions for Category 3 Engines
In general, we are retaining the certification and compliance
provisions adopted with the Tier 1 standards for Category 3 engines.
These include testing, durability, labeling, maintenance, prohibited
acts, etc. However, we believe additional testing and compliance
provisions will be necessary for new standards requiring more advanced
technology and more sophisticated emission control systems. These
changes, as well as other modifications to our certification and
compliance provisions for Category 3 engines, are discussed below.
Our certification process is similar to the process specified in
the Annex VI NOX Technical Code (NTC) for pre-certification.
However, the Clean Air Act specifies certain requirements for our
certification program that are different from the NTC requirements. The
EPA approach differs most significantly from the NTC in three areas.
First, the NTC allows but does not require certification of engines
before installation (known as pre-certification
[[Page 22931]]
under the NTC), while EPA does require it. Second, we include various
provisions to hold the engine manufacturer responsible for the
durability of emission controls, while the NTC holds the engine
manufacturer liable only before the engine is placed into service.
Finally, we specify broader temperature ranges and allow manufacturers
less discretion in setting engine parameters for testing, with the goal
of adopting test procedures that represent a wide range of normal in-
use operation. We believe the regulations in this final rule are
sufficiently consistent with NTC that manufacturers can continue to use
a single harmonized compliance strategy to certify under both systems.
(1) Testing
We are largely continuing the testing requirements that currently
apply for Category 3 engines with a few exceptions.
(a) General Test Procedures
We are applying the general engine testing procedures of 40 CFR
part 1065 to Category 3 engines. This is part of our ongoing initiative
to update the content, organization and writing style of our
regulations. For each engine sector for which we have recently
promulgated standards (such as smaller marine diesel engines), we refer
to one common set of test procedures in part 1065. This is because we
recognized that a single set of test procedures would allow for
improvements to occur simultaneously across engine sectors. A single
set of test procedures is easier to understand than trying to
understand many different sets of procedures, and it is easier to move
toward international test procedure harmonization if we only have one
set of test procedures.
These procedures replace those currently published in parts 92 and
94 and are fundamentally similar to those procedures. The primary
differences are related to tighter tolerances to reduce test-to-test
variability. In most cases, a manufacturer should be able to comply
with 1065 using its current test equipment. Nevertheless, full
compliance with part 1065 would take some effort on the part of
manufacturers. As such, we are including some flexibility to make a
gradual transition from the part 92 and 94 procedures. For several
years, manufacturers will be able to optionally use the part 1065
procedures. Part 1065 procedures will generally be required for any new
testing by 2016 (except as noted below). This is very similar to the
allowance already provided with respect to Category 1 and Category 2
engines.
Several manufacturers raised in their comments general objections
to applying the 1065 test procedures. However, since we proposed to
allow Category 3 manufacturers to submit data collected using the test
equipment, test fuels, and procedures specified in the NOX
Technical Code, we believe that the requirement should be finalized as
proposed. The procedures in 1065 will still be the official test
procedures, however, and manufacturers will be liable with respect to
any test results from 1065 testing. We do not believe this allowance
will have any effect on the stringency of the standards, or how
manufacturers design and produce their engines.
(b) Test Fuel
Appropriate test procedures need to represent in-use operating
conditions as much as possible, including specification of test fuels
consistent with the fuels that compliant engines will use over their
lifetimes. Our Part 94 regulations allow Category 3 engine testing
using distillate fuel, even though many vessels with these engines
currently use less expensive residual fuel. This provision is
consistent with the specifications of the NOX Technical
Code. We are continuing this approach for Tier 2 and Tier 3. Our
primary reason for continuing this approach is that we expect these
Category 3 engines will generally be required to use distillate fuels
in areas that will affect U.S. air quality for most of their
operational lives. (We expect this because we expect IMO to approve our
proposal to amend Annex VI to designate the U.S. coastal waters as an
ECA.) However, since these engines will not be required to use low-
sulfur or ultra low-sulfur fuel, we are also adding an explicit
requirement that a high-sulfur distillate test fuel be used for both
Tier 2 and Tier 3 testing. Our testing regulations (40 CFR 1065.703)
are being revised to specify that high-sulfur diesel test fuels contain
800 to 2,500 ppm sulfur. This will be lower than the prior
specification of 2,000 to 4,000 ppm. This will allow manufacturers to
test with fuels near the ultimate in-use limit of 1,000 ppm.
(c) Testing Catalyst-Equipped Engines
In our existing programs that require compliance with catalyst-
based engines (such as the Category 1 & 2 engine program), we have
required manufacturers to test prototype engines equipped with
prototype catalyst systems. However, it is not clear that this approach
would be practical for Category 3 engines. These are problematic
because of their size and because they tend to be a least partially
custom built on a vessel by vessel basis. Requiring a manufacturer to
construct a full-scale catalyst system for each certification test
would be extremely expensive.
We are finalizing an optional special certification procedure to
address this concern. The provisions are in Sec. 1042.655 of the
finalized regulations. The emission-data engine must be tested in the
specified manner to verify that the engine-out emissions comply with
the Tier 2 standards. The catalyst material must be tested under
conditions that accurately represent actual engine conditions for the
test points. This catalyst testing may be performed on a benchscale.
Manufacturers must include a detailed engineering analysis describing
how the test data collected for the engine and catalyst material
demonstrate that all engines in the family will meet all applicable
emission standards. Manufacturers must verify their design by testing a
complete production engine and catalysts in its final assembled
configuration. It is important to note that this allowance does not
limit in any way the manufacturers' or operators' obligations with
respect to safety for catalyst systems, such as those specified by
Coast Guard.
(d) Testing Production Engines
Under the current regulations, manufacturers must test a sample of
their Category 1 and Category 2 engines during production. We are now
finalizing similar provisions for Category 3 engines. While in the past
we did not believe that such testing was necessary, circumstances have
changed in two important ways. First, relatively inexpensive portable
test systems have recently become available. This greatly reduces the
cost of testing an engine in a ship. Second, the need to verify that
production engines actually comply with the emission standards
increases as standards become more stringent and emission control
technologies become more complicated.
Specifically, every new Tier 2 or later Category 3 engine must be
tested during the vessel's sea trial to show compliance with the
applicable NOX standard. Any engine that fails to comply
with the standard will need to be repaired and retested. Since we are
not finalizing PM standards for Category 3 engines, and because PM
measurement is more difficult than measuring only gaseous emission, we
will not require PM measurement during testing after
[[Page 22932]]
installation, provided PM emissions were measured during certification.
One concern that manufacturers have raised in the past is that it
can be difficult to achieve the exact test points in use. Therefore, we
are allowing manufacturers flexibility with respect to test points when
testing production engines, consistent with the equivalent allowance
under the NOX Technical Code. Where manufacturers are unable
to duplicate the certification test points during production testing,
we are allowing them to comply with an alternate ``at-sea standard''
that is 10 percent higher than the otherwise applicable standard. This
is specified in Sec. 1042.104(g).
Since we are requiring testing of every production engine, we are
also excluding Category 3 engines from selective enforcement audits
under 40 CFR part 1068.
(e) PM Measurement
We are requiring manufacturers to measure PM emissions along with
NOX, HC, and CO during certification testing to report these
results along with the other test data. This is similar to our recently
proposed requirement for manufacturers to measure and report certain
greenhouse gas emissions for a variety of nonroad engine sectors.\109\
Manufacturers should be able to collect these data using stand-alone
partial flow PM measurement systems. In recent years, several vendors
have developed such systems to be compliant with the requirements of
1065.
---------------------------------------------------------------------------
\109\ 74 FR 16448, April 10, 2009.
---------------------------------------------------------------------------
It is worth noting that in the past, there has been some concern
regarding the use of older PM measurement procedures with high sulfur
fuels. The primary issue of concern was variability of the PM
measurement, which was strongly influenced by the amount of water bound
to sulfur. However, we believe improvements in PM measurement
procedures, such as those specified in 40 CFR 1065, have addressed
these issues of measurement variability. The U.S. Government recently
submitted proposed procedures for PM measurement to IMO.\110\
---------------------------------------------------------------------------
\110\ ``Measurement Method For Particulate Matter Emitted From
Marine Engines,'' Submitted by the United States to the
International Maritime Organization Intersessional [sic] Meeting Of
the BLG Working Group On Air Pollution, 5 October 2007.
---------------------------------------------------------------------------
(2) Low Power Operation and Mode Caps
Emission control performance can vary with the power at which the
engine operates. This is potentially important because Category 3
engines can operate at relatively low power levels when they are
operating in port areas. Ship pilots generally operate engines at
reduced power for several miles to approach a port, with even lower
power levels very close to shore. The International Organization for
Standardization (ISO) E3 and E2 test cycles, which are used for
emission testing of propulsion marine engines, are heavily weighted
towards high power. In the absence of other requirements, it would be
possible for manufacturers to meet the cycle-weighted average emission
standards without significantly reducing emissions at low-power modes.
This could be especially problematic for Tier 3 engines relying on
urea-SCR for NOX control, since the effectiveness of the
control is directly affected by the amount of urea that is injected and
there would be an obvious economic incentive for manufacturers and
operators to minimize the amount of urea injected.
We are addressing these concerns in two ways. First, we are
applying mode caps for NOX emissions that will ensure that
manufacturers design their emission controls to be fully effective at
25 percent power. This will require that manufacturers meet the
applicable NOX standard at each individual test point, and
not merely as a weighted average of the test points. The caps will only
apply for NOX emissions, and manufacturers will not be
required to meet the HC and CO standards at each test point. For HC and
CO, manufacturers will only be required to meet the applicable
standards as a weighted average of the test points.
The other concern is related to power levels other than the test
points. To address this, we will continue to rely on our prohibition of
defeat devices to ensure effective control for lower powers. Most
significantly, this will prohibit manufacturers from turning off the
urea supply to SCR systems at these points, unless the exhaust gas
temperature was too cool for the SCR catalyst to function properly.
(Urea at these low temperatures does not react with NOX
molecules and can lead to high emissions of ammonia.)
(3) On-Off Technologies
Many of the technologies that are projected to be used to meet the
Tier 3 NOX standards (such as SCR, water injection, and EGR)
are not integral to operation of the engine, allowing the engine to be
operated without them. They will also require the operator to supply
the proper reductant. Thus, these technologies are potentially ``on-
off'' technologies. Switching to distillate fuel instead of residual
fuel to reduce SOX and PM emissions can be thought of in the
same way.
The increased operating costs of such controls associated with urea
(or other reductants) or with distillate usage suggest that it may be
reasonable to allow these systems to be turned off while a ship is
operated on the open ocean, far away from sensitive areas that are
affected by ship emissions. This is the basis of the MARPOL Annex VI
ECA approach, with one set of limits that would apply when ships are
operated in sensitive areas and another that would apply when ships are
operated outside those designated areas.
We are finalizing the proposed regulatory provision in Sec.
1042.115(g) to address the use of on-off technologies on Category 3
engines subject to the Tier 3 standards. This provision will require
the manufacturer to obtain EPA approval to design the engines to have
on-off features. It will also require the engine's onboard computer to
record the on-off operation (including geographic position and time)
and require that the engine comply fully with the Tier 2 standards when
the Tier 3 controls are turned off.
In response to comments, we are expanding this option slightly to
address other possible technological solutions. In particular, we will
allow a manufacturer to design the system to have a Tier 3 mode and a
Tier 2 mode that correspond to ``on'' and ``off,'' without regard to
whether any given controls are turned on or off. For example, under
this allowance, a manufacturer could design the system to have a Tier 2
(off) mode in which the SCR system continues to function, while engine-
out emissions are increased. Such a design would be allowed as long as
the emission downstream of the aftertreatment met the Tier 2 standards.
Our goal is to require manufacturers to comply with the Tier 3
standards in all areas where the emissions significantly affect U.S.
air quality. We expect that all such areas will also ultimately be
included in one or more Emission Control Areas. We describe a North
American ECA in Section V.A, which is intended to include most areas
where the emissions significantly affect U.S. air quality. However, we
have not yet determined the extent to which Category 3 engines affect
air quality in other areas--specifically, the U.S. territories, areas
of Alaska west of Kodiak, the smallest Hawaiian islands, or Puerto Rico
and the U.S. Virgin Islands. Therefore, we are including an interim
provision to exclude those areas with respect to the Tier 3 standards
at this time. We will revisit this should our review of available
modeling results or
[[Page 22933]]
other information indicate that compliance with the Tier 3 standards
should be required for some or all of these areas.
(4) NOX Monitoring
Category 3 engines equipped with on-off controls must be equipped
to continuously monitor NOX concentrations in the exhaust.
Engine manufacturers will be required to include systems to
automatically alert operators of any operation with the emission
controls on where NOX concentrations indicate malfunctioning
emission controls. We are also requiring the engine to record in
nonvolatile computer memory any such operation. However, we are not
requiring monitoring NOX concentrations during operation for
which the emission controls are allowed to be turned off, provided the
record indicated that the controls were turned off. Where the
NOX monitor system indicates a malfunction, operators will
be required to investigate the cause and make any necessary adjustments
or repairs.
We are defining as a malfunction of the emission controls any
condition that would cause an engine to fail to comply with the
applicable NOX standard (See Section VI.A.1.d for a
discussion of standards that will apply for installed engines at sea).
Such malfunctions could include maladjustment of the engine or
controls, inadequate reductant, or emission controls turned off
completely. We recognize that it is not possible to perfectly correlate
a measured NOX concentration with an equivalent cycle-
weighted emission result. Therefore, the requirement will allow engine
manufacturers to exercise good engineering judgment in using measured
NOX concentrations to monitor the emission performance of
the engine. Should manufacturers decide that it would be helpful to
have a less subjective (and less flexible) requirement, we will be
willing to work with them to make such improvements to this provision
through a future rulemaking.
(5) Parameter Adjustment
Given the broad range of ignition properties for in-use residual
fuels, we expect that our in-use adjustment allowance for Category 3
engines will result in a broad range of adjustment. We requested
comment on a requirement for operators of ships equipped with
NOX monitors to perform a simple NOX check test
to confirm emissions after parameter adjustments or maintenance
operations, using onboard emission measurement systems with electronic-
logging equipment. While we are not adopting such a requirement at this
time, we may do so in the future should we determine that these engines
are being improperly adjusted in use.
(6) In-Use Liability
Under the Tier 1 program for Category 3 engines, owners and
operators are required to maintain, adjust, and operate the engines in
such a way as to ensure proper function of the emission controls. These
requirements, which are described in 40 CFR 94.1004, are being
continued in the regulations in part 1042 (See Sec. 1042.660 of the
finalized regulations for these requirements). Owners will also
continue to be required to keep certain records onboard the vessel and
report annually to EPA whether or not the vessel has complied with
these and other requirements.
Specifically, these provisions require that all maintenance,
repair, adjustment, and alteration of the engine be performed using
good engineering judgment so that the engine continues to meet the
emission standards. Each two-hour period of operation of an engine in a
condition not complying with this requirement will be considered a
separate violation. Some commenters expressed concern that treating
each two-hour period of operation as a separate violation would be
inappropriate for events that occur while the vessel is out at sea.
These commenters correctly noted that where a repair cannot be made at
sea, the operator has no choice but to continue operating the vessel in
its noncompliant condition. Therefore, we are revising the regulations
to clarify that we would not consider operating a vessel in need of
repair to be a violation, if such a repair was not possible.
(7) Replacement Engines
The existing provisions of Sec. 1042.615 provide an exemption that
allows manufacturers to produce new uncertified engines when they are
needed to replace equivalent existing engines that fail prematurely.
For many engine sectors, this practice is common, but represents a very
small faction of a manufacturer's total engine production. We do not
believe this practice is either common or necessary for Category 3
engines, and therefore we proposed to not allow this exemption for
Category 3 engines. However, engine manufacturers commented that there
have been infrequent but real occurrences where they have needed to
provide a Category 3 replacement engine in response to premature engine
failure. To address this concern, we are finalizing a provision that
would allow us to make an exception in very unusual circumstances and
allow a manufacturer to make a new Category 3 engine that is exempt
from current emission standards. Even for the rare case where
manufacturers would need to supply a replacement Category 3 engine, we
would expect them generally to be able to provide a certified engine.
It is clear that removing a failed engine and installing a replacement
will involve a very significant effort; we would expect this effort to
include reasonable modifications to accommodate a certified engine even
if it was somewhat different than the engine being replaced. However,
if manufacturers can demonstrate under Sec. 1042.615 that no certified
engine has the physical and performance characteristics to properly
power the vessel, they may produce a new engine that is exempt from
emission standards. This may be most likely for vessels that have
paired Category 3 engines where one of the engines fails prematurely
and cannot be repaired without being removed from the vessel.
It is also important to note that the provisions of Annex VI
related to replacement engines also apply. This generally limits
replacement engines to those that are identical to the engines being
replaced.
B. Compliance Provisions To Implement Annex VI NOX Regulation and the
NOX Technical Code
In addition to the Clean Air Act provisions being finalized in this
action, we are also establishing new regulations to implement certain
provisions of the Act to Prevent Pollution from Ships. These
regulations are a new part 1043 of title 40.
The Act to Prevent Pollution from Ships establishes a general
requirement for vessels operating in the exclusive economic zone and
navigable waters of the United States to comply with MARPOL Annex VI.
It also gives EPA and the Administrator the authority to further
implement MARPOL Annex VI. Many of the requirements relating to
NOX emissions and fuel sulfur limits can be implemented
without the need for further elaboration because the Annex, along with
the NOX Technical Code, provides instructions on how to
demonstrate compliance with those requirements. However, APPS
authorizes the Administrator to prescribe any necessary or desired
additional regulations to assist in carrying out the provisions of
Regulations 12 through 19 of Annex VI (see 33 U.S.C. 1903(c)(2)).
Specifically, the regulations being finalized in this FRM in part 1043
of title 40 are
[[Page 22934]]
intended to assist in the implementation of the engine and fuel
requirements contained in Regulation 13, 14, and 18 of MARPOL Annex VI.
They address such issues as how to obtain an Engine International Air
Pollution Prevention (EIAPP) certificate (which is equivalent in many
ways to a Clean Air Act certificate of conformity), exemptions for
vessels used exclusively in domestic service, and requirements for
vessels not registered by a country that is a Party to Annex VI.
The requirements being finalized in part 1043 will generally begin
July 1, 2010. However, the ECA NOX requirements will not
begin until the Tier 3 NOX standards begin (or when the ECA
enters into force for the U.S., whichever is later), and the ECA fuel
requirements will not begin until 12 months after the ECA enters into
force for the U.S., as provided by Annex VI. It is also important to
clarify that Annex VI itself was effective for the United States as of
January 8, 2009. The requirement of the Annex for ships to have a valid
International Air Pollution Prevention (IAPP) certificate applies for
U.S. vessels based on when the keel is laid and when it is dry-docking.
Vessels for which keels were laid (or which were at a similar stage of
construction) before January 8, 2009 must have on board a valid IAPP
certificate no later than the first scheduled dry-docking, but in no
case later than January 8, 2012. Vessels for which keels are laid (or
which are at a similar stage of construction) after January 8, 2009
must have on board a valid IAPP certificate upon completion of its
initial survey before the ship is placed into service.
The MARPOL Annex VI NOX requirements apply to all marine
diesel engines above 130 kW. Similarly, the MARPOL Annex VI fuel
requirements apply to all fuel oil used onboard a vessel, defined as
any fuel delivered to and intended for combustion purpose for
propulsion or operation on board any ship, including distillate and
residual fuels. Thus the part 1043 compliance program described here
applies somewhat more broadly than the Clean Air Act compliance program
described earlier for Category 3 engines.
It is worth noting that while APPS generally requires compliance
with Annex VI and future amendments to Annex VI, we have incorporated
by reference the existing 2008 version of the Annex for certain
purposes. Specifically, we require compliance with the 2008 Annex VI
NOX and fuel requirements by non-Party vessels and require
compliance with the ECA requirements by all vessels in our internal
waters; both of these issues are discussed later. We fully expect to
update this incorporation by reference whenever aspects of the Annex
relating to these provisions are amended. However, we recognize that it
is possible that there will be a brief period during which the
incorporated version differs slightly from any amended provisions. To
the extent that occurs, vessels in our internal waters and non-Party
vessels would be subject to the requirements in the 2008 version (or
the latest version that has been incorporated by reference).
In Sec. 1043.1(d), we clarify that these regulations do not limit
requirements that would otherwise apply pursuant to APPS, except for
excluding domestic vessels from the Annex VI NOX standard
(consistent with the allowance in Regulation 13.1.2.2 of the Annex).
(1) EIAPP Certificates
In general, an engine can be dual-certified under EPA's Clean Air
Act marine diesel engine program and the MARPOL Annex VI/APPS program.
However, we require that engine manufacturers submit separate
applications for the 1042 and EIAPP certificates. The regulations in
part 1043 specify the process that would apply. The process for
obtaining the EIAPP is very similar to the process for obtaining a
certificate of conformity under part 1042, and although there are
differences between the programs, manufacturers should be able to
comply with both programs with very little additional work. The primary
differences are that, to certify to the MARPOL Annex VI standards, the
manufacturer must include a copy of the Technical File and onboard
NOX verification procedures (as specified in Section 2.4 of
the NOX Technical Code) and is not required to provide
information about useful life, emission labels, deterioration factors,
or PM emissions.\111\ Engine manufacturers will be able to apply for
both certifications using the same certification templates and test
data.
---------------------------------------------------------------------------
\111\ See 68 FR 9746, February 28, 2003, at 9774-5 for a
discussion of these differences as they relate to Category 3 marine
diesel engines.
---------------------------------------------------------------------------
Consistent with our 1042 program, our 1043 program will require
that each engine installed or intended to be installed on a U.S.-
flagged vessel have an EIAPP before it is introduced into U.S.
commerce. The finalized regulations will create a presumption that all
marine engines manufactured, sold, or distributed in U.S. commerce will
be considered to be intended to be installed on a U.S.-flagged vessel,
although this presumption could be rebutted by clear and convincing
evidence to the contrary (evidence that the engine is intended for
export, for example). We will also require that all engines that are
intended only for domestic use be labeled as such. Thus, all engines
not labeled for domestic use will be presumed to be intended for use on
vessels subject to part 1043.
(2) Approved Methods
The 2008 amendments to MARPOL Annex VI added a new provision to the
engine standards in Regulation 13 that extends the Tier I
NOX limits to certain engines installed on ships constructed
on or after January 1, 1990 through December 31, 1999. Specifically,
engines with power output greater than 5,000 kW and with per cylinder
displacement at or above 90 liters installed on such ships would be
required to meet the Tier I NOX limits if a certified
Approved Method is available. An Approved Method may be certified by
the Administration of any flag state, but once one is registered with
the IMO the owner of such an engine must either install the Approved
Method or demonstrate compliance with the Annex VI Tier I limits
through some other method. We are including a regulatory section
codifying this requirement. These regulations are contained in Sec.
1043.50.
(3) Other Annex VI Compliance Requirements
Engine manufacturers, vessel manufacturers, vessel owners, and fuel
providers, fuel distributors, and other directly regulated stakeholders
are required to comply with all aspects of Regulations 13, 14, and 18
of Annex VI as well as the NOX Technical Code. These include
requirements for engine operation, fuel use, fuel oil quality, and
various recordkeeping requirements (e.g., record book of engine
parameters, engine technical file, fuel switching procedures, bunker
delivery notes and associated fuel samples, and fuel sampling
procedures).
Regulation 18 of both the original and the revised Annex VI sets
out the requirements for bunker delivery notes and associated fuel
samples. All vessels 400 gross tons and above, and each fixed and
floating drilling rig and other platforms (i.e., those vessels subject
to Regulations 5 and 6 of both the original and the revised Annex VI)
are required to keep onboard the vessel bunker delivery notes that
specify the details of fuel oil brought onboard for combustion
purposes. These bunker delivery notes may be inspected by the competent
authority of a Party while the ship is in its port or offshore
terminals. The competent authority may also verify the
[[Page 22935]]
contents of bunker delivery notes. A fuel sample is required to
accompany each bunker delivery note, sealed and signed by the
supplier's representative and the master or officer in charge of fuel
operations. The sample should be taken pursuant to IMO guidelines and
is to be retained for at least 12 months from the date of delivery.
While the IMO guidelines were not in place at the time the original
Annex was adopted, they were subsequently developed and Regulation 18
of amended Annex VI refers specifically to these guidelines:
MEPC.96(47).
Although these are Annex VI requirements, we are not creating a
regulatory requirement for the certification of bunker delivery notes
or fuel samples. Such a requirement would be infeasible with respect to
the time and resources that would be necessary to certify every batch
of fuel sold to a vessel above 400 GT in the United States. In
addition, the requirements in Annex VI clearly call for the sulfur
content of gas fuels delivered to a ship for combustion purposes be
documented by the fuel supplier, and that the required fuel sample be
sealed and signed by the fuel provider and the representative of the
ship owner.
It has been brought to the attention of EPA and the Coast Guard
that some fuel providers in the United States and elsewhere have not
been issuing bunker delivery notes and/or fuel samples at the time of
fuel delivery. Ship owners and operators, and fuel providers, are
reminded that the bunker delivery notes and fuel samples are
requirements under Annex VI; a vessel can be found in noncompliance
with the Annex VI fuel requirements if the vessel is inspected at a
domestic or foreign port. Therefore, ship owners and operators should
exercise care and diligence in obtaining the necessary bunker delivery
notes and fuel samples at the time fuel is brought onboard, through the
fuel contractual arrangement or through other agreement at the time of
sale, and fuel providers should be certain that they have procedures
and processes in place to provide the bunker delivery note and fuel
sample for each batch of fuel delivered.
(4) Non-Party Vessels
The finalized regulations specify that vessels flagged by a country
that is not a party to MARPOL (known as non-Party vessels) must comply
with Regulations 13, 14, and 18 of Annex VI when operating in U.S.
waters. This requirement fulfills the requirement of 33 U.S.C. 1902(e),
which requires the adoption of regulations for non-Party vessels such
that they are not treated more favorably than vessels of countries that
are party to the MARPOL Protocol. However, since such vessels cannot
get EIAPP certificates, this provision requires non-party vessels to
obtain equivalent documentation of compliance with the NOX
standards of Annex VI.
(5) Internal Waters
APPS applies Annex VI requirements, including amendments to Annex
VI that have entered into force for the United States, to ships that
are in the internal waters of the U.S. Among the requirements added in
the 2008 amendments to Annex VI are more stringent standards for fuel
quality and NOX emissions. Many of these standards apply in
``Emission Control Areas'' (ECAs) to be designated by the Parties to
Annex VI. As described earlier, the U.S. and Canada submitted an
application for a North American ECA, adoption of which is anticipated
in March 2010.
As some commenters have noted, the ECA proposal does not include
U.S. or Canadian internal waters. While the two governments did not
specifically seek designation for internal waters in their ECA
proposal, it is evident that emissions in internal waters are of
greater concern than emissions occurring from the baseline seaward to
200 nautical miles. Vessel emissions in internal waters are often even
closer to U.S. population centers than emissions in coastal waters.
Emissions in internal waters affect U.S. air quality to an equal, if
not greater, degree to emissions in coastal waters. Given these
considerations, EPA believes that Congress' direction to apply Annex VI
requirements to ships in the internal waters of the United States, as
well as its grant of authority to EPA to administer the relevant
regulations of Annex VI, confers the authority to apply the fuel
quality and emissions requirements that apply to ECAs to ships in
internal waters.
We also note the application of these standards to internal waters
should not disturb reasonable expectations or impose a significant
burden on industry. It has always been presumed in our analyses
supporting the ECA proposal and this rule, and is the customary
practice in the North Sea and Baltic Sea SECAs, that vessels will
continue to comply with the emissions standards anytime they operate on
the landward side of the ECA boundary, including in a country's
internal waters. We are not aware of anyone ever suggesting that a
vessel complying with ECA standards would increase its emissions while
it remains in port or other body of water that is part of or connected
to an ECA. We do not believe that vessels would generally choose to
switch to higher sulfur fuels or choose to turn off Tier III control
strategies in internal waters. In most cases, ocean-going vessels only
operate in internal waters for short periods of time while entering and
leaving ports. Switching to high sulfur fuel or turning off and on
NOX control strategies could be time consuming and may not
be justified by the limited operational cost savings.
We are finalizing regulatory text to codify Annex VI global
requirements and clarify application of Annex VI ECA requirements to
ships in U.S. internal waters. Specifically, the regulatory text
includes the APPS requirements for vessels to comply with Annex VI
global requirements in our internal waters. The regulatory text also
clarifies that vessels operating in U.S. internal waters, shoreward of
an ECA, that can be accessed by ocean-going vessels must meet Annex VI
ECA requirements. This includes ports and internal waters such as the
Great Lakes. In the regulatory text we refer to the internal waters in
which we are applying the ECA requirements as the ``ECA associated
area.'' The regulatory text will apply the ECA requirements for these
internal waters beginning the same time the ECA takes effect under
Annex VI.
Application of the ECA requirements under APPS to our internal
waters does not replace but rather augments our Clean Air Act
standards. The Clean Air Act exhaust emission and fuel standards apply
regardless of the APPS provisions, except to the extent that any of the
new CAA provisions refer to the ECA boundaries.
We received extensive comments on the economic and safety impacts
of applying the ECA engine and fuel requirements to vessels that
operate on the Great Lakes. The Summary and Analysis of Comments for
this rule includes a discussion of the economic impacts of applying the
ECA engine and fuel requirements to vessels that operate on the Great
Lakes. In addition, EPA will perform a study and issue a report
evaluating the economic impact of the final rule on Great Lakes
carriers. We will work with Great Lakes stakeholders in conducting the
study and expect to complete the report in summer 2010.
In addition to recommending the above-mentioned study, Conference
Report 111-316 accompanying HR 2996, the Department of Interior,
Environment, and Related Agencies Appropriations Act, 2010, suggests
that EPA should include two waiver provisions for Great Lakes carriers
in this final rule. Based on this statement
[[Page 22936]]
and concerns that have been raised by the Great Lakes shipping
industry, we are finalizing a new provision to address certain vessels
operating exclusively on the Great Lakes (hereinafter, ``Great Lakes
vessels''). Specifically, we are finalizing a provision that provides
for relief in the event of serious economic hardship. This economic
hardship provision allows Great Lakes shippers to petition EPA for a
temporary exemption from the 2015 fuel sulfur standards. The shipper
must show that despite taking all reasonable business, technical, and
economic steps to comply with the fuel sulfur requirements, the burden
of compliance costs would create a serious economic hardship for the
company. The Agency will evaluate each application on a case-by-case
basis. Our experience to date shows that detailed technical and
financial information from the companies seeking relief has been
necessary to fully evaluate whether a hardship situation exists. As
such, we may request additional information as needed. Typically,
because of EPA's comprehensive evaluation of both financial and
technical information, action on hardship applications can take
approximately six months. Because of this, applications for an economic
hardship waiver must be submitted to EPA by January 1, 2014. As is our
historic practice with fuel waivers, if we approve a delay in meeting
the fuel sulfur requirements, we expect to impose appropriate
conditions to: (1) Ensure the shipper is making its best effort; and
(2) minimize any loss of emissions benefits from the program.
In the Conference Report, Congress also indicated that EPA should
provide a waiver for the requirement for the use of 1.0 percent fuel
sulfur (10,000 ppm) standard if residual fuel meeting that standard is
not available on the Great Lakes. In response to this statement and
comments from the Lake Carriers Association, we are creating a
provision that will ensure that operators on the Great Lakes will be
able to buy marine residual fuels if compliant 10,000 ppm S fuel is not
available. Under this provision, if marine residual fuel meeting the
10,000 ppm S standard is not available, it will not be a violation of
our standards for vessel operators to bunker and use marine residual
fuel with sulfur content above 10,000 ppm S provided the fuel they do
purchase is the lowest sulfur marine residual fuel available at the
port. We believe this market based approach will provide a significant
incentive to fuel suppliers to provide 10,000 ppm S fuel, while giving
Great Lakes shippers confidence that marine residual fuel will be
available for their use during the 10,000 ppm S fuel program.
Finally, some commenters raised technical and safety issues
associated with operating Great Lakes steamships on distillate fuel.
Great Lakes steamships operate in fresh water and therefore have very
long lives. Many of the boilers used on these vessels were manufactured
and constructed in the 1940s and 1950s and were designed specifically
to operate on heavy fuel oils. Due to these technical issues, we
considered a number of options for how to address these vessels.
However, Congress placed a prohibition on EPA's use of funds in this
fiscal year to issue a final rule that includes fuel sulfur standards
applicable to existing steamships that operate exclusively within the
Great Lakes. Therefore, we are excluding Great Lakes steamships from
the fuel sulfur requirements. For the purpose of this exclusion, Great
Lakes steamships means vessels, operating exclusively on the Great
Lakes and Saint Lawrence Seaway, whose primary propulsion is a steam
turbine or steam reciprocating engine. In addition, these steamships
must have been in service on the Great Lakes prior to October 30, 2009.
This does not include diesel propulsion Category 3 vessels with
auxiliary boilers.
Totem Ocean Trailer Express (TOTE) raised similar concerns for the
small number of steamships operating along the U.S. coasts. As these
vessels do not operate exclusively within U.S. internal waters, they
fall under the U.S. Government's (primarily EPA and Coast Guard's)
implementation of the ECA provisions of Annex VI. The requirements of
the Annex VI ECA fuel sulfur limits apply to all vessels and have no
exemptions for steamships. It is not within the scope of this
rulemaking to amend the requirements of the MARPOL Annex VI treaty.
However, through TOTE's comments and follow-up conversations with ship
owners, we agree that special challenges exist for the use of lower
sulfur fuel in steamships. Therefore, we will continue to work on this
issue with the United States Coast Guard and other members of the U.S.
Delegation to IMO as well as other interested stakeholders including
the affected steamship operators. We are committed to resolving this
issue before the end of 2011, well in advance of January 2015 when the
0.1 percent fuel sulfur standard will enter into force.
(6) Exemptions and Exclusions
Under MARPOL Annex VI and APPS, certain vessels are excluded from
some or all of the requirements. Consistent with Annex VI and APPS, the
regulations in 1043 will exclude public vessels and engines intended to
be used solely for emergencies. For the purpose of this provision, the
term ``public vessels'' includes all warships and naval auxiliary
vessels, as well as any other vessels owned or operated by a sovereign
country engaged in noncommercial service. Consistent with the
provisions in APPS, we are not applying the Annex VI requirements to
U.S.-flagged public vessels (or foreign public vessels excluded by
their flag states). It should be noted, however, that not all public
vessels are exempt from our Clean Air Act engine and fuel requirements.
Only public vessels covered by a national security exemption under
Sec. 94.908 or Sec. 1042.635 are exempt from the Clean Air Act
program.
The category of emergency engines includes engines that power
equipment such as pumps that are intended to be used solely for
emergencies and engines installed in lifeboats intended to be used
solely in emergencies. It should be noted that the emergency engine
provisions in the Annex and part 1043 are similar but not identical to
the emergency engine provisions in our Clean Air Act program or the
process of obtaining our CAA exemptions. In particular, the emergency
engine exemption from the CAA requirements applies only with respect to
the catalyst-based Tier 4 standards.
We are exempting from the MARPOL Annex VI NOX standards
engines installed on vessels registered or flagged in the United States
provided the vessel remains within the EEZ of the United States. These
engines will still be required to meet stringent emission standards
since they are covered by our Clean Air Act program. In addition, the
fuels used by these vessels are also covered by our Clean Air Act
program, which has more stringent fuel requirements than Annex VI.
Therefore, as long as the operators of these domestic vessels comply
with these more stringent Clean Air Act fuel requirements, they will be
deemed to be in compliance with the Annex VI requirements. The
combination of these proposed provisions will mean that a fishing
vessel that operates out of a U.S. port and that never leaves U.S.
waters will not be required to have an EIAPP for all engines above 130
kW, a record book of engine parameters and a technical file for each
engines, and vessels over 400 gross tons will not be required to
maintain bunker delivery notes (vessels under 400 gross tons are not
required by Regulation 18 of MARPOL Annex VI to have bunker delivery
notes). Instead, the engines on
[[Page 22937]]
that vessel will be required to be in compliance with our marine diesel
engine standards and be required to comply with the manufacturer's
requirements with regard to the proper fueling of those engines. We are
also explicitly precluding these engines from being certified to use
residual fuel if they are exempt from the part 1043 requirements. Thus,
these engines will be required to always use cleaner fuels than are
required by Annex VI. U.S. vessels that operate or may operate in
waters that are under the jurisdiction of another country are not
exempt from these provisions, and the owner of any such vessel may be
required by that country to show compliance with Annex VI. Therefore,
the owner should be sure to maintain the appropriate paperwork for that
engine and have the appropriate engine certification. It should be
noted that engines that must show compliance with the Annex VI
standards are not exempt from EPA's standards for Category 1 or
Category 2 engines.
Finally, spark-ignition, non-reciprocating engines, and engines
that do not use liquid fuel are not included in Regulation 13 of the
Annex VI program and therefore they will not be covered by the proposed
APPS regulations with respect to NOX emissions. However, the
MARPOL Annex VI fuel requirements do apply for these vessels. These
engines are generally subject to separate Clean Air Act fuel
requirements and/or emission standards that effectively require the use
of low sulfur fuels, either directly or indirectly.
C. Changes to the Requirements Specific to Engines Below 30 Liters per
Cylinder
The amendments to MARPOL Annex VI were adopted in October of 2008,
after we finalized our Clean Air Act Tier 3 and Tier 4 standards for
Category 1 and Category 2 engines (May 6, 2008, 73 FR 25097). While
these two programs are very similar, there are a few differences
between them with regard to their engine requirements. We are adopting
some changes to our CAA program to facilitate compliance with both
programs. In addition, some of the provisions described in Section VI.D
may also apply to Category 1 and Category 2 marine diesel engines,
regarding non-diesel engines and technical amendments to our current
program.
(1) MARPOL Annex VI and EPA's Standards for Category 1 and Category 2
Engines
Our existing regulations include an exemption for Category 1 and
Category 2 engines on certain migratory vessels. This allowance is
limited to vessels that are operated primarily outside of the United
States, and that obtain and maintain SOLAS certification and
appropriate EIAPP certification demonstrating compliance with Annex VI.
We are making some minor modifications to this allowance to reflect the
new Annex VI standards.
We are also revising Sec. 1042.650 to add exemption provisions for
Category 1 and Category 2 auxiliary engines on vessels with Category 3
propulsion engines. These auxiliary engines would be exempt from the
part 1042 standards, but would still be required to comply with the
Annex VI standards. In addition, engines that would have been subject
to the Tier 4 standards of part 1042 would be required to conform to
the Tier III NOX requirements, irrespective of whether they
would be required to comply under Annex VI. For example, this would
affect 2015 Category 2 engines with a maximum engine power of 3000 kW
installed on a 2015 vessel since such an engine would be subject to the
Tier 4 standards under Sec. 1042.101, but would have only been subject
to the Tier II standards under Annex VI.
Given the MARPOL Annex VI and CAA NOX requirements are
comparable, with slightly different phase-in dates and cut-offs, we
believe this approach will be a less burdensome implementation approach
over transitioning years, and will not have a meaningful impact on
emission reductions. In the absence of this exemption, manufacturers
would have been required to certify special auxiliary engines that met
both Annex VI and 1042 requirements for a U.S. market that could be as
small as one engine per year. By allowing manufacturers to meet only
the Annex VI requirements, they would be able to produce a single
international engine and spread the administrative costs over many more
engines. It is important to note that we are not extending this
exemption to vessels powered by smaller engines because these factors
cannot be presumed for such vessels.
(2) On/Off Technology for Category 1 and 2 Engines
As described in Section VI.A.3 above, we proposed to allow the use
of auxiliary emission control devices (AECDs) that would allow
modulation of emission control equipment on Category 3 engines outside
of specific geographic areas. These AECDs would be subject to certain
restrictions: (1) The AECD would be available for the Tier 3 standards
only; (2) the AECD would modulate emission controls only while
operating in areas where emissions could reasonably be expected to not
adversely affect U.S. air quality; and (3) an engine equipped with an
AECD must also be equipped with a NOX emission monitoring
device.
We are expanding our proposed allowance for ocean-going vessels
with Category 3 propulsion engines to also include Category 1 and
Category 2 engines to provide auxiliary power. We are not allowing this
option for U.S. vessels with Category 1 or Category 2 propulsion
engines.
D. Other Regulatory Issues
In addition to the changes described in Sections VI.A and VI.C, we
are also finalizing changes that apply to marine engines in general,
and/or to other types of engines.
(1) Non-Diesel Engines
Most of the preceding discussions have focused on conventional
diesel engines using either diesel fuel or residual fuels. It is
important to highlight two other types of engines being affected by
this proposal: engines using other fuels and gas turbine engines.
(a) Engines Not Using Diesel Fuel
For all categories of marine engines, our existing standards apply
to all engines meeting the definition of compression-ignition,
regardless of the fuel type. For example, compression-ignition Category
3 engines that burn natural gas are subject to our Tier 1 standards and
will be subject to our finalized Tier 2 and Tier 3 standards. We are
continuing to apply this approach for all marine engines subject to our
standards.
The testing regulations in part 1065 include test fuel
specifications for diesel fuel, residual fuel, and natural gas (as well
as for gasoline and liquefied petroleum gas, which would not typically
be used in a compression-ignition engine). To certify an engine for a
different fuel type, a manufacturer will need to obtain EPA approval to
use an alternate fuel which it recommends for testing. All other
aspects of certification will be the same.
(b) Gas Turbine Engines
Gas turbine engines are internal combustion engines that can
operate using a variety of fuels (such as diesel fuel or natural gas)
but do not operate on a compression-ignition or other reciprocating
engine cycle. Power is extracted from the combustion gas using a
rotating turbine rather than reciprocating pistons. The primary type
[[Page 22938]]
of U.S.-flagged vessels that use gas turbine engines are naval combat
ships. While a small number have been used in commercial ships, we are
not aware of any current sales for commercial applications. They can
range in size from those equivalent in power to mid-size Category 1
engines to those that produce the same power as Category 3 engines.
None of these engines have been subject to our current standards
because they do not meet the definition of compression-ignition engines
in our existing regulations.
To date, this omission has not been a concern because only a small
number of turbine-powered vessels have been produced and nearly all of
them would have been eligible for a national security exemption.
However, we were concerned that this exclusion may become a loophole in
the future for operators hoping to avoid using engines with advanced
catalytic emission controls. To a lesser degree, we also had concerns
about the possibility of other non-reciprocating engines being
excluded. We are closing this potential loophole by revising the
regulations to treat new gas turbine engines (as well as other non-
reciprocating engines) the same as compression-ignition engines and to
apply our standards for new Category 1 and Category 2 engines
(including NOX, HC, CO, and PM standards) to gas turbine
engines.
Several commenters objected to finalizing this requirement. They
argued primarily that this would not align with MARPOL. They also
asserted that the proposed requirements would not pass a cost/benefit
analysis and that turbines cannot be tested under the procedures of 40
CFR part 1065. However, they did not provide any information about
costs, benefits, or test procedures. As described in the RIA and the
Summary and Analysis of Comments Document, we continue to believe the
requirements are feasible and appropriate. As described below, we are
finalizing these requirements largely as proposed. The primary revision
being made is to delay them until the Tier 4 timeframe to provide
turbine manufacturers additional lead time.
To incorporate this approach in our marine emission control
program, we are changing our definitions of Category 1 and Category 2
to include gas turbine engines. Since turbine engines have no
cylinders, we are adopting a conversion convention to apply the
regulatory provisions that depend on a specified value for per-cylinder
displacement. This convention is intended to apply the standards based
on equivalent power ratings, to the extent possible. Specifically, we
are redefining ``Category 1'' to include gas turbines with rated power
up to 2250 kW and redefining ``Category 2'' to include all gas turbines
with higher power ratings. This means we will not consider any gas
turbines as ``Category 3'' engines. The largest gas turbine engines
will be considered to be Category 2 engines, even those that had rated
power more typical of Category 3 diesel engines. We are adopting this
approach primarily because our Category 3 standards vary with engine
speed, and are specified based on a speed range typical of diesel
engines. These formulas do not make sense for gas turbine engines since
they have much higher engine speeds.
We are aware that some companies are manufacturing new high-
performance recreational vessels using gas turbine engines. In at least
some cases, the engines are modified from surplus military aircraft
engines. We have not yet determined whether such recreational engines
should be held to the same standards as conventional diesel engines. It
is also important to note that under our current regulations, diesel
engines meeting the definition of ``recreational marine engine'' in
Sec. 1042.901 are not subject to catalyst forcing standards. This
approach was applied because of factors such as the usage patterns for
recreational diesel engines. We believe these same factors to apply for
recreational gas turbine engines. Thus, we are not as concerned about a
potential gas turbine loophole for recreational engines as for
commercial engines. We also do not have enough information at this time
to know how feasible it would be for small gas turbine engine
manufacturers to comply with the standards for recreational diesel
engines, or to accurately assess the environmental impact of these
vessels. Nevertheless, it is clear that the environmental impact of
such small numbers of these engines cannot be large. Thus, at this
time, we are not applying this regulatory change to recreational gas
turbine engines (i.e., that is gas turbine engines installed on
recreational vessels). We will continue to investigate these engines
and may subject them to standards in the future.
Our diesel engine program contains a national security exemption
that automatically exempts vessels ``used or owned by an agency of the
Federal government responsible for national defense, where the vessel
has armor, permanently attached weaponry, specialized electronic
warfare systems, unique stealth performance requirements, and/or unique
combat maneuverability requirements.'' Since it is not our intent to
prohibit naval vessels from using turbine engines, we are revising this
provision to automatically exempt military vessels owned by an agency
of the Federal government responsible for national defense powered by
gas turbine engines.
We are confident that gas turbine engines could use the same type
of aftertreatment as is projected for diesel engines. The basic
reactions through which SCR reduces NOX emissions can occur
under a wide range of conditions, and exhaust from gas turbine engines
is fundamentally similar to exhaust from diesel engines. Viewed another
way, however, this requirement can be considered to be feasible based
on the fact that the only circumstance in which a vessel would actually
need a gas turbine engine would be for military purposes where our
national security exemption provisions will apply. For all other
vessels, it is entirely feasible for the vessel to be powered by a
diesel engine. In fact, that is what is being done today.
This program for gas turbine engines will apply to freshly
manufactured engines only. We are not applying our marine remanufacture
program to gas turbine engines. Because there are so few engines in the
fleet, it is not possible to know what common rebuilding process are or
whether and how those practices would return an existing engine to as-
new condition. We may review this approach in the future if there is an
increase in the number of gas turbines in the fleet.
Finally, it is important to address some confusion expressed by the
commenters about our definitions. We agree that it would be incorrect
to actually define turbine engines as reciprocating or compression
ignition, which is what the commenters thought we had proposed.
However, we did not propose to define turbines to be reciprocating or
compression-ignition engines. The commenters misread Sec. 1042.1(f),
which states that certain marine engines ``are subject to all the
requirements of this part even if they do not meet the definition of
`compression-ignition' in Sec. 1042.901.'' This provision subjects
marine gas turbine engines to the requirements of part 1042, but it
explicitly recognizes that they do not meet the definition of
compression-ignition in Sec. 1042.901. The confusion seems to arise
from the statement that these engines ``are deemed to be compression-
ignition engines for the purposes of this subchapter.'' This statement
is merely a regulatory convention that means the part applies to
turbines as if they did meet the definition.
[[Page 22939]]
(2) Technical Amendments
The finalized regulations include technical amendments to our motor
vehicle and nonroad engine regulations. These changes are generally
corrections and clarifications. A large number of these changes are the
removal of obsolete highway engine text that applied only for past
model years. Many others are changes to the text of part 1042 to make
it more consistent with the language of our other recently corrected
nonroad parts. The last large category of changes includes those
related to the test procedures in part 1065. See the memorandum in the
docket entitled ``Technical Amendments to EPA Regulations'' for a full
description of these changes.\112\
---------------------------------------------------------------------------
\112\ See ``Technical Amendments to EPA Regulations,'' EPA
memorandum from Alan Stout, in the docket for this rule, Docket No.:
EPA-HQ-OAR-2007-0121.
---------------------------------------------------------------------------
E. U.S. Vessels Enrolled in the Maritime Security Program
The U.S. Department of Transportation Maritime Administration
(MARAD) oversees the Maritime Security Program (MSP) established by the
Maritime Security Act of 1996 and reauthorized by the Maritime Security
Act of 2003 (MSA). The MSA requires that the Secretary of
Transportation, in consultation with the Secretary of Defense,
establish a fleet of active, commercially viable and militarily useful
vessels to meet national defense and other security requirements and
maintain a U.S. presence in international commercial shipping. The
fleet consists of privately-owned, U.S.-flagged vessels known as the
Maritime Security Fleet (MSF). 46 U.S.C. 53102 outlines that vessels
complying with applicable international agreements and associated
guidelines are eligible for a certificate of inspection from Coast
Guard, and thus inclusion in the MSF.
The requirements of the MSP may have created confusion for owners
of non-U.S.-flagged vessels regarding their obligation to also comply
with EPA's domestic marine diesel engine emission standards at the time
they re-flag for inclusion in the MSF. We want to remind vessel owners
that the MSA does not preempt the Clean Air Act or alleviate their
obligation to comply with EPA's marine diesel engine program, or any
other EPA requirements that apply to marine vessels. As is clear from
our past rulemakings, it has always been our intent that each U.S.-
flagged vessel must comply with all of EPA's domestic standards,
regardless of whether the vessel was flagged in the U.S. upon original
delivery into service.
We are revising the regulations to clarify these requirements and,
as noted earlier, to provide exemptions for auxiliary engines on
Category 3. First, we are revising Sec. 1042.1 to clarify that our
regulations apply for all U.S.-flagged vessels. In conjunction with
this, we are revising the definitions of ``model year'' and ``new
marine engine'' to clarify that our marine engine program applies to
all U.S.-flagged vessels regardless of where that vessels is built or
operated, and how the regulations apply for vessels that are re-flagged
to be U.S. vessels.
We are clarifying that engines on foreign vessels that vessels
become ``new marine engines'' under part 1042 at the point at which
they are reflagged. As new marine engines, we would expect them to be
covered by valid certificates and/or exemptions prior to being placed
into service. If engines on U.S.-flagged vessels are not covered by
valid certificates and/or exemptions when they first enter U.S. waters,
they would be subject to all of the prohibitions of part 1068.101. The
operator would be in violation of the prohibition against introduction
of an uncertified new engine into U.S. commerce.
Some of the revisions being finalized are intended to simplify the
transition from part 94 to part 1042. Under the revised regulations,
part 1042 becomes the default regulatory part for compression-ignition
marine engines. Section 1043.1 specifies that such marine engines are
subject to part 1042 unless they are certified under part 94. In
addition, Sec. 1042.1(c) specifies that the definition of ``new marine
engine'' in Sec. 1042.901 applies for engines certified under part 94.
This is important because our standards and prohibitions apply for
engines meeting the definition of ``new marine engine''. Thus, to
determine whether an uncertified marine engine is subject to our
standards and prohibitions, you must determine whether it meets any of
the criteria of the definition of ``new marine engine'' in Sec.
1042.901.
Each ``new marine engine'', is subject to standards based on its
model year. The revised definition of ``model year'' specifies that
engines on re-flagged vessels would generally be subject to the
standards that would have applied in the year they were originally
manufactured. If the engine has a model year before the years the part
94 standards first applied, it would not be subject to any standards.
If the engine has a later model year but one that is before the years
the part 1042 standards apply, it would be subject to the standards of
part 94. According to Sec. 1042.1(c), if the engine is certified to
these part 94 standards, it is not required to comply with the
requirements of part 1042.
To further smooth this transition, we are finalizing a new interim
provision in Sec. 1042.145(i). This provision is intended to apply for
vessel operators that were not aware that their vessels were required
to comply with our regulations. Once this amendment takes effect, it
will allow them to operate in U.S. waters until July 1, 2010 without
certificates or exemptions for their engines. After that, it will be a
violation of 40 CFR 1068.101 to operate in U.S. waters with uncertified
engines if those engines are subject to our standards. Operation of
such vessels in U.S. waters on or after July 1, 2010 is deemed to be
introduction into U.S. commerce of a new marine engine.
VII. Costs and Economic Impacts
In this section, we present the projected cost impacts and cost
effectiveness of the coordinated emission control strategy for large
marine vessels with a per cylinder displacement greater than 30 Liters
per cylinder. We also present our analysis of the economic impacts of
the coordinated strategy, which consists of the estimated social costs
of the program and how those costs will likely be shared across
stakeholders. The projected benefits and benefit-cost analysis of the
coordinated strategy are presented in Section VIII.
We estimate the costs of the coordinated strategy to be about $1.85
billion in 2020, increasing to $3.11 billion in 2030.\113\ Of the 2020
costs, nearly 89 percent or $1.64 billion are attributable to the fuel
sulfur provisions. The total operational costs are estimated to be
$1.82 billion in 2020. The costs to apply engine controls to U.S.-
flagged vessels are expected to be $31.9 million in 2020, increasing to
$47.4 million in 2030 as more ships are built to comply with Clean Air
Act (CAA) Tier 3 NOX limits. All costs are presented in 2006
U.S. dollars.
---------------------------------------------------------------------------
\113\ These total estimated costs are slightly different than
those reported in the ECA proposal, because the ECA proposal did not
include costs associated with the Annex VI existing engine program,
Tier II, or the costs associated with existing vessel modifications
that may be required to accommodate the use of lower sulfur fuel.
Further, the cost totals presented in the ECA package included
Canadian cost estimates.
---------------------------------------------------------------------------
When attributed by pollutant, at a net present value of 3 percent
from 2010 through 2040, the NOX controls are expected to
cost about $510 per ton of NOX reduced, SOX
controls are expected to cost about $930 per ton of SOX
reduced, and the PM controls are
[[Page 22940]]
expected to cost about $7,950 per ton of PM reduced ($500, $920, and
$7,850 per ton of NOX, SOX, and PM respectively,
at a net present value of 7 percent over the same period). These costs
are comparable to our other recently adopted mobile source programs,
and are one of the most cost-effective programs in terms of
NOX and PM when compared to recent mobile and stationary
programs. The coordinated strategy also provides very cost-effective
SOX reductions comparable to the Heavy-Duty Nonroad diesel
rulemaking.
The social costs of the program are estimated to be approximately
$3.1 billion in 2030. The impact of these costs on society is estimated
to be minimal. For example, we estimate the cost of shipping a 20-foot
container on the Pacific route, with 1,700 nm of operation in the ECA,
would increase by about $18, or less than 3 percent. Similarly, the
price of a seven-day Alaska cruise that operates mainly in the ECA is
expected to increase by about $7 per day.
The estimated costs presented in this section are for the entire
coordinated strategy, including those requirements that are the subject
of this action and those that are associated with the proposed ECA
designation. Table VII-1 sets out the different components of the
coordinated strategy for 2020. The costs of the coordinated strategy
consist of the costs associated with the MARPOL Annex VI global
standards that are operational through APPS, some of which we are also
adding to our CAA emission control program for U.S. vessels (Tier 2 and
Tier 3 NOX emission control hardware for U.S. vessels;
operating costs for the Tier 2 NOX requirements; controls
for existing vessels; certain compliance requirements). Also included
are the costs associated with complying with the engine standards and
low sulfur fuel limits in U.S. internal waters (Tier 3 operating costs;
fuel sulfur hardware and operating costs).
Note that, with regard to hardware costs, the coordinated strategy
includes the entire cost for new U.S. vessels to comply with the Tier 3
NOX standards and fuel limits, even though some of the
benefits from using these emission control systems will occur outside
the United States. Conversely, we do not include any new vessel Tier 3
or fuel hardware costs for foreign vessels that operate in U.S. waters
even though a significant share of the benefits of the coordinated
strategy will arise from foreign vessels that comply with the engine
and fuel sulfur limits while operating within the U.S., ECA and
internal waters.
The regulatory changes finalized for Category 1 and 2 engines are
not included in this cost analysis as they are intended to be
compliance flexibilities and not result in increased compliance costs.
Similarly, the technical amendments finalized for other engines will
not have significant economic impacts and are therefore not addressed
here. Finally, to provide for a representative comparison between costs
and benefits of the program, the cost analysis presented here assumes
that all vessels currently using residual fuel will operate on
distillate fuel in an ECA, including Great Lakes steamships. As noted
in earlier chapters, Great Lakes steamships have been excluded from the
final fuel sulfur standards. This change is not expected to have a
significant impact on the estimated costs or benefits of the rule as
those vessels are not a large part of the national inventory.
Table VII-1--Costs Associated With the U.S. Coordinated Strategy and Canadian ECA
[Estimated Costs for 2020, $2006]
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
Program element U.S. coordinated strategy Canadian ECA
----------------------------------------------------------------------------------------------------------------
Hardware--T2 (variable costs; U.S. vessels.... $3,310,000..................... NA--not part of ECA.
fixed costs applied in 2010).
Foreign Vessels. N/A--global std................ NA--not part of ECA.
Hardware--T3 (variable costs; U.S. vessels $28,700,000.................... $100,000,000.
fixed costs recovered in the (variable
year in which they occur: costs; fixed
2011-15). costs recovered
in the year in
which they
occur: 2011-15).
Foreign vessels: $296,700,000...................
30% of vessels
making 75% of
entrances to
U.S. ports \a\.
Foreign vessels: $692,200,000...................
70% of vessels
making 25% of
entrances to
U.S. ports \a\.
Hardware--Fuel............... U.S. vessels $804,000....................... $10,000,000.
(new vessel
costs).
Foreign vessels $23,600,000....................
(new vessel
costs).
Operating--T2 (inside full U.S. vessels.... $5,630,000..................... NA--not part of ECA.
inventory modeling domain).
Foreign vessels. $32,900,000.................... NA--not part of ECA.
Operating--T3 (inside U.S. vessels.... $15,800,000.................... $30,000,000.
relevant part of affected
waterways).
Foreign vessels. $127,000,000...................
Operating--Fuel (inside U.S. vessels.... $210,000,000................... $260,000,000.
relevant part of affected
waterways).
Foreign vessels. $1,430,000,000.................
Existing vessels--engine U.S. vessels.... $0............................. NA--not part of ECA.
costs (all U.S. vessels 1990-
99 retrofit during first 5
years of program, 2011-15).
Foreign vessels. N/A--global std................ NA--not part of ECA.
Existing vessels--vessel fuel U.S. vessels.... $0............................. Canada did not provide.
switching costs (all U.S.
vessels 1999-90 retrofit
during first 5 years of
program, 2011-15).
Foreign vessels. $0............................. Canada did not provide.
----------------------------------------------------------------------------------------------------------------
The estimated costs presented in this section are for the Federal
program as a whole. We do not estimate costs on a regional or owner-
specific basis. We received several comments from owners of vessels
operating on the Great Lakes
[[Page 22941]]
contending that the impact of the proposed control program on their
operations is unique, and that the economic impacts of the program on
these operators should be estimated separately. As explained in Section
VI of this preamble and in more detail in the Summary and Analysis of
Comments prepared for this final rule, we are providing various
regulatory flexibilities for operators that may have difficulty
complying with the requirements of this rule. In addition, as part of
EPA's appropriation bill (Pub. L. 111-88), Congress recommended that
EPA perform a study to evaluate the economic impact of the final rule
on Great Lakes carriers, with a final report due in the summer of 2010.
We will be soliciting input from affected entities as we prepare that
report.
A. Estimated Fuel Costs
The coordinated strategy includes fuel sulfur limits which are
included in this cost analysis. Prior to this final rule, all
distillate fuels produced at refineries in the U.S. had a sulfur
limitation of 15 ppm. The coordinated strategy does not impose
additional costs for refiners in the U.S. and actually allows
additional flexibility. Specifically, we are allowing distillate fuel
to have up to 1,000 ppm sulfur for use in Category 3 vessels. The fuel
requirements will impose a cost to the ship owners. This section
presents estimates of the cost of compliance with the 1,000 ppm sulfur
limit in the U.S. waterways.
Distillate fuel will likely be used to meet the 1,000 ppm fuel
sulfur limit, beginning in 2015. As such, the primary cost of the fuel
sulfur limit for ship owners will be that associated with switching
from heavy fuel oil to higher-cost distillate fuel. Some engines
already operate on distillate fuel and will not be affected by fuel
switching costs. However, distillate fuel costs may be affected by the
need to further refine the distillate fuel to meet the 1,000 ppm sulfur
limit.
To investigate these effects, studies were performed on the impact
of a North American ECA on global fuel production and costs, to inform
the application for such ECA.\114\ These studies were performed prior
to the ECA being defined; thus, we picked a maximum distance boundary
to ensure the fuel volumes used for the cost analysis would be larger
than required by the program. Specifically, we used the total fuel
consumption in the U.S. and Canada exclusive economic zones.\115\ The
studies are relevant to this regulation as well, since they estimate
the cost of 1,000 ppm sulfur fuel for Category 3 vessels operating in
U.S. waterways.
---------------------------------------------------------------------------
\114\ Research Triangle Institute, 2009. ``Global Trade and
Fuels Assessment--Future Trends and Effects of Designating Requiring
Clean Fuels in the Marine Sector''. Prepared for U.S. Environmental
Protection Agency. Research Triangle Park, NC.
\115\ In this analysis, the U.S. included the lower 48
contiguous States and southeastern Alaska.
---------------------------------------------------------------------------
To assess the effect on the refining industry of the imposition of
a 1,000 ppm sulfur limit on fuels, we needed to first understand and
characterize the fuels market. Research Triangle Institute (RTI) was
contracted to conduct a fuels study using an activity-based economic
approach. The study established baseline bunker fuel demand, projected
a growth rate for bunker fuel demand, and established future bunker
fuel demand volumes.\116\ These volumes then became the input to the
World Oil Refining Logistics and Demand (WORLD) model to evaluate the
effect of the coordinated strategy on fuel cost.
---------------------------------------------------------------------------
\116\ Research Triangle Institute, 2009. ``Global Trade and
Fuels Assessment--Future Trends and Effects of Designating Requiring
Clean Fuels in the Marine Sector''. Prepared for U.S. Environmental
Protection Agency. Research Triangle Park, NC.
---------------------------------------------------------------------------
The WORLD model was run by Ensys Energy & Systems, the owner and
developer of the refinery model. The WORLD model is the only such model
currently developed for this purpose and was developed by a team of
international petroleum consultants. It has been widely used by
industries, government agencies, and Organization of the Petroleum
Exporting Countries (OPEC) over the past 13 years, including the Cross
Government/Industry Scientific Group of Experts, established to
evaluate the effects of the different fuel options proposed under the
revision of MARPOL Annex VI. The model incorporates crude sources,
global regions, refinery operations, and world economics. The results
of the WORLD model have been comparable to other independent
predictions of global fuel, air pollutant emissions and economic
predictions.
The WORLD model was run for 2020, in which the control case
included a fuel sulfur level of 1,000 ppm in the U.S. The baseline case
was modeled as ``business as usual'' in which ships continue to use the
same fuel as today. Because of the recent increases and fluctuations in
oil prices, we had additional WORLD model runs conducted. For these
runs, we used new reference case and high oil price estimates that were
recently released by the U.S. Energy Information Administration (EIA).
In addition to increased oil price estimates, the updated model
accounts for increases in natural gas costs, capital costs for refinery
upgrades, and product distribution costs.
Because only a small portion of global marine fuel is consumed in
the ECA, the overall impact on global fuel production is small. Global
fuel use in 2020 by ships is projected to be 500 million metric tonnes/
yr. Of this amount, 90 million metric tonnes of fuel is used for U.S./
Canadian trade, or about 18 percent of total global fuel use. In the
proposed ECA, less than 20 million metric tonnes of fuel will be
consumed in 2020, which is less than 4 percent of total global marine
fuel use. Of the amount of fuel to be consumed in the proposed ECA in
2020, about 4 million metric tonnes of distillate will be consumed in
the Business as Usual (BAU) case, which is about 20 percent of the
amount of total fuel to be consumed in the proposed ECA.
There are two main components to projected increased marine fuel
cost associated with the ECA. The first component results from shifting
from operation on residual fuel to operation on higher cost distillate
fuel. This is the dominant cost component. However, there is also a
small cost associated with desulfurizing the distillate to meet the
1,000 ppm sulfur standard. Based on the WORLD modeling, the average
increase in costs associated with switching from marine residual to
distillate will be $145 per metric tonne of fuel consumed. Due to the
differences in energy density between the two fuels, this translates to
a cost increase of $123 for each metric tonne of residual fuel replaced
by distillate fuel.\117\ This is the cost increase that will be borne
by the shipping companies purchasing the fuel. Of this amount, $6 per
metric tonne is the increase in costs associated with distillate
desulfurization.
---------------------------------------------------------------------------
\117\ Note that distillate fuel has a higher energy content, on
a per ton basis, than residual fuel. As such, there is an offsetting
cost savings, on a per metric ton basis, for switching to distillate
fuel. Based on a 5 percent higher energy content for distillate, the
net equivalent cost increase is estimated as $123 for each metric
ton of residual fuel that is being replaced by distillate fuel.
---------------------------------------------------------------------------
Table VII-2 summarizes the fuel cost estimates with and without an
ECA. In the baseline case, fuel volumes for operation are 18% marine
gas oil (MGO), 7% marine diesel oil (MDO), and 75% IFO. Weighted
average baseline distillate fuel cost is $462/tonne. In the ECA, all
fuel volumes are modeled as MGO, at $468/tonne.
[[Page 22942]]
Table VII-2--Estimate Marine Fuel Costs
------------------------------------------------------------------------
Fuel Units Baseline ECA
------------------------------------------------------------------------
MGO.................... $/bbl.................. $ 61.75 $ 62.23
$/tonne................ 464 468
MDO.................... $/bbl.................. 61.89 62.95
$/tonne................ 458 466
IFO.................... $/bbl.................. 49.87 49.63
$/tonne................ 322 321
------------------------------------------------------------------------
The increased cost of distillate desulfurization is due both to
additional coking and hydrotreating capacities at refineries. Cokers
crack residual blends in IFO bunker fuel into distillates, using heat
and residence time to make the conversion. The process also produces
useful byproducts such as petroleum coke and off gas. The WORLD model
did not use hydrocracking technology to convert residual fuels into
distillates for either the reference or high price crude cases. Because
of the higher capital and operating costs of hydrocrackers, the WORLD
model favored the use of coking units. As such, the WORLD model assumed
that cokers would convert the residual blendstocks in Intermediate Fuel
Oil grades to distillates. The model added coking processes to
refineries located in the U.S. and, to a lesser extent, to refiner
regions outside of the U.S. Specifically, the model added one
additional coking unit with a capacity of 30 thousand barrels per
stream day (KBPSD), and one to two hydrocracking units representing 50
and 80 KBPSD additional capacity.
The WORLD model also added new conventional distillate
hydrotreating capacity to lower the sulfur levels for the marine
distillate fuel, in addition to the existing slack distillate
hydrotreating capacity that existed in refiner regions for these fuels.
In addition, the model used lighter crudes and adjusted operating
parameters in refineries. This had the effect of increasing the
projected production of lower sulfur distillate fuels in lieu of adding
distillate hydrotreating capacity. The model elected to use lower
sulfur crudes and used operational adjustments. Higher capital and
operating costs of new units under the high-priced crude scenario
favored use of existing refinery capacity made available from lower
global refiner utilizations.
B. Estimated Engine Costs
To quantify the cost impacts associated with the coordinated
strategy, we estimated the hardware and operational costs to U.S.-
flagged ships, as well as affected foreign-flagged ships. The hardware
costs included in the total cost of the coordinated strategy are only
applied to U.S.-flagged vessels, and include those associated with the
CAA Tier 2 and Tier 3 NOX standards, the Annex VI existing
engine program, and the use of lower sulfur fuel. Tier 2 hardware costs
consist of changes to the engine block and the migration from
mechanical fuel injection to common rail fuel injection systems. Tier 3
hardware costs include engine modifications, the migration from
mechanical fuel injection to common rail fuel injection systems, and
the installation of Selective Catalytic Reduction (SCR). Hardware costs
associated with the use of lower sulfur fuel are from applying
additional tanks and equipment to enable a vessel to switch from
residual fuel to lower sulfur fuel. These equipment costs were applied
to those new vessels that may need additional hardware, and also
include the estimated cost of retrofitting the portion of the fleet
that may require additional hardware to accommodate the use of lower
sulfur fuel in 2015. The hardware costs also include a per engine cost
of $10,000 associated with the requirement to test each production
engine (Sec. 1042.302). These are the sole engine hardware costs
specifically attributable to our CAA rule.
The operational costs were applied to both U.S.- and foreign-
flagged vessels and include additional operational costs associated
with the applicable NOX limits and the use of lower sulfur
fuel. The operational costs for NOX controls consist of the
additional fuel required due to an estimated two percent fuel penalty
associated with the use of technologies to meet CAA Tier 2 and global
Tier II NOX standards, and the use of urea for ships
equipped with an SCR unit to meet CAA Tier 3 and global Tier III
NOX standards. The operational costs associated with the use
of lower sulfur fuel include both the differential cost of using lower
sulfur fuel that meets ECA standards instead of using marine distillate
fuel, and the differential cost of using lower sulfur fuel that meets
ECA standards instead of using residual fuel.
To assess the potential cost impacts, we must understand (1) the
makeup of the fleet of ships expected to visit the U.S. when these
requirements go into effect, (2) the emission reduction technologies
expected to be used, and (3) the cost of these technologies. Chapter 5
of the RIA presents this analysis in greater detail. The total engine
and vessel costs associated with the coordinated strategy are based on
a cost per unit value applied to the number of affected vessels.
Operational costs are based on fuel consumption values determined in
the inventory analysis (Section 5.2). This section discusses a brief
overview of the methodology used to develop the hardware and
operational costs, and the methodology used to develop a fleet of
future vessels to which these hardware and engineering costs were
applied.
(1) Methodology
To estimate the hardware costs to ships that may be affected by the
coordinated strategy, we used an approach similar to that used to
estimate the emissions inventory. Specifically, the same inputs were
used to develop a fleet of ships by ship type and engine type that may
be expected to visit U.S. ports through the year 2040. In order to
determine the cost of applying emission reduction technology on a per
vessel basis, ICF International was contracted by the U.S. EPA to
conduct a cost study of the various compliance strategies expected to
be used to meet the new NOX standards and fuel sulfur
requirements.\118\ ICF was instructed to develop cost estimates
covering a range of vessel types and sizes, which could be scaled
according to engine speed and power to arrive at an estimated cost per
vessel. The costs developed for these engine configurations were used
to develop a $/kW value that could be applied to any slow or medium
speed engine. Using the average propulsion power by ship type presented
in the inventory analysis, the per-vessel hardware costs were then
applied to the estimated number of applicable vessels built after the
standards take effect.
---------------------------------------------------------------------------
\118\ ICF International, ``Costs of Emission Reduction
Technologies for Category 3 Marine Engines,'' prepared for the U.S.
Environmental Protection Agency, December 2008. EPA Report Number:
EPA-420-R-09-008.
---------------------------------------------------------------------------
(a) Hardware Costs
The hardware cost estimates include variable costs (components,
assembly, and the associated markup) and fixed costs (tooling, research
and development, redesign efforts, and certification). Hardware costs
associated with the Annex VI existing engine standards were applied to
the portion of existing U.S.-flagged vessels built between 1990 and
1999 expected to be subject to these standards in 2011 when the
standards go into effect (engines with a per-cylinder displacement of
at least 90 liters and a power output of over 5,000 kW. These costs
were applied over a five-year period beginning in 2011 where 20 percent
of the total subject fleet was estimated to undergo service each year.
The existing engine program fixed costs were phased
[[Page 22943]]
in over a five-year period beginning in 2010 and applied on a per-
vessel basis.
Hardware costs associated with the CAA Tier 2 program were applied
to all new U.S.-flagged vessels beginning in the year 2011 when the
standards take effect. The fixed costs associated with Tier 2 standards
are expected to be incurred over a five-year period; however, as the
Tier 2 standards take effect in 2011, it was assumed that manufacturers
are nearing the end of their research and development. In order to
capture all of these costs, all fixed costs that would have been
incurred during that five-year phase-in period were applied in the year
2010. Hardware costs associated with Tier 3 were estimated for U.S.
vessels and were applied as of 2016. The fixed costs associated with
Tier 3 were phased in over a five-year period beginning in 2011.
Hardware costs associated with the use of lower sulfur fuel are
estimated separately for both new and existing vessels that may require
additional hardware to accommodate the use of lower sulfur fuel. The
fuel sulfur control related hardware costs for new vessels begin to
apply in 2015, while all retrofit costs are expected to be incurred by
2015 and as such are applied in this year. The fixed costs for both new
and existing vessels that may require additional hardware to
accommodate the use of lower sulfur fuel are applied on a per-vessel
basis and are phased in over a five year period beginning as of 2010.
(b) Operational Costs
The operational costs estimated here are composed of three parts:
(1) The estimated increase in fuel consumption expected to occur with
the use of Tier II technologies on U.S.- and foreign-flagged vessels,
(2) the differential cost of using lower sulfur fuel applicable for
both U.S.- and foreign-flagged vessels, and (3) the use of urea with
SCR as a Tier III NOX emission reduction technology on both
U.S.- and foreign-flagged vessels. The fuel consumption values
associated with Tier II and Tier III standards were determined in the
inventory analysis (see Chapter 3 of the RIA), with an estimated Tier
II fuel consumption penalty of 2 percent (see Chapter 4 of the RIA).
The two percent fuel penalty estimate is based on the use of
modifications to the fuel delivery system to achieve Tier II
NOX reductions, and does not reflect the possibility that
there may be other technologies available to manufacturers that could
offset this fuel penalty. Additionally, Tier III will provide the
opportunity to re-optimize engines for fuel economy when using
aftertreatment, such as SCR, to provide NOX reductions
similar to the compliance strategy for some heavy-duty truck
manufacturers using urea SCR to meet our 2010 truck standard. The
differential cost of using lower sulfur fuel is discussed above in
Section VII.A of this preamble. The estimated urea cost associated with
the use of Tier III SCR is derived from a urea dosage rate that is 7.5
percent of the fuel consumption rate.
Operating costs per vessel vary depending on what year the vessel
was built, e.g., vessels built as of 2016 will incur operating costs
associated with the use of urea necessary when using SCR as a Tier III
NOX emission control technology, while vessels built prior
to 2016 do not use urea but will incur operating costs associated with
the differential cost of using lower sulfur fuel. Further, we have
assumed vessels built as of 2011 that meet Tier II standards will incur
a 2 percent fuel consumption penalty; see Table 5-31 of the RIA for
further details on fuel costs and fuel volumes. In addition, vessels
built as of 2016 that meet Tier III NOX standards while
traveling in the regulated U.S. waterways are still required to at
least meet Tier II NOX standards outside of an ECA and will
continue to incur the associated fuel penalty. Therefore, an estimated
fleet had to be developed over a range of years, and provide a breakout
of ships by age in each year.
(2) Fleet Development
There are currently no available estimates of the number of ships
that may visit U.S. ports in the future or comprehensive engine sales
predictions. Therefore, to develop the costs associated with the
coordinated strategy, an approximation of the number of ships by age
and engine type that may visit U.S. ports in the future was
constructed. To characterize the fleet of ships visiting U.S. ports, we
used U.S. port call data collected in 2002 for the inventory port
analysis (see Chapter 3 of the RIA) which included only vessels with C3
engines where the engine size and type was identified.\119\ We used
this data with the growth rates developed in the inventory analysis to
estimate how many ships, by ship type and engine type, would visit U.S.
ports in future years. Due to the long life of these vessels, and the
fact that there has been no significant event that would have changed
the composition of the world fleet since this baseline data was taken,
it is reasonable to use 2002 data as the basis for modeling the future
fleet upon which to base hardware cost estimates. An analysis is
presented in Section 5.1.2.2 of Chapter 5 of the RIA which confirms the
reasonableness of this assumption using 2007 MARAD data.
---------------------------------------------------------------------------
\119\ In order to separate slow speed engines from medium speed
engines where that information was not explicitly available, 2-
stroke engines were assumed to be slow speed, where 4-stroke engines
were assumed to be medium speed.
---------------------------------------------------------------------------
The ship type information gathered from this baseline data, for the
purposes of both this analysis and the inventory, was categorized into
one of the following ship types: Auto Carrier, Bulk Carrier, Container,
General Cargo, Miscellaneous, Passenger, Refrigerated Cargo (Reefer),
Roll-On Roll-Off (RoRo), and Tankers. Average engine and vessel
characteristics were developed from the baseline data, and these values
were used to represent the characteristics of new vessels used in this
cost analysis (see Chapter 3 of the RIA). Estimated future fleets were
developed by ship type and engine type through the year 2040 for both
new and existing vessels and both U.S.- and foreign-flagged vessels.
Hardware costs were applied on a per-vessel basis.
Although most ships primarily operate on residual fuel, they
typically carry some amount of distillate fuel as well. Switching to
the use of lower sulfur distillate fuel is the compliance strategy
assumed here to be used by both new and existing ships in 2015 when the
new lower sulfur fuel standards go into effect. To estimate the
potential cost of this compliance strategy, we evaluated the distillate
storage capacity of the current existing fleet to estimate how many
ships may require additional hardware to accommodate the use of lower
sulfur fuel. We performed this analysis on the entire global fleet
listed in Lloyd's database as of 2008.\120\ Of the nearly 43,000
vessels listed, approximately 20,000 vessels had provided Lloyds with
fuel tankage information, cruise speed, and propulsion engine power
data. Using this information, we were able to estimate how far each
vessel could travel on its existing distillate carrying capacity.
---------------------------------------------------------------------------
\120\ http://www.sea-web.com.
---------------------------------------------------------------------------
In order to determine if the current distillate capacity of a
particular ship was sufficient to call on a U.S. coordinated strategy
without requiring additional hardware, we evaluated whether or not each
ship could travel 1,140 nm, or the distance between the Port of Los
Angeles and the Port of Tacoma. This distance was selected because it
represents one of the longer trips a ship could travel without
[[Page 22944]]
stopping at another port, and should overestimate the number of vessels
that would require such a modification. The resulting percentages of
ships estimated to require a retrofit were then applied to the number
of existing ships in the 2015 fleet to estimate the total cost of this
compliance strategy for existing ships built prior to 2015. The same
percentages were also applied to all new ships built as of 2015 to
determine the number of ships that may require additional hardware and
estimate the cost of this compliance strategy for new vessels.
(3) NOX Reduction Technologies
(a) Tier 2
Most engine manufacturers are expected to be able to meet Tier 2
NOX standards using engine modifications. This cost estimate
includes the hardware costs associated with the use of retarded fuel
injection timing, higher compression ratios, and better fuel
distribution. There are no variable costs associated with the engine
modifications as the changes are not expected to require any additional
hardware. Some engines may also be equipped with common-rail fuel
systems instead of mechanical fuel injection to meet Tier 2
NOX standards. It is expected that approximately 75 percent
of SSD and 30 percent of MSD engines will get this modification for
Tier 2. The Tier 2 hardware costs developed here include the costs of
the migration of some engines to common-rail fuel systems. It was also
estimated that these technologies may increase fuel consumption by up
to 2 percent; this fuel penalty is included in the Tier 2 operational
costs. Tier 2 hardware costs included in the total estimated cost of
the coordinated strategy are only associated with U.S.-flagged vessels;
operational costs are applied to both U.S.- and foreign-flagged
vessels.
(b) Tier 3
Tier 3 NOX standards are approximately 80 percent below
Tier 1 NOX standards, and are likely to require exhaust
aftertreatment such as SCR. ICF performed a detailed cost analysis for
the U.S. EPA that included surveying engine and emission control
technology manufacturers regarding these advanced technology strategies
and their potential costs. Tier 3 NOX standards are
projected to be met through the use of SCR systems. While other
technologies such as EGR or those that include introduction of water
into the combustion chamber either through fumigation, fuel emulsions,
or direct water injection may also enable Tier 3 compliance, we assume
they will only be selected if they are less costly than SCR. Therefore,
we have based this analysis on the exclusive use of SCR.
(c) Engine Modifications
In addition to SCR, it is expected that manufacturers will also use
compound or two-stage turbocharging as well as electronic valving to
enhance performance and emission reductions to meet Tier 3
NOX standards. Engine modifications to meet Tier 3 emission
levels will include a higher percentage of common-rail fuel injection
coupled with two-stage turbocharging and electronic valving. Engine
manufacturers estimate that nearly all SSD and 80 percent of MSD
engines will use common-rail fuel injection. Two stage turbocharging
will most likely be used on least 70 percent of all engines required to
meet Tier 3 emission levels. Electronically (hydraulically) actuated
intake and exhaust valves for MSD and electronically actuated exhaust
valves for SSD are necessary to accommodate two-stage turbocharging.
Additionally, the remaining SSD engines still using mechanical
injection (approximately 25 percent mechanically controlled, and 75
percent electronically controlled) are expected to migrate to common
rail for Tier 3, while an additional 40 percent of MSD engines are
expected to receive common rail totaling approximately 80 percent of
all MSD engines. The engine modification variable costs were applied to
all new U.S.-flagged vessels equipped with either SSD or MSD engines.
Costs to foreign-flagged vessel expected to visit U.S. ports are
presented as a separate analysis in Chapter 5 of the RIA, and are not
included in the total estimated cost of the coordinated strategy.
(4) SOX/PM Emission Reduction Technology
In addition to Tier 3 NOX standards, the IMO ECA
requirements also include lower fuel sulfur limits that will result in
reductions in SOX and PM. Category 3 marine engines
typically operate on heavy fuel oil with a sulfur content of 2.7
percent, therefore significant SOX and PM reductions will be
achieved using distillate fuels with a sulfur content of 0.1 percent.
This cost analysis is based on the assumption that vessel operators
will operate their engines using lower sulfur fuel in the U.S.
coordinated strategy waterways. We believe fuel switching will be the
primary compliance approach; fuel scrubbers would be used in the event
that the operator expected to realize a cost savings and are not
considered in this analysis. In some cases, additional capacity and
equipment to accommodate the use of lower sulfur fuel may need to be
installed on a vessel. The potential costs due to these additional
modifications applied to new ships as well as retrofits to any existing
ships are discussed here, and these hardware costs are included as part
of the total cost of this coordinated program.
Although most ships operate on heavy fuel oil, they typically carry
small amounts of distillate fuel. Some vessel modifications and new
operating practices may be necessary to use lower sulfur distillate
fuels on vessels designed to operate primarily on residual fuel.
Installation and use of a fuel cooler, associated piping, and viscosity
meters to the fuel treatment system may be required to ensure viscosity
matches between the fuel and injection system design. While there are
many existing ships that already have the capacity to operate on both
heavy fuel oil and distillate fuel and have separate fuel tank systems
to support each type of fuel, some ships may not have sufficient
onboard storage capacity. If a new or segregated tank is desired,
additional equipment for fuel delivery and control of these systems may
be required.
(5) NOX and SOX Emission Reduction Technology
Costs
(a) NOX Emission Reduction Technology
The costs associated with SCR include variable and fixed costs. SCR
hardware costs include the reactor, dosage pump, urea injectors,
piping, bypass valve, an acoustic horn or a cleaning probe, the control
unit and wiring, and the urea tank (the size of the tank is based on
250 hours of normal operation when the ship is operating in the
regulated U.S. waterways and the SCR system is activated.) The size of
the tank is dependent on the frequency with which the individual ship
owner prefers to fill the urea tank. The methodology used here to
estimate the capacity of the SCR systems is based on the power rating
of the propulsion engines only. Auxiliary engine power represents about
20 percent of total installed power on a vessel; however, it would be
unusual to operate both propulsion and auxiliary engines at 100 percent
load. Typically, ships operate under full propulsion power only while
at sea when the SCR is not operating; when nearing ports, the auxiliary
engine is operating at high loads while the propulsion engine is
operating at very low loads.
[[Page 22945]]
In this analysis, we determined the average number of hours a ship
would spend calling on a U.S. port: If the call was straight in and
straight out at 200 nm, the average time spent was slightly over 35
hours. If the distance travelled was substantial, such as from the Port
of Los Angeles to the Port of Tacoma, or 1140 nm, the average time
spent travelling was approximately 75 hours. Therefore, the size of the
tanks and corresponding $/kW values estimated here to carry enough urea
for 250 hours of continuous operation may be an overestimate. Based on
250 hours of operation, a range of urea tank sizes from 20 m\3\ to
approximately 256 m\3\ was determined for the six different engine
configurations used in this analysis.
To understand what impacts this may have on the cargo hauling
capacity of the ship, we looked at the ISO standard containers used
today. Currently, over two-thirds of the containers in use today are 40
feet long, total slightly over 77 m\3\ and are the equivalent of two
TEU.\121\ The urea tank sizes estimated here reflect a cargo
equivalence of 0.5-2 TEUs, based on a capacity sufficient for 250 hours
of operation. The TEU capacity of container ships, for example,
continues to increase and can be as high as 13,000 TEUs.\122\ Based on
a rate of approximately $1,300 per TEU to ship a container from Asia to
the U.S., a net profit margin of 10%, and an average of 16 trips per
year, the estimated cost due to displaced cargo to call on a U.S./
Canada ECA may be $2,100.123 124 125 The cost analysis
presented here does not include displaced cargo due to the variability
of tank sizes owners choose to install.
---------------------------------------------------------------------------
\121\ http://www.iicl.org, Institute of International Container
Lessors.
\122\ Kristensen, Hans Otto Holmegaard, ``Preliminary Ship
Design of Container Ships, Bulk Carriers, Tankers, and Ro-Ro Ships.
Assessment of Environmental Impact from Sea-Borne Transport Compared
with Landbased Transport,'' March, 2008.
\123\ http://people.hofstra.edu/geotrans/eng/ch2en/conc2en/maritimefreightrates.html.
\124\ http://moneycentral.msn.com/investor/invsub/results/hilite.asp?Symbol=SSW.
\125\ Based on a container ship carrying nearly 9,000 TEUs
traveling from Hong Kong to the Port of Los Angeles (approximately
6,400 nm) with a cruise speed of 25 nm/hr, the round trip time is
nearly 21 days and this trip could be made roughly 16 times per
year.
---------------------------------------------------------------------------
To estimate the SCR hardware costs associated with newly built
ships, we needed to generate an equation in terms of $/kW that could be
applied to other engine sizes. Therefore, the $/kW values representing
the hardware costs estimated for the six different engine types and
sizes used in this analysis was developed using a curve fit for both
SSD and MSD engines. The resulting $/kW values range from $40-$80 per
kW for MSD, and $40-$70 for SSD. These costs were then applied based on
the characteristics of the average ship types described in the
inventory section of the RIA (see Chapter 3) to the representative
portion of the future fleet in order to estimate the total costs
associated with this program. Table VII-3 presents the estimated costs
of this technology as applied to different ship and engine types
representing the average ship characteristics discussed in Section
VII.A.2.
(b) Lower Sulfur Fuel Hardware Costs
This cost analysis is based on the use of switching to lower sulfur
fuel to meet the fuel sulfur standards. The costs presented here may be
incurred by some existing and some newly built ships if additional fuel
tank equipment is required to facilitate the use of lower sulfur fuel.
Based on existing vessel fleet data, we estimate that approximately
one-third of existing vessels may need additional equipment installed
to accommodate additional lower sulfur fuel storage capacity beyond
that installed on comparable new ships. In order to include any costs
that may be incurred on new vessels that choose to add additional lower
sulfur fuel capacity, we also estimated that one-third of new vessels
may require additional hardware. Separate $/kW values were developed
for new and existing vessels as the existing vessel retrofit would
likely require more labor to complete installation.
The size of the tank is dependent on the frequency with which the
individual ship owner prefers to fill the lower sulfur fuel tank. The
size of the tanks and corresponding $/kW value estimated here will
carry capacity sufficient for 250 hours of propulsion and auxiliary
engine operation. This is most likely an overestimate of the amount of
lower sulfur fuel a ship owner would need to carry, resulting in an
overestimate of the total cost to existing and new vessels. The tank
sizes based on 250 hours of operation and based on the six different
engine configuration used in this analysis range from 240 m\3\ to
nearly 2,000 m\3\. This would be the equivalent of 6-50 TEUs. This cost
analysis does not reflect other design options such as partitioning of
a residual fuel tank to allow for lower sulfur fuel capacity which
would reduce the amount of additional space required, nor does this
analysis reflect the possibility that some ships may have already been
designed to carry smaller amounts of distillate fuel in separate tanks
for purposes other than continuous propulsion. The $/kW value hardware
cost values for the six data points corresponding to the six different
engine types and sizes used in this analysis are $2-7 for SSD and $3-8
for MSD. A curve fit was determined for the slow-speed engine as well
as for the medium speed engines to determine a $/kW value for each
engine type. Table VII-3 presents the estimated costs of the
technologies used to meet the different standards as applied to
different ship and engine types representing the average ship
characteristics discussed in Section VII.A.2. The estimated hardware
costs of retrofitting existing U.S.-flagged vessels that may require
additional hardware to accommodate the use of lower sulfur fuel is
estimated to be $10.4 million in 2015.
Table VII-3--Estimated Variable Costs of Emission Control Technology on a per-Ship Basis--by Ship Type and Engine Type \a\
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Lower sulfur
Average MFI to common EFI to common Tier 3 (SCR and fuel hardware-- Lower sulfur fuel
Ship type Engine speed propulsion rail rail engine new vessels hardware--existing
power (kW) modifications) vessels
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
Auto Carrier.................................... MSD.................................. 9640 $80,500 $30,400 $566,000 $42,300 $56,400
Bulk Carrier.................................... MSD.................................. 6360 67,200 24,600 479,000 36,900 48,500
Container....................................... MSD.................................. 13878 92,300 35,400 678,000 49,200 66,600
General Cargo................................... MSD.................................. 5159 60,400 21,700 448,000 34,900 45,600
Passenger....................................... MSD.................................. 23762 109,600 42,800 939,000 65,400 90,400
Reefer.......................................... MSD.................................. 7360 71,900 26,600 506,000 38,500 50,900
RoRo............................................ MSD.................................. 8561 76,700 28,700 538,000 40,500 53,800
Tanker.......................................... MSD.................................. 6697 68,800 25,300 488,000 37,400 49,300
[[Page 22946]]
Misc............................................ MSD.................................. 9405 79,800 30,000 560,000 41,900 55,800
Auto Carrier.................................... SSD.................................. 11298 152,400 55,500 819,000 48,000 64,800
Bulk Carrier.................................... SSD.................................. 8434 132,900 48,400 669,000 42,700 57,700
Container....................................... SSD.................................. 27454 211,600 77,200 1,521,000 63,900 86,700
General Cargo................................... SSD.................................. 7718 127,000 46,200 630,000 41,100 55,500
Passenger....................................... SSD.................................. 23595 201,500 73,500 1,374,000 61,200 83,000
Reefer.......................................... SSD.................................. 10449 147,200 53,600 776,000 46,500 62,900
RoRo............................................ SSD.................................. 15702 174,300 63,500 1,034,000 53,900 72,900
Tanker.......................................... SSD.................................. 9755 142,600 51,900 739,000 45,300 61,200
Misc............................................ SSD.................................. 4659 93,300 33,900 50,000 32,000 43,100
------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------
\a\ The values presented in Table VII-3 are provided only to show what the estimated costs would be for a range of vessel types given average characteristics (such as DWT, total main, and
total auxiliary power) for both SSD and MSD engine types. Not all vessels will require all of these technologies; for example, it is estimated that only 30 percent of MSD will get common-
rail fuel injection systems for Tier II.
(6) Total Costs Associated With the Coordinated Strategy
The total hardware costs associated with the coordinated strategy
were estimated using the number of new ships by ship type and engine
type entering the fleet each year. Table VII-4 presents the total
hardware costs to U.S.-flagged vessels associated with the coordinated
strategy. These costs consist of the variable and fixed hardware costs
associated with the Annex VI existing engine program, Tier 2 and Tier 3
standards, and additional components that may be required to
accommodate the use of lower sulfur fuel on both new and existing
vessels. This table also presents the total estimated operational costs
associated with the coordinated strategy. These costs consist of the 2
percent fuel consumption penalty associated with Tier 2 (Annex VI Tier
II), the use of urea on vessels equipped with SCR systems, and the
differential cost of using lower sulfur fuel; these costs are incurred
by both U.S.- and foreign-flagged vessels. The total estimated cost of
the coordinated strategy is $3.41 billion in 2030. The total costs from
2010 through 2040 are estimated to be $42.9 billion at a 3 percent
discount rate or $22.1 at a 7 percent discount rate.
Table VII-4--Total Hardware and Operational Costs Associated With the Coordinated Strategy
[Thousands of $]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Total hardware Total operating costs Total costs
costs for Total new Total vessel ---------------------------------- associated with
Year existing engine hardware hardware costs the coordinated
engines costs U.S. flag Foreign flag strategy
--------------------------------------------------------------------------------------------------------------------------------------------------------
2010.............................................. $9,400 $319 $166 $0 $0 $485
2011.............................................. 161,000 3,580 173 173 1,130 5,060
2012.............................................. 153,000 3,700 179 841 5,590 10,300
2013.............................................. 145,000 3,830 186 32,400 213,000 249,000
2014.............................................. 137,000 3,960 192 34,400 226,000 265,000
2015.............................................. 131,000 4,100 11,100 180,000 1,190,000 1,390,000
2016.............................................. 0 27,300 691 189,000 1,250,000 1,470,000
2017.............................................. 0 28,500 717 199,000 1,330,000 1,560,000
2018.............................................. 0 29,600 745 210,000 1,410,000 1,650,000
2019.............................................. 0 30,700 773 221,000 1,500,000 1,750,000
2020.............................................. 0 31,900 803 233,000 1,590,000 1,860,000
2021.............................................. 0 33,200 834 246,000 1,680,000 1,960,000
2022.............................................. 0 34,600 866 258,000 1,770,000 2,060,000
2023.............................................. 0 35,900 899 272,000 1,880,000 2,190,000
2024.............................................. 0 37,400 934 286,000 1,980,000 2,300,000
2025.............................................. 0 38,800 970 300,000 2,090,000 2,430,000
2026.............................................. 0 40,400 1,010 315,000 2,200,000 2,560,000
2027.............................................. 0 42,100 1,050 330,000 2,310,000 2,680,000
2028.............................................. 0 43,700 1,090 345,000 2,430,000 2,820,000
2029.............................................. 0 45,500 1,130 362,000 2,550,000 2,960,000
2030.............................................. 0 47,400 1,180 378,000 2,680,000 3,110,000
2031.............................................. 0 49,300 1,220 395,000 2,810,000 3,260,000
2032.............................................. 0 51,300 1,270 413,000 2,950,000 3,420,000
2033.............................................. 0 53,400 1,320 431,000 3,080,000 3,570,000
2034.............................................. 0 55,500 1,370 451,000 3,240,000 3,750,000
2035.............................................. 0 57,900 1,430 471,000 3,390,000 3,920,000
2036.............................................. 0 60,200 1,490 494,000 3,560,000 4,120,000
2037.............................................. 0 62,800 1,540 517,000 3,740,000 4,320,000
2038.............................................. 0 65,300 1,610 541,000 3,930,000 4,540,000
2039.............................................. 0 68,000 1,670 566,000 4,110,000 4,750,000
2040.............................................. 0 70,800 1,740 591,000 4,310,000 4,970,000
NPV @ 3%.......................................... 677,000 663,000 26,500 5,260,000 36,900,000 42,900,000
[[Page 22947]]
NPV @ 7%.......................................... 610,000 346,000 16,900 2,730,000 19,000,000 22,100,000
--------------------------------------------------------------------------------------------------------------------------------------------------------
C. Cost Effectiveness
One tool that can be used to assess the value of the coordinated
strategy is the engineering costs incurred per ton of emissions
reduced. This analysis involves a comparison of our program to other
measures that have been or could be implemented. As summarized in this
section, the coordinated strategy represents a highly cost effective
mobile source control program for reducing NOX, PM and
SOX emissions.
We have estimated the cost per ton based on the net present value
of 3 percent and 7 percent of all hardware costs incurred by U.S.-
flagged vessels, all operational costs incurred by both U.S. and
foreign-flagged vessels, and all emission reductions generated from the
year 2010 through the year 2040. The baseline case for these estimated
reductions is the existing set of engine standards for C3 marine diesel
engines and fuel sulfur limits. Table VII-5 shows the annual emissions
reductions associated with the coordinated strategy; these annual tons
are undiscounted. A description of the methodology used to estimate
these annual reductions can be found in Section II of this preamble and
Chapter 3 of the RIA.
Table VII-5--Estimated Emissions Reductions Associated With the Coordinated Strategy
[Short tons]
----------------------------------------------------------------------------------------------------------------
Reductions (tons)
Calendar year --------------------------------------------------------
NOX SOX PM
----------------------------------------------------------------------------------------------------------------
2010................................................... 47,000 0 0
2011................................................... 54,000 0 0
2012................................................... 70,000 0 0
2013................................................... 88,000 390,000 48,400
2014................................................... 105,000 406,000 50,400
2015................................................... 123,000 641,000 68,000
2016................................................... 150,000 668,000 70,800
2017................................................... 209,000 695,000 73,700
2018................................................... 279,000 724,000 76,800
2019................................................... 349,000 755,000 80,000
2020................................................... 409,000 877,000 94,100
2021................................................... 488,000 916,000 98,200
2022................................................... 547,000 954,000 102,000
2023................................................... 634,000 995,000 107,000
2024................................................... 714,000 1,040,000 111,000
2025................................................... 790,000 1,080,000 116,000
2026................................................... 866,000 1,130,000 121,000
2027................................................... 938,000 1,170,000 126,000
2028................................................... 1,020,000 1,220,000 131,000
2029................................................... 1,100,000 1,280,000 137,000
2030................................................... 1,180,000 1,330,000 143,000
2031................................................... 1,260,000 1,390,000 149,000
2032................................................... 1,330,000 1,450,000 155,000
2033................................................... 1,410,000 1,510,000 162,000
2034................................................... 1,500,000 1,580,000 169,000
2035................................................... 1,590,000 1,650,000 177,000
2036................................................... 1,690,000 1,720,000 184,000
2037................................................... 1,810,000 1,800,000 193,000
2038................................................... 1,920,000 1,880,000 201,000
2039................................................... 2,020,000 1,970,000 210,000
2040................................................... 2,130,000 2,050,000 220,000
NPV at 3%.............................................. 14,400,000 19,100,000 2,100,000
NPV at 7%.............................................. 6,920,000 10,100,000 1,090,000
----------------------------------------------------------------------------------------------------------------
The net estimated reductions by pollutant, using a net present
value of 3 percent from 2010 through 2040 are 14.4 million tons of
NOX, 19.1 million tons of SOX, and 2.1 million
tons of PM (6.9 million, 10.1 million, and 1.1 million tons of
NOX, SOX, and PM, respectively, at a net present
value of 7 percent over the same period.)
Using the above cost and emission reduction estimates, we estimated
the lifetime (2010 through 2040) cost per ton of pollutant reduced. For
this analysis, all of the hardware costs associated with the Annex VI
existing engine program and Tier 2 and Tier 3 NOX standards
as well as the operational costs associated with the
[[Page 22948]]
global Tier II and Tier III standards were attributed to NOX
reductions. The costs associated with lower sulfur fuel operational
costs as applied to all vessels visiting U.S. ports and the hardware
costs associated with accommodating the use of lower sulfur fuel on
U.S.-flagged vessels were associated with SOX and PM
reductions. In this analysis, half of the costs associated with the use
of lower sulfur fuel were allocated to PM reductions and half to
SOX, reductions, because the costs incurred to reduce
SOX emissions directly reduce emissions of PM as well. Using
this allocation of costs and the emission reductions shown in Table
VII-5 we can estimate the lifetime cost per ton reduced associated with
each pollutant. These results are shown in Table VII-6. Using a net
present value of 3 percent, the discounted lifetime cost per ton of
pollutant reduced is $510 for NOX, $930 for SOX,
and $7,950 for PM ($500, $920, and $7,850 per ton of NOX,
SOX, and PM, respectively, at a net present value of 7
percent.) As shown in Table VII-6, these estimated discounted lifetime
costs are similar to the annual long-term (2030) cost per ton of
pollutant reduced.
Table VII-6--Coordinated Strategy Estimated Aggregate Discounted Lifetime Cost per Ton (2010-2040) and Long-Term
Annual Cost per Ton (2030) \a\
----------------------------------------------------------------------------------------------------------------
2010 thru 2040 2010 thru 2040
Pollutant discounted lifetime discounted lifetime Long-term cost per ton
cost per ton at 3% cost per ton at 7% (for 2030)
----------------------------------------------------------------------------------------------------------------
NOX.................................. $510 $500 $520
SOX.................................. 930 920 940
PM................................... 7,950 7,850 8,760
----------------------------------------------------------------------------------------------------------------
\a\ The $/ton numbers presented here vary from those presented in the ECA proposal due to the net present value
of the annualized reductions being applied from 2015-2020, and the use of metric tonnes rather than of short
tons. Note that these costs are in 2006 U.S. dollars.
These results for the coordinated strategy compare favorably to
other air emissions control programs. Table VII-7 compares the
coordinated strategy to other air programs. This comparison shows that
the coordinated strategy will provide a cost-effective strategy for
generating substantial NOX, SOX, and PM
reductions from Category 3 vessels. The results presented in Table VII-
7 are lifetime costs per ton discounted at a net present value of 3
percent, with the exception of the stationary source program and
locomotive/marine retrofits, for which annualized costs are presented.
While results at a net present value of 7 percent are not presented,
the results would be similar. Specifically, the coordinated strategy
falls within the range of values for other recent programs.
Table VII-7--Estimated $/Ton for the Coordinated Strategy Compared to Previous Mobile Source Programs for NOX,
SOX, and PM10
----------------------------------------------------------------------------------------------------------------
Implementation
Source category \a,\ date NOX cost/ton SOX cost/ton PM10 cost/ton
----------------------------------------------------------------------------------------------------------------
Category 3 Marine Compression 2011 510 930 7,950.
Ignition Engine Coordinated
Strategy FRM, 2009.
Nonroad Small Spark-Ignition 2010 \b\,\c\ 330-
Engines. 1,200
73 FR 59034, October 8, 2008.
Stationary Diesel (CI) 2006 580-20,000 ................ 3,500-42,000.
Engines.
71 FR 39154, July 11, 2006...
Locomotives and C1/C2 Marine 2015 \b\ 730 ................ 8,400 (New).
(Both New and Retrofits). 45,000 (Retrofit).
73 FR 25097, May 6, 2008.....
Heavy Duty Nonroad Diesel 2015 \b\ 1,100 780 13,000.
Engines.
69 FR 38957, June 29, 2004...
Heavy Duty Onroad Diesel 2010 \b\ 2,200 5,800 14,000.
Engines.
66 FR 5001, January 18, 2001.
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Table presents aggregate program-wide cost/ton over 30 years, discounted at a 3 percent NPV, except for
Stationary CI Engines and Locomotive/Marine retrofits, for which annualized costs of control for individual
sources are presented. All figures are in 2006 U.S. dollars per short ton.
\b\ Includes NOX plus non-methane hydrocarbons (NMHC). NMHC are also ozone precursors, thus some rules set
combined NOX+NMHC emissions standards. NMHC are a small fraction of NOX so aggregate cost/ton comparisons are
still reasonable.
\c\ Low end of range represents costs for marine engines with credit for fuel savings, high end of range
represents costs for other nonroad SI engines without credit for fuel savings.
D. Economic Impact Analysis
This section contains our analysis of the expected economic impacts
of our coordinated strategy on the markets for Category 3 marine diesel
engines, vessels using these engines, and the U.S. marine
transportation service sector. We briefly describe our methodology and
present our estimated expected economic impacts.
The total estimated social costs of the coordinated strategy in
2030 are equivalent to the estimated engineering compliance costs of
the program, at approximately $3.1 billion.\126\ As explained below,
these costs are expected to accrue initially to the owners and
operators of affected vessels when they purchase engines, vessels, and
fuel. These owners and operators are expected to pass their increased
[[Page 22949]]
costs on to the entities that purchase international marine
transportation services, in the form of higher freight rates.
Ultimately, these social costs are expected to be borne by the final
consumers of goods transported by affected vessels in the form of
slightly higher prices for those goods.
---------------------------------------------------------------------------
\126\ The costs totals reported in this FRM are slightly
different than those reported in the ECA proposal. This is because
the ECA proposal did not include costs associated with the Annex VI
existing engine program, Tier II, or the costs associated with
existing vessel modifications that may be required to accommodate
the use of lower sulfur fuel. Further, the cost totals presented in
the ECA package included Canadian cost estimates.
---------------------------------------------------------------------------
We estimate that compliance with the coordinated strategy would
increase the price of a new vessel by 0.5 to 2 percent, depending on
the vessel type. The price impact of the coordinated strategy on the
marine transportation services sector would vary, depending on the
route and the amount of time spent in waterways covered by the engine
and fuel controls (the U.S. ECA and U.S. internal waters covered by the
coordinated strategy). For example, we estimate that the cost of
operating a ship in liner service between Singapore, Seattle, and Los
Angeles/Long Beach, which includes about 1,700 nm of operation in
waterways covered by the coordinated strategy, would increase by about
3 percent. For a container ship, this represents a price increase of
about $18 per container (3 percent price increase), assuming the total
increase in operating costs is passed on to the purchaser of the marine
transportation services. The per passenger price of a seven-day Alaska
cruise on a vessel operating entirely within waterways covered by the
coordinated strategy is expected to increase by about $7 per day, again
assuming that the total increase in operating costs is passed on to the
passengers of the vessel. Ships that spend less time in covered areas
would experience relatively smaller increases in their operating costs,
and the impacts on their freight prices is expected to be smaller.
It should be noted that this economic analysis holds all other
aspects of the market constant except for the elements of the
coordinated strategy. It does not attempt to predict future market
equilibrium conditions, particularly with respect to how excess
capacity in today's market due to the current economic downturn will be
absorbed. This approach is appropriate because the goal of an economic
impact analysis is to explore the impacts of a specific program;
allowing changes in other market conditions would confuse the impacts
due to the regulatory program.
The remainder of this section provides information on the
methodology we used to estimate these economic impacts and the results
of our analysis. A more detailed discussion can be found in Chapter 7
of the RIA prepared for this rule.
(1) What Is the Purpose of an Economic Impact Analysis?
In general, the purpose of an Economic Impact Analysis (EIA) is to
provide information about the potential economic consequences of a
regulatory action, such as the coordinated strategy to reduce emissions
from Category 3 vessels. Such an analysis consists of estimating the
social costs of a regulatory program and the distribution of these
costs across stakeholders. The estimated social costs can then be
compared with the estimated social benefits as presented elsewhere in
this preamble.
In an economic impact analysis, social costs are the value of the
goods and services lost by society resulting from (a) the use of
resources to comply with and implement a regulation and (b) reductions
in output. There are two parts to the analysis. In the market analysis,
we estimate how prices and quantities of goods directly affected by the
emission control program can be expected to change once the program
goes into effect. In the economic welfare analysis, we look at the
total social costs associated with the program and their distribution
across key stakeholders.
(2) How Did We Estimate the Economic Impacts of the Coordinated
Strategy?
Our analysis of the economic impacts of the coordinated strategy is
based on the application of basic microeconomic theory. In this
analysis, we use a competitive market model approach in which the
interaction between supply and demand determines equilibrium market
prices and quantities. The competitive model approach is appropriate
for the vessel building and transportation service markets because in
each of those markets there are many producers and consumers are not
constrained to use one producer over the others.\127\
---------------------------------------------------------------------------
\127\ Stopford describes these markets as competitive. See
Stopford, Martin. Maritime Economics, 3rd Edition (Routledge, 2009),
Chapter 4.
---------------------------------------------------------------------------
We also use a competitive market structure for the Category 3
engine market. This market is characterized by a small number of
manufacturers (2 companies comprising about 60 percent of the market,
with two others having a notable share), which suggests that this
limited number of manufacturers may have certain market power. However,
an important characteristic of the market suggests this market may
nevertheless be competitive. Specifically while the primary engine
companies design and patent Category 3 marine diesel engines, they
manufacture only key components and not the actual engine itself.
Engines are manufactured through licensing agreements with shipyards or
other companies. Licensees pay a fixed cost to the primary engine
manufacturers for using their designs and brands. Engine prices are
then set by the licensees, sometimes as part of the price of a
completed vessel, and there is competition among these firms to
manufacturer engines and vessels.
Nevertheless, to estimate the maximum economic impact of the
program, we can examine how the results of this economic impact
analysis would change if we assumed an imperfectly competitive market
structure. In markets with a small number of producers, it is not
uncommon for manufacturers to exercise market power to obtain prices
above their costs, thereby securing greater profits. In this case,
market prices would be expected to increase by more than the compliance
costs of the regulatory program, although the magnitude of the increase
would be limited by the existing dynamics of the market (i.e., the
current difference between the actual market price and the competitive
market price). This impact is discussed in more detail in Section
VII.D.5, below. The higher price impact from imperfect competition
would be transmitted to the vessel and marine transportation markets.
However, even in this case, the price impacts of this rule on the
Category 3 engine market are not expected to be large given the price
increases estimated for the competitive case, described below. This is
because the compliance costs for engine program are relatively small
compared to the price of a vessel.
Finally, the existence of only a small number of firms in a market
does not mean that the market necessarily behaves noncompetitively. In
the Bertrand competition model, firms compete with each other by
choosing a lower price.\128\ When they compete repeatedly, the market
price is expected to approximate the price that would occur in a
perfectly competitive market. In this case, the two primarily engine
producers compete against each other and against the smaller producers
in the market. They also compete to sell the same or similar engines in
the land-based electrical power generating market, where they face many
more competitors.
---------------------------------------------------------------------------
\128\ Tirole, Jean. The Theory of Industrial Organization
(1989). MIT Press. See pages 223-224.
---------------------------------------------------------------------------
In a competitive structure model, we use the relationships between
supply and demand to simulate how markets can be expected to respond to
increases
[[Page 22950]]
in production costs that occur as a result of the new emission control
program. We use the laws of supply and demand to construct a model to
estimate the social costs of the program and identify how those costs
will be shared across the markets and, thus, across stakeholders. The
relevant concepts are summarized below and are presented in greater
detail in Chapter 7 of the RIA.
Before the implementation of a control program, a competitive
market is assumed to be in equilibrium, with producers producing the
amount of a good that consumers desire to purchase at the market price.
The implementation of a control program results in an increase in
production costs by the amount of the compliance costs. This generates
a ``shock'' to the initial equilibrium market conditions (a change in
supply). Producers of affected products will try to pass some or all of
the increased production costs on to the consumers of these goods
through price increases, without changing the quantity produced. In
response to the price increases, consumers will decrease the quantity
they buy of the affected good (a change in the quantity demanded). This
creates surplus production at the new price. Producers will react to
the decrease in quantity demanded by reducing the quantity they
produce, and they will be willing to sell the remaining production at a
lower price that does not cover the full amount of the compliance
costs. Consumers will then react to this new price. These interactions
continue until the surplus production is removed and a new market
equilibrium price and quantity combination is achieved.
The amount of the compliance costs that will be borne by
stakeholders is ultimately limited by the price sensitivity of
consumers and producers in the relevant markets, represented by the
price elasticities of demand and supply for each market. An
``inelastic'' price elasticity (less than one) means that supply or
demand is not very responsive to price changes (a one percent change in
price leads to less than one percent change in quantity). An
``elastic'' price elasticity (more than one) means that supply or
demand is sensitive to price changes (a one percent change in price
leads to more than one percent change in quantity). A price elasticity
of one is unit elastic, meaning there is a one-to-one correspondence
between a percent change in price and percent change in quantity.
On the production side, price elasticity of supply depends on the
time available to adjust production in response to a change in price,
how easy it is to store goods, and the cost of increasing (or
decreasing) output. In this analysis, we assume the supply for engines,
vessels, and marine transportation services is elastic: an increase in
the market price of an engine, vessel or freight rates will lead
producers to want to produce more, while a decrease will lead them to
produce less (this is the classic upward-sloping supply curve). It
would be difficult to estimate the slope of the supply curve for each
of these markets given the global nature of the sector and, as
explained in Chapter 7 of the RIA it is not necessary to have estimated
supply elasticities for this analysis due to the assumption of nearly
perfectly inelastic demand for the marine transportation sector.
However, we can make some observations about the supply elasticities
based on the nature of each sector. For the marine transportation
sector, it is reasonable to assume a supply elasticity equal to or
greater than one because the amount of transportation services provided
can easily be adjusted due to a change in price in most cases (e.g.,
move more or fewer containers or passengers) especially if the market
can carry a certain amount of excess capacity. For the new Category 3
engine market the supply elasticity is also likely to be greater than
one. These engines are often used in other land-based industries,
notably in power plants, which provide a market to accommodate
production fluctuations as manufacturers adjust their output for the
marine market. The supply elasticity for the vessel construction
market, on the other hand, is upward sloping but the slope (supply
elasticity) may be less than or equal to one depending on the vessel
type. This would be expected since it may be harder to adjust
production and/or store output if the price drops, or rapidly increase
production if the price increases. Because of the nature of this
industry, it may not be possible to easily switch production to other
goods, or to stop or start production of new vessels.
On the consumption side, we assume that the demand for engines is a
function of the demand for vessels, which is a function of the demand
for international shipping (demand for engines and vessels is derived
from the demand for marine transportation services). This makes
intuitive sense: Category 3 engine and vessel manufacturers would not
be expected to build an engine or vessel unless there is a purchaser,
and purchasers will want a new vessel/engine only if there is a need
for one to supply marine transportation services. Deriving the price
elasticity of demand for the vessel and engine markets from the
international shipping market is an important feature of this analysis
because it provides a link between the product markets.
In this analysis, the price elasticity of demand for marine
transportation services, and therefore for vessels and Category 3
engines, is assumed to be nearly perfectly inelastic (the demand for
marine transportation services will remain the same for all price
changes). This stems from the fact that for most goods, there are no
reasonable alternative shipping modes. In most cases, transportation by
rail or truck is not feasible, and transportation by aircraft is too
expensive. Approximately 90 percent of world trade by tonnage is moved
by ship, and ships provide the most efficient method to transport these
goods on a tonne-mile basis.\129\ Stopford notes that ``shippers need
the cargo and, until they have time to make alternative arrangements,
must ship it regardless of cost * * *. The fact that freight generally
accounts for only a small portion of material costs reinforces this
argument.'' \130\ A nearly perfectly inelastic price elasticity of
demand for marine transportation services means that virtually all of
the compliance costs can be expected to be passed on to the consumers
of marine transportation services, with no change in output for engine
producers, ship builders, or owners and operators of ships engaged in
international trade. Section VII.D.5, below, provides a discussion of
the impact of relaxing of the nearly perfect demand elasticity for
marine transportation services in general, and for the cruise industry
specifically. Relaxing this assumption is not expected to change the
estimated total social costs of the program, which are limited by the
engineering compliance costs. However, it would change the way those
costs are shared among stakeholders.
---------------------------------------------------------------------------
\129\ Harrould-Koleib, Ellycia. Shipping Impacts on Climate: A
Source with Solutions. Oceana, July 2008. A copy of this report can
be found at http://www.oceana.org/fileadmin/oceana/uploads/Climate_Change/Oceana_Shipping_Report.pdf.
\130\ Stopford, Martin. Maritime Economics, 3rd Edition.
Routledge, 2009. p. 163.
---------------------------------------------------------------------------
Finally, with regard to the fuel markets, the impacts of the
coordinated strategy on fuel costs were assessed using the World Oil
Refining Logistics and Demand (WORLD) model, as run by Ensys Energy &
Systems, the owner and developer of the refinery model. As described in
Chapter 5 of the RIA, the WORLD model is the only such model currently
developed for this purpose, and was developed by a team of
international petroleum consultants. It
[[Page 22951]]
has been widely used by industries, government agencies, and OPEC over
the past 13 years, including the Cross Government/Industry Scientific
Group of Experts, established to evaluate the effects of the different
fuel options proposed under the revision of MARPOL Annex VI. The model
incorporates crude sources, global regions, refinery operations, and
world economics, as well as assumptions about how these markets respond
to regulatory programs. The results of the WORLD model have been shown
to be comparable to other independent predictions of global fuel, air
pollutant emissions and economic predictions.
WORLD is a comprehensive, bottom-up model of the global oil
downstream that includes crude and noncrude supplies; refining
operations and investments; crude, products, and intermediates trading
and transport; and product blending/quality and demand. Its detailed
simulations are capable of estimating how the global system can be
expected to operate under a wide range of different circumstances,
generating model outputs such as price effects and projections of
refinery operations and investments.
This analysis of the economic impacts of the coordinated strategy
relies on the estimated engineering compliance costs for engines and
fuels described in Sections VII.A (fuels) and VII.B (engines) above.
These costs include hardware costs for new U.S. vessels to comply with
the Tier 2 and Tier 3 engine standards, and for existing U.S. vessels
to comply with the MARPOL Annex VI requirements for existing engines.
There are also hardware costs for fuel switching equipment on new and
existing U.S. vessels to comply with the 1,000 ppm fuel sulfur limit;
the cost analysis assumes that 32 percent of all vessels require fuel
switching equipment to be added (new vessels) or retrofit (existing
vessels). Also included are expected increases in operating costs for
U.S. and foreign vessels operating in the inventory modeling domain
(the waterways covered by the engine and fuel controls, i.e., the U.S.
ECA and U.S. internal waters covered by the coordinated strategy.\131\
These increased operating costs include changes in fuel consumption
rates, increases in fuel costs, and the use of urea for engines
equipped with SCR, as well as a small increase in operating costs for
operation outside the waterways affected by the coordinated strategy
due to the fuel price impacts of the program.
---------------------------------------------------------------------------
\131\ The MARPOL amendments include Tier II and Tier III
NOX standards that apply to all vessels, including
foreign vessels. While the analysis does not include hardware costs
for the MARPOL Tier II and Tier III standards for foreign vessels
because foreign vessels operate anywhere in the world, it is
appropriate to include the operating costs for these foreign vessels
while they are operating in our inventory modeling domain. This is
because foreign vessels complying with the Tier II and Tier III
standards will have a direct beneficial impact on U.S. air quality,
and if we consider the benefits of these standards we should also
consider their costs.
---------------------------------------------------------------------------
(3) What Are the Estimated Market Impacts of the Coordinated Strategy?
(a) What Are the Estimated Engine and Vessel Market Impacts of the
Coordinated Strategy?
The estimated market impacts for engines and vessels are based on
the variable costs associated with the engine and vessel compliance
programs; fixed costs are not included in the market analysis. This is
appropriate because in a competitive market the industry supply curve
is generally based on the market's marginal cost curve; fixed costs do
not influence production decisions at the margin. Therefore, the market
analysis for a competitive market is based on variable costs only.
The assumption of nearly perfectly inelastic demand for marine
transportation services means that the quantity of these services
purchased is not expected to change as a result of costs of complying
with the requirements of the coordinated strategy. As a result, the
demand for vessels and engines would also not change compared to the
no-control scenario, and the quantities produced would remain the same.
The assumption of nearly perfectly inelastic demand for marine
transportation services also means the price impacts of the coordinated
strategy on new engines and vessels would be equivalent to the variable
engineering compliance costs. Estimated price impacts for a sample of
engine-vessel combinations are set out in Table VII-8 for medium speed
engines, and Table VII-9 for slow speed engines. These are the
estimated price impacts associated with the Tier 3 engine standards on
a vessel that will switch fuels to comply with the fuel sulfur
requirements while operating in the waterways covered by the engine and
fuel controls. Because there is no phase-in for the standards, the
estimated price impacts are the same for all years, beginning in 2016.
Table VII-8--Summary of Estimated Market Impacts--Medium Speed Tier 3 Engines and Vessels
[$2006] a
----------------------------------------------------------------------------------------------------------------
New vessel
Average engine price New vessel fuel
Ship type propulsion impact (new tier switching New vessel total
power 3 engine price equipment price price impact
impact) b impact c
----------------------------------------------------------------------------------------------------------------
Auto Carrier................................. 9,600 $573,200 $42,300 $615,500
Bulk Carrier................................. 6,400 483,500 36,900 520,400
Container.................................... 13,900 687,800 49,200 736,000
General Cargo................................ 5,200 450,300 34,900 475,200
Passenger.................................... 23,800 952,500 65,400 1,107,900
Reefer....................................... 7,400 511,000 38,500 549,500
RoRo......................................... 8,600 543,800 40,500 584,300
Tanker....................................... 6,700 492,800 37,400 530,200
Misc......................................... 9,400 566,800 41,900 608,700
----------------------------------------------------------------------------------------------------------------
Notes:
a The new vessel engine price impacts listed here do not include a per engine cost of $10,000 for engines
installed on U.S. vessels to comply with the proposed production testing requirement (Sec. 1042.302).
b Medium speed engine price impacts are estimated from the cost information presented in Chapter 5 of the RIA
using the following formula: (10%*($/SHIP--MECH[rarr]CR)) + (30%*($/SHIP--ELEC[rarr]CR)) + (T3 ENGINE MODS) +
(T3SCR)).
c Assumes 32 percent of new vessels would require the fuel switching equipment.
[[Page 22952]]
Table VII-9--Summary of Estimated Market Impacts--Slow Speed Tier 3 Engines and Vessels ($2006) a
----------------------------------------------------------------------------------------------------------------
New vessel
Average engine price New vessel fuel
Ship type propulsion impact (new tier switching New vessel total
power 3 engine price equipment price price impact
impact) b impact c
----------------------------------------------------------------------------------------------------------------
Auto Carrier................................. 11,300 $825,000 $48,000 $873,000
Bulk Carrier................................. 8,400 672,600 42,700 715,300
Container.................................... 27,500 1,533,100 63,900 1,597,000
General Cargo................................ 7,700 632,900 41,000 673,900
Passenger.................................... 23,600 1,385,300 61,200 1,446,500
Reefer....................................... 10,400 781,000 46,500 827,500
RoRo......................................... 15,700 1,042,100 53,900 1,096,000
Tanker....................................... 9,800 744,200 45,300 789,500
Misc......................................... 4,700 453,600 32,000 485,600
----------------------------------------------------------------------------------------------------------------
Notes:
a The new vessel engine price impacts listed here do not include a per engine cost of $10,000 for engines
installed on U.S. vessels to comply with the proposed production testing requirement (Sec. 1042.302).
b Slow speed engine price impacts are estimated from the cost information presented in Chapter 5 using the
following formula: (5%*($/SHIP--MECH[rarr]CR)) + (15%*($/SHIP--ELEC[rarr]CR)) + (T3 ENGINE MODS) + (T3 SCR)).
c Assumes 32 percent of new vessels would require the fuel switching equipment.
The estimated price impacts for Tier 2 vessels would be
substantially lower, given the technology that will be used to meet the
Tier 2 standards is much less expensive. The cost of complying with the
Tier 2 standards ranges from about $56,000 to $100,000 for a medium
speed engine, and from about $130,000 to $250,000 for a slow speed
engine (see discussion in Chapter 7 of the RIA). Again, because the
standards do not phase in, the estimated price impacts are the same for
all years the Tier 2 standards are required, 2011 through 2015.
These estimated price impacts for Tier 2 and Tier 3 vessels are
small when compared to the price of a new vessel. A selection of new
vessel prices is provided in Table VII-10; these range from about $40
million to $480 million. The program price increases range from about
$600,000 to $1.5 million. A price increase of $600,000 to comply with
the Tier 3 standards and fuel switching requirements would be an
increase of approximately 2 percent for a $40 million vessel. The
largest vessel price increase noted above for a Tier 3 passenger vessel
is about $1.5 million; this is a price increase of less than 1 percent
for a $478 million passenger vessel. Independent of the nearly-perfect
inelasticity of demand, price increases of this magnitude would be
expected to have little, if any, effect on the sales of new vessels,
all other economic conditions held constant.
Table VII-10--Newbuild Vessel Price by Ship Type and Size, Selected Vessels
[Millions, $2008]
----------------------------------------------------------------------------------------------------------------
Vessel type Vessel size category Size range (mean) (DWT) Newbuild
----------------------------------------------------------------------------------------------------------------
Bulk Carrier............................ Handy...................... 10,095-39,990 (27,593) $56.00
Handymax................... 40,009-54,881 (47,616) 79.00
Panamax.................... 55,000-78,932 (69,691) 97.00
Capesize................... 80,000-364,767 (157,804) 175.00
----------------------------------------------------------------------------------------------------------------
Container............................... Feeder..................... 1,000-13,966 (9,053) 38.00
Intermediate............... 14,003-36,937 (24,775) 70.00
Panamax.................... 37,042-54,700 (45,104) 130.00
Post Panamax............... 55,238-84,900 (67,216) 165.00
----------------------------------------------------------------------------------------------------------------
Gas carrier............................. Midsize.................... 1,001-34,800 (7,048) 79.70
LGC........................ 35,760-59,421 (50,796) 37.50
VLGC....................... 62,510-122,079 (77,898) 207.70
----------------------------------------------------------------------------------------------------------------
General cargo........................... Coastal Small.............. 1,000-9,999 (3,789) 33.00
Coastal Large.............. 10,000-24,912 (15,673) 43.00
Handy...................... 25,082-37,865 (29,869) 52.00
Panamax.................... 41,600-49,370 (44,511) 58.00
----------------------------------------------------------------------------------------------------------------
Passenger............................... All........................ 1,000-19,189 (6,010) 478.40
----------------------------------------------------------------------------------------------------------------
Reefer.................................. All........................ 1,000-19,126 (6,561) 17.30
----------------------------------------------------------------------------------------------------------------
Ro-Ro................................... All........................ 1,000-19,126 (7,819) 41.20
----------------------------------------------------------------------------------------------------------------
Tanker.................................. Coastal.................... 1,000-23,853 (7,118) 20.80
Handymax................... 25,000-39,999 (34,422) 59.00
Panamax.................... 40,000-75,992 (52,300) 63.00
AFRAmax.................... 76,000-117,153 (103,112) 77.00
Suezmax.................... 121,109-167,294 (153,445) 95.00
[[Page 22953]]
VLCC....................... 180,377-319,994 (294,475) 154.00
----------------------------------------------------------------------------------------------------------------
Sources: Lloyd's Shipping Economist (2008), Informa (2008), Lloyd's Sea-Web (2008).
(b) What Are the Estimated Fuel Market Impacts of the Coordinated
Strategy?
The market impacts for the fuel markets were estimated through the
modeling performed to estimate the fuel compliance costs for the
coordinated strategy. In the WORLD model, the total quantity of fuel
used is held constant, which is consistent with the assumption that the
demand for international shipping transportation would not be expected
to change due to the lack of transportation alternatives.
The expected price impacts of the coordinated strategy are set out
in Table VII-11. Note that on a mass basis, less distillate than
residual fuel is needed to go the same distance (5 percent less). The
prices in Table VII-11 are adjusted for this impact.
Table VII-11 shows that the coordinated strategy is expected to
result in a small increase in the price of marine distillate fuel,
about 1.3 percent. The price of residual fuel is expected to decrease
slightly, by less than one percent, due to a reduction in demand for
that fuel.
Table VII-11--Summary of Estimated Market Impacts--Fuel Markets
----------------------------------------------------------------------------------------------------------------
Baseline Control Adjusted for
Fuel Units price price energy density % change
----------------------------------------------------------------------------------------------------------------
Distillate.................................... $/tonne $462 $468 N/A +1.3%
Residual...................................... $/tonne $322 $321 N/A -0.3%
Fuel Switching................................ $/tonne $322 $468 $444 +38.9%\a\
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Energy adjusted value.
Because of the need to shift from residual fuel to distillate fuel
for ships while operating in the waterways covered by the engine and
fuel controls (the U.S. ECA and U.S. internal waters covered by the
coordinated strategy), ship owners are expected to see an increase in
their total cost of fuel. This increase is because distillate fuel is
more expensive than residual fuel. Factoring in the higher energy
content of distillate fuel relative to residual fuel, the fuel cost
increase would be about 39 percent.
(c) What Are the Estimated Marine Transportation Market Impacts of the
Coordinated Strategy?
We used the above information to estimate the impacts on the prices
of marine transportation services. This analysis, which is presented in
Chapter 7 of the RIA, is limited to the impacts of increases in
operating costs due to the fuel and emission requirements of the
coordinated strategy. Operating costs would increase due to the
increase in the price of fuel, the need to switch to fuel with a sulfur
content not to exceed 1,000 ppm while operating in the waterways
covered by the engine and fuel controls, and due to the need to dose
the aftertreatment system with urea to meet the Tier 3 standards. Table
VII-12 summarizes these price impacts for selected transportation
markets. Table VII-12 also lists the vessel and engine parameters that
were used in the calculations.
Table VII-12--Summary of Impacts of Operational Fuel/Urea Cost Increases
------------------------------------------------------------------------
Vessel and engine Operational price
Vessel type parameters increases
------------------------------------------------------------------------
Container..................... 36,540 kW........ $17.53/TEU.
North Pacific Circle Route.... 50,814 DWT.......
Bulk Carrier.................. 3,825 kW......... $0.56/tonne.
North Pacific Circle Route.... 16,600 DWT.......
Cruise Liner.................. 31,500 kW........ $6.60/per passenger
(Alaska)...................... 226,000 DWT...... per day.
1,886 passengers.
------------------------------------------------------------------------
This information suggests that the increase in marine
transportation service prices would be small, both absolutely and when
compared to the price charged by the ship owner per unit transported
and are estimated to be about $18 per TEU on the North Pacific Circle
Route and $0.56 per tonne for bulk cargo on the North Pacific Circle
Route. Stopford notes that the price of transporting a 20 foot
container between the UK and Canada is estimated to be about $1,500; of
that, $700 is the cost of the ocean freight; the rest is for port,
terminal, and other charges.\132\ Thus, a price increase of about $18
represents an increase of less than 3 percent of ocean freight cost,
and about one percent of transportation cost. Similarly, the price of a
7-day Alaska cruise varies
[[Page 22954]]
from $100 to $400 per night or more. In that case, a price increase of
about $7 per night would be a 1.5 percent to about 6 percent increase.
---------------------------------------------------------------------------
\132\ Stopford, Martin, Maritime Economics, 3rd Edition.
Routledge, 2009. Page 519.
---------------------------------------------------------------------------
(4) What Are the Estimated Social Costs of the Coordinated Strategy and
How Are They Expected To Be Distributed Across Stakeholders?
The total social costs of the coordinated strategy are based on
both fixed and variable costs. Fixed costs are a cost to society: They
displace other product development activities that may improve the
quality or performance of engines and vessels. In this economic impact
analysis, fixed costs are accounted for in the year in which they
occur, with the fixed costs associated with the Tier 2 engine standards
accounted for in 2010 and the fixed costs associated with the Tier 3
engine standards and the fuel sulfur controls for vessels operating on
the waterways covered by the coordinated strategy are accounted for in
the five-year period beginning prior to their effective dates.
The estimated social costs of the coordinated strategy for all
years are presented in Table VII-4. For 2030, the social costs are
estimated to be about $3.1 billion.\133\ For the reasons described
above and explained more fully in the RIA, these costs are expected to
be borne fully by consumers of marine transportation services.
---------------------------------------------------------------------------
\133\ The costs totals reported in this FRM are slightly
different than those reported in the ECA proposal. This is because
the ECA proposal did not include costs associated with the Annex VI
existing engine program, Tier II, or the costs associated with
existing vessel modifications that may be required to accommodate
the use of lower sulfur fuel. Further, the cost totals presented in
the ECA package included Canadian cost estimates.
---------------------------------------------------------------------------
These social costs are small when compared to the total value of
U.S. waterborne foreign trade. In 2007, waterborne trade for government
and non-government shipments by vessel into and out of U.S. foreign
trade zones, the 50 States, the District of Columbia, and Puerto Rico
was about $1.4 trillion. Of that, about $1 trillion was for
imports.\134\
---------------------------------------------------------------------------
\134\ Census Bureau's Foreign Trade Division, U.S. Waterborne
Foreign Trade by U.S. Custom Districts, as reported by the Maritime
Administration at http://www.marad.dot.gov/library_landing_page/data_and_statistics/Data_and_Statistics.htm, accessed April 9,
2009.
---------------------------------------------------------------------------
If only U.S. vessels are considered, the social costs of the
coordinated strategy in 2030 would be about $427.5 million. Again,
these social costs are small when compared to the annual revenue for
this sector. In 2002, the annual revenue for this sector was about
$19.8 billion.\135\
---------------------------------------------------------------------------
\135\ U.S. Census Bureau, Industry Statistics Sampler, NAICS
48311, Deep sea, coastal, and Great Lakes transportation, at http://www.census.gov/econ/census02/data/industry/E48311.HTM, assessed on
April 9, 2009.
---------------------------------------------------------------------------
(5) Sensitivity Analyses
In this section we briefly discuss the impact of relaxing several
of the assumptions used in our economic impact analysis for the
coordinated strategy, including the assumption of nearly perfectly
inelastic demand for marine transportation services, nearly perfectly
inelastic demand for cruise services, and a competitive market
structure for the Category 3 marine diesel engine market. Each of these
cases is examined more fully in Chapter 7 of the RIA for this rule.
To examine the impact of the assumption of nearly perfectly
inelastic demand elasticity for marine transportation services, we
would determine a discrete value for that elasticity and then create a
computer model to model the effects of the coordinated strategy. It
would be difficult to develop such an elasticity using available
industry information. Therefore, this alternative analysis relies on
the price elasticities we developed for our 2008 rulemaking that set
technology-forcing standards for Category 1 and Category 2 engines (73
FR 25098, May 6, 2008). Although these price elasticities of demand and
supply were developed using data for United States markets only, they
reflect behavioral reactions to price changes if alternative modes of
transportation were available. While they are not specific to the
global marine transportation market, they are useful to provide an idea
of the change in results that could be expected if the demand
elasticity for marine transportation is not nearly perfectly inelastic.
The values used for the behavioral parameters for the Category 1
and 2 markets are provided in Table VII-13. In this case, the demand
for marine transportation services is estimated to be somewhat
inelastic: A one percent increase in price will result in a 0.5 percent
decrease in demand.
Table VII-13--Behavioral Parameters Used in Locomotive/Marine Economic Impact Model
--------------------------------------------------------------------------------------------------------------------------------------------------------
Sector Market Demand elasticity Source Supply elasticity Source
--------------------------------------------------------------------------------------------------------------------------------------------------------
Marine................. Marine -0.5 (inelastic)............ Literature estimate......... 0.6 (inelastic)............. Literature
Transportation estimate.
Services.
Commercial Vessels Derived..................... N/A......................... 2.3 (elastic)............... Econometric
\a\. estimate.
Engines........... Derived..................... N/A......................... 3.8 (elastic)............... Econometric
estimate.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ Commercial vessels include tug/tow/pushboats, ferries, cargo vessels, crew/supply boats, and other commercial vessels.
In general, relaxing the condition of nearly perfectly inelastic
demand elasticity would result in the compliance costs of the
coordinated strategy being shared by consumers and suppliers. The
distribution of compliance costs from our earlier rule are presented in
Table VII-14. While the emission control requirements and the
compliance cost structure of the coordinated strategy are somewhat
different, these results give an idea of how costs would be shared if
the assumption of nearly perfectly inelastic price elasticity of demand
for the transportation services market in the ocean-going marine sector
were relaxed.
[[Page 22955]]
Table VII-14--Distribution of Social Costs Among Stakeholder Groups--
Category 1 and Category 2 Engine Program
------------------------------------------------------------------------
Stakeholder group 2020 (percent) 2030 (percent)
------------------------------------------------------------------------
Marine engine producers............. 0.8 0.5
Marine vessel producers............. 10.7 3.8
Recreational and fishing vessel 8.4 4.1
consumers..........................
Marine transportation service 36.4 41.5
providers..........................
Marine transportation service 43.8 50.0
consumers..........................
-----------------------------------
Total........................... 100.0 100.0
------------------------------------------------------------------------
With regard to cruise transportation, commenters remarked that
demand is not nearly perfectly inelastic. Cruises are a recreational
good, and if the price of a cruise increases, consumers will choose to
spend their recreational budgets on other activities.
The same analysis described above would also apply in this
particular sector of the marine transportation market. In this case,
the share of the compliance costs that will be borne by the cruise
industry suppliers will depend on the magnitude of the demand
elasticity. If the price elasticity of demand is larger (in absolute
value) than the price elasticity of supply, ship owners will bear a
larger share of the costs of the program; if the price elasticity of
demand is smaller (in absolute value) than the price elasticity of
supply, consumers will bear a larger share of the program.
In our 2002 recreational vehicle rule, we estimated the demand
elasticity for inboard cruisers to be about -1.4 and the supply
elasticity to be about 1.6.\136\ Using these values as a proxy for
cruise ship demand and supply, this suggests that the compliance costs
will be shared among passengers and operators roughly evenly.
---------------------------------------------------------------------------
\136\ EPA420-02-022, Final Regulatory Support Document: Control
of Emissions from Unregulated Nonroad Engines, Chapter 9. A copy of
this document is available at http://www.epa.gov/otaq/regs/nonroad/2002/r02022j.pdf.
---------------------------------------------------------------------------
As described in Section 7.3 of the RIA, the compliance costs
associated with the coordinated strategy are expected to be small
compared to the daily costs of a cruise, at about $7 per night.
Overall, total engine and vessel costs are expected to increase about
one percent and operating costs increasing between 1.5 and 6 percent.
These increases are within the range of historic variations in bunker
fuel prices. So, although relaxing the assumption of nearly perfectly
elastic demand elasticity for cruises means the burden of the
coordinated strategy would be shared between cruise ship operators and
cruise ship passengers, those costs, and therefore the expected price
increases, are expected to be small compared to the price of a cruise.
Finally, this Economic Impact Analysis assumes that the market
structure for the Category 3 marine diesel engine market is
competitive. As explained above, this assumption is reasonable even
though there are few producers in this market. If, in fact, this market
is noncompetitive and behaves more like an oligopoly, then the results
of the analysis would be somewhat different. Specifically,
oligopolistic producers can set the market price at a level higher than
the competitive market price, capturing larger profits than would
otherwise be the case. However, this price premium would already be
reflected in the prices of Category 3 marine diesel engines. What would
change in the analysis is the magnitude of the compliance costs passed
on to consumers of these engines (vessel builders and the
transportation services market), which would be higher than the
compliance costs. This effect is discussed in Chapter 7 of the RIA.
VIII. Benefits
This section presents our analysis of the health and environmental
benefits that will occur as a result of EPA's coordinated strategy to
address emissions from Category 3 engines and ocean-going vessels
throughout the period from initial implementation through 2030. We
provide estimated benefits for the entire coordinated strategy,
including the Annex VI Tier 2 NOX requirements and the ECA
controls that will be mandatory for U.S. and foreign vessels through
the Act to Prevent Pollution from Ships. However, unlike the cost
analysis, this benefits analysis does not allocate benefits between the
components of the program (the requirements in this rule and the
requirements that would apply through MARPOL Annex VI and ECA
implementation). This is because the benefits of the coordinated
strategy will be fully realized only when the U.S. ECA is in place and
both U.S. and foreign vessel are required to use lower sulfur fuel and
operate their Tier 3 NOX controls while in the designated
area, and therefore it makes more sense to consider the benefits of the
coordinated strategy as a whole.
The components of the coordinated strategy will apply stringent
NOX and SOX standards to virtually all vessels
that affect U.S. air quality, and impacts on human health and welfare
will be substantial. As presented in Section II, the coordinated
strategy is expected to provide very large reductions in direct PM,
NOX, SOX, and toxic compounds, both in the near
term and in the long term. Emissions of NOX (a precursor to
ozone formation and secondarily-formed PM2.5),
SOX (a precursor to secondarily-formed PM2.5) and
directly-emitted PM2.5 contribute to ambient concentrations
of PM2.5 and ozone. Exposure to ozone and PM2.5
is linked to adverse human health impacts such as premature deaths as
well as other important public health and environmental effects.
Using the most conservative premature mortality estimates (Pope et
al., 2002 for PM2.5 and Bell et al., 2004 for
ozone),137 138 we estimate that implementation of the
coordinated strategy will reduce approximately 12,000 premature
mortalities in 2030 and yield approximately $110 billion in total
benefits. The upper end of the premature mortality estimates (Laden et
al., 2006 for PM2.5 and Levy et al., 2005 for ozone)
139 140 increases avoided
[[Page 22956]]
premature mortalities to approximately 31,000 in 2030 and yields
approximately $270 billion in total benefits. Thus, even taking the
most conservative premature mortality assumptions, the health impacts
of the coordinated strategy presented in this rule are clearly
substantial.
---------------------------------------------------------------------------
\137\ Pope, C.A., III, R.T. Burnett, M.J. Thun, E.E. Calle, D.
Krewski, K. Ito, and G.D. Thurston (2002). Lung Cancer,
Cardiopulmonary Mortality, and Long-term Exposure to Fine
Particulate Air Pollution. Journal of the American Medical
Association, 287, 1132-1141.
\138\ Bell, M.L., et al. (2004). Ozone and short-term mortality
in 95 U.S. urban communities, 1987-2000. Journal of the American
Medical Association, 292(19), 2372-2378.
\139\ Laden, F., J. Schwartz, F.E. Speizer, and D.W. Dockery
(2006). Reduction in Fine Particulate Air Pollution and Mortality.
American Journal of Respiratory and Critical Care Medicine. 173,
667-672.
\140\ Levy, J.I., S.M. Chemerynski, and J.A. Sarnat (2005).
Ozone exposure and mortality: an empiric bayes metaregression
analysis. Epidemiology. 16(4), 458-68.
---------------------------------------------------------------------------
A. Overview
We base our analysis on peer-reviewed studies of air quality and
human health effects (see U.S. EPA, 2006 and U.S. EPA,
2008).141 142 These methods are described in more detail in
the RIA that accompanies this action. To model the ozone and PM air
quality impacts of the CAA standards and requirements and the ECA
designation, we used the Community Multiscale Air Quality (CMAQ) model
(see Section II). The modeled ambient air quality data serves as an
input to the Environmental Benefits Mapping and Analysis Program
(BenMAP).\143\ BenMAP is a computer program developed by the U.S. EPA
that integrates a number of the modeling elements used in previous
analyses (e.g., interpolation functions, population projections, health
impact functions, valuation functions, analysis and pooling methods) to
translate modeled air concentration estimates into health effects
incidence estimates and monetized benefits estimates.
---------------------------------------------------------------------------
\141\ U.S. Environmental Protection Agency (2006). Final
Regulatory Impact Analysis (RIA) for the Proposed National Ambient
Air Quality Standards for Particulate Matter. Prepared by: Office of
Air and Radiation. Retrieved March 26, 2009 at http://www.epa.gov/ttn/ecas/ria.html.
\142\ U.S. Environmental Protection Agency (2008). Final Ozone
NAAQS Regulatory Impact Analysis. Prepared by: Office of Air and
Radiation, Office of Air Quality Planning and Standards. Retrieved
March 26, 2009 at http://www.epa.gov/ttn/ecas/ria.html.
\143\ Information on BenMAP, including downloads of the
software, can be found at http://www.epa.gov/ttn/ecas/benmodels.html.
---------------------------------------------------------------------------
The range of total ozone- and PM-related benefits associated with
the coordinated strategy to control ship emissions is presented in
Table VIII-1. We present total benefits based on the PM- and ozone-
related premature mortality function used. The benefits ranges
therefore reflect the addition of each estimate of ozone-related
premature mortality (each with its own row in Table VIII-1) to
estimates of PM-related premature mortality. These estimates represent
EPA's preferred approach to characterizing the best estimate of
benefits associated with the coordinated strategy. As is the nature of
Regulatory Impact Analyses (RIAs), the assumptions and methods used to
estimate air quality benefits evolve to reflect the Agency's most
current interpretation of the scientific and economic literature. This
analysis, therefore, incorporates a number of important changes from
recent RIAs released by the Office of Transportation and Air Quality
(OTAQ):
The 2030 air quality modeling of the final coordinated
strategy reflects air quality impacts associated with an ECA boundary
distance of 200 nm with global controls (set through IMO) beyond the
ECA boundary. For the proposal, however, the air quality modeling
reflected impacts associated with an ECA boundary distance of 100 nm
with global controls beyond. To estimate the 2030 benefits associated
with a 200 nm ECA boundary in the proposal, we transferred the
relationship between modeled impacts between 100 nm and 200 nm ECA
boundaries observed in 2020. For each health endpoint and associated
valuation, we calculated a ratio based on the national-level estimate
for the 200 nm and 100 nm scenario and applied that to the related 2030
100 nm estimate. For the final RIA, we estimated benefits based on the
actual 2030 200 nm air quality modeling results. The net effect of this
change results in a small decrease in 2030 benefits compared to the
proposal.
For a period of time (2004-2008), the Office of Air and
Radiation (OAR) valued mortality risk reductions using a value of
statistical life (VSL) estimate derived from a limited analysis of some
of the available studies. OAR arrived at a VSL using a range of $1
million to $10 million (2000$) consistent with two meta-analyses of the
wage-risk literature. The $1 million value represented the lower end of
the interquartile range from the Mrozek and Taylor (2002) \144\ meta-
analysis of 33 studies and $10 million represented the upper end of the
interquartile range from the Viscusi and Aldy (2003) \145\ meta-
analysis of 46 studies. The mean estimate of $5.5 million (2000$) \146\
was also consistent with the mean VSL of $5.4 million estimated in the
Kochi et al. (2006) \147\ meta-analysis. However, the Agency neither
changed its official guidance on the use of VSL in rule-makings nor
subjected the interim estimate to a scientific peer-review process
through the Science Advisory Board (SAB) or other peer-review group.
---------------------------------------------------------------------------
\144\ Mrozek, J.R., and L.O. Taylor (2002). What Determines the
Value of Life? A Meta-Analysis. Journal of Policy Analysis and
Management 21(2):253-270.
\145\ Viscusi, V.K., and J.E. Aldy (2003). The Value of a
Statistical Life: A Critical Review of Market Estimates Throughout
the World. Journal of Risk and Uncertainty 27(1):5-76.
\146\ In this analysis, we adjust the VSL to account for a
different currency year (2006$) and to account for income growth to
2020 and 2030. After applying these adjustments to the $5.5 million
value, the VSL is $7.7m in 2020 and $7.9 in 2030.
\147\ Kochi, I., B. Hubbell, and R. Kramer 2006. An Empirical
Bayes Approach to Combining Estimates of the Value of Statistical
Life for Environmental Policy Analysis. Environmental and Resource
Economics. 34: 385-406.
---------------------------------------------------------------------------
During this time, the Agency continued work to update its guidance
on valuing mortality risk reductions, including commissioning a report
from meta-analytic experts to evaluate methodological questions raised
by EPA and the SAB on combining estimates from the various data
sources. In addition, the Agency consulted several times with the
Science Advisory Board Environmental Economics Advisory Committee (SAB-
EEAC) on the issue. With input from the meta-analytic experts, the SAB-
EEAC advised the Agency to update its guidance using specific,
appropriate meta-analytic techniques to combine estimates from unique
data sources and different studies, including those using different
methodologies (i.e., wage-risk and stated preference) (U.S. EPA-SAB,
2007).\148\
---------------------------------------------------------------------------
\148\ U.S. Environmental Protection Agency (U.S. EPA). 2007. SAB
Advisory on EPA's Issues in Valuing Mortality Risk Reduction. http:/
/yosemite.epa.gov/sab/sabproduct.nsf/
4128007E7876B8F0852573760058A978/$File/sab-08-001.pdf.
---------------------------------------------------------------------------
Until updated guidance is available, the Agency determined that a
single, peer-reviewed estimate applied consistently best reflects the
SAB-EEAC advice it has received. Therefore, the Agency has decided to
apply the VSL that was vetted and endorsed by the SAB in the Guidelines
for Preparing Economic Analyses (U.S. EPA, 2000) while the Agency
continues its efforts to update its guidance on this issue.\149\ This
approach calculates a mean value across VSL estimates derived from 26
labor market and contingent valuation studies published between 1974
and 1991. The mean VSL across these studies is $6.3 million
(2000$).\150\
---------------------------------------------------------------------------
\149\ In the (draft) update of the Economic Guidelines, EPA
retained the VSL endorsed by the SAB with the understanding that
further updates to the mortality risk valuation guidance would be
forthcoming in the near future. Therefore, this report does not
represent final agency policy. The 2000 guidelines can be downloaded
here: http://yosemite.epa.gov/ee/epa/eed.nsf/webpages/Guidelines.html, and the draft updated version (2008) of the
guidelines can be downloaded here: http://yosemite.epa.gov/ee/epa/eerm.nsf/vwRepNumLookup/EE-0516?OpenDocument.
\150\ In this analysis, we adjust the VSL to account for a
different currency year (2006$) and to account for income growth to
2020 and 2030. After applying these adjustments to the $6.3 million
value, the VSL is $8.9m in 2020 and $9.1m in 2030.
---------------------------------------------------------------------------
The Agency is committed to using scientifically sound,
appropriately
[[Page 22957]]
reviewed evidence in valuing mortality risk reductions and has made
significant progress in responding to the SAB-EEAC's specific
recommendations. The Agency anticipates presenting results from this
effort to the SAB-EEAC in Winter 2009/2010 and that draft guidance will
be available shortly thereafter.
In recent analyses, OTAQ has estimated PM2.5-
related benefits assuming that a threshold exists in the PM-related
concentration-response functions (at 10 [micro]g/m\3\) below which
there are no associations between exposure to PM2.5 and
health impacts. EPA strives to use the best available science to
support our benefits analyses, and we recognize that interpretation of
the science regarding air pollution and health is dynamic and evolving.
Based on our review of the body of scientific literature, EPA applied
the no-threshold model in this analysis. EPA's draft Integrated Science
Assessment,151 152 which was recently reviewed by EPA's
Clean Air Scientific Advisory Committee,153 154 concluded
that the scientific literature consistently finds that a no-threshold
log-linear model most adequately portrays the PM-mortality
concentration-response relationship while recognizing potential
uncertainty about the exact shape of the concentration-response
function.\155\ Although this document does not represent final agency
policy that has undergone the full agency scientific review process, it
provides a basis for reconsidering the application of thresholds in
PM2.5 concentration-response functions used in EPA's
RIAs.\156\ It is important to note that while CASAC provides advice
regarding the science associated with setting the National Ambient Air
Quality Standards, typically other scientific advisory bodies provide
specific advice regarding benefits analysis.\157\ Please see Section
6.4.1.3 of the RIA that accompanies this preamble for more discussion
of the treatment of thresholds in this analysis.
---------------------------------------------------------------------------
\151\ U.S. Environmental Protection Agency (U.S. EPA).
Integrated Science Assessment for Particulate Matter (External
Review Draft). National Center for Environmental Assessment,
Research Triangle Park, NC. EPA/600/R-08/139. December. Available on
the Internet at http://cfpub.epa.gov/ncea/cfm/recordisplay.cfm?deid=201805.
\152\ U.S. Environmental Protection Agency (U.S. EPA).
Integrated Science Assessment for Particulate Matter (Second
External Review Draft). National Center for Environmental
Assessment, Research Triangle Park, NC. EPA/600/R-08/139B. July.
Available on the Internet at http://cfint.rtpnc.epa.gov/ncea/prod/recordisplay.cfm?deid=210586.
\153\ U.S. Environmental Protection Agency--Science Advisory
Board (U.S. EPA-SAB). Review of EPA's Integrated Science Assessment
for Particulate Matter (First External Review Draft, December 2008).
EPA-COUNCIL-09-008. May. Available on the Internet at http://
yosemite.epa.gov/sab/SABPRODUCT.NSF/
81e39f4c09954fcb85256ead006be86e/73ACCA834AB44A10852575BD0064346B/
$File/EPA-CASAC-09-008-unsigned.pdf.
\154\ U.S. Environmental Protection Agency--Science Advisory
Board (U.S. EPA-SAB). Consultation on EPA's Particulate Matter
National Ambient Air Quality Standards: Scope and Methods Plan for
Health Risk and Exposure Assessment. EPA-COUNCIL-09-009. May.
Available on the Internet at http://yosemite.epa.gov/sab/
SABPRODUCT.NSF/81e39f4c09954fcb85256ead006be86e/
723FE644C5D758DF852575BD00763A32/$File/EPA-CASAC-09-009-
unsigned.pdf.
\155\ It is important to note that uncertainty regarding the
shape of the concentration-response function is conceptually
distinct from an assumed threshold. An assumed threshold (below
which there are no health effects) is a discontinuity, which is a
specific example of non-linearity.
\156\ The final PM ISA, which will have undergone the full
agency scientific review process, is scheduled to be completed in
late December 2009.
\157\ In the proposed Portland Cement RIA, EPA solicited comment
on the use of the no-threshold model for benefits analysis within
the preamble of that proposed rule. The comment period for the
Portland Cement proposed NESHAP closed on September 4, 2009 (Docket
ID No. EPA-HQ-OAR-2002-0051 available at http://www.regulations.gov). EPA is currently reviewing those comments.
U.S. Environmental Protection Agency. (2009). Regulatory Impact
Analysis: National Emission Standards for Hazardous Air Pollutants
from the Portland Cement Manufacturing Industry. Office of Air and
Radiation. Retrieved on May 4, 2009, from http://www.epa.gov/ttn/ecas/regdata/RIAs/portlandcementria_4-20-09.pdf.
---------------------------------------------------------------------------
For the coordinated strategy, we rely on two empirical
(epidemiological) studies of the relationship between ambient
PM2.5 and premature mortality (the extended analyses of the
Harvard Six Cities study by Laden et al (2006) and the American Cancer
Society (ACS) cohort by Pope et al (2002)) to anchor our benefits
analysis, though we also present the PM2.5-related premature
mortality benefits associated with the estimates supplied by the expert
elicitation as a sensitivity analysis. This approach was recently
adopted in the proposed Portland Cement MACT RIA. Since 2006, EPA has
calculated benefits based on these two empirical studies and derived
the range of benefits, including the minimum and maximum results, from
an expert elicitation of the relationship between exposure to
PM2.5 and premature mortality (Roman et al., 2008).\158\
Using alternate relationships between PM2.5 and premature
mortality supplied by experts, higher and lower benefits estimates are
plausible, but most of the expert-based estimates have fallen between
the two epidemiology-based estimates (Roman et al., 2008). Assuming no
threshold in the empirically-derived premature mortality concentration
response functions used in the analysis of the coordinated strategy,
only one expert falls below the empirically-derived range while two of
the experts are above this range (see Tables 6-5 and 6-6 in the RIA
that accompanies this preamble). Please refer to the proposed Portland
Cement MACT RIA for more information about the preferred approach and
the evolution of the treatment of threshold assumptions within EPA's
regulatory analyses.
---------------------------------------------------------------------------
\158\ Roman, Henry A., Walker, Katherine D., Walsh, Tyra L.,
Conner, Lisa, Richmond, Harvey M., Hubbell, Bryan J., and Kinney,
Patrick L.. (2008). Expert Judgment Assessment of the Mortality
Impact of Changes in Ambient Fine Particulate Matter in the U.S.
Environ. Sci. Technol., 42, 7, 2268-2274.
---------------------------------------------------------------------------
The range of ozone benefits associated with the
coordinated strategy is estimated based on risk reductions derived from
several sources of ozone-related mortality effect estimates. This
analysis presents six alternative estimates for the association based
upon different functions reported in the scientific literature. We use
three multi-city studies,159 160 161 including the Bell,
2004 National Morbidity, Mortality, and Air Pollution Study (NMMAPS)
that was used as the primary basis for the risk analysis in the ozone
Staff Paper \162\ and reviewed by the Clean Air Science Advisory
Committee (CASAC).\163\ We also use three studies that synthesize ozone
mortality data across a large number of individual
studies.164 165 166 This approach is consistent with
recommendations provided by the NRC in their ozone mortality report
(NRC, 2008),\167\ ``The committee recommends
[[Page 22958]]
that the greatest emphasis be placed on estimates from new systematic
multicity analyses that use national databases of air pollution and
mortality, such as in the NMMAPS, without excluding consideration of
meta-analyses of previously published studies.'' The NRC goes on to
note that there are uncertainties within each study that are not fully
captured by this range of estimates.
---------------------------------------------------------------------------
\159\ Bell, M.L., et al. (2004). Ozone and short-term mortality
in 95 U.S. urban communities, 1987-2000. Jama, 2004. 292(19): p.
2372-8.
\160\ Huang, Y.; Dominici, F.; Bell, M.L. (2005). Bayesian
hierarchical distributed lag models for summer ozone exposure and
cardio-respiratory mortality. Environmetrics 16: 547-562.
\161\ Schwartz, J. (2005). How sensitive is the association
between ozone and daily deaths to control for temperature? Am. J.
Respir. Crit. Care Med. 171: 627-631.
\162\ U.S. EPA (2007). Review of the National Ambient Air
Quality Standards for Ozone, Policy Assessment of Scientific and
Technical Information. OAQPS Staff Paper. EPA-452/R-07-003. This
document is available in Docket EPA-HQ-OAR-2003-0190. Retrieved on
April 10, 2009, from http:www.epa.gov/ttn/naaqs/standards/ozone/s_o3_cr_sp.html.
\163\ CASAC (2007). Clean Air Scientific Advisory Committee's
(CASAC) Review of the Agency's Final Ozone Staff Paper. EPA-CASAC-
07-002. March 26.
\164\ Bell, M.L., F. Dominici, and J.M. Samet (2005). A meta-
analysis of time-series studies of ozone and mortality with
comparison to the national morbidity, mortality, and air pollution
study. Epidemiology, 16(4): p. 436-45.
\165\ Ito, K., S.F. De Leon, and M. Lippmann (2005).
Associations between ozone and daily mortality: analysis and meta-
analysis. Epidemiology. 16(4): p. 446-57.
\166\ Levy, J.I., S.M. Chemerynski, and J.A. Sarnat (2005).
Ozone exposure and mortality: an empiric bayes metaregression
analysis. Epidemiology. 16(4): p. 458-68.
\167\ National Research Council (NRC), 2008. Estimating
Mortality Risk Reduction and Economic Benefits from Controlling
Ozone Air Pollution. The National Academies Press: Washington, DC.
Table VIII-1--Estimated 2030 Monetized PM- and Ozone-Related Health Benefits of a Coordinated U.S. Strategy To
Control Ship Emissions \a\
----------------------------------------------------------------------------------------------------------------
2030 Total Ozone and PM Benefits--PM Mortality Derived from American Cancer Society Analysis and Six-Cities
Analysis \a\
-----------------------------------------------------------------------------------------------------------------
Total benefits Total benefits
(billions, (billions,
Premature ozone mortality function Reference 2006$, 3% 2006$, 7%
discount rate) discount rate)
\c\ \d\ \c\ \d\
----------------------------------------------------------------------------------------------------------------
Multi-city analyses......................... Bell et al., 2004............. 110-260 99-240
Huang et al., 2005............ 110-260 100-240
Schwartz, 2005................ 110-260 100-240
Meta-analyses............................... Bell et al., 2005............. 110-260 100-240
Ito et al., 2005.............. 110-270 110-240
Levy et al., 2005............. 110-270 110-240
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Total includes premature mortality-related and morbidity-related ozone and PM2.5 benefits. Range was
developed by adding the estimate from the ozone premature mortality function to the estimate of PM2.5-related
premature mortality derived from either the ACS study (Pope et al., 2002) or the Six-Cities study (Laden et
al., 2006).
\b\ Note that total benefits presented here do not include a number of unquantified benefits categories. A
detailed listing of unquantified health and welfare effects is provided in Table VIII-2.
\c\ Results reflect the use of both a 3 and 7 percent discount rate, as recommended by EPA's Guidelines for
Preparing Economic Analyses and OMB Circular A-4. Results are rounded to two significant digits for ease of
presentation and computation.
The benefits in Table VIII-1 include all of the human health
impacts we are able to quantify and monetize at this time. However, the
full complement of human health and welfare effects associated with PM
and ozone remain unquantified because of current limitations in methods
or available data. We have not quantified a number of known or
suspected health effects linked with ozone and PM for which appropriate
health impact functions are not available or which do not provide
easily interpretable outcomes (i.e., changes in heart rate
variability). Additionally, we are unable to quantify a number of known
welfare effects, including reduced acid and particulate deposition
damage to cultural monuments and other materials, and environmental
benefits due to reductions of impacts of eutrophication in coastal
areas. These are listed in Table VIII-2. As a result, the health
benefits quantified in this section are likely underestimates of the
total benefits attributable to the implementation of the coordinated
strategy to control ship emissions.
Table VIII-2--Unquantified and Non-Monetized Potential Effects of a Coordinated U.S. Strategy To Control Ship Emissions
--------------------------------------------------------------------------------------------------------------------------------------------------------
Pollutant/effects Effects not included in analysis--Changes in
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ozone Health \a\............................. Chronic respiratory damage.\b\
Premature aging of the lungs.\b\
Non-asthma respiratory emergency room visits.
Exposure to UVb (+/-).\e\
Ozone Welfare................................ Yields for
-- commercial forests.
-- some fruits and vegetables.
-- non-commercial crops.
Damage to urban ornamental plants.
Impacts on recreational demand from damaged forest aesthetics.
Ecosystem functions.
Exposure to UVb (+/-).\e\
PM Health \c\................................ Premature mortality--short term exposures.\d\
Low birth weight.
Pulmonary function.
Chronic respiratory diseases other than chronic bronchitis.
Non-asthma respiratory emergency room visits.
Exposure to UVb (+/-).\e\
PM Welfare................................... Residential and recreational visibility in non-Class I areas.
Soiling and materials damage.
Damage to ecosystem functions.
Exposure to UVb (+/-).\e\
Nitrogen and Sulfate Deposition Welfare...... Commercial forests due to acidic sulfate and nitrate deposition.
Commercial freshwater fishing due to acidic deposition.
Recreation in terrestrial ecosystems due to acidic deposition.
[[Page 22959]]
Existence values for currently healthy ecosystems.
Commercial fishing, agriculture, and forests due to nitrogen. deposition.
Recreation in estuarine ecosystems due to nitrogen. deposition.
Ecosystem functions.
Passive fertilization.
CO Health.................................... Behavioral effects.
HC/Toxics Health \f\......................... Cancer (benzene, 1,3-butadiene, formaldehyde, acetaldehyde).
Anemia (benzene).
Disruption of production of blood components (benzene).
Reduction in the number of blood platelets (benzene).
Excessive bone marrow formation (benzene).
Depression of lymphocyte counts (benzene).
Reproductive and developmental effects (1,3-butadiene).
Irritation of eyes and mucus membranes (formaldehyde).
Respiratory irritation (formaldehyde).
Asthma attacks in asthmatics (formaldehyde).
Asthma-like symptoms in non-asthmatics (formaldehyde).
Irritation of the eyes, skin, and respiratory tract (acetaldehyde).
Upper respiratory tract irritation and congestion (acrolein).
HC/Toxics Welfare............................ Direct toxic effects to animals.
Bioaccumulation in the food chain.
Damage to ecosystem function.
Odor.
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ The public health impact of biological responses such as increased airway responsiveness to stimuli, inflammation in the lung, acute inflammation
and respiratory cell damage, and increased susceptibility to respiratory infection are likely partially represented by our quantified endpoints.
\b\ The public health impact of effects such as chronic respiratory damage and premature aging of the lungs may be partially represented by quantified
endpoints such as hospital admissions or premature mortality, but a number of other related health impacts, such as doctor visits and decreased
athletic performance, remain unquantified.
\c\ In addition to primary economic endpoints, there are a number of biological responses that have been associated with PM health effects including
morphological changes and altered host defense mechanisms. The public health impact of these biological responses may be partly represented by our
quantified endpoints.
\d\ While some of the effects of short-term exposures are likely to be captured in the estimates, there may be premature mortality due to short-term
exposure to PM not captured in the cohort studies used in this analysis. However, the PM mortality results derived from the expert elicitation do take
into account premature mortality effects of short term exposures.
\e\ May result in benefits or disbenefits.
\f\ Many of the key hydrocarbons related to this rule are also hazardous air pollutants listed in the CAA.
B. Quantified Human Health Impacts
Tables VIII-3 and VIII-4 present the annual PM2.5 and
ozone health impacts in the 48 contiguous U.S. States associated with
the coordinated strategy for both 2020 and 2030. For each endpoint
presented in Tables VIII-3 and VIII-4, we provide both the mean
estimate and the 90% confidence interval.
Using EPA's preferred estimates, based on the ACS and Six-Cities
studies and no threshold assumption in the model of mortality, we
estimate that the coordinated strategy will result in between 5,300 and
14,000 cases of avoided PM2.5-related premature deaths
annually in 2020 and between 12,000 and 30,000 avoided premature deaths
annually in 2030. As a sensitivity analysis, when the range of expert
opinion is used, we estimate between 1,900 and 18,000 fewer premature
mortalities in 2020 and between 4,300 and 40,000 fewer premature
mortalities in 2030 (see Tables 6-5 and 6-6 in the RIA that accompanies
this rule).
For ozone-related premature mortality, we estimate a range of
between 61 to 280 fewer premature mortalities as a result of the
coordinated strategy in 2020 and between 210 to 920 in 2030. The
increase in annual benefits from 2020 to 2030 reflects additional
emission reductions from coordinated strategy, as well as increases in
total population and the average age (and thus baseline mortality risk)
of the population.
Table VIII-3--Estimated PM2.5-Related Health Impacts Associated With a Coordinated U.S. Strategy To Control Ship
Emissions \a\
----------------------------------------------------------------------------------------------------------------
2020 Annual reduction in ship-related 2030 Annual reduction in ship-related
Health effect incidence (5th-95th percentile) incidence (5th-95th percentile)
----------------------------------------------------------------------------------------------------------------
Premature Mortality--Derived from
epidemiology literature \b\
Adult, age 30+, ACS Cohort 5,300................................ 12,000
Study (Pope et al., 2002). (2,100-8,500)........................ (4,700-19,000)
Adult, age 25+, Six-Cities 14,000............................... 30,000
Study (Laden et al., 2006). (7,400-20,000)....................... (17,000-44,000)
[[Page 22960]]
Infant, age <1 year (Woodruff 20................................... 34
et al., 1997). (0-55)............................... (0-93)
Chronic bronchitis (adult, age 26 3,800................................ 8,100
and over). (700-6,900).......................... (1,500-14,000)
Non-fatal myocardial infarction 8,800................................ 20,000
(adult, age 18 and over). (3,200-14,000)....................... (7,600-33,000)
Hospital admissions--respiratory 1,200................................ 2,700
(all ages) \c\. (590-1,800).......................... (1,300-4,000)
Hospital admissions-- 2,700................................ 6,600
cardiovascular (adults, age >18) (2,000-3,200)........................ (4,700-7,700)
\d\.
Emergency room visits for asthma 3,500................................ 7,300
(age 18 years and younger). (2,000-4,900)........................ (4,300-10,000)
Acute bronchitis (children, age 8- 8,500................................ 17,000
12). (0-17,000)........................... (0-35,000)
Lower respiratory symptoms 100,000.............................. 210,000
(children, age 7-14). (49,000-150,000)..................... (100,000-310,000)
Upper respiratory symptoms 77,000............................... 160,000
(asthmatic children, age 9-18). (24,000-130,000)..................... (50,000-270,000)
Asthma exacerbation (asthmatic 95,000............................... 200,000
children, age 6-18). (10,000-260,000)..................... (22,000-550,000)
Work loss days.................... 720,000.............................. 1,400,000
(630,000-810,000).................... (1,300,000-1,600,000)
Minor restricted activity days 4,300,000............................ 8,500,000
(adults, age 18-65). (3,600,000-4,900,000)................ (7,200,000-9,800,000)
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Incidence is rounded to two significant digits. Estimates represent incidence within the 48 contiguous
United States.
\b\ PM-related adult mortality based upon the American Cancer Society (ACS) Cohort Study (Pope et al., 2002) and
the Six-Cities Study (Laden et al., 2006). Note that these are two alternative estimates of adult mortality
and should not be summed. PM-related infant mortality based upon a study by Woodruff, Grillo, and Schoendorf,
(1997). [Woodruff, T.J., J. Grillo, and K.C. Schoendorf. 1997. ``The Relationship Between Selected Causes of
Postneonatal Infant Mortality and Particulate Air Pollution in the United States.'' Environmental Health
Perspectives 105(6):608-612.]
\c\ Respiratory hospital admissions for PM include admissions for chronic obstructive pulmonary disease (COPD),
pneumonia and asthma.
\d\ Cardiovascular hospital admissions for PM include total cardiovascular and subcategories for ischemic heart
disease, dysrhythmias, and heart failure.
Table VIII-4--Estimated Ozone-Related Health Impacts Associated With a Coordinated U.S. Strategy To Control Ship
Emissions \a\
----------------------------------------------------------------------------------------------------------------
2020 Annual reduction in ship-related 2030 Annual reduction in ship-related
Health effect incidence (5th-95th percentile) incidence (5th-95th percentile)
----------------------------------------------------------------------------------------------------------------
Premature Mortality, All ages \b\
Multi-City Analyses
Bell et al. (2004)--Non- 61................................... 210
accidental. (23-98).............................. (70-340)
Huang et al. (2005)-- 100.................................. 350
Cardiopulmonary. (43-160)............................. (130-570)
Schwartz (2005)--Non- 93................................... 320
accidental. (34-150)............................. (100-530)
Meta-analyses:
Bell et al. (2005)--All cause. 200.................................. 660
(100-290)............................ (320-1,000)
Ito et al. (2005)--Non- 270.................................. 920
accidental. (170-370)............................ (560-1,300)
Levy et al. (2005)--All cause. 280.................................. 920
(200-360)............................ (640-1,200)
Hospital admissions--respiratory 470.................................. 1,900
causes (adult, 65 and older) \c\. (46-830)............................. (120-3,300)
Hospital admissions--respiratory 380.................................. 1,200
causes (children, under 2). (180-590)............................ (490-1,900)
Emergency room visit for asthma 210.................................. 690
(all ages). (0-550).............................. (0-1,800)
Minor restricted activity days 360,000.............................. 1,100,000
(adults, age 18-65). (160,000-570,000).................... (430,000-1,700,000)
[[Page 22961]]
School absence days............... 130,000.............................. 420,000
(51,000-190,000)..................... (150,000-630,000)
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ Incidence is rounded to two significant digits. Estimates represent incidence within the 48 contiguous U.S.
\b\ Estimates of ozone-related premature mortality are based upon incidence estimates derived from several
alternative studies: Bell et al. (2004); Huang et al. (2005); Schwartz (2005); Bell et al. (2005); Ito et al.
(2005); Levy et al. (2005). The estimates of ozone-related premature mortality should therefore not be summed.
\c\ Respiratory hospital admissions for ozone include admissions for all respiratory causes and subcategories
for COPD and pneumonia.
C. Monetized Benefits
Table VIII-5 presents the estimated monetary value of reductions in
the incidence of ozone and PM2.5-related health effects. All
monetized estimates are stated in 2006$. These estimates account for
growth in real gross domestic product (GDP) per capita between the
present and the years 2020 and 2030. As the tables indicate, total
benefits are driven primarily by the reduction in premature fatalities
each year.
Our estimate of total monetized benefits in 2020 for the
coordinated strategy, using the ACS and Six-Cities PM mortality studies
and the range of ozone mortality assumptions, is between $47 billion
and $110 billion, assuming a 3 percent discount rate, or between $42
billion and $100 billion, assuming a 7 percent discount rate. In 2030,
we estimate the monetized benefits to be between $110 billion and $270
billion, assuming a 3 percent discount rate, or between $99 billion and
$240 billion, assuming a 7 percent discount rate. The monetized benefit
associated with reductions in the risk of both ozone- and
PM2.5-related premature mortality ranges between 90 to 98
percent of total monetized health benefits, in part because we are
unable to quantify a number of benefits categories (see Table VIII-2).
These unquantified benefits may be substantial, although their
magnitude is highly uncertain.
Table VIII-5--Estimated Monetary Value in Reductions in Incidence of Health and Welfare Effects
[in millions of 2006$] \a\ \b\
--------------------------------------------------------------------------------------------------------------------------------------------------------
2020 2030
--------------------------------------------------------------------------------------------------------------------------------------------------------
PM2.5-related health effect Estimated mean value of reductions
(5th and 95th percentile)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Premature Mortality--Derived from Adult, age 30+ --ACS
Epidemiology Studies c d. study (Pope et al.,
2002).
3% discount rate..... $43,000 ($5,000-$110,000)..................... $99,000 ($12,000-$260,000)
7% discount rate..... $38,000 ($4,500-$100,000)..................... $89,000 ($11,000-$230,000)
---------------------------------------------------------------------------------------------------------------------
Adult, age 25+ --six-
cities study (Laden
et al., 2006).
3% discount rate..... $110,000 ($14,000-$270,000)................... $250,000 ($33,000-$630,000)
7% discount rate..... $98,000 ($13,000-$250,000).................... $230,000 ($30,000-$570,000)
---------------------------------------------------------------------------------------------------------------------
Infant mortality, <1 $180 ($0-$670)................................ $310 ($0-$1,200)
year--(Woodruff et
al. 1997).
--------------------------------------------------------------------------------------------------------------------------------------------------------
Chronic bronchitis (adults, 26 and over) $1,900 ($140-$6,500).......................... $4,100 ($320-$14,000)
Non-fatal acute myocardial infarctions
3% discount rate..................................... $960 ($170-$2,300)............................ $2,700 ($460-$6,700)
7% discount rate..................................... $930 ($160-$2,300)............................ $2,600 ($430-$6,600)
Hospital admissions for respiratory causes............... $17 ($8.4-$25)................................ $39 ($19-$57)
Hospital admissions for cardiovascular causes............ $76 ($48-$110)................................ $180 ($120-$250)
Emergency room visits for asthma......................... $1.3 ($0.70-$1.9)............................. $2.7 ($1.5-$4.1)
Acute bronchitis (children, age 8-12).................... $0.63 ($0-$1.6)............................... $1.3 ($0-$3.2)
Lower respiratory symptoms (children, 7-14).............. $2.0 ($0.75-$3.7)............................. $4.1 ($1.6-$7.6)
Upper respiratory symptoms (asthma, 9-11)................ $2.4 ($0.65-$5.3)............................. $5.0 ($1.4-$11)
Asthma exacerbations..................................... $5.1 ($0.51-$15).............................. $11 ($1.1-$32)
Work loss days........................................... $110 ($94-$120)............................... $220 ($190-$250)
Minor restricted-activity days (MRADs)................... $270 ($150-$390).............................. $540 ($310-$780)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Ozone-related Health Effect
--------------------------------------------------------------------------------------------------------------------------------------------------------
Premature mortality, all ages-- Bell et al., 2004.... $540 ($63-$1,400)............................. $1,800 ($210-$4,900)
derived from multi-city analyses.
Huang et al., 2005... $910 ($110-$2,300)............................ $3,100 ($360-$8,200)
Schwartz, 2005....... $830 ($94-$2,200)............................. $2,800 ($310-$7,600)
--------------------------------------------------------------------------------------------------------------------------------------------------------
[[Page 22962]]
Premature mortality, all ages-- Bell et al., 2005.... $1,700 ($220-$4,400).......................... $5,800 ($740-$15,000)
derived from meta-analyses.
Ito et al., 2005..... $2,400 ($330-$5,900).......................... $8,200 ($1,100-$20,000)
Levy et al., 2005.... $2,400 ($340-$5,900).......................... $8,200 ($1,100-$20,000)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Hospital admissions--respiratory causes (adult, 65 and $11 ($1.1-$20)................................ $45 ($2.8-$79)
older).
Hospital admissions--respiratory causes (children, under $3.8 ($1.8-$5.9).............................. $12 ($4.9-$19)
2).
Emergency room visit for asthma (all ages)............... $0.08 ($0.03-$0.20)........................... $0.25 ($0-$0.63)
Minor restricted activity days (adults, age 18-65)....... $23 ($9.8-$41)................................ $69 ($25-$120)
School absence days...................................... $12 ($4.6-$17)................................ $37 ($13-$57)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Notes:
\a\ Monetary benefits are rounded to two significant digits for ease of presentation and computation. PM and ozone benefits are nationwide.
\b\ Monetary benefits adjusted to account for growth in real GDP per capita between 1990 and the analysis year (2020 or 2030).
\c\ Valuation assumes discounting over the SAB recommended 20-year segmented lag structure. Results reflect the use of 3 percent and 7 percent discount
rates consistent with EPA and OMB guidelines for preparing economic analyses.
D. What Are the Limitations of the Benefits Analysis?
Every benefit-cost analysis examining the potential effects of a
change in environmental protection requirements is limited to some
extent by data gaps, limitations in model capabilities (such as
geographic coverage), and uncertainties in the underlying scientific
and economic studies used to configure the benefit and cost models.
Limitations of the scientific literature often result in the inability
to estimate quantitative changes in health and environmental effects,
such as potential increases in premature mortality associated with
increased exposure to carbon monoxide. Deficiencies in the economics
literature often result in the inability to assign economic values even
to those health and environmental outcomes which can be quantified.
These general uncertainties in the underlying scientific and economics
literature, which can lead to valuations that are higher or lower, are
discussed in detail in the RIA and its supporting references. Key
uncertainties that have a bearing on the results of the benefit-cost
analysis of the coordinated strategy include the following:
The exclusion of potentially significant and unquantified
benefit categories (such as health, odor, and ecological benefits of
reduction in air toxics, ozone, and PM);
Errors in measurement and projection for variables such as
population growth;
Uncertainties in the estimation of future year emissions
inventories and air quality;
Uncertainty in the estimated relationships of health and
welfare effects to changes in pollutant concentrations including the
shape of the C-R function, the size of the effect estimates, and the
relative toxicity of the many components of the PM mixture;
Uncertainties in exposure estimation; and
Uncertainties associated with the effect of potential
future actions to limit emissions.
As Table VIII-5 indicates, total benefits are driven primarily by
the reduction in premature mortalities each year. Some key assumptions
underlying the premature mortality estimates include the following,
which may also contribute to uncertainty:
Inhalation of fine particles is causally associated with
premature death at concentrations near those experienced by most
Americans on a daily basis. Although biological mechanisms for this
effect have not yet been completely established, the weight of the
available epidemiological, toxicological, and experimental evidence
supports an assumption of causality. The impacts of including a
probabilistic representation of causality were explored in the expert
elicitation-based results of the PM NAAQS RIA.
All fine particles, regardless of their chemical
composition, are equally potent in causing premature mortality. This is
an important assumption, because PM produced via transported precursors
emitted from marine engines may differ significantly from PM precursors
released from electric generating units and other industrial sources.
However, no clear scientific grounds exist for supporting differential
effects estimates by particle type.
The C-R function for fine particles is approximately
linear within the range of ambient concentrations under consideration.
Thus, the estimates include health benefits from reducing fine
particles in areas with varied concentrations of PM, including both
regions that may be in attainment with PM2.5 standards and
those that are at risk of not meeting the standards.
There is uncertainty in the magnitude of the association
between ozone and premature mortality. The range of ozone benefits
associated with the coordinated strategy is estimated based on the risk
of several sources of ozone-related mortality effect estimates. In a
recent report on the estimation of ozone-related premature mortality
published by the National Research Council, a panel of experts and
reviewers concluded that short-term exposure to ambient ozone is likely
to contribute to premature deaths and that ozone-related mortality
should be included in estimates of the health benefits of reducing
ozone exposure.\168\ EPA has requested advice from the National Academy
of Sciences on how best to quantify uncertainty in the relationship
between ozone exposure and premature mortality in the context of
quantifying benefits.
---------------------------------------------------------------------------
\168\ National Research Council (NRC). 2008. Estimating
Mortality Risk Reduction and Economic Benefits from Controlling
Ozone Air Pollution. The National Academies Press: Washington, DC.
---------------------------------------------------------------------------
Emissions and air quality modeling decisions are made early in the
analytical process. For this reason, the emission control scenarios
used in the air quality and benefits modeling are slightly different
than the coordinated strategy. The discrepancies impact the benefits
analysis in two ways:
The air quality modeling used for the 2020 scenario is
based on inventory estimates that were modeled using incorrect boundary
information. We believe the impact of this difference, while modest,
likely leads to a small underestimate of the benefits that are
presented in this section. The correct boundary information was used
for the
[[Page 22963]]
2030 scenario. Please refer to the Chapter 3 of the RIA for more
information on the emissions excluded from the health impacts analysis.
The 2020 air quality modeling scenarios do not include
emission reductions associated with the implementation of global
controls (set through IMO) beyond the assumed ECA boundary of 200
nautical miles (nm). Again, while we expect the impact of this
difference is modest, the omission of these additional emission
reductions likely leads to a small underestimate of the 2020 benefits
presented in this section. The 2030 air quality modeling scenario did
include emission reductions associated with global controls beyond the
assumed ECA boundary of 200 nm.
Despite the uncertainties described above, we believe this analysis
provides a conservative estimate of the estimated economic benefits of
the standards in future years because of the exclusion of potentially
significant benefit categories that are not quantifiable at this time.
Acknowledging benefits omissions and uncertainties, we present a best
estimate of the total benefits based on our interpretation of the best
available scientific literature and methods supported by EPA's
technical peer review panel, the Science Advisory Board's Health
Effects Subcommittee (SAB-HES). The National Academies of Science (NRC,
2002) has also reviewed EPA's methodology for analyzing the health
benefits of measures taken to reduce air pollution. EPA addressed many
of these comments in the analysis of the final PM
NAAQS.169 170 This analysis incorporates this most recent
work to the extent possible.
---------------------------------------------------------------------------
\169\ National Research Council (NRC). 2002. Estimating the
Public Health Benefits of Proposed Air Pollution Regulations. The
National Academies Press: Washington, DC.
\170\ U.S. Environmental Protection Agency. October 2006. Final
Regulatory Impact Analysis (RIA) for the Proposed National Ambient
Air Quality Standards for Particulate Matter. Prepared by: Office of
Air and Radiation. Available at http://www.epa.gov/ttn/ecas/ria.html.
---------------------------------------------------------------------------
E. Comparison of Costs and Benefits
This section presents the cost-benefit comparison related to the
expected impacts of our coordinated strategy for ocean-going vessels.
In estimating the net benefits of the coordinated strategy, the
appropriate cost measure is `social costs.' Social costs represent the
welfare costs of a rule to society and do not consider transfer
payments (such as taxes) that are simply redistributions of wealth. For
this analysis, we estimate that the social costs of the coordinated
program are equivalent to the estimated compliance costs of the
program. While vessel owners and operators will see their costs
increase by the amount of those compliance costs, they are expected to
pass them on in their entirety to consumers of marine transportation
services in the form of increased freight rates. Ultimately, these
costs will be borne by the final consumers of goods transported by
ocean-going vessels in the form of higher prices for those goods. The
social benefits of the coordinated strategy are represented by the
monetized value of health and welfare improvements experienced by the
U.S. population. Table VIII-6 contains the estimated social costs and
the estimated monetized benefits of the coordinated strategy.
The results in Table VIII-6 suggest that the 2020 monetized
benefits of the coordinated strategy are greater than the expected
costs. Specifically, the annual benefits of the total program will
range between $47 to $110 billion annually in 2020 using a three
percent discount rate, or between $42 to $100 billion assuming a 7
percent discount rate, compared to estimated social costs of
approximately $1.9 billion in that same year. These benefits are
expected to increase to between $110 and $270 billion annually in 2030
using a three percent discount rate, or between $99 and $240 billion
assuming a 7 percent discount rate, while the social costs are
estimated to be approximately $3.1 billion. Though there are a number
of health and environmental effects associated with the coordinated
strategy that we are unable to quantify or monetize (see Table VIII-2),
the benefits of the coordinated strategy far outweigh the projected
costs.
Using a conservative benefits estimate, the 2020 benefits outweigh
the costs by a factor of 22. Using the upper end of the benefits range,
the benefits could outweigh the costs by a factor of 58. Likewise, in
2030 benefits outweigh the costs by at least a factor of 32 and could
be as much as a factor of 87. Thus, even taking the most conservative
benefits assumptions, benefits of the coordinated strategy clearly
outweigh the costs.
Table VIII-6--Summary of Annual Benefits and Costs Associated With a Coordinated U.S. Strategy To Control Ship
Emissions a
[Millions of 2006 dollars]
----------------------------------------------------------------------------------------------------------------
Description 2020 2030
----------------------------------------------------------------------------------------------------------------
Total Estimated Costs b............. $1,900.............................. $3,100.
Total Estimated Health Benefits: c d
e f
3-percent discount rate......... $47,000 to $110,000................. $110,000 to $270,000.
7-percent discount rate......... $42,000 to $100,000................. $99,000 to $240,000.
Annual Net Benefits (Total Benefits--
Total Costs):
3-percent discount rate......... $45,000 to $110,000................. $110,000 to $270,000.
7-percent discount rate......... $40,000 to $98,000.................. $96,000 to $240,000.
----------------------------------------------------------------------------------------------------------------
Notes:
\a\ All estimates represent annual benefits and costs anticipated for the years 2020 and 2030. Totals are
rounded to two significant digits and may not sum due to rounding.
\b\ The calculation of annual costs does not require amortization of costs over time. Therefore, the estimates
of annual cost do not include a discount rate or rate of return assumption (see Chapter 7 of the RIA). In
Chapter 7, however, we use both a 3-percent and 7-percent social discount rate to calculate the net present
value of total social costs consistent with EPA and OMB guidelines for preparing economic analyses.
\c\ Total includes ozone and PM2.5 benefits. Range was developed by adding the estimate from the Bell et al.,
2005 ozone premature mortality function to PM2.5-related premature mortality derived from the ACS (Pope et
al., 2002) and Six-Cities (Laden et al., 2006) studies.
\d\ Annual benefits analysis results reflect the use of a 3-percent and 7-percent discount rate in the valuation
of premature mortality and nonfatal myocardial infarctions, consistent with EPA and OMB guidelines for
preparing economic analyses.
\e\ Valuation of premature mortality based on long-term PM exposure assumes discounting over the SAB recommended
20-year segmented lag structure described in the Regulatory Impact Analysis for the Final Clean Air Interstate
Rule (March 2005).
\f\ Not all possible benefits or disbenefits are quantified and monetized in this analysis. Potential benefit
categories that have not been quantified and monetized are listed in Table VIII-2.
[[Page 22964]]
IX. Public Participation
Two public hearings were held to provide interested parties the
opportunity to present data, views, or arguments concerning the
proposed rule; the first hearing was held in New York, NY on August 4,
2009, and the second in Long Beach, CA on August 6, 2009. The public
was invited to submit written comments on the proposed rule during the
formal comment period, which ended on September 28, 2009. EPA received
126 comments, and a detailed summary and response to these comments can
be found in the Summary and Analysis of Comments document in the docket
(Docket ID EPA-HQ-OAR-2007-0121).
EPA received a number of comments on the value that a voluntary
verification program would provide as well as comments on how best to
implement such a program. The proposed program is discussed in Chapter
9 of the RIA. EPA is still reviewing these comments and is not taking
any action today with regard to such a program. We will continue to
evaluate the potential for such a program and will work in an open
process with stakeholders should we conclude that such a program is
appropriate.
EPA also received a number of comments on the technical challenges
of operating steamships on lower sulfur fuel. In response, we are not
taking final action today to apply the ECA fuel sulfur requirements to
Great Lakes steamships in service prior to January 1, 2009. We will
continue to study these technical issues and address these vessels in a
future action, if appropriate.
This rule includes several technical amendments unrelated to
Category 3 marine diesel engines. Two of these have generated a
significant degree of interest from commenters. First, we raised for
discussion a variety of temporary changes to the bonding requirements
for nonroad spark-ignition engines below 19 kW (Small SI engines) based
on feedback received by manufacturers and surety agents. We learned
over the last several months that manufacturers have been struggling to
obtain a bond for 2010, as required under Sec. 1054.690. It seemed
that the bond values specified in the regulation were in some cases
preventing surety agents and manufacturers from reaching agreeable
terms. While we were considering these changes, we learned that one
manufacturer in the United States and nine manufacturers from China
were able to establish a bond policy. We expect to continue to monitor
implementation experiences with respect to the bonding provision, but
we believe it is no longer necessary to adopt the interim regulatory
provisions we were considering. We are proceeding with one adjustment
to the bonding provisions. We believe it is appropriate to set a
maximum value of $10 million for any bond that is required under Sec.
1054.690. Setting this value the same as the maximum level of fixed
assets that we require to be exempted from getting a bond would allow
for a logical correlation regarding the liability for manufacturers
that are exempt from the bonding requirement and those that are not.
Nevertheless, we believe it is appropriate to adopt this change for a
three-year transition period. At that point, we would either change the
regulation to adopt some permanent cap on bond values or let the
regulation revert to the original provisions with no maximum value.
We communicated our intent to make these bonding-related changes to
those that commented on the bonding provisions when we first adopted
them, including the Outdoor Power Equipment Institute, the Engine
Manufacturers Association, and the California Air Resources Board. The
Outdoor Power Equipment Institute and the Engine Manufacturers
Association objected to the change, arguing that the reduced bond
requirement would be insufficient to recover penalties for
noncompliance in most cases. Based on these comments and on the fact
that several companies have established bond policies, we have decided
not to make these changes in this rulemaking. We may choose to pursue
these or other long-term adjustments to the bonding regulations based
on our experiences over the next several months, but we would do that
in the context of a new rulemaking, which would include ample
opportunity for comment and collaboration. In the meantime, we
anticipate that small businesses may continue to have difficulty
establishing a bond. If this is the case, we would be ready to consider
an application for hardship under the provisions of Sec. 1054.635.
Small businesses applying for relief under this provision would need to
provide us with enough information to be able to act on their request.
In any hardship approval, we would likely first consider the same kinds
of relief reflected in the interim regulation changes we were
considering. In particular, we could reduce the specified bond amount
to preserve a measure of protection that is more carefully calibrated
for very small sales volumes. We could also consider a manufacturer to
be exempted from getting a bond based on a good compliance history of
less than ten years.
The proposed rule also included new regulatory provisions to
clarify what we would consider acceptable inventory and stockpiling
practices for engine and vehicle manufacturers relative to the new
emission standards for heavy-duty highway engines that take effect in
2010 and later model years. We have received extensive input in the
comments, including concerns about how to define and potentially apply
certain terms such as ``normal inventory'' and ``production'' practices
given the dynamics of today's market and placed in the context of the
timing of this final rule, and how such terms might be used by the
Agency to determine whether inappropriate stockpiling has occurred.
Based on this, we have decided to defer codification of the stockpiling
prohibition until a later rulemaking. In the meantime, we plan to
implement the 2010 standards based on the Agency's existing stockpiling
guidance and to monitor engine and vehicle manufacturers in order to
ensure that no circumventions of the Clean Air Act have occurred.
X. Statutory and Executive Order Reviews
As explained in Section I.A, the program we are finalizing is part
of a coordinated strategy to address emissions from ocean-going
vessels. That coordinated strategy includes, among other actions, the
combination the global Tier 2 NOX standards included in the
amendments to Annex VI and the ECA Tier 3 NOX limits and
fuel sulfur limits that will apply when the U.S. coasts are designated
as an ECA through an additional amendment to Annex VI. These engine and
fuel standards will be enforceable for all vessels, U.S. and foreign,
operating in the United States through the Act to Prevent Pollution
from Ships. Because the coordinated strategy in its entirety is
economically significant (see cost analysis in Section V), the
components we are adopting in this rule (engine controls for Category 3
engines on U.S. vessels under our Clean Air Act program, as required by
section 213 of the Act that are identical to the MARPOL Annex VI
NOX limits; limits on hydrocarbon and carbon monoxide
emissions for Category 3 engines; PM measurement requirement; changes
to our Clean Air Act diesel fuel program to allow production and sale
of ECA-compliant fuel; changes to our emission control program for
smaller marine diesel engines to harmonize with the Annex VI
NOX requirements, for U.S. vessels that operate
internationally) may
[[Page 22965]]
also be considered to be economically significant.
A. Executive Order 12866: Regulatory Planning and Review
Under Executive Order (EO) 12866 (58 FR 51735, October 4, 1993),
this action is a ``significant regulatory action'' because it raises
novel legal or policy issues due to the international nature of the use
of Category 3 marine diesel engines. Accordingly, EPA submitted this
action to the Office of Management and Budget (OMB) for review under EO
12866 and any changes made in response to OMB recommendations have been
documented in the docket for this action.
In addition, EPA prepared an analysis of the potential costs and
benefits associated with our coordinated strategy for controlling
emissions from ocean-going vessels. While the costs of the coordinated
strategy are ``significant,'' the largest part of these costs are
related to compliance with MARPOL Annex VI, which applies independently
of this final rule. The costs of the requirements we are adopting in
this rule are minimal. This analysis is contained in the Regulatory
Impact Analysis that was prepared, and is available in the docket for
this rulemaking and at the docket Internet address listed under
ADDRESSES above.
B. Paperwork Reduction Act
The information collection requirements in this rule will be
submitted for approval to the Office of Management and Budget (OMB)
under the Paperwork Reduction Act, 44 U.S.C. 3501 et seq. The
information collection requirements are not enforceable until OMB
approves them.
Section 208(a) of the Clean Air Act requires that manufacturers
provide information the Administrator may reasonably require to
determine compliance with the regulations; submission of the
information is therefore mandatory. We will consider confidential all
information meeting the requirements of section 208(c) of the Clean Air
Act. Recordkeeping and reporting requirements for manufacturers would
be pursuant to the authority of section 208 of the Clean Air Act.
The data we require in this action is necessary to comply with
Title II of the Clean Air Act, as amended in 1990. The Act directs us
to adopt regulations for nonroad engines if we determine those engines
contribute significantly to air pollution in the U.S. Now that we have
made this determination, the Act directs us to set emission standards
for any category of nonroad engines that contribute to air quality
nonattainment in two or more areas in the U.S. We can only meet the
requirements of the Act by collecting data from the regulated industry.
Also, we will only have an effective program if we know that these
engines maintain their certified emission level throughout their
operating lives.
The burden for certification testing is generally based on
conducting two engine tests for each engine family, then using that
test data for several years. The manufacturer's application for
certification involves an extensive effort the first year, followed by
relatively little effort in subsequent years. We estimate that
manufacturers will conduct new certification testing every five years;
the costs have been estimated on an annual average basis. In addition
to testing, manufacturers must prepare the application for
certification and maintain appropriate records. The burden for
production-line testing is based on an industry-wide calculation.
Rebuilders, including operators of marine vessels with Category 3
engines, must keep records as needed to show that rebuilt engines
continue to meet emission standards, consistent with the manufacturer's
original design. In addition, owners and operators of marine vessels
with Category 3 engines must record information about their location
when rebuilding engines or making other adjustments and send minimal
annual notification to EPA to show that engine maintenance and
adjustments have not caused engines to be noncompliant. In total, we
estimate that 12 engine manufacturers and 200 engine rebuilders will
together face an estimated compliance burden of 3,012 hours per year,
which corresponds with annual costs of $191,759 per year. Burden is
defined at 5 CFR 1320.3(b).
An agency may not conduct or sponsor, and a person is not required
to respond to, a collection of information unless it displays a
currently valid OMB control number. The OMB control numbers for EPA's
regulations in 40 CFR are listed in 40 CFR part 9. EPA will amend the
table in 40 CFR part 9 to add OMB control number associated with the
new regulations in 40 CFR part 1043 once those are approved.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (RFA) generally requires an agency
to prepare a regulatory flexibility analysis of any rule subject to
notice and comment rulemaking requirements under the Administrative
Procedure Act or any other statute unless the agency certifies that the
rule will not have a significant economic impact on a substantial
number of small entities. Small entities include small businesses,
small organizations, and small governmental jurisdictions.
For purposes of assessing the impacts of this rule on small
entities, small entity is defined as: (1) A small business that is
primarily engaged in manufacture of large diesel marine engines as
defined by NAICS code 333618 with 1,000 or fewer employees (based on
Small Business Administration size standards) or a small business
primarily engaged in shipbuilding and repairing as defined by NAICS
code 336611 with 1,000 or fewer employees (based on Small Business
Administration size standards); (2) a small business that is primarily
engaged in freight or passenger transportation, either on the Great
Lakes or in coastal areas as defined by NAICS codes 483113 and 483114
with 500 or fewer employees (based on Small Business Administration
size standards); (3) a small governmental jurisdiction that is a
government of a city, county, town, school district or special district
with a population of less than 50,000; and (4) a small organization
that is any not-for-profit enterprise which is independently owned and
operated and is not dominant in its field.
After considering the economic impacts of this final rule on small
entities, I certify that this action will not have a significant
economic impact on a substantial number of small entities. Since
publication of the proposed rulemaking, we have learned that the small
entities directly regulated by this final rule include shipping
companies that use fuel subject to the requirements in this rulemaking.
We have identified four small U.S. companies that are operating
Category 3 engines that currently burn residual fuel, and have
estimated the compliance burden for each of these four small companies
based on available information about the companies and their vessels.
Our analysis indicates that two companies will have an estimated
compliance burden representing less than 1 percent of their operating
revenues, one company will have an estimated compliance burden
representing between 1 and 3 percent of their operating revenues, and
one company will have an estimated compliance burden representing
slightly over 6 percent of their operating revenues.
Although this final rule will not have a significant economic
impact on a substantial number of small entities, EPA nonetheless has
tried to reduce the impact of this rule by adopting provisions to
reduce the regulatory
[[Page 22966]]
burden for these companies. For example, if we would apply the fuel
requirements to steamships, a total of five small businesses would have
an estimated compliance burden representing over 1 percent of their
operating revenues, with the values for some companies reaching 20
percent or higher. However, we have decided to adopt provisions
allowing us to waive the fuel-related requirements for these companies
if it can be demonstrated that a compliant residual fuel is not
available, or that the compliance burden will jeopardize the solvency
of the company. This analysis also does not include cost savings from
increased durability and reliability or decreased maintenance that
occurs when using distillate fuel instead of residual fuel. Our
estimated burden for these companies therefore overestimates the costs
these companies will actually face when complying with the rule.
Additionally, in some areas, we consider port areas to be internal
waters even though they are directly accessed by vessels that operate
in coastal and international service on the oceans (such as Puget
Sound). We believe it would not be realistic to expect companies
operating such vessels to use distillate fuel as they approach U.S.
ports and then convert the engines to operate on residual fuel for that
portion of their operation that is considered internal waters. Since it
would take about an hour of operation to transition back to the
residual fuel, we believe this would not be commonly practiced whether
or not fuel requirements apply in internal waters. Nevertheless, we
have analyzed this scenario for potential small business impacts. We
found that one U.S. small business with coastal operations would be
affected by this rule, but that they will have costs representing less
than one percent of their revenues. As a result, we have concluded that
all small businesses that own or operate these coastal vessels will see
no significant economic impact in complying with this rule.
D. Unfunded Mandates Reform Act
This rule does not contain a Federal mandate that may result in
expenditures of $100 million or more for State, local, and Tribal
governments, in the aggregate, or the private sector in any one year.
While the costs of the coordinated strategy exceed the $100 million per
year threshold for the private sector, the costs of the components of
that strategy that are the subject of this rule are less than $100
million per year, as explained in Section VII. Therefore, this action
is not subject to the requirements of Sections 202 or 205 of the UMRA.
This action is also not subject to the requirements of Section 203 of
UMRA because it contains no regulatory requirements that might
significantly or uniquely affect small governments.
E. Executive Order 13132: Federalism
This action does not have federalism implications. It will not have
substantial direct effects on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government, as
specified in Executive Order 13132. This action will be implemented at
the Federal level and impose compliance obligations only on private
industry. Thus, Executive Order 13132 does not apply to this rule.
Although Section 6 of Executive Order 13132 does not apply to this
rule, EPA did consult with representatives of various State and local
governments in developing this rule. EPA consulted with representatives
from the National Association of Clean Air Agencies (NACAA, formerly
STAPPA/ALAPCO), the Northeast States for Coordinated Air Use Management
(NESCAUM), and the California Air Resources Board (CARB).
In the spirit of Executive Order 13132, and consistent with EPA
policy to promote communications between EPA and State and local
governments, EPA specifically solicited comment on the action from
State and local officials.
F. Executive Order 13175: Consultation and Coordination With Indian
Tribal Governments
This action does not have Tribal implications, as specified in
Executive Order 13175 (65 FR 67249, November 9, 2000). The rule will be
implemented at the Federal level and impose compliance costs only on
manufacturers of marine engines and marine vessels. Tribal governments
will be affected only to the extent they purchase and use the regulated
engines and vehicles. Thus, Executive Order 13175 does not apply to
this action.
G. Executive Order 13045: Protection of Children From Environmental
Health and Safety Risks
This action is not subject to EO 13045 (62 FR 19885, April 23,
1997) because it is not economically significant as defined in EO
12866, and because the Agency does not believe the environmental health
or safety risks addressed by this action present a disproportionate
risk to children. This action's health and risk assessments are
contained in Section II.A and Section VIII in this document and in
Chapter 2 of the RIA, which has been placed in the public docket under
Docket ID number EPA-HQ-OAR-2007-0121.
H. Executive Order 13211: Actions That Significantly Affect Energy
Supply, Distribution, or Use
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use'' (66 FR 28355
(May 22, 2001)), requires EPA to prepare and submit a Statement of
Energy Effects to the Administrator of the Office of Information and
Regulatory Affairs, Office of Management and Budget, for certain
actions identified as ``significant energy actions.'' Section 4(b) of
Executive Order 13211 defines ``significant energy actions'' as ``any
action by an agency (normally published in the Federal Register) that
promulgates or is expected to lead to the promulgation of a final rule
or regulation, including notices of inquiry, advance notices of
proposed rulemaking, and notices of proposed rulemaking: (1)(i) That is
a significant regulatory action under Executive Order 12866 or any
successor order, and (ii) is likely to have a significant adverse
effect on the supply, distribution, or use of energy; or (2) that is
designated by the Administrator of the Office of Information and
Regulatory Affairs as a significant energy action.'' We have prepared a
Statement of Energy Effects for this action as follows.
This rule's potential effects on energy supply, distribution, or
use have been analyzed and are discussed in detail in Section 4.6 of
the RIA. In summary, while we project that this rule would result in an
energy effect that exceeds the 10,000 barrel per day change in crude
oil production threshold noted in E.O. 13211, this rule does not
significantly affect the energy use, production, or distribution beyond
what is required by Annex VI of the International Convention for the
Prevention of Pollution from Ships.
I. National Technology Transfer Advancement Act
Section 12(d) of the National Technology Transfer and Advancement
Act of 1995 (``NTTAA''), Public Law 104-113, 12(d) (15 U.S.C. 272 note)
directs EPA to use voluntary consensus standards in its regulatory
activities unless doing so would be inconsistent with applicable law or
otherwise impractical. Voluntary consensus standards are technical
standards (e.g., materials specifications, test methods, sampling
procedures, and business practices) that are developed or adopted by
voluntary consensus standards
[[Page 22967]]
bodies. The NTTAA directs EPA to provide Congress, through OMB,
explanations when the Agency decides not to use available and
applicable voluntary consensus standards.
The rulemaking involves technical standards. Therefore, the Agency
conducted a search to identify potentially applicable voluntary
consensus standards. The only test procedures outside of EPA that are
written for Category 3 marine diesel engines are in the NOX
Technical Code as part of MARPOL Annex VI. These test procedures have
been adopted by the International Maritime Organization under the
auspices of the United Nations. As such, they are not technically
voluntary consensus standards. We have adopted test procedure
specifications for Category 3 marine diesel engines in 40 CFR part
1042, which rely on the EPA test procedures in 40 CFR part 1065. We
have written the part 1065 test procedures to apply broadly to all
sizes and types of engines. We have coordinated these efforts with a
wide range of manufacturers from every industry over nearly the last
ten years. As a result of this effort, we have reached a point that the
test procedures have been very widely referenced and adopted for use in
various countries and for various applications. We believe that part
1065 is the best path toward global harmonization of emission test
procedures for highway, nonroad, and stationary engines. Nevertheless,
we have included a provision allowing manufacturers to rely on the
procedures specified in the NOX Technical Code. We believe
this appropriately maintains part 1065 as the primary path for adopting
standardized and harmonized test procedures, without precluding the
possibility of testing according to the other widely accepted protocol
for testing Category 3 marine diesel engines.
J. Executive Order 12898: Federal Actions To Address Environmental
Justice in Minority Populations and Low-Income Populations
Executive Order (EO) 12898 (59 FR 7629 (Feb. 16, 1994)) establishes
Federal executive policy on environmental justice. Its main provision
directs Federal agencies, to the greatest extent practicable and
permitted by law, to make environmental justice part of their mission
by identifying and addressing, as appropriate, disproportionately high
and adverse human health or environmental effects of their programs,
policies, and activities on minority populations and low-income
populations in the United States.
EPA has determined that this final rule will not have
disproportionately high and adverse human health or environmental
effects on minority or low-income populations because it increases the
level of environmental protection for all affected populations without
having any disproportionately high and adverse human health or
environmental effects on any population, including any minority or low-
income population.
Together, this final rule which addresses emissions from domestic-
flagged vessels and the joint U.S./Canada ECA application to the IMO
which addresses emissions from foreign-flagged vessels (referred to as
the ``coordinated strategy'') will achieve significant reductions of
various emissions from Category 3 marine diesel engines, including
NOX, SOX, and direct PM. Exposure to these
pollutants raises concerns regarding environmental health for the U.S.
population in general including the minority populations and low-income
populations that are the focus of the environmental justice executive
order.
The emission reductions from the new standards in the coordinated
strategy will have large beneficial effects on communities in proximity
to port, harbor, and waterway locations, including low-income and
minority communities. In addition to exhaust emission standards for
freshly manufactured and remanufactured engines, the coordinated
strategy will further reduce emissions from regulated engines that
directly impact low-income and minority communities.
EPA recently updated its initial screening-level analysis of
selected marine port areas to better understand the populations,
including minority and low-income populations, that are exposed to
diesel PM emission sources from these facilities.171 172
This screening-level analysis is an inexact tool and should only be
considered for illustrative purposes to help understand potential
impacts. The analysis included all emission sources as well as ocean-
going marine diesel engines, and focused on a representative selection
of national marine ports (45 ports total).173 174
Considering only ocean-going marine engine diesel PM emissions, the
results indicate that 6.5 million people are exposed to ambient diesel
PM levels that are 2.0 [mu]g/m\3\ and 0.2 [mu]g/m\3\ above levels found
in areas further from these facilities. This population includes a
disproportionate number of low-income households, African-Americans,
and Hispanics. The results from all emission sources show that nearly
18 million people are exposed to higher levels of diesel PM from all
sources at the marine port areas than urban background levels. Because
those living in the vicinity of marine ports are more likely to be low-
income households and minority residents, these populations would
receive a significant benefit from the combined coordinated strategy.
See Section VIII of this preamble and Chapter 6 of the RIA for a
discussion on the benefits of this rule, including the benefits to
minority and low-income communities.
---------------------------------------------------------------------------
\171\ ICF International. December 1, 2008. Estimation of diesel
particulate matter concentration isopleths near selected harbor
areas with revised emissions (revised). Memorandum to EPA under Work
Assignment Number 1-9, Contract Number EP-C-06-094. This memo is
available in Docket EPA-HQ-OAR-2007-0121.
\172\ ICF International. December 10, 2008. Estimation of diesel
particulate matter population exposure near selected harbor areas
with revised harbor emissions (revised). Memorandum to EPA under
Work Assignment Number 2-9, Contract Number EP-C-06-094. This memo
is available in Docket EPA-HQ-OAR-2007-0121.
\173\ The emissions inventories used as inputs for the analyses
are not official estimates and likely underestimate overall
emissions because they are not inclusive of all emission sources at
the individual ports in the sample.
\174\ The Agency selected a representative sample from the top
150 U.S. ports including coastal, inland and Great Lake ports.
---------------------------------------------------------------------------
K. Congressional Review Act
The Congressional Review Act, 5 U.S.C. 801 et seq., as added by the
Small Business Regulatory Enforcement Fairness Act of 1996, generally
provides that before a rule may take effect, the agency promulgating
the rule must submit a rule report, which includes a copy of the rule,
to each House of the Congress and to the Comptroller General of the
United States. EPA will submit a report containing this rule and other
required information to the U.S. Senate, the U.S. House of
Representatives, and the Comptroller General of the United States prior
to publication of the rule in the Federal Register. A Major rule cannot
take effect until 60 days after it is published in the Federal
Register. This action is not a ``major rule'' as defined by 5 U.S.C.
804(2). This rule will be effective June 29, 2010.
XI. Statutory Provisions and Legal Authority
Statutory authority for the controls in this final rule can be
found in sections 203-209, 211, 213 (which specifically authorizes
controls on emissions from nonroad engines and vehicles), 216, and 301
of the Clean Air Act (CAA), 42 U.S.C. 7414, 7522, 7523, 7424, 7525,
7541, 7542, 7543, 7545, 7547, 7550, and 7601.
[[Page 22968]]
List of Subjects
40 CFR Part 80
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Diesel fuel,
Fuel additives, Imports, Labeling, Penalties, Reporting and
recordkeeping requirements.
40 CFR Part 85
Confidential business information, Imports, Labeling, Motor vehicle
pollution, Reporting and recordkeeping requirements, Research,
Warranties.
40 CFR Part 86
Environmental protection, Administrative practice and procedure,
Air pollution control, Reporting and recordkeeping requirements, Motor
vehicle.
40 CFR Part 94
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1027
Environmental protection, Administrative practice and procedure,
Air pollution control, Imports, Reporting and recordkeeping
requirements.
40 CFR Part 1033
Environmental protection, Administrative practice and procedure,
Confidential business information, Incorporation by reference,
Labeling, Penalties, Railroads, Reporting and recordkeeping
requirements.
40 CFR Part 1039
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1042
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Vessels, Reporting and
recordkeeping requirements, Warranties.
40 CFR Part 1043
Environmental protection, Administrative practice and procedure,
Air pollution control, Imports, Incorporation by reference, Vessels,
Reporting and recordkeeping requirements.
40 CFR Parts 1045, 1048, 1051, 1054, and 1060
Environmental protection, Administrative practice and procedure,
Air pollution control, Confidential business information, Imports,
Incorporation by reference, Labeling, Penalties, Reporting and
recordkeeping requirements, Warranties.
40 CFR Parts 1065
Environmental protection, Administrative practice and procedure,
Incorporation by reference, Reporting and recordkeeping requirements,
Research.
40 CFR Part 1068
Environmental protection, Administrative practice and procedure,
Confidential business information, Imports, Incorporation by reference,
Motor vehicle pollution, Penalties, Reporting and recordkeeping
requirements, Warranties.
Dated: December 18, 2009.
Lisa P. Jackson,
Administrator.
0
For the reasons set out in the preamble, title 40, chapter I of the
Code of Federal Regulations is amended as set forth below.
PART 80--REGULATION OF FUEL AND FUEL ADDITIVES
0
1. The authority citation for part 80 continues to read as follows:
Authority: 42 U.S.C. 7414, 7542, 7545, and 7601.
0
2. Section 80.2 is amended as follows:
0
a. By revising paragraph (ccc).
0
b. By revising paragraph (nnn).
0
c. By adding paragraph (ttt).
0
d. By adding paragraph (uuu).
Sec. 80.2 Definitions.
* * * * *
(ccc) Heating Oil means any 1, 2, or non-
petroleum diesel blend that is sold for use in furnaces, boilers, and
similar applications and which is commonly or commercially known or
sold as heating oil, fuel oil, and similar trade names, and that is not
jet fuel, kerosene, or MVNRLM diesel fuel.
* * * * *
(nnn) Nonroad, locomotive, or marine (NRLM) diesel fuel means any
diesel fuel or other distillate fuel that is used, intended for use, or
made available for use, as a fuel in any nonroad diesel engines,
including locomotive and marine diesel engines, except the following:
Distillate fuel with a T90 at or above 700 [deg]F that is used only in
Category 2 and 3 marine engines is not NRLM diesel fuel, and ECA marine
fuel is not NRLM diesel fuel (note that fuel that conforms to the
requirements of NRLM diesel fuel is excluded from the definition of
``ECA marine fuel'' in this section without regard to its actual use).
Use the distillation test method specified in 40 CFR 1065.1010 to
determine the T90 of the fuel. NR diesel fuel and LM diesel fuel are
subcategories of NRLM diesel fuel.
(1) Any diesel fuel that is sold for use in stationary engines that
are required to meet the requirements of Sec. 80.510(a) and/or (b),
when such provisions are applicable to nonroad engines, shall be
considered NRLM diesel fuel.
(2) [Reserved]
* * * * *
(ttt) ECA marine fuel is diesel, distillate, or residual fuel that
meets the criteria of paragraph (ttt)(1) of this section, but not the
criteria of paragraph (ttt)(2) of this section.
(1) All diesel, distillate, or residual fuel used, intended for
use, or made available for use in Category 3 marine vessels while the
vessels are operating within an Emission Control Area (ECA) is ECA
marine fuel, unless it meets the criteria of paragraph (ttt)(2) of this
section.
(2) ECA marine fuel does not include any of the following fuel:
(i) Fuel that is allowed by 40 CFR part 1043 to exceed the fuel
sulfur limits for operation in an ECA (such as fuel used by excluded
vessels or vessels equipped with equivalent emission controls in
conformance with 40 CFR 1043.55).
(ii) Fuel that conforms fully to the requirements of this part for
NRLM diesel fuel (including being designated as NRLM).
(iii) Fuel used, or made available for use, in any diesel engines
not installed on a Category 3 marine vessel.
(uuu) Category 3 marine vessels, for the purposes of this part 80,
are vessels that are propelled by engines meeting the definition of
``Category 3'' in 40 CFR part 1042.901.
Subpart I--Motor Vehicle Diesel Fuel; Nonroad, Locomotive, and
Marine Diesel Fuel; and ECA Marine Fuel
0
3. The heading for subpart I is revised as set forth above.
0
4. Section 80.501 is amended as follows:
0
a. By revising paragraph (a)(5).
[[Page 22969]]
0
b. By revising paragraph (a)(6).
0
c. By adding paragraph (a)(7).
Sec. 80.501 What fuel is subject to the provisions of this subpart?
(a) * * *
(5) ECA marine fuel.
(6) Other distillate fuels.
(7) Motor oil that is used as or intended for use as fuel in diesel
motor vehicles or nonroad diesel engines or is blended with diesel fuel
for use in diesel motor vehicles or nonroad diesel engines, including
locomotive and marine diesel engines, at any downstream location.
* * * * *
0
5. Section 80.502 is amended as follows:
0
a. By revising paragraph (a).
0
b. By revising paragraph (b) introductory text and paragraph (b)(1)
introductory text.
0
c. By revising paragraph (c).
0
d. By revising paragraph (d) introductory text.
0
e. By adding paragraph (g).
0
f. By adding paragraph (h).
Sec. 80.502 What definitions apply for purposes of this subpart?
* * * * *
(a) Entity means any refiner, importer, distributor, retailer or
wholesale-purchaser consumer of any distillate fuel (or other product
subject to the requirements of this subpart I).
(b) Facility means any place, or series of places, where an entity
produces, imports, or maintains custody of any distillate fuel (or
other product subject to the requirements of this subpart I) from the
time it is received to the time custody is transferred to another
entity, except as described in paragraphs (b)(1) through (4) of this
section:
(1) Where an entity maintains custody of a batch of diesel fuel (or
other product subject to the requirements of this subpart I) from one
place in the distribution system to another place (e.g., from a
pipeline to a terminal), all owned by the same entity, both places
combined are considered to be one single aggregated facility, except
where an entity chooses to treat components of such an aggregated
facility as separate facilities. The choice made to treat these places
as separate facilities may not be changed by the entity during any
applicable compliance period. Except as specified in paragraph (b)(2)
of this section, where compliance requirements depend upon facility-
type, the entire facility must comply with the requirements that apply
to its components as follows:
* * * * *
(c) Truck loading terminal means any facility that dyes NRLM diesel
fuel or ECA marine fuel, pays taxes on motor vehicle diesel fuel per
IRS code (26 CFR part 48), or adds a fuel marker pursuant to Sec.
80.510 to heating oil and delivers diesel fuel or heating oil into
trucks for delivery to retail or ultimate consumer locations.
(d) Batch means a quantity of diesel fuel (or other product subject
to the requirements of this subpart I) which is homogeneous with regard
to those properties that are specified for MVNRLM diesel fuel or ECA
marine fuel under this subpart I, has the same designation under this
subpart I (if applicable), and whose custody is transferred from one
facility to another facility.
* * * * *
(g) Emission Control Area. An Emission Control Area (ECA), for the
purposes of this subpart, means the ``ECA'' as defined in 40 CFR
1043.20 as well as ``ECA associated area'' as defined in 40 CFR
1043.20.
(h) Marine diesel engine. For the purposes of this subpart I only,
marine diesel engine means a diesel engine installed on a Category 1
(C1) or Category 2 (C2) marine vessel.
0
6. Section 80.510 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraph (f) introductory text and adding paragraph
(f)(6).
0
c. By revising paragraph (g)(1).
0
d. By adding paragraph (k).
Sec. 80.510 What are the standards and marker requirements for NRLM
diesel fuel and ECA marine fuel?
* * * * *
(f) Marking provisions. From June 1, 2012 through May 31, 2014:
* * * * *
(6) Marker solvent yellow 124 shall not be used in any MVNRLM or
heating oil after May 31, 2014.
(g) * * *
(1) Northeast/Mid-Atlantic Area, which includes the following
States and counties, through May 31, 2014: North Carolina, Virginia,
Maryland, Delaware, New Jersey, Connecticut, Rhode Island,
Massachusetts, Vermont, New Hampshire, Maine, Washington DC, New York
(except for the counties of Chautauqua, Cattaraugus, and Allegany),
Pennsylvania (except for the counties of Erie, Warren, McKean, Potter,
Cameron, Elk, Jefferson, Clarion, Forest, Venango, Mercer, Crawford,
Lawrence, Beaver, Washington, and Greene), and the eight eastern-most
counties of West Virginia (Jefferson, Berkeley, Morgan, Hampshire,
Mineral, Hardy, Grant, and Pendleton).
* * * * *
(k) Beginning June 1, 2014. All ECA marine fuel is subject to a
maximum per-gallon sulfur content of 1,000 ppm.
0
7. Section 80.511 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraph (a).
0
c. By revising paragraphs (b)(4) and (b)(9).
0
d. By adding paragraph (b)(10).
Sec. 80.511 What are the per-gallon and marker requirements that
apply to NRLM diesel fuel, ECA marine fuel, and heating oil downstream
of the refiner or importer?
(a) Applicable dates for marker requirements. Beginning June 1,
2006, all NRLM diesel fuel and ECA marine fuel shall contain less than
0.10 milligrams per liter of the marker solvent yellow 124, except for
LM diesel fuel subject to the marking requirements of Sec. 80.510(e).
(b) * * *
(4) Except as provided in paragraphs (b)(5) through (8) of this
section, the per-gallon sulfur standard of Sec. 80.510(c) shall apply
to all NRLM diesel fuel beginning August 1, 2014, for all downstream
locations other than retail outlets or wholesale purchaser-consumer
facilities, shall apply to all NRLM diesel fuel beginning October 1,
2014 for retail outlets and wholesale purchaser-consumer facilities,
and shall apply to all NRLM diesel fuel beginning December 1, 2014, for
all locations.
* * * * *
(9) The per-gallon sulfur standard of Sec. 80.510(k) shall apply
to all ECA marine fuel beginning August 1, 2014, for all downstream
locations other than retail outlets or wholesale purchaser-consumer
facilities, shall apply to all ECA marine fuel beginning October 1,
2014, for retail outlets and wholesale purchaser-consumer facilities,
and shall apply to all ECA marine fuel beginning December 1, 2014, for
all locations.
(10) For the purposes of this section, distributors that have their
own fuel storage tanks and deliver only to ultimate consumers shall be
treated the same as retailers and their facilities treated the same as
retail outlets.
0
8. Section 80.513 is amended by revising paragraph (e) to read as
follows:
Sec. 80.513 What provisions apply to transmix processing facilities?
* * * * *
(e) From June 1, 2014 and beyond, NRLM diesel fuel produced by a
transmix processor is subject to the standards of Sec. 80.510(c).
0
9. Section 80.525 is amended by revising paragraphs (b) and (d) to read
as follows:
[[Page 22970]]
Sec. 80.525 What requirements apply to kerosene blenders?
* * * * *
(b) Kerosene blenders are not subject to the requirements of this
subpart applicable to refiners of diesel fuel, but are subject to the
requirements and prohibitions applicable to downstream parties.
* * * * *
(d) Kerosene that a kerosene blender adds or intends to add to
diesel fuel subject to the 15 ppm sulfur content standard must meet the
15 ppm sulfur content standard, and either of the following
requirements:
(1) The product transfer document received by the kerosene blender
indicates that the kerosene is diesel fuel that complies with the 15
ppm sulfur content standard.
(2) The kerosene blender has test results indicating the kerosene
complies with the 15 ppm sulfur standard.
0
10. Section 80.551 is amended by revising paragraph (f) to read as
follows:
Sec. 80.551 How does a refiner obtain approval as a small refiner
under this subpart?
* * * * *
(f) Approval of small refiner status for refiners who apply under
Sec. 80.550(d) will be based on all information submitted under
paragraph (c) of this section, except as provided in Sec. 80.550(e).
* * * * *
0
11. Section 80.561 is amended by revising the section heading to read
as follows:
Sec. 80.561 How can a refiner or importer seek temporary relief from
the requirements of this subpart in case of extreme unforeseen
circumstances?
* * * * *
0
12. Section 80.570 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 80.570 What labeling requirements apply to retailers and
wholesale purchaser-consumers of diesel fuel beginning June 1, 2006?
(a) From June 1, 2006 through November 30, 2010, any retailer or
wholesale purchaser-consumer who sells, dispenses, or offers for sale
or dispensing, motor vehicle diesel fuel subject to the 15 ppm sulfur
standard of Sec. 80.520(a)(1), must affix the following conspicuous
and legible label, in block letters of no less than 24-point bold type,
and printed in a color contrasting with the background, to each pump
stand:
ULTRA-LOW SULFUR HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)
Required for use in all model year 2007 and later highway diesel
vehicles and engines.
Recommended for use in all diesel vehicles and engines.
(b) From June 1, 2006, through November 30, 2010, any retailer or
wholesale purchaser-consumer who sells, dispenses, or offers for sale
or dispensing, motor vehicle diesel fuel subject to the 500 ppm sulfur
standard of Sec. 80.520(c), must prominently and conspicuously display
in the immediate area of each pump stand from which motor vehicle fuel
subject to the 500 ppm sulfur standard is offered for sale or
dispensing, the following legible label, in block letters of no less
than 24-point bold type, printed in a color contrasting with the
background:
LOW SULFUR HIGHWAY DIESEL FUEL (500 ppm Sulfur Maximum)
WARNING
Federal law prohibits use in model year 2007 and later highway
vehicles and engines.
Its use may damage these vehicles and engines.
* * * * *
0
13. Section 80.571 is amended by revising paragraphs (b) and (d) to
read as follows:
Sec. 80.571 What labeling requirements apply to retailers and
wholesale purchaser-consumers of NRLM diesel fuel or heating oil
beginning June 1, 2007?
* * * * *
(b) From June 1, 2007, through September 30, 2010, for pumps
dispensing NRLM diesel fuel meeting the 500 ppm sulfur standard of
Sec. 80.510(a):
LOW SULFUR NON-HIGHWAY DIESEL FUEL (500 ppm Sulfur Maximum)
WARNING
Federal Law prohibits use in highway vehicles or engines.
* * * * *
(d) From June 1, 2007, and beyond, for pumps dispensing non-motor
vehicle diesel fuel for use other than in nonroad, locomotive, or
marine engines, such as for use as heating oil:
HEATING OIL (May Exceed 500 ppm Sulfur)
WARNING
Federal law prohibits use in highway vehicles or engines, or in
nonroad, locomotive, or marine diesel engines.
Its use may damage these diesel engines.
* * * * *
0
14. Section 80.572 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 80.572 What labeling requirements apply to retailers and
wholesale purchaser-consumers of NR and NRLM diesel fuel and heating
oil beginning June 1, 2010?
* * * * *
(a) From June 1, 2010, through September 31, 2014, any retailer or
wholesale purchaser-consumer who sells, dispenses, or offers for sale
or dispensing, motor vehicle diesel fuel subject to the 15 ppm sulfur
standard of Sec. 80.520(a)(1), must affix the following conspicuous
and legible label, in block letters of no less than 24-point bold type,
and printed in a color contrasting with the background, to each pump
stand:
ULTRA-LOW SULFUR HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)
Required for use in all highway diesel vehicles and engines.
Recommended for use in all diesel vehicles and engines.
(b) From June 1, 2010, through September 30, 2012, for pumps
dispensing NR diesel fuel subject to the 15 ppm sulfur standard of
Sec. 80.510(b):
ULTRA-LOW SULFUR NON-HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)
Required for use in all model year 2011 and later nonroad diesel
engines.
Recommended for use in all other non-highway diesel engines.
WARNING
Federal law prohibits use in highway vehicles or engines.
* * * * *
0
15. Section 80.573 is amended by revising paragraph (a) to read as
follows:
Sec. 80.573 What labeling requirements apply to retailers and
wholesale purchaser-consumers of NRLM diesel fuel and heating oil
beginning June 1, 2012?
* * * * *
(a) From June 1, 2012, through September 30, 2014, for pumps
dispensing NRLM diesel fuel subject to the 15 ppm sulfur standard of
Sec. 80.510(c):
ULTRA-LOW SULFUR NON-HIGHWAY DIESEL FUEL (15 ppm Sulfur Maximum)
Required for use in all model year 2011 and later nonroad diesel
engines.
Recommended for use in all other non-highway diesel engines.
[[Page 22971]]
WARNING
Federal law prohibits use in highway vehicles or engines.
* * * * *
0
16. Section 80.574 is revised to read as follows:
Sec. 80.574 What labeling requirements apply to retailers and
wholesale purchaser-consumers of ECA marine fuel beginning June 1,
2014?
(a) Any retailer or wholesale purchaser-consumer who sells,
dispenses, or offers for sale or dispensing ECA marine fuel must
prominently and conspicuously display in the immediate area of each
pump stand from which ECA marine fuel is offered for sale or
dispensing, one of the following legible labels, as applicable, in
block letters of no less than 24-point bold type, printed in a color
contrasting with the background:
(1) From June 1, 2014, and beyond, for pumps dispensing ECA marine
fuel subject to the 1,000 ppm sulfur standard of Sec. 80.510(k):
1,000 ppm SULFUR ECA MARINE FUEL (1,000 ppm Sulfur Maximum)
For use in Category 3 (C3) marine vessels only.
WARNING
Federal law prohibits use in any engine that is not installed on a
C3 marine vessel; use of fuel oil with a sulfur content greater than
1,000 ppm in an ECA is prohibited except as allowed by 40 CFR Part
1043.
(2) The labels required by paragraph (a)(1) of this section must be
placed on the vertical surface of each pump housing and on each side
that has gallon and price meters. The labels shall be on the upper two-
thirds of the pump, in a location where they are clearly visible.
(b) Alternative labels to those specified in paragraph (a) of this
section may be used as approved by EPA.
(1) For U.S. Mail: U.S. EPA, Attn: Diesel Sulfur Alternative Label
Request, 6406J, 1200 Pennsylvania Avenue, NW., Washington, DC 20460.
(2) For overnight or courier services: U.S. EPA, Attn: Diesel
Sulfur Alternative Label Request, 6406J, 1310 L Street, NW., 6th Floor,
Washington, DC 20005. (202) 343-9038.
0
17. Section 80.580 is amended by adding paragraphs (b)(1) and (c)(1) to
read as follows:
Sec. 80.580 What are the sampling and testing methods for sulfur?
* * * * *
(b) * * *
(1) For ECA marine fuel subject to the 1,000 ppm sulfur standard of
Sec. 80.510(k), sulfur content may be determined using ASTM D2622
(incorporated by reference, see paragraph (e) of this section).
* * * * *
(c) * * *
(1) Options for testing sulfur content of 1,000 ppm diesel fuel.
(i) For ECA marine fuel subject to the 1,000 ppm sulfur standard of
Sec. 80.510(k), sulfur content may be determined using ASTM D4294,
ASTM D5453, or ASTM D6920 (all incorporated by reference, see paragraph
(e) of this section), provided that the refiner or importer test result
is correlated with the appropriate method specified in paragraph (b)(1)
of this section; or
(ii) For ECA marine fuel subject to the 1,000 ppm sulfur standard
of Sec. 80.510(k), sulfur content may be determined using any test
method approved under Sec. 80.585.
* * * * *
0
18. Section 80.581 is amended by revising the section heading and
paragraphs (a) and (c)(1) to read as follows:
Sec. 80.581 What are the batch testing and sample retention
requirements for motor vehicle diesel fuel, NRLM diesel fuel, and ECA
marine fuel?
(a) Beginning on June 1, 2006 (or earlier pursuant to Sec.
80.531), for motor vehicle diesel fuel, and beginning June 1, 2010 (or
earlier pursuant to Sec. 80.535), for NRLM diesel fuel, and beginning
June 1, 2014, for ECA marine fuel, each refiner and importer shall
collect a representative sample from each batch of motor vehicle or
NRLM diesel fuel produced or imported and subject to the 15 ppm sulfur
content standard, or ECA marine fuel subject to the 1,000 ppm sulfur
content standard. Batch, for the purposes of this section, means batch
as defined under Sec. 80.2 but without the reference to transfer of
custody from one facility to another facility.
* * * * *
(c)(1) Any refiner who produces motor vehicle, NRLM diesel fuel, or
ECA marine fuel using computer-controlled in-line blending equipment,
including the use of an on-line analyzer test method that is approved
under the provisions of Sec. 80.580, and who, subsequent to the
production of the diesel fuel batch tests a composited sample of the
batch under the provisions of Sec. 80.580 for purposes of designation
and reporting, is exempt from the requirement of paragraph (b) of this
section to obtain the test result required under this section prior to
the diesel fuel leaving the refinery, provided that the refiner obtains
approval from EPA. The requirement of this paragraph (c)(1) that the
in-line blending equipment must include an on-line analyzer test method
that is approved under the provisions of Sec. 80.580 is effective
beginning June 1, 2006.
* * * * *
0
19. Section 80.583 is amended by revising the section heading to read
as follows:
Sec. 80.583 What alternative sampling and testing requirements apply
to importers who transport motor vehicle diesel fuel, NRLM diesel fuel,
or ECA marine fuel by truck or rail car?
* * * * *
0
20. Section 80.584 is amended by revising the section heading and
adding paragraphs (a)(3) and (b)(3) to read as follows:
Sec. 80.584 What are the precision and accuracy criteria for approval
of test methods for determining the sulfur content of motor vehicle
diesel fuel, NRLM diesel fuel, and ECA marine fuel?
(a) * * *
(3) For ECA marine fuel subject to the 1,000 ppm sulfur standard of
Sec. 80.510(k), of a standard deviation less than 18.07 ppm, computed
from the results of a minimum of 20 repeat tests made over 20 days on
samples taken from a single homogeneous commercially available diesel
fuel with a sulfur content in the range of 700-1,000 ppm. The 20
results must be a series of tests with a sequential record of the
analyses and no omissions. A laboratory facility may exclude a given
sample or test result only if the exclusion is for a valid reason under
good laboratory practices and it maintains records regarding the sample
and test results and the reason for excluding them.
(b) * * *
(3) For ECA marine fuel subject to the 1,000 ppm sulfur standard of
Sec. 80.510(k):
(i) The arithmetic average of a continuous series of at least 10
tests performed on a commercially available gravimetric sulfur standard
in the range of 300-400 ppm sulfur shall not differ from the ARV of
that standard by more than 13.55 ppm sulfur;
(ii) The arithmetic average of a continuous series of at least 10
tests performed on a commercially available gravimetric sulfur standard
in the range of 900-1,000 ppm sulfur shall not differ from the ARV of
that standard by more than 13.55 ppm sulfur; and
(iii) In applying the tests of paragraphs (b)(3)(i) and (ii) of
this section, individual test results shall be
[[Page 22972]]
compensated for any known chemical interferences.
0
21. Section 80.585 is amended by revising the section heading and
paragraphs (e)(2) and (e)(4) to read as follows:
Sec. 80.585 What is the process for approval of a test method for
determining the sulfur content of diesel or ECA marine fuel?
* * * * *
(e) * * *
(2) Follow paragraph 7.3.1 of ASTM D 6299-02 to check standards
using a reference material at least monthly or following any major
change to the laboratory equipment or test procedure. Any deviation
from the accepted reference value of a check standard greater than 1.44
ppm (for diesel fuel subject to the 15 ppm sulfur standard), 19.36 ppm
(for diesel fuel subject to the 500 ppm sulfur standard), or 36.14 ppm
(for ECA marine fuel subject to the 1,000 ppm sulfur standard must be
investigated.
* * * * *
(4) Upon discovery of any quality control testing violation of
paragraph A 1.5.1.3 or A 1.5.2.1 of ASTM D 6299-02, or any check
standard deviation greater than 1.44 ppm (for diesel fuel subject to
the 15 ppm sulfur standard), 19.36 ppm (for diesel fuel subject to the
500 ppm sulfur standard), or 36.14 ppm (for ECA marine fuel subject to
the 1,000 ppm sulfur standard), conduct an investigation into the cause
of such violation or deviation and, after restoring method performance
to statistical control, retest retained samples from batches originally
tested since the last satisfactory quality control material or check
standard testing occasion.
0
22. Section 80.590 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraphs (a) introductory text, (a)(5), (a)(6)
introductory text, and (a)(6)(ii).
0
c. By adding paragraph (a)(7)(vii).
0
d. By redesignating paragraphs (e) through (i) as paragraphs (f)
through (j), respectively.
0
e. By adding a new paragraph (e).
Sec. 80.590 What are the product transfer document requirements for
motor vehicle diesel fuel, NRLM diesel fuel, heating oil, ECA marine
fuel, and other distillates?
(a) This paragraph (a) applies on each occasion that any person
transfers custody or title to MVNRLM diesel fuel, heating oil, or ECA
marine fuel (including distillates used or intended to be used as
MVNRLM diesel fuel, heating oil, or ECA marine fuel) except when such
fuel is dispensed into motor vehicles or nonroad equipment,
locomotives, marine diesel engines or C3 vessels. Note that 40 CFR part
1043 specifies requirements for documenting fuel transfers to certain
marine vessels. For all fuel transfers subject to this paragraph (a),
the transferor must provide to the transferee documents which include
the following information:
* * * * *
(5) For transfers of MVNRLM diesel fuel or ECA marine fuel
(beginning June 1, 2014), the sulfur content standard the transferor
represents the fuel to meet.
(6) Beginning June 1, 2006, when an entity, from a facility at any
point in the distribution system, transfers custody of a distillate or
residual fuel designated under Sec. 80.598, the following information
must also be included:
* * * * *
(ii) An accurate and clear statement of the applicable designation
and/or classification under Sec. 80.598(a) and (b), for example, ``500
ppm sulfur NRLM diesel fuel'', or ``jet fuel''; and whether the fuel is
dyed or undyed, and for heating oil, whether marked or unmarked where
applicable.
(7) * * *
(vii) ECA marine fuel. For ECA marine fuel produced or imported
beginning June 1, 2014, ``1,000 ppm sulfur (maximum) ECA marine fuel.
For use in Category 3 marine vessels only. Not for use in engines not
installed on C3 marine vessels.''
* * * * *
(e) Beginning June 1, 2014, for ECA marine fuel only (except for
transfers to truck carriers, retailers or wholesale purchaser-
consumers), product codes may be used to convey the information
required under this section if such codes are clearly understood by
each transferee. ``1000'' must appear clearly on the product transfer
document, and may be contained in the product code. If the designation
is included in the code, codes used to convey the statement in
paragraph (a)(7)(vii) of this section must contain the number ``1000''.
If another letter, number, or symbol is being used to convey the
statement in paragraph (a)(7)(vii) of this section, it must be clearly
defined and denoted on the product transfer document.
* * * * *
0
23. Section 80.593 is amended by revising the introductory text to read
as follows:
Sec. 80.593 What are the reporting requirements for refiners and
importers of motor vehicle diesel fuel subject to temporary refiner
relief standards?
Beginning with 2006, or the first compliance period during which
credits are generated under Sec. 80.531(b) or (c), whichever is
earlier, any refiner or importer who produces or imports motor vehicle
diesel fuel subject to the 500 ppm sulfur standard under Sec.
80.520(c), or any refiner or importer who generates, uses, obtains, or
transfers credits under Sec. Sec. 80.530 through 80.532, and
continuing for each year thereafter, must submit to EPA annual reports
that contain the information required in this section, and such other
information as EPA may require:
* * * * *
0
24. Section 80.597 is amended by revising paragraphs (c), (d), (e), and
(f) and adding paragraph (g) to read as follows:
Sec. 80.597 What are the registration requirements?
* * * * *
(c) Registration for ECA marine fuel. Refiners and importers that
intend to produce or supply ECA marine fuel beginning June 1, 2014,
must provide EPA the information under Sec. 80.76 no later than
December 31, 2012, if such information has not been previously provided
under the provisions of this part. In addition, for each import
facility, the same identifying information as required for each
refinery under Sec. 80.76(c) must be provided.
(d) Entity registration. (1) Except as prescribed in paragraph
(d)(6) of this section, each entity as defined in Sec. 80.502 that
intends to deliver or receive custody of any of the following fuels
from June 1, 2006 through May 31, 2010, must register with EPA by
December 31, 2005, or six months prior to commencement of producing,
importing, or distributing any distillate listed in paragraphs
(d)(1)(i) through (d)(1)(iii) of this section:
(i) Fuel designated as 500 ppm sulfur MVNRLM diesel fuel under
Sec. 80.598 on which taxes have not been assessed pursuant to IRS code
(26 CFR part 48).
(ii) Fuel designated as 15 ppm sulfur MVNRLM diesel fuel under
Sec. 80.598 on which taxes have not been assessed pursuant to IRS code
(26 CFR part 48).
(iii) Fuel designated as NRLM diesel fuel under Sec. 80.598 that
is undyed pursuant to Sec. 80.520.
(iv) Fuel designated as California Diesel fuel under Sec. 80.598
on which taxes have not been assessed and red dye has not been added
(if required) pursuant to IRS code (26 CFR part 48)
[[Page 22973]]
and that is delivered by pipeline to a terminal outside of the State of
California pursuant to the provisions of Sec. 80.617(b).
(2) Except as prescribed in paragraph (d)(6) of this section, each
entity as defined in Sec. 80.502 that intends to deliver or receive
custody of any of the following fuels from June 1, 2007, through May
31, 2014, must register with EPA by December 31, 2005, or six months
prior to commencement of producing, importing, or distributing any
distillate listed in paragraph (d)(1) of this section:
(i) Fuel designated as 500 ppm sulfur MVNRLM diesel fuel under
Sec. 80.598 on which taxes have not been assessed pursuant to IRS code
(26 CFR part 48).
(ii) Fuel designated as NRLM diesel fuel under Sec. 80.598 that is
undyed pursuant to Sec. 80.520.
(iii) Fuel designated as heating oil under Sec. 80.598 that is
unmarked pursuant to Sec. 80.510(d) through (f).
(iv) Fuel designated as LM diesel fuel under Sec.
80.598(a)(2)(iii) that is unmarked pursuant to Sec. 80.510(e).
(3) Except as prescribed in paragraph (d)(6) of this section, each
entity as defined in Sec. 80.502 that intends to deliver or receive
custody of any of the following fuels beginning June 1, 2014, must
register with EPA by December 31, 2012, or prior to commencement of
producing, importing, or distributing any distillate or residual fuel
listed in this paragraph (d):
(i) Fuel designated as 1,000 ppm sulfur ECA marine fuel under Sec.
80.598.
(ii) [Reserved]
(4) Registration shall be on forms prescribed by the Administrator,
and shall include the name, business address, contact name, telephone
number, e-mail address, and type of production, importation, or
distribution activity or activities engaged in by the entity.
(5) Registration shall include the information required under
paragraph (e) of this section for each facility owned or operated by
the entity that delivers or receives custody of a fuel described in
paragraphs (d)(1) through (3) of this section.
(6) Exceptions for Excluded Liquids. An entity that would otherwise
be required to register pursuant to the requirements of paragraphs
(d)(1) through (3) of this section is exempted from the registration
requirements under this section provided that:
(i) The only diesel fuel or heating oil that the entity delivers or
receives on which taxes have not been assessed or which is not received
dyed pursuant to IRS code 26 CFR part 48 is an excluded liquid as
defined pursuant to IRS code 26 CFR 48.4081-1(b).
(ii) The entity does not transfer the excluded liquid to a facility
which delivers or receives diesel fuel other than an excluded liquid on
which taxes have not been assessed pursuant to IRS code (26 CFR part
48).
(e) Facility registration. (1) List for each separate facility of
an entity required to register under paragraph (d) of this section, the
facility name, physical location, contact name, telephone number, e-
mail address and type of facility. For facilities that are aggregated
under Sec. 80.502, provide information regarding the nature and
location of each of the components. If aggregation is changed for any
subsequent compliance period, the entity must provide notice to EPA
prior to the beginning of such compliance period.
(2) If facility records are kept off-site, list the off-site
storage facility name, physical location, contact name, and telephone
number.
(3) Mobile facilities: (i) A description shall be provided in the
registration detailing the types of mobile vessels that will likely be
included and the nature of the operations.
(ii) Entities may combine all mobile operations into one facility;
or may split the operations by vessel, region, route, waterway, etc.
and register separate mobile facilities for each.
(iii) The specific vessels need not be identified in the
registration, however information regarding specific vessel contracts
shall be maintained by each registered entity for its mobile
facilities, pursuant to Sec. 80.602(d).
(f) Changes to registration information. Any company or entity
shall submit updated registration information to the Administrator
within 30 days of any occasion when the registration information
previously supplied for an entity, or any of its registered facilities,
becomes incomplete or inaccurate.
(g) Issuance of registration numbers. EPA will supply a
registration number to each entity and a facility registration number
to each of an entity's facilities that is identified, which shall be
used in all reports to the Administrator.
0
25. Section 80.598 is amended as follows:
0
a. By revising paragraphs (a)(2)(i)(A) through (F).
0
b. By adding paragraph (a)(2)(i)(H).
0
c. By revising paragraph (a)(2)(v) introductory text.
0
d. By adding paragraph (a)(3)(xv).
0
e. By revising paragraphs (b)(4)(i), (b)(4)(ii), (b)(7)(i), (b)(7)(ii),
(b)(8), (b)(9)(ii), (b)(9)(viii), and (b)(9)(x) introductory text.
Sec. 80.598 What are the designation requirements for refiners,
importers, and distributors?
(a) * * *
(2) * * *
(i) * * *
(A) Motor vehicle, nonroad, locomotive or marine (MVNRLM) diesel
fuel.
(B) Heating oil.
(C) Jet fuel.
(D) Kerosene.
(E) No. 4 fuel.
(F) Distillate fuel for export only.
* * * * *
(H) ECA marine fuel. This designation may be used beginning June 1,
2014, and fuel designated as such is subject to the restrictions in
paragraph (a)(3)(xv) of this section.
* * * * *
(v) From June 1, 2006, through May 31, 2010, any batch designated
as motor vehicle diesel fuel must also be designated according to one
of the following distillation classifications that most accurately
represents the fuel:
* * * * *
(3) * * *
(xv) Beginning June 1, 2014, any fuel designated as ECA marine fuel
will be subject to all the following restrictions:
(A) Such fuel may not exceed a sulfur level of 1,000 ppm.
(B) Such fuel may only be produced, distributed, sold, and
purchased for use in C3 marine vessels.
(b) * * *
(4) * * *
(i) 1D 500 ppm sulfur motor vehicle diesel fuel.
(ii) 2D 500 ppm sulfur motor vehicle diesel fuel.
* * * * *
(7) * * *
(i) 500 ppm sulfur NRLM diesel fuel.
(ii) Heating oil.
* * * * *
(8) Beginning June 1, 2014, whenever custody of a batch of
distillate or residual fuel (other than jet fuel, kerosene, No. 4 fuel,
fuel for export, fuel intended for use outside an ECA, or fuel
otherwise allowed to be used under 40 CFR part 1043) having a sulfur
content greater than 15 ppm is transferred to another facility, the
entity transferring custody must accurately and clearly designate the
batch as one of the following and specify its volume:
(i) ECA marine fuel.
(ii) Heating oil.
(iii) Exempt distillate fuels such as fuels that are covered by a
national security exemption under Sec. 80.606, fuels
[[Page 22974]]
that are used for purposes of research and development pursuant to
Sec. 80.607, and fuels used in the U.S. Territories pursuant to Sec.
80.608 (including additional identifying information).
(9) * * *
(ii) Until June 1, 2014, any distillate fuel containing greater
than or equal to 0.10 milligrams per liter of marker solvent yellow 124
required under Sec. 80.510(d), (e), or (f) must be designated as
heating oil except that from June 1, 2010, through September 30, 2012,
it may also be designated as LM diesel fuel as specified under Sec.
80.510(e).
* * * * *
(viii) For facilities in areas other than those specified in Sec.
80.510(g)(1) and (2), batches or portions of batches of unmarked
distillate received designated as heating oil may be re-designated as
NRLM or LM diesel fuel only if all the following restrictions are met:
(A) From June 1, 2007, through May 31, 2010, for any compliance
period, the volume of high sulfur NRLM diesel fuel delivered from a
facility cannot be greater than the volume received, unless the volume
of heating oil delivered from the facility is also greater than the
volume it received by an equal or greater proportion, as calculated in
Sec. 80.599(c)(2).
(B) From June 1, 2010, through May 31, 2014, for any compliance
period, the volume of fuel designated as heating oil delivered from a
facility cannot be less than the volume of fuel designated as heating
oil received, as calculated in Sec. 80.599(c)(4).
* * * * *
(x) Notwithstanding the provisions of paragraphs (b)(5) and (8) of
this section, beginning October 1, 2007:
* * * * *
0
26. Section 80.599 is amended as follows:
0
a. By revising paragraph (a)(1).
0
b. By removing and reserving paragraph (a)(2).
0
c. By revising paragraph (e)(4).
Sec. 80.599 How do I calculate volume balances for designation
purposes?
(a) * * *
(1) The annual compliance periods are shown in the following table:
------------------------------------------------------------------------
Ending date of annual
Beginning date of annual compliance period compliance period
------------------------------------------------------------------------
June 1, 2006.............................. May 31, 2007.
June 1, 2007.............................. June 30, 2008.
July 1, 2008.............................. June 30, 2009.
July 1, 2009.............................. May 31, 2010.
June 1, 2010.............................. June 30, 2011.
July 1, 2011.............................. May 31, 2012.
June 1, 2012.............................. June 30, 2013.
July 1, 2013.............................. May 31, 2014.
------------------------------------------------------------------------
(2) [Reserved]
* * * * *
(e) * * *
(4) The following calculation may be used to account for wintertime
blending of kerosene and the blending of non-petroleum diesel:
2MV500O<= 2MV500I +
2MV500P - 2MV500INVCHG + 0.2 *
(1MV15I + 2MV15I +
NPMV15I)
Where:
1MV15I = the total volume of fuel received
during the compliance period that is designated as 1D 15
ppm sulfur motor vehicle diesel fuel. Any motor vehicle diesel fuel
produced by or imported into the facility shall not be included in
this volume.
NPMV15I = the total volume of fuel received during the
compliance period that is designated as NP15 ppm sulfur motor
vehicle diesel fuel. Any motor vehicle diesel fuel produced by or
imported into the facility shall not be included in this volume.
1MV15P = the total volume of fuel produced by or
imported into the facility during the compliance period that was
designated as 1D 15 ppm sulfur motor vehicle diesel fuel
when it was delivered.
* * * * *
0
27. Section 80.600 is amended as follows:
0
a. By revising paragraphs (a)(5) and (a)(12).
0
b. By revising paragraphs (b)(1)(v)(A) and (B).
0
c. By revising paragraph (b)(3).
0
d. By revising paragraph (i).
0
e. By revising paragraphs (o)(1) and (o)(2).
Sec. 80.600 What records must be kept for purposes of the designate
and track provisions?
(a) * * *
(5) Any refiner or importer shall maintain the records specified in
paragraphs (a)(6) through (10) of this section for each batch of
distillate or residual fuel that it transfers custody of and designates
from June 1, 2014, and later as any of the following categories:
(i) Heating oil.
(ii) ECA marine fuel.
* * * * *
(12) Records must be maintained that demonstrate compliance with a
refiner's compliance plan required under Sec. 80.554, for distillate
fuel designated as high sulfur NRLM diesel fuel and delivered from June
1, 2007 through May 31, 2010, for distillate fuel designated as 500 ppm
sulfur NR diesel fuel and delivered from June 1, 2010, through May 31,
2012, and for distillate fuel designated as 500 ppm sulfur NRLM diesel
fuel and delivered from June 1, 2012, through May 31, 2014, in the
areas specified in Sec. 80.510(g)(2).
* * * * *
(b) * * *
(1) * * *
(v) For each facility that receives fuel designated as heating oil,
records for each batch of distillate or residual fuel with any of the
following designations for which custody is received or delivered as
well as any batches produced from June 1, 2014, and beyond:
(A) 1,000 ppm sulfur ECA marine fuel.
(B) Heating oil.
* * * * *
(3) Records that clearly and accurately identify the total volume
in gallons of each designated fuel identified under paragraph (b)(1) of
this section transferred over each of the compliance periods, and over
the periods from June 1, 2006 to the end of each compliance period. The
records shall be maintained separately for each fuel designated under
paragraph (b)(1) of this section, and for each EPA entity and facility
registration number from whom the fuel was received or to whom it was
delivered. For batches of fuel received from facilities without an EPA
facility registration number:
(i) Any batches of fuel received marked pursuant to Sec. 80.510(d)
or (f) shall be deemed to be designated as heating oil.
(ii) Any batches of fuel received marked pursuant to Sec.
80.510(e) shall be deemed to be designated as heating oil or LM diesel
fuel.
(iii) Any batches of fuel received on which taxes have been paid
pursuant to Section 4082 of the Internal Revenue Code (26 CFR 48.4082)
shall be deemed to be designated as motor vehicle diesel fuel.
(iv) Any 500 ppm sulfur diesel fuel dyed pursuant to Sec.
80.520(b) and not marked pursuant to Sec. 80.510(d) or (f) shall be
deemed to be designated as NRLM diesel fuel.
(v) Any diesel fuel with less than or equal to 500 ppm sulfur which
is dyed pursuant to Sec. 80.520(b) and not marked pursuant to Sec.
80.510(e) shall be deemed to be NR diesel fuel.
(vi) Beginning June 1, 2014, any batches of fuel with greater than
15 ppm sulfur, but less than or equal to 1,000 ppm sulfur, and not
designated as heating oil shall be deemed to be 1,000 ppm ECA marine
fuel.
* * * * *
(i) Additional records that must be kept by mobile facilities. Any
registered mobile facility must keep records of all contracts from any
contracted
[[Page 22975]]
components (e.g., tank truck, barge, marine tanker, rail car, etc.) in
each of its registered mobile facilities.
* * * * *
(o) * * *
(1) Any aggregated facility consisting of a refinery and truck
loading terminal shall maintain records of all the following
information for each batch of distillate fuel (and/or residual fuel
with a sulfur level of 1,000 ppm or less that is intended for use in an
ECA) produced by the refinery and sent over the aggregated facility's
truck loading terminal rack:
(i) The batch volume.
(ii) The batch number, assigned under the batch numbering
procedures under Sec. Sec. 80.65(d)(3) and 80.502(d)(1).
(iii) The date of production.
(iv) A record designating the batch as distillate or residual fuel
meeting the 500 ppm, 15 ppm, or 1,000 ppm ECA marine sulfur standard.
(v) A record indicating the volumes that were either taxed, dyed,
or dyed and marked.
(2) Volume reports for all distillate fuel (and/or residual fuel
with a sulfur level of 1,000 ppm or less that is intended for use in an
ECA) from external sources (i.e., from another refiner or importer), as
described in Sec. 80.601(f)(2), sent over the aggregated facility's
truck rack.
0
28. Section 80.601 is amended by revising paragraph (b)(3)(x) to read
as follows:
Sec. 80.601 What are the reporting requirements for purposes of the
designate and track provisions?
* * * * *
(b) * * *
(3) * * *
(x) Beginning with the report due August 31, 2011, and ending with
the report due August 31, 2012, the volume balance under Sec. Sec.
80.598(b)(9)(ix) and 80.599(d)(2).
* * * * *
0
29. Section 80.602 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraphs (a) introductory text, (a)(2) introductory
text, and (a)(3).
0
c. By revising paragraphs (b) introductory text, (b)(4)(i), and
(b)(4)(ii).
0
d. By revising paragraphs (g)(1) and (g)(2).
Sec. 80.602 What records must be kept by entities in the NRLM diesel
fuel, ECA marine fuel, and diesel fuel additive production,
importation, and distribution systems?
(a) Records that must be kept by parties in the NRLM diesel fuel,
ECA marine fuel and diesel fuel additive production, importation, and
distribution systems. Beginning June 1, 2007, or June 1, 2006, if that
is the first period credits are generated under Sec. 80.535, any
person who produces, imports, sells, offers for sale, dispenses,
distributes, supplies, offers for supply, stores, or transports
nonroad, locomotive or marine diesel fuel, or ECA marine fuel
(beginning June 1, 2014) subject to the provisions of this subpart,
must keep all the following records:
* * * * *
(2) For any sampling and testing for sulfur content for a batch of
NRLM diesel fuel produced or imported and subject to the 15 ppm sulfur
standard or any sampling and testing for sulfur content as part of a
quality assurance testing program, and any sampling and testing for
cetane index, aromatics content, marker solvent yellow 124 content or
dye solvent red 164 content of NRLM diesel fuel, ECA marine fuel, NRLM
diesel fuel additives or heating oil:
* * * * *
(3) The actions the party has taken, if any, to stop the sale or
distribution of any NRLM diesel fuel or ECA marine fuel found not to be
in compliance with the sulfur standards specified in this subpart, and
the actions the party has taken, if any, to identify the cause of any
noncompliance and prevent future instances of noncompliance.
(b) Additional records to be kept by refiners and importers of NRLM
diesel fuel and ECA marine fuel. Beginning June 1, 2007, or June 1,
2006, pursuant to the provisions of Sec. Sec. 80.535 or 80.554(d) (or
June 1, 2014, pursuant to the provisions of Sec. 80.510(k)), any
refiner producing distillate or residual fuel subject to a sulfur
standard under Sec. Sec. 80.510, 80.513, 80.536, 80.554, 80.560, or
80.561, for each of its refineries, and any importer importing such
fuel separately for each facility, shall keep records that include the
following information for each batch of NRLM diesel fuel, ECA marine
fuel, or heating oil produced or imported:
* * * * *
(4) * * *
(i) NRLM diesel fuel, NR diesel fuel, LM diesel fuel, ECA marine
fuel, or heating oil, as applicable.
(ii) Meeting the 500 ppm sulfur standard of Sec. 80.510(a), the 15
ppm sulfur standard of Sec. 80.510(b) and (c), the 1,000 ppm sulfur
standard of Sec. 80.510(k), or other applicable standard.
* * * * *
(g) * * *
(1) All the following information for each batch of distillate fuel
(or residual fuel with a sulfur level of 1,000 ppm or less if such fuel
is intended for use in an ECA) produced by the refinery and sent over
the aggregated facility's truck rack:
(i) The batch volume.
(ii) The batch number, assigned under the batch numbering
procedures under Sec. Sec. 80.65(d)(3) and 80.502(d)(1).
(iii) The date of production.
(iv) A record designating the batch as one of the following:
(A) NRLM diesel fuel, NR diesel fuel, LM diesel fuel, ECA marine
fuel, or heating oil, as applicable.
(B) Meeting the 500 ppm sulfur standard of Sec. 80.510(a), the 15
ppm sulfur standard of Sec. 80.510(b) and (c), the 1,000 ppm sulfur
standard of Sec. 80.510(k), or other applicable standard.
(C) Dyed or undyed with visible evidence of solvent red 164.
(D) Marked or unmarked with solvent yellow 124.
(2) Hand-off reports for all distillate fuel (or residual fuel with
a sulfur level of 1,000 ppm or less if such fuel is intended for use in
an ECA) from external sources (i.e., from another refiner or importer),
as described in Sec. 80.601(f)(2).
0
30. Section 80.606 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraph (a) introductory text and paragraph (a)(1).
0
c. By revising paragraph (b).
0
d. By adding paragraph (c).
Sec. 80.606 What national security exemption applies to fuels covered
under this subpart?
(a) The standards of all the fuels listed in paragraph (b) of this
section do not apply to fuel that is produced, imported, sold, offered
for sale, supplied, offered for supply, stored, dispensed, or
transported for use in any of the following:
(1) Tactical military motor vehicles or tactical military nonroad
engines, vehicles or equipment, including locomotive and marine, having
an EPA national security exemption from the motor vehicle emission
standards under 40 CFR 85.1708, or from the nonroad engine emission
standards under 40 CFR part 89, 92, 94, 1042, or 1068.
* * * * *
(b) The exempt fuel must meet any of the following:
(1) The motor vehicle diesel fuel standards of Sec. 80.520(a)(1),
(a)(2), and (c).
(2) The nonroad, locomotive, and marine diesel fuel standards of
Sec. 80.510(a), (b), and (c).
[[Page 22976]]
(3) The 1,000 ppm ECA marine fuel standards of Sec. 80.510(k).
(c) The exempt fuel must meet all the following conditions:
(1) It must be accompanied by product transfer documents as
required under Sec. 80.590.
(2) It must be segregated from non-exempt MVNRLM diesel fuel and
ECA marine fuel at all points in the distribution system.
(3) It must be dispensed from a fuel pump stand, fueling truck or
tank that is labeled with the appropriate designation of the fuel, such
as ``JP-5'' or ``JP-8''.
(4) It may not be used in any motor vehicles or nonroad engines,
equipment or vehicles, including locomotive and marine, other than the
vehicles, engines, and equipment referred to in paragraph (a) of this
section.
0
31. Section 80.607 is amended as follows:
0
a. By revising the section heading.
0
b. By revising paragraph (a).
0
c. By revising paragraphs (c)(3)(iv) and (c)(4).
0
d. By revising paragraphs (d)(2), (d)(3), and (d)(4).
0
e. By revising paragraph (e)(1).
0
f. By revising paragraph (f).
Sec. 80.607 What are the requirements for obtaining an exemption for
diesel fuel or ECA marine fuel used for research, development or
testing purposes?
(a) Written request for a research and development exemption. Any
person may receive an exemption from the provisions of this subpart for
diesel fuel or ECA marine fuel used for research, development, or
testing purposes by submitting the information listed in paragraph (c)
of this section to: Director, Transportation and Regional Programs
Division (6406J), U.S. Environmental Protection Agency, 1200
Pennsylvania Avenue, NW., Washington, DC 20460 (postal mail); or
Director, Transportation and Regional Programs Division, U.S.
Environmental Protection Agency, 1310 L Street, NW., 6th floor,
Washington, DC 20005 (express mail/courier); and Director, Air
Enforcement Division (2242A), U.S. Environmental Protection Agency,
Ariel Rios Building, 1200 Pennsylvania Avenue, NW., Washington, DC
20460.
* * * * *
(c) * * *
(3) * * *
(iv) The quantity of fuel which does not comply with the
requirements of Sec. Sec. 80.520 and 80.521 for motor vehicle diesel
fuel, or Sec. 80.510 for NRLM diesel fuel or ECA marine fuel.
(4) With regard to control, a demonstration that the program
affords EPA a monitoring capability, including all the following:
(i) The site(s) of the program (including facility name, street
address, city, county, State, and zip code).
(ii) The manner in which information on vehicles and engines used
in the program will be recorded and made available to the Administrator
upon request.
(iii) The manner in which information on the fuel used in the
program (including quantity, fuel properties, name, address, telephone
number and contact person of the supplier, and the date received from
the supplier), will be recorded and made available to the Administrator
upon request.
(iv) The manner in which the party will ensure that the research
and development fuel will be segregated from motor vehicle diesel fuel,
NRLM diesel fuel, or ECA marine fuel, as applicable, and how fuel pumps
will be labeled to ensure proper use of the research and development
fuel.
(v) The name, address, telephone number and title of the person(s)
in the organization requesting an exemption from whom further
information on the application may be obtained.
(vi) The name, address, telephone number and title of the person(s)
in the organization requesting an exemption who is responsible for
recording and making available the information specified in this
paragraph (c), and the location where such information will be
maintained.
(d) * * *
(2) The research and development fuel must be designated by the
refiner or supplier, as applicable, as research and development fuel.
(3) The research and development fuel must be kept segregated from
non-exempt MVNRLM diesel fuel and ECA marine fuel at all points in the
distribution system.
(4) The research and development fuel must not be sold,
distributed, offered for sale or distribution, dispensed, supplied,
offered for supply, transported to or from, or stored by a fuel retail
outlet, or by a wholesale purchaser-consumer facility, unless the
wholesale purchaser-consumer facility is associated with the research
and development program that uses the fuel.
* * * * *
(e) * * *
(1) The volume of fuel subject to the approval shall not exceed the
estimated amount under paragraph (c)(3)(iv) of this section, unless EPA
grants a greater amount in writing.
* * * * *
(f) Effects of exemption. Motor vehicle diesel fuel, NRLM diesel
fuel, or ECA marine fuel that is subject to a research and development
exemption under this section is exempt from other provisions of this
subpart provided that the fuel is used in a manner that complies with
the purpose of the program under paragraph (c) of this section and the
requirements of this section.
* * * * *
0
32. Section 80.608 is revised to read as follows:
Sec. 80.608 What requirements apply to diesel fuel and ECA marine
fuel for use in the Territories?
The sulfur standards of Sec. 80.520(a)(1) and (c) related to motor
vehicle diesel fuel, of Sec. 80.510(a), (b), and (c) related to NRLM
diesel fuel, and of Sec. 80.510(k) related to ECA marine fuel, do not
apply to fuel that is produced, imported, sold, offered for sale,
supplied, offered for supply, stored, dispensed, or transported for use
in the Territories of Guam, American Samoa or the Commonwealth of the
Northern Mariana Islands, provided that such diesel fuel is all the
following:
(a) Designated by the refiner or importer as high sulfur diesel
fuel only for use in Guam, American Samoa, or the Commonwealth of the
Northern Mariana Islands.
(b) Used only in Guam, American Samoa, or the Commonwealth of the
Northern Mariana Islands.
(c) Accompanied by documentation that complies with the product
transfer document requirements of Sec. 80.590(b)(1).
(d) Segregated from non-exempt MVNRLM diesel fuel and/or non-exempt
ECA marine fuel at all points in the distribution system from the point
the fuel is designated as exempt fuel only for use in Guam, American
Samoa, or the Commonwealth of the Northern Mariana Islands, while the
exempt fuel is in the United States (or the United States Emission
Control Area) but outside these Territories.
0
33. Section 80.610 is amended as follows:
0
a. By revising paragraph (a)(1).
0
b. By revising paragraph (b).
0
c. By revising paragraph (c).
0
d. By revising paragraphs (e)(3)(iii) and (e)(4)(iii) and adding
paragraph (e)(6).
0
e. By revising paragraph (g).
Sec. 80.610 What acts are prohibited under the diesel fuel sulfur
program?
* * * * *
(a) * * *
(1) Produce, import, sell, offer for sale, dispense, supply, offer
for supply, store or transport motor vehicle diesel fuel,
[[Page 22977]]
NRLM diesel fuel, ECA marine fuel or heating oil that does not comply
with the applicable standards, dye, marking or any other product
requirements under this subpart I and 40 CFR part 69, except as allowed
by 40 CFR part 1043 for ECA marine fuel.
* * * * *
(b) Designation and volume balance violation. Produce, import,
sell, offer for sale, dispense, supply, offer for supply, store or
transport motor vehicle diesel, NRLM diesel fuel, ECA marine fuel,
heating oil or other fuel that does not comply with the applicable
designation or volume balance requirements under Sec. Sec. 80.598 and
80.599.
(c) Additive violation. (1) Produce, import, sell, offer for sale,
dispense, supply, offer for supply, store or transport any fuel
additive for use at a downstream location that does not comply with the
applicable requirements of Sec. 80.521.
(2) Blend or permit the blending into motor vehicle diesel fuel,
NRLM diesel fuel, or ECA marine fuel at a downstream location, or use,
or permit the use, in motor vehicle diesel fuel, NRLM diesel fuel, or
ECA marine fuel, of any additive that does not comply with the
applicable requirements of Sec. 80.521.
* * * * *
(e) * * *
(3) * * *
(iii) This prohibition begins December 1, 2014, in all other areas.
(4) * * *
(iii) This prohibition begins December 1, 2014, in all other areas.
* * * * *
(6) Beginning January 1, 2015, introduce (or permit the
introduction of) any fuel with a sulfur content greater than 1,000 ppm
for use in a Category 3 marine vessel within an ECA, except as allowed
by 40 CFR part 1043. This prohibition is in addition to other
prohibitions in this section.
* * * * *
(g) Cause violating fuel or additive to be in the distribution
system. Cause motor vehicle diesel fuel, NRLM diesel fuel, or ECA
marine fuel to be in the diesel fuel distribution system which does not
comply with the applicable standard, dye or marker requirements or the
product segregation requirements of this subpart I, or cause any fuel
additive to be in the fuel additive distribution system which does not
comply with the applicable sulfur standards under Sec. 80.521.
0
34. Section 80.612 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 80.612 Who is liable for violations of this subpart?
* * * * *
(b) Persons liable for failure to comply with other provisions of
this subpart. Any person who:
* * * * *
0
35. Section 80.613 is amended by revising paragraph (a)(1)(iv)
introductory text to read as follows:
Sec. 80.613 What defenses apply to persons deemed liable for a
violation of a prohibited act under this subpart?
(a) * * *
(1) * * *
(iv) For refiners and importers of diesel fuel subject to the 15
ppm sulfur standard under Sec. 80.510(b) or (c) or Sec. 80.520(a)(1),
the 500 ppm sulfur standard under Sec. 80.510(a) or Sec. 80.520(c),
and/or the 1,000 ppm sulfur standard under Sec. 80.510(k), test
results that--
* * * * *
0
36. Section 80.615 is amended by revising paragraphs (b)(2) and (b)(4)
to read as follows:
Sec. 80.615 What penalties apply under this subpart?
* * * * *
(b) * * *
(2) Any person liable under Sec. 80.612(a)(2) for causing motor
vehicle diesel fuel, NRLM diesel fuel, ECA marine fuel, heating oil, or
other distillate fuel to be in the distribution system which does not
comply with an applicable standard or requirement of this subpart I,
except as allowed under 40 CFR part 1043, is subject to a separate day
of violation for each and every day that the noncomplying fuel remains
any place in the diesel fuel distribution system.
* * * * *
(4) For purposes of this paragraph (b):
(i) The length of time the motor vehicle diesel fuel, NRLM diesel
fuel, ECA marine fuel, heating oil, or other distillate fuel in
question remained in the diesel fuel distribution system is deemed to
be 25 days, except as further specified in paragraph (b)(4)(ii) of this
section.
(ii) The length of time is deemed not to be 25 days if a person
subject to liability demonstrates by reasonably specific showings, by
direct or circumstantial evidence, that the non-complying motor
vehicle, NR diesel fuel, NRLM diesel fuel, ECA marine fuel, heating
oil, or distillate fuel remained in the distribution system for fewer
than or more than 25 days.
* * * * *
PART 85--CONTROL OF AIR POLLUTION FROM MOBILE SOURCES
0
37. The authority citation for part 85 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart R--[Amended]
0
38. Section 85.1703 is amended by revising the section heading and
paragraph (a) introductory text to read as follows:
Sec. 85.1703 Definition of motor vehicle.
(a) For the purpose of determining the applicability of section
216(2), a vehicle which is self-propelled and capable of transporting a
person or persons or any material or any permanently or temporarily
affixed apparatus shall be deemed a motor vehicle, unless any one or
more of the criteria set forth below are met, in which case the vehicle
shall be deemed not a motor vehicle:
* * * * *
0
39. A new Sec. 85.1715 is added to subpart R to read as follows:
Sec. 85.1715 Aircraft meeting the definition of motor vehicle.
This section applies for aircraft meeting the definition of motor
vehicle in Sec. 85.1703.
(a) For the purpose of this section, aircraft means any vehicle
capable of sustained air travel above treetop heights.
(b) The standards, requirements, and prohibitions of 40 CFR part 86
do not apply for aircraft or aircraft engines. Standards apply
separately to certain aircraft engines, as described in 40 CFR part 87.
PART 86--CONTROL OF EMISSIONS FROM NEW AND IN[dash]USE HIGHWAY
VEHICLES AND ENGINES
0
40. The authority citation for part 86 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
Sec. Sec. 86.000-15, 86.000-21, 86000-23, 86.000-25, 86.001-1, 86.087-
38, 86.090-8, 86.091-10, 86.094-1. 86.094-15, 86.094-17, 86.094-23,
86.094-9, 86.096-9, 86.096-10, 86.096-11, 86.096-14, 86.096-23, 86.098-
7, 86.098-8, 86.098-11, 86.098-15, 86.098-17, 86.098-21, 86.098-22,
86.099-1, and 86.099-30 [Removed]
0
41. Subpart A is amended by removing the following sections: 86.000-15,
86.000-21, 86.000-23, 86.000-25, 86.001-1, 86.087-38, 86.090-8, 86.091-
10, 86.094-1, 86.094-15, 86.094-17, 86.094-23, 86.094-9, 86.096-9,
86.096-10, 86.096-11,
[[Page 22978]]
86.096-14, 86.096-23, 86.098-7, 86.098-8, 86.098-11, 86.098-15, 86.098-
17, 86.098-21, 86.098-22, 86.099-1, 86.099-30.
Sec. 86.000-28--[Amended]
0
42. Section 86.000-28 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraph (a)(3).
0
c. By removing paragraph (a)(4)(i) introductory text.
0
d. By removing and reserving paragraphs (a)(4)(i)(A) through
(a)(4)(i)(B)(2)(i).
0
e. By removing paragraphs (a)(4)(i)(B)(2)(iii) through (a)(4)(i)(D)(2).
0
f. By removing and reserving paragraph (a)(4)(ii)(B).
0
g. By removing paragraphs (a)(4)(ii)(C) and (a)(4)(iv) and (v).
0
h. By removing and reserving paragraphs (a)(5) and (a)(6).
0
i. By removing paragraph (a)(7)(i) introductory text.
0
j. By removing and reserving paragraphs (a)(7)(ii) through (b)(4)(i).
0
k. By removing paragraphs (b)(7) through (h).
0
43. Section 86.008-10 is amended by revising paragraph (a)(2) to read
as follows:
Sec. 86.008-10 Emission standards for 2008 and later model year Otto-
cycle heavy-duty engines and vehicles.
* * * * *
(a) * * *
(2) The standards set forth in paragraph (a)(1) of this section
refer to the exhaust emitted over the operating schedule set forth in
paragraph (f)(1) of Appendix I to this part, and measured and
calculated in accordance with the procedures set forth in subpart N or
P of this part:
(i) Perform the test interval set forth in paragraph (f)(1) of
Appendix I of this part with a cold-start according to 40 CFR part
1065, subpart F. This is the cold-start test interval.
(ii) Shut down the engine after completing the test interval and
allow 20 minutes to elapse. This is the hot soak.
(iii) Repeat the test interval. This is the hot-start test
interval.
(iv) Calculate the total emission mass of each constituent, m, and
the total work, W, over each test interval according to 40 CFR
1065.650.
(v) Determine your engine's brake-specific emissions using the
following calculation, which weights the emissions from the cold-start
and hot-start test intervals:
[GRAPHIC] [TIFF OMITTED] TR30AP10.000
* * * * *
0
44. Section 86.010-38 is amended by revising paragraphs (j)
introductory text and (j)(15)(i) introductory text to read as follows:
Sec. 86.010-38 Maintenance instructions.
* * * * *
(j) The following provisions describe requirements related to
emission control diagnostic service information for heavy-duty engines
used in vehicles over 14,000 pounds gross vehicle weight (GVW):
* * * * *
(15) * * *
(i) By July 1, 2013, manufacturers shall make available for sale to
the persons specified in paragraph (j)(3)(i) of this section their own
manufacturer-specific diagnostic tools at a fair and reasonable cost.
These tools shall also be made available in a timely fashion either
through the manufacturer Web site or through a manufacturer-designated
intermediary. Upon Administrator approval, manufacturers will not be
required to make available manufacturer-specific tools with
reconfiguration capabilities if they can demonstrate to the
satisfaction of the Administrator that these tools are not essential to
the completion of an emissions-related repair, such as recalibration.
As a condition of purchase, manufacturers may request that the
purchaser take all necessary training offered by the engine
manufacturer. Any required training materials and classes must comply
with the following:
* * * * *
Sec. 86.091-7 [Amended]
0
45. Section 86.091-7 is amended by removing paragraph (a)(3) and
removing and reserving paragraphs (c)(3) and (d)(2).
Sec. 86.094-7 [Amended]
0
46. Section 86.094-7 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a) introductory text through
(a)(2).
0
c. By removing and reserving paragraphs (b) through (c)(2), (c)(4)
through (d)(1)(v), (d)(3) through (g), and (h)(1).
0
d. By removing paragraphs (h)(6) and (i).
Sec. 86.094-14 [Amended]
0
47. Section 86.094-14 is amended as follows:
0
a. By removing paragraph (c)(7)(i)(C)(4).
0
b. By removing and reserving paragraph (c)(11)(ii)(B)(1).
0
c. By removing paragraphs (c)(11)(ii)(B)(16) through (18).
0
d. By removing and reserving paragraphs (c)(11)(ii)(C) and
(c)(11)(ii)(D)(1) through (6)
Sec. 86.094-21 [Amended]
0
48. Section 86.094-21 is amended by removing and reserving paragraph
(b)(6).
Sec. 86.094-22 [Amended]
0
49. Section 86.094-22 is amended by removing and reserving paragraph
(d)(1).
Sec. 86.094-26 [Amended]
0
50. Section 86.094-26 is amended as follows:
0
a. By removing and reserving paragraph (a)(2).
0
b. By removing the text of paragraph (a)(3) introductory text and the
(a)(3)(i) paragraph heading.
0
c. By removing and reserving paragraphs (a)(3)(i)(A), (a)(3)(i)(C),
(a)(3)(ii)(C), and (a)(4)(i)(C).
0
d. By removing paragraph (a)(6)(iii).
0
e. By removing and reserving paragraphs (a)(9)(ii) and (b)(2)(i) and
(ii).
0
f. By removing paragraphs (b)(2)(iv) and (b)(4)(i)(C), and (D).
0
g. By removing and reserving paragraphs (b)(4)(ii), (c), and
(d)(2)(ii).
Sec. 86.094-28 [Amended]
0
51. Section 86.094-28 is amended as follows:
0
a. By removing and reserving paragraphs (a)(1) and (2).
0
b. By removing the text of paragraphs (a)(4) introductory text and
(a)(4)(i) introductory text.
0
c. By removing and reserving paragraph (a)(4)(i)(B)(2)(ii).
[[Page 22979]]
0
d. By removing paragraph (a)(4)(i)(C).
0
e. By removing and reserving paragraph (a)(4)(ii) and(iii).
0
f. By removing paragraph (a)(4)(v).
0
g. By removing paragraph and reserving (a)(7) introductory text.
0
h. By removing and reserving paragraphs (a)(7)(i), (b)(1) and (2), and
(b)(4)(ii).
0
i. By removing paragraphs (b)(4)(iii) and (iv), (b)(5) through (8), and
(c) and (d).
Sec. 86.094-30 [Amended]
0
52. Section 86.094-30 is amended as follows:
0
a. By removing and reserving paragraphs (a)(3) and (a)(4)(i) and (ii).
0
b. By removing and reserving paragraph (a)(4)(iv) introductory text.
0
c. By removing and reserving paragraphs (a)(10), (11), (13),
(b)(1)(ii)(B), (b)(1)(ii)(D), and (b)(2).
0
d. By removing and reserving paragraph (b)(4)(ii) introductory text.
0
e. By removing and reserving paragraph (b)(4)(ii)(B).
0
f. By removing paragraphs (b)(4)(iii) and (iv) and (f).
Sec. 86.095-14 [Amended]
0
53. Section 86.095-14 is amended by removing the introductory text and
removing and reserving paragraphs (a) through (c)(11)(ii)(B)(15) and
(c)(11)(ii)(D)(7) through (c)(15).
Sec. 86.095-23 [Amended]
0
54. Section 86.095-23 is amended as follows:
0
a. By removing and reserving paragraphs (a) and (b).
0
b. By removing and reserving paragraph (c)(2).
0
c. By removing and reserving paragraphs (d) and (e).
0
d. By removing and reserving paragraphs (h) through (k).
Sec. 86.095-26 [Amended]
0
55. Section 86.095-26 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a) through (b)(4)(i)(C) and
(b)(4)(ii)(C).
0
c. By removing paragraphs (b)(4)(iii) through (d).
Sec. 86.095-30 [Amended]
0
56. Section 86.095-30 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a)(1) through (a)(3) and
(a)(4)(i) through (iii).
0
c. By removing paragraphs (a)(4)(iv)(A) through (C).
0
d. By removing and reserving paragraphs (a)(5) through (12).
0
e. By removing paragraph (a)(14).
0
f. By removing and reserving paragraph (b).
0
g. By removing paragraphs (c) through (f).
Sec. 86.095-35 [Amended]
0
57. Section 86.095-35 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a)(2) introductory text
through (a)(2)(iii)(C).
0
c. By removing and reserving paragraph (c).
Sec. 86.096-7 [Amended]
0
58. Section 86.096-7 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a) through (h)(5).
0
c. By removing the heading for paragraph (h)(6) introductory text and
removing and reserving paragraph (h)(6)(i).
0
d. By removing paragraph (h)(7)(vii).
Sec. 86.096-8 [Amended]
0
59. Section 86.096-8 is amended as follows:
0
a. By removing paragraph (a)(1)(iii).
0
b. By removing and reserving paragraph (a)(2).
0
c. By removing paragraph (a)(3).
0
d. By removing and reserving paragraphs (b) introductory text through
(b)(4).
Sec. 86.096-21 [Amended]
0
60. Section 86.096-21 is amended by removing the introductory text and
removing and reserving paragraphs (a) through (j).
Sec. 86.096-24 [Amended]
0
61. Section 86.096-24 is amended as follows:
0
a. By removing and reserving paragraphs (a)(5) through (7), (b)(1)(i)
and (ii), and (b)(1)(vii).
0
b. By removing and reserving paragraphs (b)(1)(viii) introductory text
and (b)(1)(viii)(A).
0
c. By removing and reserving paragraph (f).
0
d. By removing paragraph (g)(3).
Sec. 86.096-26 [Amended]
0
62. Section 86.096-26 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a) and (b).
0
c. By removing and reserving paragraphs (c)(1) through (c)(3).
0
d. By removing paragraph (d).
Sec. 86.096-30 [Amended]
0
63. Section 86.096-30 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a)(1) through (14).
0
c. By removing paragraphs (a)(19) through (24).
0
d. By removing and reserving paragraph (b).
0
e. By removing paragraphs (c) through (f).
Sec. 86.097-9 [Amended]
0
64. Section 86.097-9 is amended as follows:
0
a. By removing paragraph (a)(1)(iv).
0
b. By removing and reserving paragraph (a)(2).
0
c. By removing paragraph (a)(3).
0
d. By removing and reserving paragraphs (b) and (d) through (f).
Sec. 86.098-10 [Amended]
0
65. Section 86.098-10 is amended by removing and reserving paragraph
(b).
Sec. 86.098-23 [Amended]
0
66. Section 86.098-23 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (b)(2), (c), and (d)(2).
0
c. By removing paragraph (d)(3).
0
d. By removing and reserving paragraphs (f) through (g) and (l).
Sec. 86.098-24 [Amended]
0
67. Section 86.098-24 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing paragraph (a) introductory text.
0
c. By removing and reserving paragraphs (a)(1) through (4).
0
d. By removing paragraph (a)(8) through (15).
0
e. By removing and reserving paragraphs (b) introductory text and(b)(1)
introductory text.
0
f. By removing and reserving paragraphs (b)(1)(i) through (vi) and
(b)(1)(viii)(B).
0
g. By removing paragraphs (b)(1)(ix) through (xii).
0
h. By removing and reserving paragraph (b)(2).
0
i. By removing paragraphs (b)(3) and (c) through (h).
Sec. 86.098-25 [Amended]
0
68. Section 86.098-25 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraph (a).
0
c. By removing and reserving paragraph (b) introductory text.
[[Page 22980]]
0
d. By removing and reserving paragraphs (b)(1) through (2).
0
e. By removing and reserving paragraph (b)(3) introductory text through
(b)(3)(vi)(D).
0
f. By removing paragraphs (b)(3)(vii), (b)(4) through (7), and (c)
through (h).
Sec. 86.098-26 [Amended]
0
69. Section 86.098-26 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a)(1) and (2).
0
c. By removing and reserving paragraphs (a)(3) introductory text and
(a)(3)(i)(A) and (B).
0
d. By removing paragraph (a)(3)(i)(D).
0
e. By removing and reserving paragraph (a)(3)(ii)(A) and (B).
0
h. By removing paragraphs (a)(3)(ii)(D) and (a)(4) through (11).
0
i. By removing and reserving paragraph (b).
0
j. By removing paragraphs (c) through (d).
Sec. 86.098-28 [Amended]
0
70. Section 86.098-28 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a)(1) through (a)(3).
0
c. By removing and reserving paragraphs (a)(4)(i) introductory text,
(a)(4)(i)(A) and (B), and (a)(4)(ii)(A) .
0
d. By removing and reserving paragraphs (a)(4)(iii) and (iv).
0
f. By removing and reserving paragraphs (a)(5) and (6), (a)(7)(i) and
(ii), and (b).
0
g. By removing paragraphs (c) through (h).
Sec. 86.098-30 [Amended]
0
71. Section 86.098-30 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraphs (a)(1) through (18), (b)(1),
and (b)(3).
0
c. By removing and reserving paragraphs (b)(4) introductory text,
(b)(4)(i), and (b)(4)(ii)(A).
0
d. By removing paragraphs (b)(5) through (f).
Sec. 86.099-8 [Amended]
0
72. Section 86.099-8 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraph (a)(1) introductory text.
0
c. By removing and reserving paragraphs (a)(1)(i) and (ii), (b)(5), and
(c).
0
d. By removing paragraphs (e) through (k).
Sec. 86.099-9 [Amended]
0
73. Section 86.099-9 is amended as follows:
0
a. By removing the introductory text.
0
b. By removing and reserving paragraph (a)(1) introductory text.
0
c. By removing and reserving paragraphs (a)(1)(i) through (iii).
0
d. By removing paragraph (c) through (k).
Subpart B--[Amended]
0
74. Section 86.138-96 is amended by revising paragraph (k) to read as
follows:
Sec. 86.138-96 Hot soak test.
* * * * *
(k) For the supplemental two-diurnal test sequence (see Sec.
86.130-96), perform a hot soak test as described in this section,
except that the test shall be conducted within seven minutes after
completion of the hot start exhaust test and temperatures throughout
the hot soak measurement period must be between 68 [deg] and 86 [deg]F.
This hot soak test is followed by two consecutive diurnal heat builds,
described in Sec. 86.133-96(p).
* * * * *
0
75. Section 86.144-94 is amended by revising paragraph (c)(7)(ii) to
read as follows:
Sec. 86.144-94 Calculations; exhaust emissions.
* * * * *
(c) * * *
(7) * * *
(ii) For methanol-fueled vehicles, where fuel composition is
CxHyOz as measured, or calculated, for
the fuel used:
[GRAPHIC] [TIFF OMITTED] TR30AP10.001
* * * * *
Subpart E--[Amended]
0
76. Section 86.415-78 is amended by revising paragraph (b) to read as
follows:
Sec. 86.415-78 Production vehicles.
* * * * *
(b) Any manufacturer obtaining certification shall notify the
Administrator of the number of vehicles of each engine family-engine
displacement-emission control system-fuel system-transmission type-
inertial mass category combination produced for sale in the United
States during the preceding year. This report must be submitted every
year within 45 days after the end of the model year.
* * * * *
Subpart G--Selective Enforcement Auditing of New Light-Duty
Vehicles, Light-Duty Trucks, and Heavy-Duty Vehicles
0
77. The heading for subpart G is revised as set forth above.
0
78. Section 86.601-84 is amended by revising the introductory text to
read as follows:
Sec. 86.601-84 Applicability.
The provisions of this subpart apply to light-duty vehicles, light-
duty trucks, and heavy-duty vehicles. However, manufacturers that
optionally certify heavy-duty vehicles based on chassis testing under
Sec. 86.1863-07 may choose instead to perform selective enforcement
audits using the procedures specified in 40 CFR part 1068, subpart E.
References to ``light-duty vehicle'' or ``LDT'' in this subpart G shall
be deemed to include light-duty trucks and heavy-duty vehicles as
appropriate.
* * * * *
0
79. Subpart K, consisting of Sec. 86.1001, is revised to read as
follows:
Subpart K--Selective Enforcement Auditing of New Heavy-Duty Engines
Sec. 86.1001 Applicability.
(a) The selective enforcement auditing program described in 40 CFR
part 1068,
[[Page 22981]]
subpart E, applies for all heavy-duty engines as described in this
section. In addition, the provisions of 40 CFR 1068.10 and 1068.20
apply for any selective enforcement audits of these engines.
(b) For heavy-duty engines, the prescribed test procedure is the
Federal Test Procedure as described in subparts I, N, and P of this
part (including provisions of 40 CFR part 1065 as specified in this
part), except that they shall not be subject to the test procedures
specified in Sec. Sec. 86.1360(b)(2) and (f), 86.1370, 86.1372, and
86.1380. The Administrator may, on the basis of a written application
by a manufacturer, approve optional test procedures other than those in
subparts I, N, and P of this part for any heavy-duty vehicle which is
not susceptible to satisfactory testing using the procedures in
subparts I, N, and P of this part.
Subpart N--[Amended]
0
80. Section 86.1305-2010 is amended by revising paragraph (h)(2) to
read as follows:
Sec. 86.1305-2010 Introduction; structure of subpart.
* * * * *
(h) * * *
(2) Follow the provisions of 40 CFR 1065.342 to verify the
performance of any sample dryers in your system. Correct your
measurements according to 40 CFR 1065.659, except use the value of
Kw in Sec. 86.1342-90(i) as the value of (1-
xH2Oexh) in Equation 1065.659-1.
* * * * *
Subpart T--[Amended]
0
81. Section 86.1910 is amended by revising paragraph (d) to read as
follows:
Sec. 86.1910 How must I prepare and test my in-use engines?
* * * * *
(d) You must test the selected engines while they remain installed
in the vehicle. Use portable emission sampling equipment and field-
testing procedures referenced in Sec. 86.1375. Measure emissions of
THC, NMHC (by any method specified in 40 CFR part 1065, subpart J), CO,
NOX, PM (as appropriate), and CO2. Measure or
determine O2 emissions using good engineering judgment.
* * * * *
PART 94--CONTROL OF EMISSIONS FROM MARINE COMPRESSION-IGNITION
ENGINES
0
82. The authority citation for part 94 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
83. Section 94.1 is amended by revising paragraph (b)(3) to read as
follows:
Sec. 94.1 Applicability.
* * * * *
(b) * * *
(3) Marine engines subject to the standards of 40 CFR part 1042,
and marine engines that optionally certify (to the Tier 1 or Tier 2
standards) under the provisions of 40 CFR part 1042. Note that 40 CFR
1042.1 specifies that marine compression-ignition engines that are not
certified under this part are subject to 40 CFR part 1042. Such engines
may also be subject to the standards of this part 94.
* * * * *
0
84. Section 94.12 is amended by adding paragraph (j) to read as
follows:
Sec. 94.12 Interim provisions.
* * * * *
(j) Transition to new category thresholds. Beginning model year
2012, engines with maximum engine power at or below 3700 kW with per-
cylinder displacement at or above 5.0 liters and below 7.0 liters are
Category 1 engines subject to 40 CFR part 1042. Similarly, beginning
model year 2014, engines with maximum engine power above 3700 kW with
per-cylinder displacement at or above 5.0 liters and below 7.0 liters
are Category 1 engines subject to 40 CFR part 1042. For purposes of
this paragraph (j), maximum engine power has the meaning given in 40
CFR 1042.901.
Subpart J--[Amended]
0
85. Section 94.904 is amended by revising paragraph (a) to read as
follows:
Sec. 94.904 Exemptions.
(a) Except as specified otherwise in this subpart, the provisions
of Sec. Sec. 94.904 through 94.913 exempt certain new engines from the
standards, other requirements, and prohibitions of this part, except
for the requirements of this subpart and the requirements of Sec.
94.1104. Additional requirements may apply for imported engines; these
are described in subpart I of this part. Engines may also be exempted
from the standards of this part under the provisions of 40 CFR part
1042 or part 1068.
* * * * *
PART 1027--FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE
PROGRAMS
0
86. The authority citation for part 1027 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
0
87. Section 1027.101 is amended as follows:
0
a. By revising paragraph (a)(2)(iii).
0
b. By adding paragraph (a)(4).
0
c. By revising paragraph (d).
Sec. 1027.101 To whom do these requirements apply?
(a) * * *
(2) * * *
(iii) Marine compression-ignition engines we regulate under 40 CFR
part 94, 1042, or 1043.
* * * * *
(4) Portable fuel containers we regulate under 40 CFR part 59,
subpart F.
* * * * *
(d) Paragraph (a) of this section identifies the parts of the CFR
that define emission standards and other requirements for particular
types of engines, vehicles, and fuel-system components. This part 1027
refers 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 recreational vehicles. For some nonroad engines, we
allow for certification related to evaporative emissions separate from
exhaust emissions. In this case, 40 CFR part 1060 is the standard-
setting part for the equipment or fuel system components you produce.
0
88. Section 1027.105 is amended by revising paragraph (b)(3) to read as
follows:
Sec. 1027.105 How much are the fees?
* * * * *
(b) * * *
(3) The following fees apply for nonroad and stationary engines,
vehicles, equipment, and components:
------------------------------------------------------------------------
Category Certificate type Fee
------------------------------------------------------------------------
(i) Locomotives and locomotive All................. $826
engines.
(ii) Marine compression-ignition All, including EIAPP 826
engines and stationary
compression-ignition engines with
per-cylinder displacement at or
above 10 liters.
[[Page 22982]]
(iii) Other nonroad compression- All................. 1,822
ignition engines and stationary
compression-ignition engines with
per-cylinder displacement below
10 liters.
(iv) Large SI engines............. All................. 826
(v) Stationary spark-ignition All................. 826
engines above 19 kW.
(vi) Marine SI engines and Small Exhaust only........ 826
SI engines.
(vii) Stationary spark-ignition Exhaust only........ 826
engines at or below 19 kW.
(viii) Recreational vehicles...... Exhaust (or combined 826
exhaust and evap).
(ix) Equipment and fuel-system Evap (where separate 241
components associated with certification is
nonroad and stationary spark- required).
ignition engines, including
portable fuel containers.
------------------------------------------------------------------------
* * * * *
0
89. Section 1027.115 is amended by revising paragraph (g) to read as
follows:
Sec. 1027.115 What special provisions apply for certification related
to nonroad and stationary engines?
* * * * *
(g) For marine compression-ignition engines, if you apply for a
Federal certificate and an EIAPP certificate for the same engine
family, a single fee applies for the engine family (see 40 CFR parts
94, 1042, and 1043).
* * * * *
0
89b. Section 1027.150 is amended by revising the section heading to
read as follows and removing the definition of ``Annex VI.''
Sec. 1027.150 What definitions apply to this part?
* * * * *
PART 1033--CONTROL OF EMISSIONS FROM LOCOMOTIVES
0
90. The authority citation for part 1033 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
91. Section 1033.15 is amended by revising paragraph (a) to read as
follows:
Sec. 1033.15 Other regulation parts that apply for locomotives.
(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1033 describes how to apply the provisions of
part 1065 of this chapter to test locomotives to determine whether they
meet the exhaust emission standards in this part.
* * * * *
0
92. A new Sec. 1033.30 is added to subpart A to read as follows:
Sec. 1033.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1033.925 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
(b) The regulations in Sec. 1033.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1033.901).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--[Amended]
0
93. Section 1033.101 is amended by revising paragraph (d) to read as
follows:
Sec. 1033.101 Exhaust emission standards.
* * * * *
(d) 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 to comply with the
NOX and/or PM standards of this part. You may also use ABT
to comply with the Tier 4 HC standards of this part as described in
paragraph (j) 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
paragraphs (a) and (b) of this section. FELs may not be higher than the
following limits:
(1) FELs for Tier 0 and Tier 1 locomotives originally manufactured
before 2002 may have any value.
(2) FELs for Tier 1 locomotives originally manufactured 2002
through 2004 may not exceed 9.5 g/bhp-hr for NOX emissions
or 0.60 g/bhp-hr for PM emissions measured over the line-haul duty
cycle. FELs for these locomotives may not exceed 14.4 g/bhp-hr for
NOX emissions or 0.72 g/bhp-hr for PM emissions measured
over the switch duty cycle.
(3) FELs for Tier 2 and Tier 3 locomotives may not exceed the Tier
1 standards of this section.
(4) FELs for Tier 4 locomotives may not exceed the Tier 3 standards
of this section.
* * * * *
0
94. Section 1033.115 is amended by revising paragraph (f) to read as
follows:
Sec. 1033.115 Other requirements.
* * * * *
(f) Defeat devices. You may not equip your locomotives with a
defeat device. A defeat device is an auxiliary emission control device
(AECD) that reduces the effectiveness of emission controls under
conditions that the locomotive may reasonably be expected to encounter
during normal operation and use.
(1) This does not apply to AECDs you identify in your application
for certification if any of the following is true:
(i) The conditions of concern were substantially included in the
applicable duty cycle test procedures described in subpart F of this
part.
(ii) You show your design is necessary to prevent locomotive damage
or accidents.
(iii) The reduced effectiveness applies only to starting the
locomotive.
(iv) The locomotive emissions when the AECD is functioning are at
or below the notch caps of Sec. 1033.101.
(2) This does not apply to AECDs related to hotel mode that conform
to the specifications of this paragraph (f)(2). This provision is
intended for AECDs that have the primary function of operating the
engine at a different speed than would be done to generate
[[Page 22983]]
the same propulsive power when not operating in hotel mode. Identify
and describe these AECDs in your application for certification. We may
allow the AECDs to modify engine calibrations where we determine that
such modifications are environmentally beneficial or needed for proper
engine function. You must obtain preliminary approval under Sec.
1033.210 before incorporating such modifications. Otherwise, you must
apply the same injection timing and intake air cooling strategies in
hotel mode and non-hotel mode.
* * * * *
0
95. Section 1033.120 is amended by revising paragraph (c) to read as
follows:
Sec. 1033.120 Emission-related warranty requirements.
* * * * *
(c) Components covered. The emission-related warranty covers all
components whose failure would increase a locomotive's emissions of any
regulated pollutant. This includes components listed in 40 CFR part
1068, Appendix I, and components from any other system you develop to
control emissions. The emission-related warranty covers the components
you sell even if another company produces the component. Your emission-
related warranty does not need to cover components whose failure would
not increase a locomotive's emissions of any regulated pollutant. For
remanufactured locomotives, your emission-related warranty is required
to cover only those parts that you supply or those parts for which you
specify allowable part manufacturers. It does not need to cover used
parts that are not replaced during the remanufacture.
* * * * *
0
95b. Section 1033.150 amended by revising paragraph (a)(4) and
redesignating paragraph (k)(1) as paragraph (l) to read as follows:
Sec. 1033.150 Interim provisions.
* * * * *
(a) * * *
(4) Estimate costs as follows:
(i) The cost limits described in paragraph (a)(1) of this section
are specified in terms of 2007 dollars. Adjust these values for future
years according to the following equation:
Actual Limit = (2007 Limit) x [(0.6000) x (Commodity Index) + (0.4000)
x (Earnings Index)]
Where:
2007 Limit = The value specified in paragraph (a)(1) of this section
($250,000 or $125,000).
Commodity Index = The U.S. Bureau of Labor Statistics Producer Price
Index for Industrial Commodities Less Fuel (Series WPU03T15M05) for
the month prior to the date you submit your application divided by
173.1.
Earnings Index = The U.S. Bureau of Labor Statistics Estimated
Average Hourly Earnings of Production Workers for Durable
Manufacturing (Series CES3100000008) for the month prior to the date
you submit your application divided by 18.26.
(ii) Calculate all costs in current dollars (for the month prior to
the date you submit your application). Calculate fuel costs based on a
fuel price adjusted by the Association of American Railroads' monthly
railroad fuel price index (P), which is available at https://www.aar.org//media/AAR/RailCostIndexes/Index_MonthlyFuelPrices.ashx.
(Use the value for the column in which P equals 539.8 for November
2007.) Calculate a new fuel price using the following equation:
Fuel Price = ($2.76 per gallon) x (P/539.8)
* * * * *
Subpart C--[Amended]
0
96. Section 1033.220 is amended by revising the introductory text and
paragraph (a) to read as follows:
Sec. 1033.220 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. 1033.125.
You must send the Designated Compliance Officer a 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. If owners/operators follow the
original maintenance instructions rather than the newly specified
maintenance, this does not allow you to disqualify those locomotives
from in-use testing or deny a warranty claim.
(a) If you are decreasing or eliminating any of the specified
maintenance, you may distribute the new maintenance instructions to
your customers 30 days after we receive your request, unless we
disapprove your request. This would generally include replacing one
maintenance step with another. We may approve a shorter time or waive
this requirement.
* * * * *
0
97. Section 1033.225 is amended as follows:
0
a. By revising the introductory text.
0
b. By revising paragraphs (b) introductory text and (b)(2).
0
c. By revising paragraphs (e) and (f).
Sec. 1033.225 Amending applications for certification.
Before we issue you a certificate of conformity, you may amend your
application to include new or modified locomotive 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 locomotive configurations
within the scope of the certificate, subject to the provisions of this
section. You must also amend your application if any changes occur with
respect to any information that is included or should be included in
your application. For example, you must amend your application if you
determine that your actual production variation for an adjustable
parameter exceeds the tolerances specified in your application.
* * * * *
(b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
* * * * *
(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 locomotive is
still appropriate for showing that the amended family complies with all
applicable requirements.
* * * * *
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified locomotive
anytime after you send us your amended application, before we make a
decision under paragraph (d) of this section. However, if we determine
that the affected locomotives do not meet applicable requirements, we
will notify you to cease production of the locomotives and may require
you to recall the locomotives at no expense to the owner. Choosing to
produce locomotives under this paragraph (e) is deemed to be consent to
recall all locomotives 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
[[Page 22984]]
(c) of this section within 30 days after we request it, you must stop
producing the new or modified locomotives.
(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
locomotives 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 the new FEL on the emission
control information label for all locomotives 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 engine 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 locomotive, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire family to calculate emission
credits 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 locomotives showing that emissions
are below the proposed lower FEL. The lower FEL applies only to engines
or fuel-system components you produce after we approve the new FEL. Use
the appropriate FELs with corresponding production volumes to calculate
emission credits for the model year, as described in subpart H of this
part.
0
98. Section 1033.235 is amended by revising paragraphs (c) and (d)
introductory text to read as follows:
Sec. 1033.235 Emission testing required for certification.
* * * * *
(c) We may measure emissions from any of your emission-data
locomotives or other locomotives from the engine family.
(1) We may decide to do the testing at your plant or any other
facility. If we do this, you must deliver the locomotive to a test
facility we designate. 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 locomotives, the
results of that testing become the official emission results for the
locomotive. 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 locomotives, we may set its
adjustable parameters to any point within the adjustable ranges (see
Sec. 1033.115(b)).
(4) Before we test one of your locomotives, we may calibrate it
within normal production tolerances for anything we do not consider an
adjustable parameter. For example, this would apply where we determine
that an engine parameter is not an adjustable parameter (as defined in
Sec. 1033.901) but that it is subject to production variability.
(d) You may ask to use carryover emission data from a previous
model year instead of doing new tests if all the following are true:
* * * * *
0
99. Section 1033.240 is amended by revising paragraph (a) introductory
text and paragraph (b) introductory text to read as follows:
Sec. 1033.240 Demonstrating compliance with exhaust emission
standards.
(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1033.101 if all emission-data locomotives representing that family have
test results showing official emission results and deteriorated
emission levels at or below these standards.
* * * * *
(b) Your engine family is deemed not to comply if any emission-data
locomotive representing that family has test results showing an
official emission result or a deteriorated emission level for any
pollutant that is above an applicable emission standard. Use the
following steps to determine the deteriorated emission level for the
test locomotive:
* * * * *
0
100. Section 1033.255 is amended by revising paragraph (b) to read as
follows:
Sec. 1033.255 EPA decisions.
* * * * *
(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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *
Subpart D--[Amended]
0
101. Section 1033.325 is amended by revising paragraph (d) to read as
follows:
Sec. 1033.325 Maintenance of records; submittal of information.
* * * * *
(d) Nothing in this section limits our authority to require you to
establish, maintain, keep or submit to us information not specified by
this section. We may also ask you to send less information.
* * * * *
Subpart F--[Amended]
0
102. Section 1033.501 is amended by revising paragraph (i) to read as
follows:
Sec. 1033.501 General provisions.
* * * * *
(i) For passenger locomotives that can generate hotel power from
the main propulsion engine, the locomotive must comply with the
emission standards when in non-hotel setting. For hotel mode, the
locomotive is subject to the notch cap provisions of Sec. 1033.101 and
the defeat device prohibition of Sec. 1033.115.
0
103. Section 1033.505 is amended by revising paragraph (a) to read as
follows:
Sec. 1033.505 Ambient conditions.
* * * * *
(a) Temperature. (1) Testing may be performed with ambient
temperatures from 15.5 [deg]C (60 [deg]F) to 40.5 [deg]C (105 [deg]F).
Do not correct emissions for temperature effects within this range.
(2) It is presumed that combustion air will be drawn from the
ambient air. Thus, the ambient temperature limits of this paragraph (a)
apply for intake air upstream of the engine. If you do not draw
combustion air from the ambient air, use good engineering judgment to
ensure that any temperature difference (between the ambient air and
combustion air) does not cause the emission measurement to be
unrepresentative of in-use emissions.
(3) If we allow you to perform testing at ambient temperatures
below 15.5 [deg]C, you must correct NOX emissions for
temperature effects, consistent with good engineering judgment. For
example, if the intake air temperature (at the manifold) is lower at
the test temperature than it would be for equivalent operation at an
ambient temperature of 15.5 [deg]C, you generally will need to adjust
your measured NOX emissions to account for the effect of the
lower intake air temperature. However, if you maintain a constant
manifold air
[[Page 22985]]
temperature, you will generally not need to correct emissions.
* * * * *
0
104. Section 1033.515 is amended by revising the section heading and
paragraphs (d) and (e) to read as follows:
Sec. 1033.515 Discrete-mode steady-state emission tests of
locomotives and locomotive engines.
* * * * *
(d) Use one of the following approaches for sampling PM emissions
during discrete-mode steady-state testing:
(1) Engines certified to a PM standard/FEL at or above 0.05 g/bhp-
hr. Use a separate PM filter sample for each test mode of the
locomotive test cycle according to the procedures specified in
paragraph (a) through (c) of this section. You may ask to use a shorter
sampling period if the total mass expected to be collected would cause
unacceptably high pressure drop across the filter before reaching the
end of the required sampling time. We will not allow sampling times
shorter than 60 seconds. When we conduct locomotive emission tests, we
will adhere to the time limits for each of the numbered modes in Table
1 to this section.
(2) Engines certified to a PM standard/FEL below 0.05 g/bhp-hr. (i)
You may use separate PM filter samples for each test mode as described
in paragraph (d)(1) of this section; however, we recommend that you do
not. The low rate of sample filter loading will result in very long
sampling times and the large number of filter samples may induce
uncertainty stack-up that will lead to unacceptable PM measurement
accuracy. Instead, we recommend that you measure PM emissions as
specified in paragraph (d)(2)(ii) of this section.
(ii) You may use a single PM filter for sampling PM over all of the
test modes of the locomotive test cycle as specified in this paragraph
(d)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec. 1033.530 for each
mode. The minimum sampling time for each mode is 400 seconds multiplied
by the weighting factor. For example, for a mode with a weighting
factor of 0.030, the minimum sampling time is 12.0 seconds. PM sampling
in each mode must be proportional to engine exhaust flow as specified
in 40 CFR part 1065. Begin proportional sampling of PM emissions at the
beginning of each test mode as is specified in paragraph (c) of this
section. End the sampling period for each test mode so that sampling
times are proportional to the weighting factors for the applicable duty
cycles. If necessary, you may extend the time limit for each of the
test modes beyond the sampling times in Table 1 to this section to
increase the sampled mass of PM emissions or to account for proper
weighting of the PM emission sample over the entire cycle, using good
engineering judgment.
(e) This paragraph (e) describes how to test locomotive engines
when not installed in a locomotive. Note that the test procedures for
dynamometer engine testing of locomotive engines are intended to
produce emission measurements that are the same as emission
measurements produced during testing of complete locomotives using the
same engine configuration. The following requirements apply for all
engine tests:
(1) Specify a second-by-second set of engine speed and load points
that are representative of in-use locomotive operation for each of the
set-points of the locomotive test cycle described in Table 1 to this
section, including transitions from one notch to the next. This is your
reference cycle for validating your cycle. You may ignore points
between the end of the sampling period for one mode and the point at
which you change the notch setting to begin the next mode.
(2) Keep the temperature of the air entering the engine after any
charge air cooling to within 5 [deg]C of the typical intake manifold
air temperature when the engine is operated in the locomotive under
similar ambient conditions.
(3) Proceed as specified in paragraphs (a) through (d) of this
section for testing complete locomotives.
0
105. Section 1033.530 is amended by revising paragraphs (e) and (h) to
read as follows:
Sec. 1033.530 Duty cycles and calculations.
* * * * *
(e) Automated Start-Stop. For a locomotive equipped with features
that shut the engine off after prolonged periods of idle, multiply the
measured idle mass emission rate over the idle portion of the
applicable test cycles by a factor equal to one minus the estimated
fraction reduction in idling time that will result in use from the
shutdown feature. Do not apply this factor to the weighted idle power.
Application of this adjustment is subject to our approval if the
fraction reduction in idling time that is estimated to result from the
shutdown feature is greater than 25 percent. This paragraph (e) does
not apply if the locomotive is (or will be) covered by a separate
certificate for idle control.
* * * * *
(h) Calculation adjustments for energy-saving design features. The
provisions of this paragraph (h) apply for locomotives equipped with
new energy-saving locomotive design features. They do not apply for
features that only improve the engine's brake-specific fuel
consumption. They also do not apply for features that were commonly
incorporated in locomotives before 2008. See paragraph (h)(6) of this
section for provisions related to determining whether certain features
are considered to have been commonly incorporated in locomotives before
2008.
(1) Manufacturers/remanufacturers choosing to adjust emissions
under this paragraph (h) must do all of the following for
certification:
(i) Describe the energy-saving features in your application for
certification.
(ii) Describe in your installation instruction and/or maintenance
instructions all steps necessary to utilize the energy-saving features.
(2) If your design feature will also affect the locomotives' duty
cycle, you must comply with the requirements of paragraph (g) of this
section.
(3) Calculate the energy savings as follows:
(i) Estimate the expected mean in-use fuel consumption rate (on a
BTU per ton-mile basis) with and without the energy saving design
feature, consistent with the specifications of paragraph (h)(4) of this
section. The energy savings is the ratio of fuel consumed from a
locomotive operating with the new feature to fuel consumed from a
locomotive operating without the feature under identical conditions.
Include an estimate of the 80 percent confidence interval for your
estimate of the mean and other statistical parameters we specify.
(ii) Your estimate must be based on in-use operating data,
consistent with good engineering judgment. Where we have previously
certified your design feature under this paragraph (h), we may require
you to update your analysis based on all new data that are available.
You must obtain approval before you begin collecting operational data
for this purpose.
(iii) We may allow you to consider the effects of your design
feature separately for different route types, regions, or railroads. We
may require that you certify these different locomotives in different
engine families and may restrict their use to the specified
applications.
(iv) Design your test plan so that the operation of the locomotives
with and without is as similar as possible in all material aspects
(other than the design
[[Page 22986]]
feature being evaluated). Correct all data for any relevant
differences, consistent with good engineering judgment.
(v) Do not include any brake-specific energy savings in your
calculated values. If it is not possible to exclude such effects from
your data gathering, you must correct for these effects, consistent
with good engineering judgment.
(4) Calculate adjustment factors as described in this paragraph
(h)(4). If the energy savings will apply broadly, calculate and apply
the adjustment on a cycle-weighted basis. Otherwise, calculate and
apply the adjustment separately for each notch. To apply the
adjustment, multiply the emissions (either cycle-weighted or notch-
specific, as applicable) by the adjustment. Use the lower bound of the
80 percent confidence interval of the estimate of the mean as your
estimated energy savings rate. We may cap your energy savings rate for
this paragraph (h)(4) at 80 percent of the estimate of the mean.
Calculate the emission adjustment factors as:
AF = 1.000 - (energy savings rate)
(5) We may require you to collect and report data from locomotives
we allow you to certify under this paragraph (h) and to recalculate the
adjustment factor for future model years based on such data.
(6) Features that are considered to have not been commonly
incorporated in locomotives before 2008 include but are not limited to
those identified in this paragraph (h)(6).
(i) Electronically controlled pneumatic (ECP) brakes, computerized
throttle management control, and advanced hybrid technology were not
commonly incorporated in locomotives before 2008. Manufacturers may
claim full credit for energy savings that result from applying these
features to freshly manufactured and/or remanufactured locomotives.
(ii) Distributed power systems that use radio controls to optimize
operation of locomotives in the middle and rear of a train were
commonly incorporated in some but not all locomotives in 2008.
Manufacturers may claim credit for incorporating these features into
locomotives as follows:
(A) Manufacturers may claim prorated credit for incorporating
distributed power systems in freshly manufactured locomotives. Multiply
the energy saving rate by 0.50 when calculating the adjustment factor:
AF = 1.000-(energy savings rate) x (0.50)
(B) Manufacturers may claim full credit for retrofitting
distributed power systems in remanufactured locomotives.
Subpart G--[Amended]
0
106. Section 1033.601 is amended by revising paragraph (a) to read as
follows:
Sec. 1033.601 General compliance provisions.
* * * * *
(a) Meaning of terms. When used in 40 CFR part 1068, apply meanings
for specific terms as follows:
(1) ``Manufacturer'' means manufacturer and/or remanufacturer.
(2) ``Date of manufacture'' means date of original manufacture for
freshly manufactured locomotives and the date on which a remanufacture
is completed for remanufactured engines.
* * * * *
0
107. Section 1033.625 is amended by revising paragraphs (a)(1), (b),
and (c) to read as follows:
Sec. 1033.625 Special certification provisions for non-locomotive-
specific engines.
* * * * *
(a) * * *
(1) Before being installed in the locomotive, the engines were
covered by a certificate of conformity issued under 40 CFR Part 1039
(or part 89) that is effective for the calendar year in which the
manufacture or remanufacture occurs. You may use engines certified
during the previous years if they were subject to the same standards.
You may not make any modifications to the engines unless we approve
them.
* * * * *
(b) To certify your locomotives by design under this section,
submit your application as specified in Sec. 1033.205, with the
following exceptions:
(1) Include the following instead of the locomotive test data
otherwise required by Sec. 1033.205:
(i) A description of the engines to be used, including the name of
the engine manufacturer and engine family identifier for the engines.
(ii) A brief engineering analysis describing how the engine's
emission controls will function when installed in the locomotive
throughout the locomotive's useful life.
(iii) The emission data submitted under 40 CFR part 1039 (or part
89).
(2) You may separately submit some of the information required by
Sec. 1033.205, consistent with the provisions of Sec. 1033.1(d). For
example, this may be an appropriate way to submit detailed information
about proprietary engine software. Note that this allowance to
separately submit some of the information required by Sec. 1033.205 is
also available for applications not submitted under this section.
(c) Locomotives certified under this section are subject to all the
requirements of this part except as specified in paragraph (b) of this
section. The engines used in such locomotives are not considered to be
included in the otherwise applicable engines family of 40 CFR part 1039
(or part 89).
* * * * *
0
108. A new Sec. 1033.652 is added to subpart G to read as follows:
Sec. 1033.652 Special provisions for exported locomotives.
(a) Uncertified locomotives. Locomotives covered by an export
exemption under 40 CFR 1068.230 may be introduced into U.S. commerce
prior to being exported, but may not be used in any revenue generating
service in the United States. Locomotives covered by this paragraph (a)
may not include any EPA emission control information label. Such
locomotives may include emission control information labels for the
country to which they are being exported.
(b) Locomotives covered by export-only certificates. Locomotives
may be certified for export under 40 CFR 1068.230. Such locomotives may
be introduced into U.S. commerce prior to being exported, but may not
be used in any revenue generating service in the United States.
(c) Locomotives included in a certified engine family. Except as
specified in paragraph (d) of this section, locomotives included in a
certified engine family may be exported without restriction. Note that
Sec. 1033.705 requires that exported locomotives be excluded from
emission credit calculations in certain circumstances.
(d) Locomotives certified to FELs above the standards. The
provisions of this paragraph (d) apply for locomotive configurations
included in engine families certified to one or more FELs above any
otherwise applicable standard. Individual locomotives that will be
exported may be excluded from an engine family if they are unlabeled.
For locomotives that were labeled during production, you may remove the
emission control information labels prior to export. All unlabeled
locomotives that will be exported are subject to the provisions of
paragraph (a) of this section. Locomotives that are of a configuration
included in an engine family certified to one of more FELs above any
otherwise applicable standard that include an EPA emission control
information label when exported
[[Page 22987]]
are considered to be part of the engine family and must be included in
credit calculations under Sec. 1033.705. Note that this requirement
does not apply for locomotives that do not have an EPA emission control
information label, even if they have other labels (such as an export-
only label).
Subpart H--[Amended]
0
109. Section 1033.705 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 1033.705 Calculating emission credits.
* * * * *
(b) For each participating engine family, calculate positive or
negative emission credits relative to the otherwise applicable emission
standard. For the end of year report, round the sum of emission credits
to the nearest one hundredth of a megagram (0.01 Mg). Round your end of
year emission credit balance to the nearest megagram (Mg). Use
consistent units throughout the calculation. When useful life is
expressed in terms of megawatt-hrs, calculate credits for each engine
family from the following equation:
* * * * *
0
110. Section 1033.715 is revised to read as follows:
Sec. 1033.715 Banking emission credits.
(a) Banking is the retention of emission credits by the
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in future model
years for averaging, trading, or transferring. You may use banked
emission credits only as allowed by Sec. 1033.740.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1033.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging, trading, or
transferring.
(c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
0
111. Section 1033.725 is amended by revising paragraph (b)(2) to read
as follows:
Sec. 1033.725 Requirements for your application for certification.
* * * * *
(b) * * *
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance
for the model year. If you project negative emission credits for a
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.
0
112. Section 1033.730 is amended by revising paragraphs (b)(3) and
(b)(5) to read as follows:
Sec. 1033.730 ABT reports.
* * * * *
(b) * * *
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec. 1033.225.
* * * * *
(5) Rated power for each locomotive configuration, and the average
locomotive power weighted by U.S.-directed production volumes for the
engine family.
* * * * *
0
113. Section 1033.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:
Sec. 1033.735 Required records.
* * * * *
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for 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.
* * * * *
(d) Keep records of the engine identification number for each
locomotive you produce that generates or uses emission credits under
the ABT program. If you change the FEL after the start of production,
identify the date you started using each FEL and the range of engine
identification numbers associated with each FEL. You must also be able
to identify the purchaser and destination for each engine you produce.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.
Subpart J--[Amended]
0
114. Section 1033.901 is amended by revising the definitions for
``Carryover'', ``Total hydrocarbon equivalent'', and ``Useful life''
and adding a new definition for ``Alcohol-fueled locomotive'' in
alphabetical order to read as follows:
Sec. 1033.901 Definitions.
* * * * *
Alcohol-fueled locomotive means a locomotive with an engine that is
designed to run using an alcohol fuel. For purposes of this definition,
alcohol fuels do not include fuels with a nominal alcohol content below
25 percent by volume.
* * * * *
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1033.235(d).
* * * * *
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 atomic hydrogen-to-carbon mass ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
Useful life means the period during which the locomotive engine is
designed to properly function in terms of reliability and fuel
consumption, without being remanufactured, specified as work output or
miles. It is the period during which a locomotive is required to comply
with all applicable emission standards. See Sec. 1033.101(g).
* * * * *
0
115. Section 1033.905 is amended by adding ``ABT'', ``AF'', and U.S.''
in alphabetical order to read as follows:
Sec. 1033.925 Symbols, acronyms, and abbreviations.
* * * * *
ABT averaging, banking, and trading.
* * * * *
AF adjustment factor (see Sec. 1033.530).
* * * * *
U.S. United States.
* * * * *
0
116. A new Sec. 1033.925 is added to subpart J to read as follows:
[[Page 22988]]
Sec. 1033.925 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. Failing to
properly report information and keep the records we specify violates 40
CFR 1068.101(a)(2), which may involve civil or criminal penalties. 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 1033:
(1) In Sec. 1033.150 we state the requirements for interim
provisions.
(2) In subpart C of this part we identify a wide range of
information required to certify engines.
(3) In Sec. 1033.325 we specify certain records related to
production-line testing.
(4) 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.
(5) In Sec. Sec. 1033.725, 1033.730, and 1033.735 we specify
certain records related to averaging, banking, and trading.
(6) 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 the specific information and
data items to record when measuring emissions.
(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.
PART 1039--CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD
COMPRESSION-IGNITION ENGINES
0
117. The authority citation for part 1039 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
118. Section 1039.2 is revised to read as follows:
Sec. 1039.2 Who is responsible for compliance?
The regulations in this part 1039 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part are generally addressed to the engine manufacturer. The term
``you'' generally means the engine manufacturer, as defined in Sec.
1039.801, especially for issues related to certification.
0
119. Section 1039.5 is amended by revising paragraph (a) to read as
follows:
Sec. 1039.5 Which engines are excluded from this part's requirements?
* * * * *
(a) Locomotive engines. (1) The following locomotive engines are
not subject to the provisions of this part 1039:
(i) Engines in locomotives certified under 40 CFR part 1033.
(ii) Engines in locomotives that are exempt from the standards of
40 CFR part 92 or 1033 pursuant to the provisions of 40 CFR part 1033
or 1068 (except for the provisions of 40 CFR 1033.150(e)).
(2) The following locomotive engines are subject to the provisions
of this part 1039:
(i) Engines in locomotives exempt from 40 CFR part 1033 pursuant to
the provisions of 40 CFR 1033.150(e).
(ii) Locomotive engines excluded from the definition of locomotive
in 40 CFR 1033.901.
* * * * *
0
120. Section 1039.15 is amended by revising paragraph (a) to read as
follows:
Sec. 1039.15 Do any other regulation parts apply to me?
(a) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1039 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
* * * * *
0
121. A new Sec. 1039.30 is added to subpart A to read as follows:
Sec. 1039.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1039.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
(b) The regulations in Sec. 1039.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1039.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--[Amended]
0
122. Section 1039.104 is amended by adding paragraph (h) to read as
follows:
[[Page 22989]]
Sec. 1039.104 Are there interim provisions that apply only for a
limited time?
* * * * *
(h) Delayed compliance with labeling requirements. Before the 2011
model year, you may omit the dates of manufacture from the emission
control information label as specified in Sec. 1039.135(c)(6) if you
keep those records and provide them to us upon request.
0
123. Section 1039.120 is amended by revising paragraph (c) to read as
follows:
Sec. 1039.120 What emission-related warranty requirements apply to
me?
* * * * *
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty covers these components even
if another company produces the component. Your emission-related
warranty does not need to cover components whose failure would not
increase an engine's emissions of any regulated pollutant.
* * * * *
0
124. Section 1039.125 is amended as follows:
0
a. By revising paragraphs (a)(1)(iii), (a)(2)(ii), and (a)(3)(ii).
0
b. By redesignating paragraph (a)(4) as paragraph (a)(6).
0
c. By adding a new paragraph (a)(4).
0
d. By adding paragraph (a)(5).
0
e. By revising paragraphs (c), (d), and (g) introductory text to read
as follows:
Sec. 1039.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(1) * * *
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
* * * * *
(2) * * *
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 3,000 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
(3) * * *
(ii) For the following components, including associated sensors and
actuators, the minimum interval is 4,500 hours: Fuel injectors,
turbochargers, catalytic converters, electronic control units, EGR
systems (including related components, but excluding filters and
coolers), and other add-on components.
(4) For particulate traps, trap oxidizers, and components related
to either of these, scheduled maintenance may include cleaning or
repair at the intervals specified in paragraph (a)(2) or (3) of this
section, as applicable. Scheduled maintenance may include a shorter
interval for cleaning or repair and may also include adjustment or
replacement, but only if we approve it. We will approve your request if
you provide the maintenance free of charge and clearly state this in
your maintenance instructions, and you provide us additional
information as needed to convince us that the maintenance will occur.
(5) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) and (3) of this section under Sec.
1039.210, including emission-related components that were not in
widespread use with nonroad compression-ignition engines before 2011.
In your request you must describe the proposed maintenance step,
recommend the maximum feasible interval for this maintenance, include
your rationale with supporting evidence to support the need for the
maintenance at the recommended interval, and demonstrate that the
maintenance will be done at the recommended interval on in-use engines.
In considering your request, we will evaluate the information you
provide and any other available information to establish alternate
specifications for maintenance intervals, if appropriate. We will
announce any decision we make under this paragraph (a)(5) in the
Federal Register. Anyone may request a hearing regarding such a
decision (see Sec. 1039.820).
* * * * *
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
engine operation that is not atypical, or that the maintenance is
unlikely to occur in use. If we determine that certain maintenance
items do not qualify as special maintenance under this paragraph (c),
you may identify this as recommended additional maintenance under
paragraph (b) of this section.
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (that is, maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes maintenance on the
components we specify in 40 CFR part 1068, Appendix I, that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data engines.
* * * * *
(g) Payment for scheduled maintenance. Owners are responsible for
properly maintaining their engines. This generally includes paying for
scheduled maintenance. However, manufacturers must pay for scheduled
maintenance during the useful life if the regulations require it or if
it meets all the following criteria:
* * * * *
0
125. Section 1039.135 is amended by revising paragraphs (c)(6) and
(c)(8) to read as follows:
Sec. 1039.135 How must I label and identify the engines I produce?
* * * * *
(c) * * *
(6) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
* * * * *
(8) Identify the emission-control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
* * * * *
[[Page 22990]]
Subpart C--[Amended]
0
126. Section 1039.201 is amended by adding paragraph (h) to read as
follows:
Sec. 1039.201 What are the general requirements for obtaining a
certificate of conformity?
* * * * *
(h) For engines that become new after being placed into service,
such as engines converted to nonroad use after being used in motor
vehicles, we may specify alternate certification provisions consistent
with the intent of this part. See the definition of ``new nonroad
engine'' in Sec. 1039.801.
0
127. Section 1039.220 is revised to read as follows:
Sec. 1039.220 How do I amend the maintenance instructions in my
application?
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. 1039.125.
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. 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 or eliminating 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. This would generally include replacing one maintenance step
with another. 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
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for engines in severe-duty applications.
(c) You need not 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. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
0
128. Section 1039.225 is amended by revising the section heading, the
introductory text, and paragraphs (b) introductory text, (b)(2), (e),
and (f) to read as follows:
Sec. 1039.225 How do I amend my application 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 that is included or should be included in
your application.
* * * * *
(b) To amend your application for certification, send the relevant
information to the Designated Compliance Officer.
* * * * *
(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 for showing that the amended family complies with all
applicable requirements.
* * * * *
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime 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
after we request it, 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 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 engine 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, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire engine family to calculate
emission credits under subpart H of this part.
(2) You may ask to lower the FEL for your engine 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 emission credits for the
model year, as described in subpart H of this part.
0
129. Section 1039.230 is amended by revising paragraphs (b) and (d) to
read as follows:
Sec. 1039.230 How do I select engine families?
* * * * *
(b) Group engines in the same engine family if they are the same in
all the following aspects:
(1) The combustion cycle and fuel.
(2) The cooling system (water-cooled vs. air-cooled).
(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) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.
(8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
(9) Power category.
(10) Numerical level of the emission standards that apply to the
engine.
* * * * *
(d) In unusual circumstances, you may group engines that are not
identical
[[Page 22991]]
with respect to the things listed in paragraph (b) of this section in
the same engine family if you show that their emission characteristics
during the useful life will be similar.
* * * * *
0
130. Section 1039.235 is amended by revising the section heading and
paragraphs (c) and (d) introductory text to read as follows:
Sec. 1039.235 What testing requirements apply for certification?
* * * * *
(c) We may measure emissions from any of your emission-data 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 engine to a test facility
we designate. The 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 on one of your 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 physically adjustable ranges (see
Sec. 1039.115(e)).
(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. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec. 1039.801) because it is permanently
sealed.
(d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
* * * * *
0
131. Section 1039.240 is amended by revising paragraphs (a), (b), and
(c)(1) to read as follows:
Sec. 1039.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the emission standards in Sec. 1039.101(a) and (b),
Sec. 1039.102(a) and (b), Sec. 1039.104, and Sec. 1039.105 if all
emission-data engines representing that family have test results
showing official emission results and deteriorated emission levels at
or below these standards. This also applies for all test points for
emission-data engines within the family used to establish deterioration
factors. 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 an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies
for all test points for emission-data engines within the family used to
establish deterioration factors.
(c) * * *
(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 factor is less than zero, use zero. Additive deterioration
factors must be specified to one more decimal place than the applicable
standard.
* * * * *
0
132. Section 1039.245 is amended by revising the introductory text to
read as follows:
Sec. 1039.245 How do I determine deterioration factors from exhaust
durability testing?
This section describes how to determine deterioration factors,
either with an engineering analysis, with pre-existing test data, or
with new emission measurements. Apply these deterioration factors to
determine whether your engines will meet the duty-cycle emission
standards throughout the useful life as described in Sec. 1039.240.
* * * * *
0
133. Section 1039.250 is amended by revising paragraphs (a)
introductory text and (c) and removing paragraph (e) to read as
follows:
Sec. 1039.250 What records must I keep and what reports must I send
to EPA?
(a) Within 45 days after the end of the model year, send the
Designated Compliance Officer a report describing the following
information about engines you produced during the model year:
* * * * *
(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 this section for eight years after we issue
your certificate.
* * * * *
0
134. Section 1039.255 is amended by revising paragraph (b) to read as
follows:
Sec. 1039.255 What decisions may EPA make regarding my certificate of
conformity?
* * * * *
(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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *
0
135. Section 1039.510 is amended by revising paragraph (b) and adding
paragraph (c) to read as follows:
Sec. 1039.510 Which duty cycles do I use for transient testing?
* * * * *
(b) The transient test sequence consists of an initial run through
the transient duty cycle from a cold start, 20 minutes with no engine
operation, then a final run through the same transient duty cycle.
Start sampling emissions immediately after you start the engine.
Calculate the official transient emission result from the following
equation:
[[Page 22992]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.002
(c) Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.
Subpart G--[Amended]
0
136. Section 1039.605 is amended by revising paragraph (d)(3)
introductory text to read as follows:
Sec. 1039.605 What provisions apply to engines certified under the
motor-vehicle program?
* * * * *
(d) * * *
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes engines used in any application without regard to which
company manufactures the vehicle or equipment. Show this as follows:
* * * * *
0
137. Section 1039.610 is amended by revising paragraph (d)(3)
introductory text to read as follows:
Sec. 1039.610 What provisions apply to vehicles certified under the
motor-vehicle program?
* * * * *
(d) * * *
(3) You must show that fewer than 50 percent of the engine family's
total sales in the United States are used in nonroad applications. This
includes any type of vehicle, without regard to which company completes
the manufacturing of the nonroad equipment. Show this as follows:
* * * * *
0
138. Section 1039.627 is amended by revising paragraphs (a)(3)(ii) and
(a)(3)(iii) to read as follows:
Sec. 1039.627 What are the incentives for equipment manufacturers to
use cleaner engines?
* * * * *
(a) * * *
(3) * * *
----------------------------------------------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
* * * * * * *
(ii) 56 <= kW < 130........... Two engines..... NOX standards in Sec. Standards in Tables 2 One engine.
1039.102(e)(1), through 7 of Sec.
and NMHC standard of 1039.102 or in Sec.
0.19 g/kW-hr, a PM 1039.101.
standard of 0.02 g/
kW-hr, and a CO
standard of 5.0 g/kW-
hr.
(iii) 130 <= kW < 560......... Two engines..... NOX standards in Sec. Standards in Tables 2 One engine.
1039.102(e)(2), an through 7 of Sec.
NMHC standard of 1039.102 or in Sec.
0.19 g/kW-hr, a PM 1039.101.
standard of 0.02 g/
kW-hr, and a CO
standard of 3.5 g/kW-
hr.
----------------------------------------------------------------------------------------------------------------
* * * * *
Subpart H--[Amended]
0
139. Section 1039.705 is amended by revising paragraph (b) introductory
text (before the equation) to read as follows:
Sec. 1039.705 How do I generate and calculate emission credits?
* * * * *
(b) 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 the sum of
emission credits to the nearest kilogram (kg), using consistent units
throughout the following equation:
* * * * *
0
140. Section 1039.715 is revised to read as follows:
Sec. 1039.715 How do I bank emission credits?
(a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1039.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging or trading.
(c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
0
141. Section 1039.720 is amended by revising paragraph (b) to read as
follows:
Sec. 1039.720 How do I trade emission credits?
* * * * *
(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 within an averaging set to any certifying
manufacturer.
* * * * *
0
142. Section 1039.725 is amended by revising paragraph (b)(2) to read
as follows:
Sec. 1039.725 What must I include in my application for
certification?
* * * * *
(b) * * *
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance
for the model year. If you project negative emission credits for a
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.
0
143. Section 1039.730 is amended by revising paragraphs (b)(3), (b)(4),
(b)(5), and (f) to read as follows:
[[Page 22993]]
Sec. 1039.730 What ABT reports must I send to EPA?
* * * * *
(b) * * *
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits as specified in
Sec. 1039.225.
(4) The projected and actual U.S.-directed production volumes for
the model year. 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
average engine power weighted by U.S.-directed production volumes for
the engine family.
* * * * *
(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 decreased 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 increased
your balance of emission credits, you must correct the errors and
recalculate the balance of emission credits.
0
144. Section 1039.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:
Sec. 1039.735 What records must I keep?
* * * * *
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for 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.
* * * * *
(d) Keep records of the engine identification number for each
engine you produce that generates or uses emission credits under the
ABT program. You may identify these numbers as a range. If you change
the FEL after the start of production, identify the date you started
using each FEL and the range of engine identification numbers
associated with each FEL. You must also identify the purchaser and
destination for each engine you produce to the extent this information
is available.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.
Subpart I--[Amended]
0
145. Section 1039.801 is amended as follows:
0
a. By adding definitions for ``Alcohol-fueled engine'', ``Carryover'',
and ``Date of manufacture'' in alphabetical order.
0
b. By revising the definitions for ``Engine configuration'', ``Model
year'', ``New nonroad engine'', ``Total hydrocarbon'', ``Total
hydrocarbon equivalent'', and ``Useful life.
Sec. 1039.801 What definitions apply to this part?
* * * * *
Alcohol-fueled engine means an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by
volume.
* * * * *
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1039.235(d).
* * * * *
Date of manufacture has the meaning given in 40 CFR 1068.30.
* * * * *
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
or factors unrelated to emissions.
* * * * *
Model year means one of the following things:
(1) For freshly manufactured equipment and engines (see definition
of ``new nonroad 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 nonroad engine after being
placed into service as a stationary engine, or being certified and
placed into service as a motor vehicle engine, model year means the
calendar year in which the engine was originally produced. For a motor
vehicle engine that is converted to be a nonroad engine without having
been certified, model year means the calendar year in which the engine
becomes a new nonroad engine. (See definition of ``new nonroad
engine,'' paragraph (2).)
(3) For a nonroad engine excluded under Sec. 1039.5 that is later
converted to operate in an application that is not excluded, model year
means the calendar year in which the engine was originally produced
(see definition of ``new nonroad engine,'' paragraph (3)).
(4) For engines that are not freshly manufactured but are installed
in new nonroad equipment, model year means the calendar year in which
the engine is installed in the new nonroad equipment (see definition of
``new nonroad engine,'' paragraph (4)).
(5) For imported engines:
(i) For imported engines described in paragraph (5)(i) of the
definition of ``new nonroad 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 nonroad engine,'' model year has the meaning given
in 40 CFR 89.602 for independent commercial importers.
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new nonroad engine,'' model year means the calendar
year in which the engine is first assembled in its imported
configuration, unless specified otherwise in this part or in 40 CFR
part 1068.
* * * * *
New nonroad engine means any of the following things:
(1) A freshly manufactured nonroad 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.
[[Page 22994]]
(2) An engine originally manufactured as a motor vehicle engine or
a stationary engine that is later used or intended to be used in a
piece of nonroad equipment. In this case, the engine is no longer a
motor vehicle or stationary engine and becomes a ``new nonroad
engine.'' The engine is no longer new when it is placed into nonroad
service. This paragraph (2) applies if a motor vehicle engine or a
stationary engine is installed in nonroad equipment, or if a motor
vehicle or a piece of stationary equipment is modified (or moved) to
become nonroad equipment.
(3) A nonroad engine that has been previously placed into service
in an application we exclude under Sec. 1039.5, when that engine is
installed in a piece of equipment that is covered by this part 1039.
The engine is no longer new when it is placed into nonroad service
covered by this part 1039. For example, this would apply to marine
diesel engine that is no longer used in a marine vessel but is instead
installed in a piece of nonroad equipment subject to the provisions of
this part.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in new nonroad equipment.
This generally includes installation of used engines in new equipment.
The engine is no longer new when the ultimate purchaser receives a
title for the equipment or the product is placed into service,
whichever comes first.
(5) An imported nonroad engine, subject to the following
provisions:
(i) An imported nonroad 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 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), is a new nonroad engine 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 nonroad engine that is not covered by a
certificate of conformity issued under this part at the 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
equipment initially placed into service that someone seeks to import
into the United States. Importation of this kind of engine (or
equipment containing such an engine) is generally prohibited by 40 CFR
part 1068. However, the importation of such an engine is not prohibited
if the engine has an earlier model year than that identified in the
following table:
Applicability of Emission Standards for Nonroad Diesel Engines
------------------------------------------------------------------------
Initial date of emission
Maximum engine power standards
------------------------------------------------------------------------
kW < 19................................ January 1, 2000.
19 <= kW < 37.......................... January 1, 1999.
37 <= kW < 75.......................... January 1, 1998.
75 <= kW < 130......................... January 1, 1997.
130 <= kW <= 560....................... January 1, 1996.
kW > 560............................... January 1, 2000.
------------------------------------------------------------------------
* * * * *
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 an atomic hydrogen-to-carbon 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
engines. The atomic hydrogen-to-carbon ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
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
nonroad engine is required to comply with all applicable emission
standards. See Sec. 1039.101(g).
* * * * *
Sec. 1039.810 [Removed]
0
146. Section 1039.810 is removed.
PART 1042--CONTROL OF EMISSIONS FROM NEW AND IN-USE MARINE
COMPRESSION-IGNITION ENGINES AND VESSELS
0
147. The authority citation for part 1042 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
148. Section 1042.1 is revised to read as follows:
Sec. 1042.1 Applicability.
Except as provided in this section and Sec. 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
Sec. 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 Sec. 1042.1--Part 1042 Applicability by Model Year
----------------------------------------------------------------------------------------------------------------
Displacement (L/cyl) or
Engine category Maximum engine power a application Model year
----------------------------------------------------------------------------------------------------------------
Category 1.............................. kW < 75.................... disp. < 0.9................. b 2009
-----------------------------------------------------------------------
75 <= kW <= 3700........... disp. < 0.9................. 2012
------------------------------------------
0.9 <= disp. < 1.2.......... 2013
------------------------------------------
1.2 <= disp. < 2.5.......... 2014
------------------------------------------
2.5 <= disp. < 3.5.......... 2013
------------------------------------------
3.5 <= disp. < 7.0.......... 2012
-----------------------------------------------------------------------
[[Page 22995]]
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 Sec. 1042.140, which describes how to determine maximum engine power.
b See Table 1 of Sec. 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 Sec. 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 Sec. 1042.901.
(2) Marine gas turbine engines.
(3) Other marine internal combustion engines that do not meet the
definition of ``spark-ignition'' in Sec. 1042.901.
(g) Some of the provisions of this part may apply for other engines
as specified in 40 CFR part 1043.
0
149. Section 1042.2 is revised to read as follows:
Sec. 1042.2 Who is responsible for compliance?
The regulations in this part 1042 contain provisions that affect
both engine manufacturers and others. However, the requirements of this
part, other than those of subpart I of this part, are generally
addressed to the engine manufacturer for freshly manufactured marine
engines or other certificate holders. The term ``you'' generally means
the engine manufacturer, as defined in Sec. 1042.901, especially for
issues related to certification (including production-line testing,
reporting, etc.).
0
150. Section 1042.5 is amended by revising paragraph (a) and adding
paragraph (c) to read as follows:
Sec. 1042.5 Exclusions.
* * * * *
(a) Foreign vessels. The requirements and prohibitions of this part
do not apply to engines installed on foreign vessels, as defined in
Sec. 1042.901. Note however, that the requirements and prohibitions of
this part do apply to engines installed on any formerly foreign vessels
that are reflagged as U.S.-flagged vessels.
* * * * *
(c) Recreational gas turbine engines. The requirements and
prohibitions of this part do not apply to gas turbine engines installed
on recreational vessels, as defined in Sec. 1042.901.
0
151. Section 1042.15 is revised to read as follows:
Sec. 1042.15 Do any other regulation parts apply to me?
(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 Sec. 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.
[[Page 22996]]
(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.
0
152. A new Sec. 1042.30 is added to subpart A to read as follows:
Sec. 1042.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1042.925 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
(b) The regulations in Sec. 1042.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1042.901).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--[Amended]
0
153. Section 1042.101 is amended by revising the section heading, Table
1 in paragraph (a)(3), and paragraph (d)(1)(iii) to read as follows:
Sec. 1042.101 Exhaust emission standards for Category 1 engines and
Category 2 engines.
(a) * * *
(3) * * *
BILLING CODE 6560-50-P
[[Page 22997]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.104
BILLING CODE 6560-50-C
* * * * *
(d) * * *
(1) * * *
(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.
* * * * *
0
154. A new Sec. 1042.104 is added to subpart B to read as follows:
Sec. 1042.104 Exhaust emission standards for Category 3 engines.
(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 Sec. 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:
[[Page 22998]]
Table 1 to Sec. 1042.104--NOX Emission Standards for Category 3 Engines (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Maximum in-use engine speed
--------------------------------------------------------
Emission standards Model year Less than Over 2000
130 RPM 130-2000 RPM \a\ RPM
----------------------------------------------------------------------------------------------------------------
Tier 1........................... 2004-2010 \b\....... 17.0 45.0[middot]n (-0.20) 9.8
Tier 2........................... 2011-2015........... 14.4 44.0[middot]n (-0.23) 7.7
Tier 3........................... 2016 and later...... 3.4 9.0[middot]n (-0.20) 2.0
----------------------------------------------------------------------------------------------------------------
\a\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
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-cycle test
modes with power greater than 10 percent maximum engine power.
Calculate the mode cap by multiplying the applicable NOX
standard by 1.5 and rounding to the nearest 0.1 g/kW-hr. Note that mode
caps do not apply for pollutants other than NOX and do not
apply for any modes of operation outside of the applicable duty cycles
in Sec. 1042.505. Category 3 engines are not subject to not-to-exceed
standards.
(d) 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 value is 3 years or 10,000 hours of
operation.
(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.
(e) Applicability for testing. The duty-cycle emission standards in
this section apply to all testing performed according to the procedures
in Sec. 1042.505, including certification, production-line, and in-use
testing. See paragraph (g) of this section for standards that apply for
certain other test procedures, such as some production-line testing.
(f) Domestic engines. Engines installed on vessels excluded from 40
CFR part 1043 because they operate only domestically may not be
certified for use with residual fuels.
(g) Alternate installed-engine standards. NOX emissions
may not exceed the standard specified in this paragraph (g) for test of
engines installed on vessels when you are unable to operate the engine
at the test points for the specified duty cycle, and you approximate
these points consistent with the specifications of section 6 of
Appendix 8 to the NOX Technical Code (incorporated by
reference in Sec. 1042.910). Calculate the alternate installed-engine
standard by multiplying the applicable NOX standard by 1.1
and rounding to the nearest 0.1 g/kW-hr.
0
155. Section 1042.110 is amended by revising paragraph (a)(2) and
adding paragraphs (a)(3) and (d) to read as follows:
Sec. 1042.110 Recording reductant use and other diagnostic functions.
(a) * * *
(2) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with inadequate reductant
injection or reductant quality. Use good engineering judgment to ensure
that the operator can readily access the information to submit the
report required by Sec. 1042.660. For example, you may meet this
requirement by documenting the incident in a text file that can be
downloaded or printed by the operator.
(3) SCR systems must also conform to the provisions of paragraph
(d) of this section if they are equipped with on-off controls as
allowed under Sec. 1042.115(g).
* * * * *
(d) For Category 3 engines equipped with on-off NOX
controls (as allowed by Sec. 1042.115(g)), you must also equip your
engine to continuously monitor NOX concentrations in the
exhaust. See Sec. 1042.650 to determine if this requirement applies
for a given Category 1 or Category 2 engine. Use good engineering
judgment to alert operators if measured NOX concentrations
indicate malfunctioning emission controls. Record any such operation in
nonvolatile computer memory. You are not required to monitor
NOX concentrations during operation for which the emission
controls may be disabled under Sec. 1042.115(g). For the purpose of
this paragraph (d), ``malfunctioning emission controls'' means any
condition in which the measured NOX concentration exceeds
the highest value expected when the engine is in compliance with the
installed engine standard of Sec. 1042.104(g). Use good engineering
judgment to determine these expected values during production-line
testing of the engine using linear interpolation between test points
and accounting for the degree to which the cycle-weighted emissions of
the engine are below the standard. You may also use additional
intermediate test points measured during the production-line test. Note
that the provisions of paragraph (a) of this section also apply for SCR
systems covered by this paragraph (d). For engines subject to both the
provisions of paragraph (a) of this section and this paragraph (d), use
good engineering judgment to integrate diagnostic features to comply
with both paragraphs.
0
156. Section 1042.115 is amended by revising paragraphs (d)(2)
introductory text, (f) introductory text, and adding paragraphs (f)(4)
and (g) to read as follows:
Sec. 1042.115 Other requirements.
* * * * *
(d) * * *
[[Page 22999]]
(2) Category 2 and Category 3 engines that have adjustable
parameters must meet all the requirements of this part for any
adjustment in the specified adjustable range. You must specify in your
application for certification the adjustable range of each adjustable
parameter on a new engine to--
* * * * *
(f) Defeat devices. You may not equip your engines with a defeat
device. A defeat device is an auxiliary emission control device that
reduces the effectiveness of emission controls under conditions that
the engine may reasonably be expected to encounter during normal
operation and use. (Note that this means emission control for operation
outside of and between the official test modes is generally expected to
be similar to emission control demonstrated at the test modes.) This
does not apply to auxiliary emission control devices you identify in
your application for certification if any of the following is true:
* * * * *
(4) The engine is a Category 3 engine and the AECD conforms to the
requirements of paragraph (g) of this section. See Sec. 1042.650 to
determine if this allowance applies for a given Category 1 or Category
2 engine.
(g) On-off controls for Category 3 engines. Manufacturers may equip
Category 3 engines with features that disable Tier 3 NOX
emission controls subject to the provisions of this paragraph (g). See
Sec. 1042.650 to determine if this allowance applies for a given
Category 1 or Category 2 engine. Where this paragraph (g) applies for a
Category 1 or Category 2 engine, read ``Tier 2'' to mean ``Tier 3'' and
read ``Tier 3'' to mean ``Tier 4''.
(1) Features that disable Tier 3 emission controls are considered
to be AECDs whether or not they meet the definition of an AECD. For
example, manually operated on-off features are AECDs under this
paragraph (g). The features must be identified in your application for
certification as AECDs. For purposes of this paragraph (g), the term
``features that disable Tier 3 emission controls'' includes (but is not
limited to) any combination of the following that cause the engine's
emissions to exceed any Tier 3 emission standard:
(i) Bypassing of exhaust aftertreatment.
(ii) Reducing or eliminating flow of reductant to an SCR system.
(iii) Modulating engine calibration in a manner that increases
engine-out emissions of a regulated pollutant.
(2) You must demonstrate that the AECD will not disable emission
controls while operating in areas where emissions could reasonably be
expected to adversely affect U.S. air quality. If an ECA has been
established for U.S. waters, this means you must demonstrate that the
AECD will not disable emission control while operating in waters within
the ECA or any ECA associated area. (Note: See the regulations in 40
CFR part 1043 for requirements related to operation in ECAs, including
foreign ECAs.) Compliance with this paragraph will generally require
that the AECD operation be based on Global Positioning System (GPS)
inputs. We may consider any relevant information to determine whether
your AECD conforms to this paragraph (g).
(3) The onboard computer log must record in nonvolatile computer
memory all incidents of engine operation with the Tier 3 emission
controls disabled.
(4) The engine must comply fully with the Tier 2 standards when the
Tier 3 emission controls are disabled.
0
157. Section 1042.120 is amended by adding paragraph (b)(2) and
revising paragraph (c) to read as follows:
Sec. 1042.120 Emission-related warranty requirements.
* * * * *
(b) * * *
(2) For Category 3 engines, your emission-related warranty must be
valid throughout the engine's full useful life as specified in Sec.
1042.104(d).
* * * * *
(c) Components covered. The emission-related warranty covers all
components whose failure would increase an engine's emissions of any
regulated pollutant, including components listed in 40 CFR part 1068,
Appendix I, and components from any other system you develop to control
emissions. The emission-related warranty for freshly manufactured
marine engines covers these components even if another company produces
the component. Your emission-related warranty does not need to cover
components whose failure would not increase an engine's emissions of
any regulated pollutant. For remanufactured engines, your emission-
related warranty is required to cover only those parts that you supply
or those parts for which you specify allowable part manufacturers. It
does not need to cover used parts that are not replaced during the
remanufacture.
* * * * *
0
158. Section 1042.125 is amended by revising the section heading,
introductory text, and paragraphs (a)(1)(iii) and (d) to read as
follows:
Sec. 1042.125 Maintenance instructions.
Give the ultimate purchaser of each new engine written instructions
for properly maintaining and using the engine, including the emission
control system, as described in this section. The maintenance
instructions also apply to service accumulation on your emission-data
engines as described in Sec. 1042.245 and in 40 CFR part 1065. The
restrictions specified in paragraphs (a) through (e) of this section
related to allowable maintenance apply only to Category 1 and Category
2 engines. Manufacturers may specify any maintenance for Category 3
engines.
(a) * * *
(1) * * *
(iii) You provide the maintenance free of charge and clearly say so
in your maintenance instructions.
* * * * *
(d) Noncritical emission-related maintenance. Subject to the
provisions of this paragraph (d), you may schedule any amount of
emission-related inspection or maintenance that is not covered by
paragraph (a) of this section (that is, maintenance that is neither
explicitly identified as critical emission-related maintenance, nor
that we approve as critical emission-related maintenance). Noncritical
emission-related maintenance generally includes maintenance on the
components we specify in 40 CFR part 1068, Appendix I that is not
covered in paragraph (a) of this section. You must state in the owners
manual that these steps are not necessary to keep the emission-related
warranty valid. If operators fail to do this maintenance, this does not
allow you to disqualify those engines from in-use testing or deny a
warranty claim. Do not take these inspection or maintenance steps
during service accumulation on your emission-data engines.
* * * * *
0
159. Section 1042.135 is amended by revising paragraphs (c)(5), (c)(8),
(c)(9), and (c)(11) and adding paragraphs (c)(12) and (c)(13) to read
as follows:
Sec. 1042.135 Labeling.
* * * * *
(c) * * *
(5) State the date of manufacture [DAY (optional), MONTH, and
YEAR]; however, you may omit this from the label if you stamp, engrave,
or otherwise permanently identify it elsewhere on the engine, in which
case you must also describe in your application for certification where
you will identify the date on the engine.
* * * * *
[[Page 23000]]
(8) State the useful life for your engine family if the applicable
useful life is based on the provisions of Sec. 1042.101(e)(2) or (3),
or Sec. 1042.104(d)(2).
(9) Identify the emission control system. Use terms and
abbreviations as described in 40 CFR 1068.45. You may omit this
information from the label if there is not enough room for it and you
put it in the owners manual instead.
* * * * *
(11) For a Category 1 or Category 2 engine that can be modified to
operate on residual fuel, but has not been certified to meet the
standards on such a fuel, include the statement: ``THIS ENGINE IS
CERTIFIED FOR OPERATION ONLY WITH DIESEL FUEL. MODIFYING THE ENGINE TO
OPERATE ON RESIDUAL OR INTERMEDIATE FUEL MAY BE A VIOLATION OF FEDERAL
LAW SUBJECT TO CIVIL PENALTIES.''
(12) For an engine equipped with on-off emissions controls as
allowed by Sec. 1042.115, include the statement: ``THIS ENGINE IS
CERTIFIED WITH ON-OFF EMISSION CONTROLS. OPERATION OF THE ENGINE
CONTRARY TO 40 CFR 1042.115(g) IS A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTIES.''
(13) For engines intended for installation on domestic or public
vessels, include the following statement: ``THIS ENGINE DOES NOT COMPLY
WITH INTERNATIONAL MARINE REGULATIONS FOR COMMERCIAL VESSELS UNLESS IT
IS ALSO COVERED BY AN EIAPP CERTIFICATE.''
* * * * *
0
160. Section 1042.140 is amended by revising the section heading and
introductory text and adding paragraph (g) to read as follows:
Sec. 1042.140 Maximum engine power, displacement, power density, and
maximum in-use engine speed.
This section describes how to determine the maximum engine power,
displacement, and power density of an engine for the purposes of this
part. Note that maximum engine power may differ from the definition of
``maximum test power'' in Sec. 1042.901. This section also specifies
how to determine maximum in-use engine speed for Category 3 engines.
* * * * *
(g) Calculate a maximum test speed for the nominal power curve as
specified in 40 CFR 1065.610. This is the maximum in-use engine speed
used for calculating the NOX standard in Sec. 1042.104 for
Category 3 engines. Alternatively, you may use a lower value if engine
speed will be limited in actual use to that lower value.
0
161. Section 1042.145 is amended by revising paragraph (a) and the
heading of paragraph (c) introductory text and adding paragraphs (h)
and (i) to read as follows:
Sec. 1042.145 Interim provisions.
(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.
* * * * *
(c) Part 1065 test procedures for Category 1 and Category 2
engines. * * *
* * * * *
(h) The following interim provisions apply for Category 3 engines:
(1) Applicability of Tier 3 standards to Category 3 engines
operating in Alaska, Hawaii, and U.S. territories. (i) Category 3
engines are not required to comply with the Tier 3 NOX
standard when operating in areas of Guam, American Samoa, the
Commonwealth of the Northern Mariana Islands, Puerto Rico, or U.S.
Virgin Islands. Category 3 engines are also not required to comply with
the Tier 3 NOX standards when operating in the waters of the
smallest Hawaiian islands or in the waters of Alaska west of Kodiak.
For the purpose of this paragraph (h)(1), ``the smallest Hawaiian
islands'' includes all Hawaiian islands other than Hawaii, Kahoolawe,
Kauai, Lanai, Maui, Molokai, Niihau, and Oahu. Engines must comply
fully with the appropriate Tier 2 NOX standard and all other
applicable requirements when operating in the areas identified in this
paragraph (h)(1).
(ii) The provisions of paragraph (h)(1)(i) of this section do not
apply to ships operating in an ECA or an ECA associated area. The Tier
3 standards apply in full for any area included in an ECA or an ECA
associated area.
(2) Part 1065 test procedures. You must generally use the test
procedures specified in subpart F of this part for Category 3 engines,
including the applicable test procedures in 40 CFR part 1065. You may
use a combination of the test procedures specified in this part and the
test procedures specified in 40 CFR part 94 before January 1, 2016
without request. After this date, you must use test procedures only as
specified in subpart F of this part.
(i) Limitation of 40 CFR 1068.101 before July 1, 2010.
Notwithstanding other provisions of this part or 40 CFR part 94, for
the period June 29, 2010 through July 1, 2010, it is not a violation of
40 CFR 1068.101 to operate in U.S. waters uncertified engines installed
on vessels manufactured outside of the United States before June 29,
2010. Operation of such vessels in U.S. waters on or after July 1, 2010
is deemed to be introduction into U.S. commerce of a new marine engine.
Subpart C--[Amended]
0
162. Section 1042.201 is amended by revising paragraph (h) to read as
follows:
Sec. 1042.201 General requirements for obtaining a certificate of
conformity.
* * * * *
(h) For engines that become new after being placed into service,
such as engines installed on imported vessels, we may specify alternate
certification provisions consistent with the intent of this part. See
the definition of ``new marine engine'' in Sec. 1042.901.
0
163. Section 1042.205 is amended by adding paragraph (b)(12) and
revising paragraphs (i), (o), and (s)(5) to read as follows:
Sec. 1042.205 Application requirements.
* * * * *
(b) * * *
(12) Include any other information required by this part with
respect to AECDs. For example, see Sec. 1042.115 for requirements
related to on-off technologies.
* * * * *
(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). Describe your plan for meeting warranty obligations
under Sec. 1042.120.
* * * * *
(o) Present emission data for HC, NOX, PM, and CO on an
emission-data engine to show your engines meet emission standards as
specified in Sec. Sec. 1042.101 or 1042.104. Note that you must submit
PM data for all engines, whether or not a PM standard applies. 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 for Category 3 engines or for other engines if you do discrete-
mode testing under Sec. 1042.505. Note that Sec. Sec. 1042.235
[[Page 23001]]
and 1042.245 allows you to submit an application in certain cases
without new emission data.
* * * * *
(s) * * *
(5) For Category 2 and Category 3 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.
* * * * *
0
164. Section 1042.220 is revised to read as follows:
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. 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 or eliminating 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. This would generally include replacing one maintenance step
with another. 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
anytime after you send your request. For example, this paragraph (b)
would cover adding instructions to increase the frequency of filter
changes for engines in severe-duty applications.
(c) You need not 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. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
0
165. Section 1042.225 is amended by revising the introductory text,
paragraphs (b) introductory text, (b)(2), (e), and (f) to read as
follows:
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 that is included or should be included in
your application.
* * * * *
(b) To amend your application for certification as specified in
paragraph (a) of this section, send the relevant information to the
Designated Compliance Officer.
* * * * *
(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 for showing that the amended family complies with all
applicable requirements.
* * * * *
(e) For engine families already covered by a certificate of
conformity, you may start producing the new or modified engine
configuration anytime 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
after we request it, 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 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 engine 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, as described in paragraph
(b)(3) of this section, use the appropriate FELs with corresponding
production volumes to calculate emission credits for the model year, as
described in subpart H of this part. In all other circumstances, you
must use the higher FEL for the entire family to calculate emission
credits under subpart H of this part.
(2) You may ask to lower the FEL for your engine 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 emission credits for the
model year, as described in subpart H of this part.
0
166. Section 1042.230 is amended by revising paragraphs (a), (b), (f)
introductory text, and (g) and adding paragraph (d) to read as follows:
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 engines in different engine categories 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 the fuel 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) Nominal bore and stroke.
(7) Cylinder arrangement (such as in-line vs. vee configurations).
This applies for engines with aftertreatment devices only.
[[Page 23002]]
(8) Method of control for engine operation other than governing
(i.e., mechanical or electronic).
(9) Application (commercial or recreational).
(10) Numerical level of the emission standards that apply to the
engine, except as allowed under paragraphs (f) and (g) of this section.
* * * * *
(d) For Category 3 engines, group engines into engine families
based on the criteria specified in Section 4.3 of the NOX
Technical Code (incorporated by reference in Sec. 1042.910), except as
allowed in paragraphs (e) and (f) of this section.
* * * * *
(f) You may group engines that are not identical with respect to
the things listed in paragraph (b), (c), or (d) of this section in the
same engine family, as follows:
* * * * *
(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. For Category 3 engine families that
include a range of maximum in-use engine speeds, use the highest value
of maximum in-use engine speed to establish the applicable
NOX emission standard.
0
167. Section 1042.235 is amended by revising the section heading, the
introductory text, and paragraphs (a), (c), and (d) introductory text
to read as follows:
Sec. 1042.235 Emission testing related to certification.
This section describes the emission testing you must perform to
show compliance with the emission standards in Sec. 1042.101(a) or
Sec. 1042.104. 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. See Sec. 1042.655 for special testing provisions
available for Category 3 engines subject to Tier 3 standards.
(a) Select an emission-data engine from each engine family for
testing. For engines at or above 560 kW, you may use a development
engine that is equivalent in design to the engine being certified. For
Category 3 engines, you may use a single-cylinder version of the
engine. 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 emission-data 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 engine to a test facility
we designate. The 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 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. For example, this would apply for an engine
parameter that is subject to production variability because it is
adjustable during production, but is not considered an adjustable
parameter (as defined in Sec. 1042.901) because it is permanently
sealed.
(d) You may ask to use carryover emission data from a previous
model year instead of doing new tests, but only if all the following
are true:
* * * * *
0
168. Section 1042.240 is amended by revising paragraphs (a), (b), and
(c) introductory text and adding paragraphs (e) and (f) to read as
follows:
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) or Sec.
1042.104 if all emission-data engines representing that family have
test results showing official emission results and deteriorated
emission levels at or below these standards. This also applies for all
test points for emission-data engines within the family used to
establish deterioration factors. See paragraph (f) of this section for
provisions related to demonstrating compliance with non-duty-cycle
standards, such as NTE 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 an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard. Similarly, your engine family
is deemed not to comply if any emission-data engine representing that
family has test results showing any emission level above the applicable
not-to-exceed emission standard for any pollutant. This also applies
for all test points for emission-data engines within the family used to
establish deterioration factors.
(c) To compare emission levels from the emission-data engine with
the applicable emission standards, apply deterioration factors to the
measured emission levels for each pollutant. Section 1042.245 specifies
how to test your Category 1 or Category 2 engine to develop
deterioration factors that represent the deterioration expected in
emissions over your engines' full useful life. See paragraph (e) of
this section for determining deterioration factors for Category 3
engines. 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:
* * * * *
(e) For Category 3 engines, determine a deterioration factor based
on an engineering analysis. The engineering analysis must describe how
the measured emission levels from the emission-data engine show that
engines comply with applicable emission standards throughout the useful
life. Include this analysis in your application for certification and
add a statement that all data, analyses, evaluations, and other
information you used are available for our review upon request.
(f) For NTE standards and mode caps, use good engineering judgment
to demonstrate compliance throughout the useful life. You may, but are
not required to, apply the same deterioration factors used to show
compliance with the applicable duty-cycle standards. We will deny your
application for certification if we determine that your test data show
that
[[Page 23003]]
your engines would exceed one or more NTE standard or mode cap during
their useful lives.
0
169. Section 1042.245 is amended by revising the introductory text and
paragraph (a) to read as follows:
Sec. 1042.245 Deterioration factors.
This section describes how to determine deterioration factors for
Category 1 and Category 2 engines, either with an engineering analysis,
with pre-existing test data, or with new emission measurements. Apply
these deterioration factors to determine whether your engines will meet
the duty-cycle emission standards throughout the useful life as
described in Sec. 1042.240. This section does not apply for Category 3
engines.
(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 NOX+HC standard
or FEL greater than the Tier 3 NOX+HC standard are
considered to rely on established technology for control of gaseous
emissions, 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 qualify as established technology. We must approve your plan to
establish a deterioration factor under this paragraph (a) before you
submit your application for certification.
* * * * *
0
170. Section 1042.250 is amended by revising paragraphs (a) and (c) and
removing paragraph (e) to read as follows:
Sec. 1042.250 Recordkeeping and reporting.
(a) Send the Designated Compliance Officer information related to
your U.S.-directed production volumes as described in Sec. 1042.345.
In addition, within 45 days after the end of the model year, you must
send us a report describing information about engines you produced
during the model year as follows:
(1) State the total production volume for each engine family that
is not subject to reporting under Sec. 1042.345.
(2) State the total production volume for any engine family for
which you produce engines after completing the reports required in
Sec. 1042.345.
* * * * *
(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 this section for eight years after we issue
your certificate.
* * * * *
0
171. Section 1042.255 is amended by revising paragraph (b) to read as
follows:
Sec. 1042.255 EPA decisions.
* * * * *
(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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *
Subpart D--[Amended]
0
172. Section 1042.301 is amended by revising paragraphs (a)(2), (c),
(e), and (f) to read as follows:
Sec. 1042.301 General provisions.
(a) * * *
(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).
* * * * *
(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.
* * * * *
(e) If you certify a Category 1 or Category 2 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. 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.
0
173. A new Sec. 1042.302 is added to subpart D to read as follows:
Sec. 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 engine at the sea trial of the vessel in
which it is installed or within the first 300 hours of operation,
whichever occurs first. Since you must test each engine, the provisions
of Sec. Sec. 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 Sec.
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 Sec. 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 NOX emissions. You
do not need to measure HC, CO or PM emissions under this subpart.
(c) If you are unable to operate the engine at the test points for
the specified duty cycle, you may approximate these
[[Page 23004]]
points consistent with the specifications of section 6 of Appendix 8 to
the NOX Technical Code (incorporated by reference in Sec.
1042.910) and show compliance with the alternate installed-engine
standard of Sec. 1042.104(g). You must obtain EPA approval of your
test procedure prior to testing the engine. Include in your request a
description of your basis for concluding that the engine cannot be
tested at the actual test points of the specified duty cycle.
(d) You may measure NOX emissions at additional test
points for the purposes of the continuous NOX monitoring
requirements of Sec. 1042.110(d). If you do, you must report these
values along with your other test results. Describe in your application
for certification how you plan to use these values for continuous
NOX monitoring.
(e) You may ask to measure emissions according to the Direct
Measurement and Monitoring method specified in section 6.4 of the
NOX Technical Code (incorporated by reference in Sec.
1042.910).
0
174. Section 1042.305 is amended by revising paragraphs (a), (d)
introductory text, (d)(2), (e)(2), and (g) to read as follows:
Sec. 1042.305 Preparing and testing production-line engines.
* * * * *
(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.
* * * * *
(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.
* * * * *
(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) * * *
(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.
* * * * *
(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.
0
175. Section 1042.310 is amended by revising the section heading to
read as follows:
Sec. 1042.310 Engine selection for Category 1 and Category 2 engines.
* * * * *
0
176. Section 1042.315 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 1042.315 Determining compliance.
* * * * *
(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 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) 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 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).
0
177. Section 1042.320 is amended by revising paragraph (a)(2) to read
as follows:
Sec. 1042.320 What happens if one of my production-line engines fails
to meet emission standards?
(a) * * *
(2) Include the test results and describe the remedy for each
engine in the written report required under Sec. 1042.345.
* * * * *
0
178. Section 1042.325 is amended by revising paragraph (e) to read as
follows:
Sec. 1042.325 What happens if an engine family fails the production-
line testing requirements?
* * * * *
(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 Sec. 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.
0
179. Section 1042.345 is amended by revising paragraphs (a)(6) and (b)
to read as follows:
Sec. 1042.345 Reporting.
(a) * * *
(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.
* * * * *
(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.
* * * * *
0
180. Section 1042.350 is amended by revising paragraphs (b), (e), and
(f) to read as follows:
Sec. 1042.350 Recordkeeping.
* * * * *
(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.
* * * * *
(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
[[Page 23005]]
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.
* * * * *
Subpart F--[Amended]
0
181. Section 1042.501 is amended by revising paragraphs (a) and (c) and
adding paragraph (g) to read as follows:
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 engines meet the duty-
cycle emission standards in Sec. Sec. 1042.101 or 1042.104. Measure
the emissions of all regulated pollutants as specified in 40 CFR part
1065. Use the applicable duty cycles specified in Sec. 1042.505.
* * * * *
(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 this section and 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 for Category 1
and Category 2 engines 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. Unless we specify
otherwise, the appropriate diesel test fuel for Category 3 engines is
the high-sulfur diesel fuel. For Category 2 and Category 3 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; we will approve your request if you show us that it
does not affect your ability to demonstrate compliance with the
applicable emission standards.
(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 a given 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.
* * * * *
(g) For Category 3 engines, instead of test data collected as
specified in 40 CFR part 1065, you may submit test data for
NOX, HC, and CO emissions that were collected as specified
in the NOX Technical Code (incorporated by reference in
Sec. 1042.910). For example, this allowance includes the allowance to
perform the testing using test fuels allowed under the NOX
Technical Code that do not meet the sulfur specifications of this
section. We may require you to include a brief engineering analysis
showing how these data demonstrate that your engines would meet the
applicable emission standards if you had used the test procedures
specified in 40 CFR part 1065.
0
182. Section 1042.505 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 1042.505 Testing engines using discrete-mode or ramped-modal
duty cycles.
* * * * *
(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. Sec. 1042.101 or 1042.104:
* * * * *
0
183. Section 1042.525 is amended by revising paragraph (b) and adding
paragraph (g) to read as follows:
Sec. 1042.525 How do I adjust emission levels to account for
infrequently regenerating aftertreatment devices?
* * * * *
(b) Calculating average adjustment factors. Calculate the average
adjustment factor (EFA) based on the following equation:
EFA = (F)(EFH) + (1-F)(EFL)
Where:
F = The frequency of the regeneration event during normal in-use
operation, expressed in terms of the fraction of equivalent tests
during which the regeneration occurs. You may determine F from in-
use operating data or running replicate tests. For example, if you
observe that the regeneration occurs 125 times during 1,000 MW-hrs
of operation, and your engine typically accumulates 1 MW-hr per
test, F would be (125) / (1,000) / (1) = 0.125. No further
adjustments, including weighting factors, may be applied to F.
EFH = Measured emissions from a test segment in which the
regeneration occurs.
EFL = Measured emissions from a test segment in which the
regeneration does not occur.
* * * * *
(g) Category 3 engines. We may specify an alternate methodology to
account for regeneration events from Category 3 engines. If we do not,
the provisions of this section apply as specified.
Subpart G--[Amended]
0
184. Section 1042.601 is amended by revising paragraph (b) and adding
paragraphs (g), (h), and (i) to read as follows:
Sec. 1042.601 General compliance provisions for marine engines and
vessels.
* * * * *
(b) Subpart I of this part describes how the prohibitions of 40 CFR
1068.101(a)(1) apply for certain remanufactured engines. The provisions
of 40 CFR 1068.105 do not allow the installation of a new
remanufactured engine in a vessel that is defined as a new vessel
unless the remanufactured engine is subject to the same standards as
the standards applicable to freshly manufactured engines of the
required model year.
* * * * *
(g) The selective enforcement audit provisions of 40 CFR part 1068
do not apply for Category 3 engines.
(h) The defect reporting requirements of 40 CFR 1068.501 apply for
Category 3 engines, except the threshold for filing a defect report is
two engines.
(i) You may not circumvent the requirements of this part or the
Clean Air Act by manufacturing a vessel outside the United States or
initially flagging a vessel in another country. The definition of ``new
marine engine'' in Sec. 1042.901 includes provisions for U.S.-flagged
vessels that are manufactured or reflagged outside of U.S. waters.
These provisions have the effect of applying the prohibitions of 40 CFR
1068.101(a)(1) to such vessels no later than when they first enter U.S.
waters. The inclusion of these provisions does not affect requirements
or prohibitions of the Clean Air Act or other statutes that may apply
to the vessel before it first enters U.S. waters.
0
185. Section 1042.605 is amended by revising paragraph (a) to read as
follows:
[[Page 23006]]
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. This section does not apply for
Category 3 engines.
* * * * *
0
186. Section 1042.610 is amended by revising the introductory text to
read as follows:
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. This section does not apply for
Category 3 engines.
* * * * *
0
187. Section 1042.615 is amended by revising the introductory text and
paragraph (a)(4) and adding paragraph (d) to read as follows:
Sec. 1042.615 Replacement engine exemption.
For Category 1 and Category 2 replacement engines, apply the
provisions of 40 CFR 1068.240 as described in this section. In unusual
circumstances, you may ask us to allow you to apply these provisions
for a new Category 3 engine.
(a) * * *
(4) The replacement engine must conform to the applicable
requirements of 40 CFR part 1043. Note that 40 CFR 1043.10 specifies
allowances for vessels that operate only domestically.
* * * * *
(d) We may reduce the reporting and recordkeeping requirements in
this section.
0
188. Section 1042.620 is revised to read as follows:
Sec. 1042.620 Engines used solely for competition.
The provisions of this section apply for new Category 1 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. Note that this does not preclude display of
these engines as long as they are not available 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. For replacement engines, the sale of the engine
itself must be limited to professional racing teams, professional
racers, other qualified racers, or to the original vessel manufacturer.
(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 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 are considered to be used solely for competition only
if their use is limited to competition events sanctioned by the U.S.
Coast Guard or another public organization with authorizing permits for
participating competitors. Operation of such engines may include only
racing events, trials to qualify for racing events, and practice
associated with racing events. Authorized attempts to set speed records
are also considered racing events. Engines will not be considered to be
used solely for competition if they are ever used for any recreational
or other noncompetitive purpose. Use of exempt engines in any
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 are used solely for competition. This
would include documentation regarding the number of engines and the
ultimate purchaser of each engine as well as any documentation showing
a vessel manufacturer's request for an exempted engine. Keep these
records for five years.
0
189. Section 1042.625 is amended by adding introductory text to read as
follows:
Sec. 1042.625 Special provisions for engines used in emergency
applications.
This section describes an exemption that is available for certain
Category 1 and Category 2 engines. This exemption is not available for
Category 3 engines.
* * * * *
0
190. Section 1042.630 is amended by revising the introductory text to
read as follows:
Sec. 1042.630 Personal-use exemption.
This section applies to individuals who manufacture vessels for
personal use with used Category 1 engines. 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. The prohibitions in
Sec. 1068.101(a)(1) do not apply to engines exempted under this
section. For example, you may install an engine that was not certified
as a marine engine.
* * * * *
0
191. Section 1042.635 is amended by revising paragraph (a) to read as
follows:
Sec. 1042.635 National security exemption.
* * * * *
(a) An engine is exempt without a request if it will be used or
owned by an agency of the Federal government responsible for national
defense, where the vessel in which it is installed has armor,
permanently attached weaponry,
[[Page 23007]]
specialized electronic warfare systems, unique stealth performance
requirements, and/or unique combat maneuverability requirements. This
applies to both remanufactured and freshly manufactured marine engines.
Gas turbine engines are also exempt without a request if they will be
owned by an agency of the Federal government responsible for national
defense.
* * * * *
0
192. Section 1042.650 is amended by revising the section heading and
the introductory text and adding a new paragraph (d) to read as
follows:
Sec. 1042.650 Exemptions for migratory vessels and auxiliary engines
on Category 3 vessels.
The provisions of this section apply for Category 1 and Category 2
engines, including auxiliary engines installed on vessels with Category
3 propulsion engines. These provisions do not apply for any Category 3
engines. All engines exempted under this section must comply with the
applicable requirements of 40 CFR part 1043.
* * * * *
(d) Auxiliary engines on Category 3 vessels. As specified in this
paragraph (d), auxiliary engines on vessels with Category 3 propulsion
engines are exempt from the standards of this part.
(1) To be eligible for this exemption, the engine must meet all of
the following criteria.
(i) The engine must conform fully to the applicable NOX
standards of Annex VI and meet all other applicable requirements of 40
CFR part 1043. Engines installed on vessels constructed on or after
January 1, 2016 must conform fully to the Annex VI Tier III
NOX standards under 40 CFR part 1043 and meet all other
applicable requirements in 40 CFR part 1043. Engines that would
otherwise be subject to the Tier 4 standards of this part must also
conform fully to the Annex VI Tier III NOX standards under
40 CFR part 1043.
(ii) The engine may not be used for propulsion (except for
emergency engines).
(iii) The engine may be equipped with on-off NOX
controls, provided it conforms to the requirements of Sec.
1042.115(g).
(2) You must notify the Designated Compliance Officer of your
intent to use this exemption when applying for the EIAPP certificate
for the engine under 40 CFR part 1043.
(3) The remanufactured engine requirements of subpart I of this
part do not apply.
(4) If you introduce an engine into U.S. commerce under this
paragraph (d), you must meet the labeling requirements in Sec.
1042.135, but add the following statement instead of the compliance
statement in Sec. 1042.135(c)(10):
THIS ENGINE DOES NOT COMPLY WITH CURRENT U.S. EPA EMISSION
STANDARDS UNDER 40 CFR 1042.650 AND IS FOR USE SOLELY IN VESSELS WITH
CATEGORY 3 PROPULSION ENGINES. INSTALLATION OR USE OF THIS ENGINE IN
ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO
CIVIL PENALTY.
0
193. A new Sec. 1042.655 is added to subpart G to read as follows:
Sec. 1042.655 Special certification provisions for--Category 3
engines with aftertreatment.
This section describes an optional approach for demonstrating for
certification that catalyst-equipped engines (or engines equipped with
other aftertreatment devices) comply with applicable emission
standards. You must use good engineering judgment for all aspects of
this allowance.
(a) Eligibility. You may use the provisions of this section without
our prior approval to demonstrate that aftertreatment-equipped Category
3 engines meet the Tier 3 standards. In unusual circumstances, we may
also allow you to use this approach to demonstrate that aftertreatment-
equipped Category 2 engines meet the Tier 4 standards. We will
generally approve this for Category 2 engines only if the engines are
too large to be practically tested in a laboratory with a fully
assembled aftertreatment system. If we approve this approach for a
Category 2 engine, interpret references to Tier 3 in this section to
mean Tier 4, and interpret references to Tier 2 in this section to mean
Tier 3.
(b) Required testing. The emission-data engine must be tested as
specified in Subpart F to verify that the engine-out emissions comply
with the Tier 2 standards. The catalyst material or other
aftertreatment device must be tested under conditions that accurately
represent actual engine conditions for the test points. This catalyst
or aftertreatment testing may be performed on a benchscale.
(c) Engineering analysis. Include with your application a detailed
engineering analysis describing how the test data collected for the
engine and aftertreatment demonstrate that all engines in the family
will meet all applicable emission standards. We may require that you
submit this analysis separately from your application, or that you
obtain preliminary approval under Sec. 1042.210.
(d) Verification. You must verify your design by testing a complete
production engine with installed aftertreatment in the final assembled
configuration. Unless we specify otherwise, do this by complying with
production-line testing requirements of subpart D of this part.
(e) Other requirements. All other requirements of this part,
including the non-testing requirements for certification, apply for
these engines. Nothing in this section affects requirements in other
regulatory parts, such as Coast Guard safety requirements.
0
194. Section 1042.660 is revised to read as follows:
Sec. 1042.660 Requirements for vessel manufacturers, owners, and
operators.
(a) 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. Failure to comply with the
requirements of this paragraph is a violation of 40 CFR 1068.101(b)(1).
For marine vessels that are excluded from the requirements of 40 CFR
part 1043 because they operate only domestically, it is also a
violation of 40 CFR 1068.101(b)(1) to operate the vessel using residual
fuel on or after January 1, 2015. Note that 40 CFR part 80 also
includes provisions that restrict the use of certain fuels by certain
marine engines.
(b) 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 reductant.
Failure to comply with the requirements of this paragraph is a
violation of 40 CFR 1068.101(a)(2). Note that such operation is a
violation of 40 CFR 1068.101(b)(1).
(c) The provisions of this paragraph (c) apply for marine vessels
containing Category 3 engines.
(1) The requirements of this paragraph (c)(1) apply only for
Category 3 engines. All maintenance, repair, adjustment, and alteration
of Category 3 engines subject to the provisions of this part performed
by any owner, operator or other maintenance provider must be perform
using good engineering judgment, in such a manner that the engine
continues (after the maintenance, repair, adjustment or alteration) to
meet the emission standards it was certified as meeting prior to the
need for service. This includes but is not limited to complying with
the maintenance
[[Page 23008]]
instructions described in Sec. 1042.125. Adjustments are limited to
the range specified by the engine manufacturer in the approved
application for certification. Note that where a repair (or other
maintenance) cannot be completed while at sea, it is not a violation to
continue operating the engine to reach your destination.
(2) It is a violation of 40 CFR 1068.101(b)(1) to operate the
vessel with the engine adjusted outside of the specified adjustable
range. Each two-hour period of such operation constitutes a separate
offense. A violation lasting less than two hours constitutes a single
offense.
(3) The owner and operator of the engine must maintain on board the
vessel records of all maintenance, repair, and adjustment that could
reasonably affect the emission performance of any engine subject to the
provision of this part. Owners and operators must also maintain, on
board the vessel, records regarding certification, parameter
adjustment, and fuels used. For engines that are automatically adjusted
electronically, all adjustments must be logged automatically. Owners
and operators must make these records available to EPA upon request.
These records must include the following:
(i) The Technical File, Record Book of Engine Parameters, and
bunker delivery notes as specified in 40 CFR 1043.70. The Technical
File must be transferred to subsequent purchasers in the event of a
sale of the engine or vessel. (ii) Specific descriptions of engine
maintenance, repair, adjustment, and alteration (including rebuilding).
The descriptions must include at least the date, time, and nature of
the maintenance, repair, adjustment, or alteration and the position of
the vessel when the maintenance, repair, adjustment, or alteration was
made.
(iii) Emission-related maintenance instructions provided by the
manufacturer. These instructions must be transferred to subsequent
purchasers in the event of a sale of the engine or vessel.
(4) Owners and operators of engines equipped with on-off emission
controls must comply with the requirements of this paragraph (c)(4)
whenever a malfunction of the emission controls is indicated as
specified in Sec. 1042.110(d). You must determine the cause of the
malfunction and remedy it consistent with paragraph (c)(1) of this
section. See paragraph (b) of this section if the malfunction is due to
either a lack of reductant or inadequate reductant quality. If the
malfunction occurs during the useful life, report the malfunction to
the certificate holder for investigation and compliance with defect
reporting requirements of 40 CFR 1068.501 (unless the malfunction is
due to operation without adequate urea or other malmaintenance).
(d) For each marine vessel containing a Category 3 engine, the
owner must annually review the vessel's records and submit to EPA a
signed statement certifying compliance during the preceding year with
the requirements of this part that are applicable to owners and
operators of such vessels. Alternately, if review of the vessel's
records indicates that there has been one or more violations of the
requirements of this part, the owner must submit to EPA a signed
statement specifying the noncompliance, including the nature of the
noncompliance, the time of the noncompliance, and any efforts made to
remedy the noncompliance. The statement of compliance (or
noncompliance) required by this paragraph must be signed by the
executive with responsibility for marine activities of the owner. If
the vessel is operated by a different business entity than the vessel
owner, the reporting requirements of this paragraph (e) apply to both
the owner and the operator. Compliance with these review and
certification requirements by either the vessel owner or the vessel
operator with respect to a compliance statement will be considered
compliance with these requirements by both of these parties for that
compliance statement. The executive(s) may authorize a captain or other
primary operator to conduct this review and submit the certification,
provided that the certification statement is accompanied by written
authorization for that individual to submit such statements. The
Administrator may waive the requirements of this paragraph when
equivalent assurance of compliance is otherwise available.
(e) Manufacturers, owners and operators must allow emission tests
and inspections required by this part to be conducted and must provide
reasonable assistance to perform such tests or inspections.
0
195. A new Sec. 1042.670 is added to subpart G to read as follows:
Sec. 1042.670 Special provisions for gas turbine engines.
The provisions of this section apply for gas turbine engines.
(a) Implementation schedule. The requirements of this part do not
apply for gas turbine engines below 600 kW before the 2014 model year.
The requirements of this part do not apply for Tier 3 or earlier gas
turbine engines at or above 600 kW. The provisions of 40 CFR part 1068
also do not apply for gas turbine engines produced in these earlier
model years.
(b) Special test procedures. Manufacturers seeking certification of
gas turbine engines must obtain preliminary approval of the test
procedures to be used, consistent with Sec. 1042.210 and 40 CFR
1065.10.
(c) Remanufacturing. The requirements of subpart I of this part do
not apply for gas turbine engines.
(d) Equivalent displacement. Apply displacement-based provisions of
this part by calculating an equivalent displacement from the maximum
engine power. The equivalent per-cylinder displacement (in liters)
equals the maximum engine power in kW multiplied by 0.00311, except
that all gas turbines with maximum engine power above 9,300 kW are
considered to have an equivalent per-cylinder displacement of 29.0
liters.
(e) Emission-related components. All components meeting the
criteria of 40 CFR 1068.501(a)(1) are considered to be emission-related
components with respect to maintenance, warranty, and defect reporting
for gas turbine engines.
(f) Engines used for national defense. See Sec. 1042.635 for
provisions related to exempting gas turbine engines used for national
defense.
Subpart H--[Amended]
0
196. Section 1042.701 is amended by adding introductory text to read as
follows:
Sec. 1042.701 General provisions.
This subpart describes how you may use emission credits to
demonstrate that Category 1 and Category 2 engines comply with emission
standards under this part. The provisions of this subpart do not apply
for Category 3 engines.
* * * * *
0
197. Section 1042.705 is amended by revising paragraph (a) introductory
text, before the equation, to read as follows:
Sec. 1042.705 Generating and calculating emission credits.
* * * * *
(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 the sum of
emission credits to the nearest kilogram
[[Page 23009]]
(kg) using consistent units throughout the following equation:
* * * * *
0
198. Section 1042.715 is revised to read as follows:
Sec. 1042.715 Banking emission credits.
(a) Banking is the retention of emission credits by the
manufacturer generating the emission credits for use in future model
years for averaging or trading.
(b) You may designate any emission credits you plan to bank in the
reports you submit under Sec. 1042.730 as reserved credits. During the
model year and before the due date for the final report, you may
designate your reserved emission credits for averaging or trading.
(c) Reserved credits become actual emission credits when you submit
your final report. However, we may revoke these emission credits if we
are unable to verify them after reviewing your reports or auditing your
records.
0
199. Section 1042.720 is amended by revising paragraph (b) to read as
follows:
Sec. 1042.720 Trading emission credits.
* * * * *
(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 within an averaging set to any certifying
manufacturer.
* * * * *
0
200. Section 1042.725 is amended by revising paragraph (b)(2) to read
as follows:
Sec. 1042.725 Information required for the application for
certification.
* * * * *
(b) * * *
(2) Detailed calculations of projected emission credits (positive
or negative) based on projected production volumes. We may require you
to include similar calculations from your other engine families to
demonstrate that you will be able to avoid a negative credit balance
for the model year. If you project negative emission credits for a
family, state the source of positive emission credits you expect to use
to offset the negative emission credits.
0
201. Section 1042.730 is amended by revising paragraphs (b)(3), (b)(4),
and (b)(5) to read as follows:
Sec. 1042.730 ABT reports.
* * * * *
(b) * * *
(3) The FEL for each pollutant. If you change the FEL after the
start of production, identify the date that you started using the new
FEL and/or give the engine identification number for the first engine
covered by the new FEL. In this case, identify each applicable FEL and
calculate the positive or negative emission credits under each FEL.
(4) The projected and actual U.S.-directed production volumes for
the model year, 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
average engine power weighted by U.S.-directed production volumes for
the engine family.
* * * * *
0
202. Section 1042.735 is amended by revising paragraphs (b), (d), and
(e) to read as follows:
Sec. 1042.735 Recordkeeping.
* * * * *
(b) Keep the records required by this section for at least eight
years after the due date for the end-of-year report. You may not use
emission credits for 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.
* * * * *
(d) Keep records of the engine identification number for each
engine you produce that generates or uses emission credits under the
ABT program. You may identify these numbers as a range. If you change
the FEL after the start of production, identify the date you started
using each FEL and the range of engine identification numbers
associated with each FEL. You must also identify the purchaser and
destination for each engine you produce to the extent this information
is available.
(e) We may require you to keep additional records or to send us
relevant information not required by this section in accordance with
the Clean Air Act.
Subpart I--[Amended]
0
203. Section 1042.801 is amended by revising the introductory text and
paragraph (a) to read as follows:
Sec. 1042.801 General provisions.
This subpart describes how the provisions of this part 1042 apply
for certain remanufactured marine engines.
(a) The requirements of this subpart apply for remanufactured Tier
2 and earlier commercial Category 1 and Category 2 marine engines at or
above 600 kW, excluding those engines originally manufactured before
1973. Note that the requirements of this subpart do not apply for
engines below 600 kW, Category 3 engines, engines installed on
recreational vessels, or Tier 3 and later engines.
* * * * *
0
204. Section 1042.836 is amended by revising the introductory text and
paragraphs (a) introductory text and (c) to read as follows:
Sec. 1042.836 Marine certification of locomotive remanufacturing
systems.
If you certify a Tier 0, Tier 1, or Tier 2 remanufacturing system
for locomotives under 40 CFR part 1033, you may also certify the system
under this part 1042, according to the provisions of this section. Note
that in certain cases before 2013, locomotives may be certified under
40 CFR part 1033 to the standards of 40 CFR part 92.
(a) Include the following with your application for certification
under 40 CFR part 1033 (or as an amendment to your application):
* * * * *
(c) Systems certified to the standards of 40 CFR part 92 are
subject to the following restrictions:
(1) Tier 0 locomotives systems may not be used for any Category 1
engines or Tier 1 or later Category 2 engines.
(2) Where systems certified to the standards of 40 CFR part 1033
are also available for an engine, you may not use a system certified to
the standards of 40 CFR part 92.
0
205. Section 1042.850 is amended by revising paragraph (c) to read as
follows:
Sec. 1042.850 Exemptions and hardship relief.
* * * * *
(c) If you believe that a remanufacturing system that we identified
as being available cannot be installed without significant modification
of your vessel, you may ask us to determine that a remanufacturing
system is not considered available for your vessel because the cost
would exceed the total marginal cost threshold in Sec. 1042.815(a)(2).
* * * * *
[[Page 23010]]
Subpart J--[Amended]
0
206. Section 1042.901 is amended as follows:
0
a. By revising the definitions for ``Carryover'', ``Category 1'',
``Category 2'', ``Category 3'', ``Compression-ignition'',
``Deterioration factor'', ``Engine configuration'', ``Freshly
manufactured marine engine'', ``Hydrocarbon (HC)'', ``Manufacture'',
``Manufacturer'', ``Model year'', ``New marine engine'', ``Residual
fuel'', ``Small-volume boat builder'', ``Small-volume engine
manufacturer'', ``Tier 2'', ``Tier 3'', ``Total hydrocarbon
equivalent'', and ``Useful life''.
0
b. Adding new definitions for ``2008 Annex VI'', ``Alcohol-fueled
engine'', ``Date of manufacture'', ``ECA associated area'', ``Emission
control area (ECA)'', ``Gas turbine engine'', ``Maximum in-use engine
speed'', ``Reflag'', ``NOX Technical Code'', and ``U.S.
waters'' in alphanumeric order.
0
c. By removing the definition for ``Annex VI Technical Code''.
Sec. 1042.901 Definitions.
* * * * *
2008 Annex VI means MARPOL Annex VI, which is an annex to the
International Convention on the Prevention of Pollution from Ships,
1973, as modified by the protocol of 1978 relating thereto
(incorporated by reference in Sec. 1042.910).
* * * * *
Alcohol-fueled engine means an engine that is designed to run using
an alcohol fuel. For purposes of this definition, alcohol fuels do not
include fuels with a nominal alcohol content below 25 percent by
volume.
* * * * *
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1042.235(d).
Category 1 means relating to a marine engine with specific engine
displacement below 7.0 liters per cylinder. See Sec. 1042.670 to
determine equivalent per-cylinder displacement for nonreciprocating
marine engines (such as gas turbine engines).
Category 2 means relating to a marine engine with a specific engine
displacement at or above 7.0 liters per cylinder but less than 30.0
liters per cylinder. See Sec. 1042.670 to determine equivalent per-
cylinder displacement for nonreciprocating marine engines (such as gas
turbine engines).
Category 3 means relating to a reciprocating marine engine with a
specific engine displacement at or above 30.0 liters per cylinder.
* * * * *
Compression-ignition means relating to a type of reciprocating,
internal-combustion engine that is not a spark-ignition engine. Note
that certain other marine engines (such as those powered by natural gas
with maximum engine power at or above 250 kW) are deemed to be
compression-ignition engines in Sec. 1042.1.
* * * * *
Date of manufacture has the meaning given in 40 CFR 1068.30.
* * * * *
Deterioration factor means the relationship between emissions at
the end of useful life and emissions at the low-hour test point (see
Sec. Sec. 1042.240 and 1042.245), 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.
* * * * *
ECA associated area has the meaning given in 40 CFR 1043.20.
Emission control area (ECA) has the meaning given in 40 CFR
1043.20.
* * * * *
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
or factors unrelated to emissions.
* * * * *
Freshly manufactured marine engine means a marine engine that has
not been placed into service. An engine becomes freshly manufactured
when it is originally manufactured. See the definition of ``New marine
engine'' for provisions that specify that certain other types of new
engines are treated as freshly manufactured engines.
* * * * *
Gas turbine engine has the meaning given in 40 CFR 1068.30. In
general, this means anything commercially known as a gas turbine
engine. It does not include external combustion steam engines.
* * * * *
Hydrocarbon (HC) means the hydrocarbon group on which the emission
standards are based for each fuel type, as described in Sec.
1042.101(d) and Sec. 1042.104(a).
* * * * *
Manufacture means the physical and engineering process of
designing, constructing, and assembling an engine or a vessel, or
modifying or operating an engine or vessel in a way that makes it a new
marine engine or new marine vessel.
Manufacturer means any person who manufactures (see definition of
``manufacture'' in this section) a new engine or vessel or imports such
engines or vessels for resale. All manufacturing entities under the
control of the same person are considered to be a single manufacturer.
(1) This term includes, but is not limited to:
(i) 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.
(ii) Importers who import engines or vessels for resale.
(iii) Post-manufacture marinizers.
(iv) Vessel owners/operators that reflag a formerly foreign vessel
as a U.S.-flagged vessel.
(v) Any person who modifies or operates an engine or vessel in a
way that makes it a new marine engine or new marine vessel.
(2) Dealers that do not cause an engine or vessel to become new are
not manufacturers.
* * * * *
Maximum in-use engine speed has the meaning given in Sec.
1042.140.
* * * * *
Model year means any of the following:
(1) For freshly manufactured marine 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. For seasonal production periods not including
January 1, model year means the calendar year in which the production
occurs, unless you choose to certify the applicable engine family with
the following model year. For example, if your production period is
June 1, 2010 through November 30, 2010, your model year would be 2010
unless you choose to certify the engine family for model year 2011.
(2) For an engine that is converted to a marine engine after being
certified and 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 originally produced.
For an engine that is
[[Page 23011]]
converted to a marine engine after being placed into service as a motor
vehicle engine, a nonroad engine that is not a marine engine, or a
stationary engine without having been certified, model year means the
calendar year in which the engine becomes a new marine engine. (See
definition of ``new marine engine,'' paragraph (2)).
(3) For an uncertified marine engine excluded under Sec. 1042.5
that is later subject to this part 1042 as a result of being installed
in a different vessel, model year means the calendar year in which the
engine was installed in the non-excluded vessel. For a marine engine
excluded under Sec. 1042.5 that is later subject to this part 1042 as
a result of reflagging the vessel, model year means the calendar year
in which the engine was originally manufactured. For a marine engine
that become new under paragraph (7) of the definition of ``new marine
engine,'' model year means the calendar year in which the engine was
originally manufactured. (See definition of ``new marine engine,''
paragraphs (3) and (7)).
(4) For engines that do not meet the definition of ``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 remanufactured engines, model year means the calendar year
in which the remanufacture takes place.
(6) 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 remanufactured.
(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 engine is first assembled in its imported configuration,
unless specified otherwise in this part or in 40 CFR part 1068.
(iv) For imported engines described in paragraph (5)(iv) of the
definition of ``new marine engine,'' model year means the calendar year
in which the engine is imported.
(7) [Reserved].
(8) 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 under paragraph (2) of the
definition of ``new vessel'' (as a result of modifications), model year
means the calendar year in which the modifications physically begin.
* * * * *
New marine engine means any of the following:
(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 originally manufactured as a motor vehicle engine, a
nonroad engine that is not a marine engine, or a stationary engine that
is later used or intended to be used as a marine 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 as a marine engine. This
paragraph (2) applies for engines we exclude under Sec. 1042.5, where
that engine is later installed as a marine engine in a vessel that is
covered by this part 1042. For example, this would apply to an engine
that is no longer used in a foreign vessel. An engine converted to a
marine engine without having been certified is treated as a freshly
manufactured engine under this part 1042.
(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
new when it first enters U.S. waters on a vessel covered by this part
1042. For example, this would apply to an engine that is no longer used
in a foreign vessel and for engines on a vessel that is reflagged as a
U.S. vessel. Note paragraph (7) of this definition may also apply.
(4) An engine not covered by paragraphs (1) through (3) of this
definition that is intended to be installed in a new vessel. This
generally includes installation of used engines in new vessels. 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.
Such an engine is treated as a freshly manufactured engine under this
part 1042, whether or not it meets the definition of ``freshly
manufactured marine engine.''
(5) A remanufactured marine engine. An engine becomes new when it
is remanufactured (as defined in this section) and ceases to be new
when placed back into service.
(6) 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 remanufactured engine that would have been
required to be certified if it had been remanufactured in the United
States.
(iii) An imported engine that will be 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), is a new marine engine
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.
(iv) An imported marine engine that is not covered by a certificate
of conformity issued under this part at the 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
Per-cylinder displacement model year
Engine category and type Power (kW) (L/cyl) of emission
standards
----------------------------------------------------------------------------------------------------------------
Category 1............................... P < 19..................... All........................ 2000
[[Page 23012]]
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 Category 3................ All........................ disp. >= 5.0............... 2004
----------------------------------------------------------------------------------------------------------------
(7) A marine engine that is not covered by a certificate of
conformity issued under this part on a U.S.-flag vessel entering U.S.
waters is new, but only if it was produced on or after the dates
identified in paragraph (6)(iv) of this definition. Such entrance is
deemed to be introduction into U.S. commerce.
* * * * *
NOX 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.
1042.910). The Technical Code is part of 2008 Annex VI.
* * * * *
Reflag means to register as a U.S. vessel any vessel that
previously had a foreign registry or had been placed into service
without registration.
* * * * *
Residual fuel means any fuel with a T90 greater than 700
[deg]F as measured with the distillation test method specified in 40
CFR 1065.1010. 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.
* * * * *
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. Manufacturers that produce vessels
with Category 3 engines are not small-volume boat builders.
Small-volume engine manufacturer means a manufacturer of Category 1
and/or Category 2 engines 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.
Manufacturers that certify or produce any Category 3 engines are not
small-volume engine manufacturers.
* * * * *
Tier 2 means relating to the Tier 2 emission standards, as shown in
Sec. 1042.104 and Appendix I.
Tier 3 means relating to the Tier 3 emission standards, as shown in
Sec. 1042.101 and Sec. 1042.104.
* * * * *
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
engines. The atomic hydrogen-to-carbon ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
U.S. waters includes U.S. navigable waters and the U.S. EEZ.
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 an
engine is required to comply with all applicable emission standards.
See Sec. Sec. 1042.101(e) and 1042.104(d).
0
207. Section 1042.905 is amended by adding the acronyms ``ECA'',
``EEZ'', and ``IMO'' in alphabetical order to read as follows:
Sec. 1042.905 Symbols, acronyms, and abbreviations.
* * * * *
ECA Emission Control Area.
EEZ Exclusive Economic Zone.
* * * * *
IMO International Maritime Organization.
* * * * *
0
208. Section 1042.910 is revised to read as follows:
Sec. 1042.910 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, (202) 566-1744, 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) IMO material. This paragraph (a) lists material from the
International Maritime Organization that we have incorporated by
reference. 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, or 44-(0)20-7735-7611.
(1) Revised MARPOL Annex VI, Regulations for the Prevention of Air
Pollution from Ships, and NOX Technical Code 2008, 2009
edition.
(i) Revised MARPOL Annex VI, Regulations for the Prevention of
Pollution from Ships (``2008 Annex VI''); IBR approved for Sec.
1042.901.
(ii) NOX Technical Code 2008 (``NOX Technical
Code''); IBR approved for Sec. Sec. 1042.104(g), 1042.230(d),
1042.302(c) and (e), 1042.501(g), and 1042.901.
(2) [Reserved]
(b) [Reserved]
0
209. Appendix I to part 1042 is amended by revising paragraphs (b)(2)
introductory text and (b)(3) to read as follows:
Appendix I to Part 1042--Summary of Previous Emission Standards
* * * * *
(b) * * *
(2) Tier 2 primary standards. Exhaust emissions from Category 1
engines at or
[[Page 23013]]
above 37 kW and all Category 2 engines may not exceed the values
shown in the following table:
* * * * *
(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.
0
210. A new part 1043 is added to subchapter U to read as follows:
PART 1043--CONTROL OF NOX, SOX, AND PM EMISSIONS FROM MARINE
ENGINES AND VESSELS SUBJECT TO THE MARPOL PROTOCOL
Sec.
1043.1 Overview.
1043.5 Effective dates.
1043.10 Applicability.
1043.20 Definitions.
1043.30 General obligations.
1043.40 EIAPP certificates.
1043.41 EIAPP certification process.
1043.50 Approval of methods to meet Tier 1 retrofit NOX
standards.
1043.55 Applying equivalent controls instead of complying with fuel
requirements.
1043.60 Operating requirements for engines and vessels subject to
this part.
1043.70 General recordkeeping and reporting requirements.
1043.80 Recordkeeping and reporting requirements for fuel suppliers.
1043.90 [RESERVED]
1043.95 Interim provisions.
1043.100 Reference materials.
Authority: 33 U.S.C. 1901-1915.
Sec. 1043.1 Overview.
The Act to Prevent Pollution from Ships (APPS) requires engine
manufacturers, owners and operators of vessels, and other persons to
comply with Annex VI of the MARPOL Protocol. This part implements
portions of APPS as it relates to Regulations 13, 14 and 18 of Annex
VI. These regulations clarify the application of some Annex VI
provisions; provide procedures and criteria for the issuance of EIAPP
certificates; and specify requirements applicable to ships that are not
registered by Parties to Annex VI. This part includes provisions to
apply the equivalency provisions of Regulation 4 of Annex VI with
respect to Regulations 14 and 18 of Annex VI. Additional regulations
may also apply with respect to the Annex VI, such as those issued
separately by the U.S. Coast Guard. Note that references in this part
to a specific subsection of an Annex VI regulation (such as Regulation
13.5.1) reflect the regulation numbering of the 2008 Annex VI
(incorporated by reference in Sec. 1043.100).
(a) The general requirements for non-public U.S.-flagged and other
Party vessels are specified in Annex VI, as implemented by 33 U.S.C.
1901-1915. These requirements apply to engine manufacturers, owners and
operators of vessels, and other persons.
(b) The provisions of this part specify how Regulations 13, 14 and
18 of Annex VI, as implemented by APPS, will be applied to U.S.-flagged
vessels that operate only domestically.
(c) This part implements section 33 U.S.C. 1902(e) by specifying
that non-public vessels flagged by a country that is not a party to
Annex VI are subject to certain provisions under this part that are
equivalent to the substantive requirements of Regulations 13, 14 and 18
of Annex VI as implemented by APPS.
(d) This part also describes where the requirements of Regulation
13.5.1 of Annex VI and Regulation 14.4 of Annex VI will apply.
(e) This part 1043 does not limit the requirements specified in
Annex VI, as implemented by APPS, except as specified in Sec.
1043.10(a)(2) and (b)(3).
(f) Nothing in this part limits the operating requirements and
restrictions applicable for engines and vessels subject to 40 CFR part
1042 or the requirements and restrictions applicable for fuels subject
to 40 CFR part 80.
(g) The provisions of this part specify how to obtain EIAPP
certificates and certificates for Approved Methods.
Sec. 1043.5 Effective dates.
(a) The requirement of APPS for marine vessels to comply with Annex
VI of the MARPOL Protocol is in effect.
(b) The amendments to Annex VI adopted on October 8, 2008 enter
into force July 1, 2010. The requirement of APPS for marine vessels to
comply with the amended Annex VI is effective July 1, 2010, although
some requirements do not become applicable until later dates.
(c) Compliance with the applicable regulations of this part is
required for all persons as of July 1, 2010. (Note that certain
requirements begin later, as described in paragraph (d) of this
section.) Note also that compliance with Sec. Sec. 1043.40 and 1043.41
is required to obtain EIAPP certificates under this part whether the
application is submitted before July 1, 2010 or later.
(d) Compliance with the requirements related to ECAs are effective
as follows:
(1) Compliance with the ECA NOX requirements (see Sec.
1043.60(a)) is required beginning on the date on which the ECA enters
into force for the United States under Annex VI.
(2) Compliance with the fuel content requirements applicable within
ECAs and ECA associated areas (see Sec. 1043.60(b)) is required
beginning 12 months after date on which the ECA enters into force for
the United States under Annex VI.
Sec. 1043.10 Applicability.
(a) U.S.-flagged vessels. The provisions of this part apply for all
U.S.-flagged vessels wherever they are located (including engines
installed or intended to be installed on such vessels), except as
specified in this paragraph (a) or in Sec. 1043.95.
(1) Public vessels are excluded from this part.
(2) Vessels that operate only domestically and conform to the
requirements of this paragraph (a)(2) are excluded from Regulation 13
of Annex VI (including the requirement to obtain an EIAPP certificate)
and the NOX-related requirements of this part. For the
purpose of this exclusion, the phrase ``operate only domestically''
means the vessels do not enter waters subject to the jurisdiction or
control of any foreign country, except for Canadian portions of the
Great Lakes. (See Sec. Sec. 1043.60 and 1043.70 for provisions related
to fuel use by such vessels). To be excluded, the vessel must conform
to each of the following provisions:
(i) All compression-ignition engines on the vessel must conform
fully to all applicable provisions of 40 CFR parts 94 and 1042.
(ii) The vessel may not contain any engines with a specific engine
displacement at or above 30.0 liters per cylinder.
(iii) Any engine installed in the vessel that is not covered by an
EIAPP must be labeled as specified in 40 CFR 1042.135 with respect to
whether it meets the requirements of Regulation 13 of Annex VI.
(b) Foreign-flagged vessels. The provisions of this part apply for
all non-public foreign-flagged vessels (including engines installed on
such vessels) as follows:
(1) The requirements of this part apply for foreign-flagged vessels
operating in U.S. navigable waters or the U.S. EEZ.
(2) For non-public vessels flagged by a country that is not a party
to Annex VI, the requirements of this part apply in the same manner as
apply for Party vessels, except as otherwise provided in this part. For
example, see Sec. 1043.30(b)(3) for provisions related to showing
compliance with this requirement without an EIAPP certificate. See
Sec. 1043.60 for specific operating requirements.
(3) Canadian vessels that operate only within the Great Lakes and
are subject to an alternative NOX control measure
established by the Canadian government
[[Page 23014]]
are excluded from the NOX-related requirements of this part.
(c) Fuel suppliers. The provisions of Sec. 1043.80 apply for all
persons supplying fuel to any vessel subject to this part.
(d) Sea bed mineral exploration. This part does not apply to
emissions directly arising from the exploration, exploitation, and
associated offshore processing of sea-bed mineral resources. Note that
other regulations apply with respect to these emissions in certain
circumstances, and that engines that are not solely dedicated to such
activities are otherwise subject to all requirements of this part.
Sec. 1043.20 Definitions.
The following definitions apply to this part:
2008 Annex VI means Annex VI to the MARPOL Protocol, including
amendments adopted in October 2008. The 2008 Annex VI is incorporated
by reference in Sec. 1043.100. Note that this version of Annex VI does
not include any amendments that may be adopted in the future. This 2008
version applies for certain provisions of this part such as those
applicable for internal waters and for non-Party vessels.
Administrator means the Administrator of the Environmental
Protection Agency.
Annex VI means Annex VI of the MARPOL Protocol.
APPS means the Act to Prevent Pollution from Ships (33 U.S.C. 1901-
1915).
Designated Certification Officer means the EPA official to whom the
Administrator has delegated authority to issue EIAPP certificates. Note
that the Designated Certification Officer is also delegated certain
authorities under this part in addition to the authority to issue EIAPP
certificates.
ECA associated area means the U.S. internal waters that are
navigable from the ECA. This term does not include internal waters that
are shoreward of ocean waters that are not part of an emission control
area.
EIAPP certificate means a certificate issued to certify initial
compliance with Regulation 13 of Annex VI. (Note that EIAPP stands for
Engine International Air Pollution Prevention under Annex VI.)
Emission control area (ECA) means an area designated pursuant to
Annex VI as an Emission Control Area that:
(1) Is in force; and
(2) Includes waters of the U.S. territorial sea and/or EEZ.
Engine has the meaning given in 40 CFR 1068.30.
EPA means the United States Environmental Protection Agency.
Foreign-flagged vessel means a vessel of foreign registry or a
vessel operated under the authority of a country other than the United
States.
Good engineering judgment has the meaning given in 40 CFR 1068.30.
We will evaluate engineering judgments as described in 40 CFR 1068.5.
Great Lakes means all the streams, rivers, lakes, and other bodies
of water that are within the drainage basin of the St. Lawrence River,
west of Anticosti Island.
IMO means the International Maritime Organization.
Major conversion has the meaning given in 2008 Annex VI
(incorporated by reference in Sec. 1043.100).
MARPOL Protocol has the meaning given in 33 U.S.C. 1901.
Navigable waters has the meaning given in 33 U.S.C. 1901.
Non-Party vessel means a vessel flagged by a country that is not a
party to Annex VI.
NOX Technical Code means the ``Technical Code on Control of
Emission of Nitrogen Oxides from Marine Diesel Engines'' adopted by IMO
(incorporated by reference in Sec. 1043.100). The Technical Code is
part of 2008 Annex VI.
Operator has the meaning given in 33 U.S.C. 1901.
Owner has the meaning given in 33 U.S.C. 1901.
Party vessel means a vessel flying the flag of, registered in, or
operating under the authority of a country that is a party to Annex VI.
Person has the meaning given in 33 U.S.C. 1901.
Public vessels means warships, naval auxiliary vessels, and other
vessels owned or operated by a sovereign country when engaged in
noncommercial service.
Secretary has the meaning given in 33 U.S.C. 1901.
U.S. EEZ means the Exclusive Economic Zone of the United States, as
defined in Presidential Proclamation 5030 of March 10, 1983.
U.S.-flagged vessel means a vessel of U.S. registry or a vessel
operated under the authority of the United States.
Vessel has the meaning given to ``ship'' in APPS.
We means EPA.
Sec. 1043.30 General obligations.
(a) 33 U.S.C. 1907 prohibits any person from violating any
provisions of the MARPOL Protocol, whether or not they are a
manufacturer, owner or operator. For manufacturers, owners and
operators of vessels subject to this part, it is the responsibility of
such manufacturers, owners and operators to ensure that all employees
and other agents operating on their behalf comply with these
requirements.
(b) Manufacturers of engines to be installed on U.S. vessels
subject to this part must obtain an EIAPP certificate for an engine
prior to it being installed in a vessel.
(c) Engines with power output of more than 130 kW that are listed
in this paragraph (c) must be covered by a valid EIAPP certificate,
certifying the engine meets the applicable emission standards of Annex
VI, unless the engine is excluded under Sec. 1043.10 or paragraph (d)
of this section. An EIAPP certificate is valid for a given engine only
if it certifies compliance with the tier of standards applicable to
that engine and the vessel into which it is being installed (or a later
tier). Note that none of the requirements of this paragraph (c) are
limited to new engines.
(1) Engines meeting any of the following criteria must be covered
by a valid EIAPP certificate:
(i) Engines installed (or intended to be installed) on vessels that
were constructed on or after January 1, 2000. This includes engines
that met the definition of ``new marine engine'' in 40 CFR 1042.901 at
any time on or after January 1, 2000, unless such engines are installed
on vessels that were constructed before January 1, 2000.
(ii) Engines that undergo a major conversion on or after January 1,
2000, unless the engines have been exempt from this requirement under
paragraph (e) of this section.
(2) For such engines intended to be installed on U.S.-flagged
vessels, the engine may not be introduced into U.S. commerce before it
is covered by a valid EIAPP certificate, except as allowed by this
paragraph (c)(2).
(i) This paragraph (c)(2) does not apply for engines installed on
vessels excluded under this part 1043.
(ii) Engines without a valid EIAPP certificate (because they are
intended for domestic use only) may be introduced into U.S. commerce,
but may not be installed on vessels that do not meet the requirements
of Sec. 1043.10(a)(2).
(iii) Engines that have been temporarily exempted by EPA under 40
CFR part 1042 or part 1068 may be introduced into U.S. commerce without
a valid EIAPP certificate to the same extent they are allowed to be
introduced into U.S. commerce without a valid part 1042 certificate of
conformity, however, this allowance does not affect whether the engine
must ultimately be covered by an EIAPP certificate. Unless otherwise
excluded or exempted under this part 1043, the engine must be covered
by an EIAPP certificate before
[[Page 23015]]
being placed into service. For example, engines allowed to be
temporarily distributed in an uncertified configuration under 40 CFR
1068.260 would not be required to be covered by an EIAPP certificate
while it is covered by the temporary exemption under 40 CFR 1068.260;
however, it would be required to be covered by an EIAPP certificate
before being placed into service.
(iv) All uninstalled marine engines within the United States are
presumed to be intended to be installed on a U.S.-flagged vessel,
unless there is clear and convincing evidence to the contrary.
(3) For engines installed on Party vessels, the engine may not
operate in the U.S. navigable waters or the U.S. exclusive economic
zone, or other areas designated under 33 U.S.C. 1902(a)(5)(B)(iii),
(C)(iii), or (D)(iv) unless it is covered by a valid EIAPP certificate.
(4) Engines installed on non-Party vessels are not required to have
EIAPP certificates, but the operator must have evidence of conformity
with Regulation 13 of Annex VI issued by either the government of a
country that is party to Annex VI or a recognized classification
society. For the purposes of this paragraph, ``recognized
classification society'' means a classification society that is a
participating member of the International Association of Classification
Societies (IACS).
(d) In addition to the engines excluded under Sec. 1043.10, the
following engines are excluded from the requirement to have an EIAPP
certificate (or equivalent demonstration of compliance in the case of
non-Party vessels) or otherwise meet the requirements of Regulation 13
of Annex VI.
(1) Spark-ignition engines.
(2) Non-reciprocating engines.
(3) Engines that do not use liquid fuel.
(4) Engines intended to be used solely for emergencies. This
includes engines that power equipment such as pumps that are intended
to be used solely for emergencies and engines installed in lifeboats
intended to be used solely for emergencies. It does not include engines
to be used for both emergency and non-emergency purposes.
(e) The following requirements apply to Party vessels, including
U.S.-flagged vessels:
(1) The requirements specified in Annex VI apply for vessels
subject to this part for operation in U.S. navigable waters or the U.S.
EEZ. (See Sec. 1043.60 for a summary of the standards included in
these requirements.)
(2) Vessels operating in an ECA must also comply with the
requirements of Annex VI applicable to operation in an ECA.
(3) Vessels operating in waters of an ECA associated area must also
comply with the requirements in Sec. 1043.60.
(f) The following requirements apply to non-Party vessels:
(1) Non-Party vessels operating in U.S. navigable waters or the
U.S. EEZ must comply with the operating and recordkeeping requirements
of the 2008 Annex VI (incorporated by reference in Sec. 1043.100)
related to Regulations 13, 14 and 18 of the 2008 Annex VI. This
paragraph (f)(1) does not address requirements of other portions of
Annex VI.
(2) Non-Party vessels operating in an ECA or ECA associated area
must also comply with the requirements in Sec. 1043.60.
(g) A replacement engine may be exempted by EPA from Regulation 13
of Annex VI and the NOX-related requirements of this part if
it is identical to the engine being replaced and the old engine was not
subject to Regulation 13 of Annex VI. Send requests for such exemptions
to the Designated Certification Officer.
(h) Compliance with the provisions of this part 1043 does not
affect your responsibilities under 40 CFR part 1042 for engines subject
to that part 1042.
Sec. 1043.40 EIAPP certificates.
(a) Engine manufacturers seeking EIAPP certificates for new engines
to be used in U.S.-flagged vessels must apply to EPA for an EIAPP
certificate in compliance with the requirements of this section (which
references 40 CFR part 1042). Note that under APPS engine manufacturers
must comply with the applicable requirements of Regulation 13 of Annex
VI to obtain a certificate. Note also that only the Administrator or
the EPA official designated by the Administrator may issue EIAPP
certificates on behalf of the U.S. Government.
(b) Persons other than engine manufacturers may apply for and
obtain EIAPP certificates for new engines to be used in U.S.-flagged
vessels by complying with the requirements of this section (which
references 40 CFR part 1042) and the applicable requirements of
Regulation 13 of Annex VI.
(c) In appropriate circumstances, EPA may issue an EIAPP
certificate under this section for non-new engines or engines for
vessels that will not initially be flagged in the U.S.
(d) The process for obtaining an EIAPP certificate is described in
Sec. 1043.41. That section references regulations in 40 CFR part 1042,
which apply under the Clean Air Act. References in that part to
certificates of conformity are deemed to mean EIAPP certificates.
References in that part to the Clean Air Act as the applicable statute
are deemed to mean 33 U.S.C. 1901-1915.
(e) For engines that undergo a major conversion or for engines
installed on imported vessels that become subject to the requirements
of this part, we may specify alternate certification provisions
consistent with the intent of this part.
(f) This paragraph (f) applies for engines that were originally
excluded from this part because they were intended for domestic use and
were introduced into U.S. commerce without an EIAPP certificate. Note
that such engines must be labeled as specified under 40 CFR 1042.135 to
indicate that they are intended for domestic use. Such engines may be
installed on vessels not intended only for domestic operation provided
the engine manufacturer, vessel manufacturer, or vessel owner obtains
an EIAPP certificate. Similarly, vessels originally intended only for
domestic operation may be used internationally provided the engine
manufacturer, vessel manufacturer, or vessel owner obtains an EIAPP
certificate. In either case, the Technical File must specify that the
engine was originally certified for domestic use only, prior to being
covered by an EIAPP certificate. Engine manufacturers may provide a
supplemental label to clarify that the engine is no longer limited to
domestic service. An engine manufacturer, vessel manufacturer, or
vessel owner may also ask to apply the provisions of this paragraph to
engines originally certified for public vessels.
Sec. 1043.41 EIAPP certification process.
This section describes the process for obtaining the EIAPP
certificate required by Sec. 1043.40.
(a) You must send the Designated Certification Officer a separate
application for an EIAPP certificate for each engine family. An EIAPP
certificate is valid starting with the indicated effective date and is
valid for any production until such time as the design of the engine
family changes or more stringent emission standards become applicable,
whichever comes first. You may obtain preliminary approval of portions
of the application under 40 CFR 1042.210.
(b) The application must contain all the information required by
this part. It must not include false or incomplete statements or
information (see 40 CFR 1042.255). Include the information specified in
40 CFR 1042.205 except as follows:
[[Page 23016]]
(1) You must include the dates on which the test engines were built
and the locations where the test engines were built.
(2) Include a copy of documentation required by this part related
to maintenance and in-use compliance for operators, such as the
Technical File and onboard NOX verification procedures as
specified by the NOX Technical Code (incorporated by
reference in Sec. 1043.100).
(3) You are not required to provide information specified in 40 CFR
1042.205 regarding useful life, emission labels, deterioration factors,
PM emissions, or not-to-exceed standards.
(4) You must include a copy of your warranty instructions, but are
not required to describe how you will meet warranty obligations.
(c) We may ask you to include less information than we specify in
this section as long as you maintain all the information required by
paragraph (b) of this section.
(d) You must use good engineering judgment for all decisions
related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and
sign the application.
(f) See 40 CFR 1042.255 for provisions describing how we will
process your application.
(g) Your application, including the Technical File and onboard
NOX verification procedures, is subject to amendment as
described in 40 CFR 1042.225.
(h) Perform emission tests as follows:
(1) Select an emission-data engine from each engine family for
testing. For engines at or above 560 kW, you may use a development
engine that is equivalent in design to the engine being certified. For
Category 3 engines, you may use a single-cylinder version of the
engine. Using good engineering judgment, select the engine
configuration most likely to exceed an applicable emission standard,
considering all exhaust emission constituents and the range of
installation options available to vessel manufacturers.
(2) Test your emission-data engines using the procedures and
equipment specified in 40 CFR part 1042, subpart F, or in the
NOX Technical Code (incorporated by reference in Sec.
1043.100). We may require that your test be witnessed by an EPA
official.
(3) We may measure emissions from any of your test engines or other
engines from the engine family, as follows:
(i) We may decide to do the testing at your plant or any other
facility. You must deliver the test engine to any 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.
(ii) 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.
(iii) Before we test one of your engines, we may set its adjustable
parameters to any point within the specified adjustable ranges (see 40
CFR 1042.115(d)).
(iv) Before we test one of your engines, we may calibrate it within
normal production tolerances for anything we do not consider an
adjustable parameter.
(4) 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.
(5) 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 otherwise required by this part, we may
reject data you generated using the alternate procedure.
(i) Collect emission data using measurements to one more decimal
place than the applicable standard, then round the value 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.
(j) Your engine family is considered in compliance with the
emission standards in Regulation 13 of Annex VI if all emission-data
engines representing that family have test results showing emission
levels at or below these standards. Your engine family is deemed not to
comply if any emission-data engine representing that family has test
results showing an emission level above an applicable emission standard
for any pollutant.
(k) If we determine your application is complete and shows that the
engines meet all the requirements of this part, we will issue an EIAPP
certificate for your engines. We may make the approval subject to
additional conditions.
Sec. 1043.50 Approval of methods to meet Tier 1 retrofit NOX
standards.
Regulation 13 of Annex VI provides for certification of Approved
Methods, which are retrofit procedures that enable Pre-Tier 1 engines
to meet the Tier 1 NOX standard of regulation 13 of Annex
VI. Any person may request approval of such a method by submitting an
application for certification of an Approve Method to the Designated
Certification Officer. If we determine that your application conforms
to the requirements of Regulation 13 of Annex VI, we will issue a
certificate and notify IMO that your Approved Method has been
certified.
Sec. 1043.55 Applying equivalent controls instead of complying with
fuel requirements.
Regulation 4 of Annex VI allows Administrations to approve the use
of fuels not meeting the requirements of Regulation 14 of the Annex,
provided the vessel applies a method that results in equivalent
emission reductions. This section describes provisions related to
applying this allowance.
(a) Any person may request approval of such equivalent methods for
controlling emissions on U.S.-flagged vessels by submitting an
application for certification of an equivalent control method to the
Designated Certification Officer. If we determine that your control
method achieves emission levels equivalent to those achieved by the use
of fuels meeting the requirements of Regulation 14 of Annex VI, we will
issue a certificate and notify IMO that your method has been certified.
(b) The provisions of this paragraph (b) apply for vessels equipped
with controls certified by the Administration of a foreign flag vessel
to achieve emission levels equivalent to those achieved by the use of
fuels meeting the applicable fuel sulfur limits of Regulation 14 of
Annex VI. Fuels not meeting the applicable fuel sulfur limits of
Regulation 14 of Annex VI may be used on such vessels consistent with
the provisions of the IAPP certificate, APPS and Annex VI.
(c) Compliance with the requirements of this section does not
affect the applicability of requirements or prohibitions specified by
other statutes or regulations with respect to water pollution.
Sec. 1043.60 Operating requirements for engines and vessels subject
to this part.
This section specifies the operating requirements of this part.
Note that it does not limit the operating requirements of APPS or Annex
VI that
[[Page 23017]]
are applicable to U.S.-flagged vessels outside of U.S. domestic waters.
(a) Except as specified otherwise in this part, NOX
emission limits apply to all vessels subject to this part as specified
in the following table:
Table 1 to Sec. 1043.60 Annex VI NOX Emission Standards (g/kW-hr)
----------------------------------------------------------------------------------------------------------------
Maximum in-use engine speed
Area of -------------------------------------------
Tier applicability Model year Less than Over 2000
130 RPM 130-2000 RPM\a\ RPM
----------------------------------------------------------------------------------------------------------------
Tier 1....................... All U.S. navigable 2004-2010...... 17.0 45.0[middot]n(- 9.8
waters and EEZ. 0.20)
Tier 2....................... All U.S. navigable 2011-2015...... 14.4 44.0[middot]n(- 7.7
waters and EEZ. 0.23)
Tier 2....................... All U.S. navigable 2016 and later. 14.4 44.0[middot]n(- 7.7
waters and EEZ, 0.23)
exluding ECA and
ECA associated
areas.
Tier 3....................... ECA and ECA 2016 and later. 3.4 9.0[middot]n(- 2.0
associated areas. 0.20)
----------------------------------------------------------------------------------------------------------------
\a\ Applicable standards are calculated from n (maximum in-use engine speed, in RPM, as specified in Sec.
1042.140). Round the standards to one decimal place.
(b) Except as specified otherwise in this part, fuel sulfur limits
apply to all vessels subject to this part as specified in the following
table:
Table 2 to Sec. 1043.60 Annex VI Fuel Sulfur Limits
[wt %]
----------------------------------------------------------------------------------------------------------------
Sulfur limit in all Sulfur limit in ECA and
Calendar years U.S. navigable waters ECA associated areas
and EEZ (percent) (percent)
----------------------------------------------------------------------------------------------------------------
2010-2011..................................................... 4.50 1.00
2012-2015..................................................... 3.50 1.00
2016-2019..................................................... 3.50 0.10
2020 and later................................................ 0.50 0.10
----------------------------------------------------------------------------------------------------------------
(c) Operators of non-Party vessels must comply with the
requirements of paragraphs (a) and (b) of this section as well as other
operating requirements and restrictions specified in 2008 Annex VI
(incorporated by reference in Sec. 1043.100) related to Regulations
13, 14, and 18.
(d) This paragraph (d) applies for vessels that are excluded from
Regulation 13 of Annex VI and the NOX-related requirements
of this part under Sec. 1043.10(a)(2) or (b)(3) because they operate
only domestically. Where the vessels operate using only fuels meeting
the specifications of 40 CFR part 80 for distillate fuel, they are
deemed to be in full compliance with the fuel use requirements and
prohibitions of this part and of Regulations 14 and 18 of Annex VI.
(e) Except as noted in paragraph (d) of this section, nothing in
this section limits the operating requirements and restrictions of
Annex VI, as implemented by APPS, for Party vessels, including U.S.-
flagged vessels. Note also that nothing in this part limits the
operating requirements and restrictions applicable for engines and
vessels subject to 40 CFR part 1042 or the requirements and
restrictions applicable for fuels subject to 40 CFR part 80.
(f) We may exempt historic steamships from the fuel requirements of
this part for operation in U.S. internal waters. Send requests for
exemptions to the Designated Certification Officer.
Sec. 1043.70 General recordkeeping and reporting requirements.
(a) Under APPS, owners and operators of Party vessels must keep
records related to NOX standards and in-use fuel
specifications such as the Technical File, the Engine Book of Record
Parameters, and bunker delivery notes. Owners and operators of non-
Party vessels must keep these records as specified in the
NOX Technical Code and Regulations 13, 14, and 18 of Annex
VI (incorporated by reference in Sec. 1043.100). We may inspect these
records as allowed by APPS. As part of our inspection, we may require
that the owner submit copies of these records to us.
(b) Nothing in this part limits recordkeeping and reporting the
Secretary may require, nor does it preclude the Secretary from
providing copies of any records to EPA.
(c) Nothing in this part limits the recordkeeping and reporting
requirements applicable with respect to engines and vessels subject to
40 CFR part 1042 or with respect to fuels subject to 40 CFR part 80.
(d) This paragraph (d) applies for vessels that are excluded from
Regulation 13 of Annex VI and the NOX-related requirements
of this part under Sec. 1043.10(a)(2) or (b)(3) because they operate
only domestically. Where the vessel operator has fuel receipts (or
equivalent records) for the preceding three years showing it operated
using only fuels meeting the specifications of 40 CFR part 80 for
distillate fuel, they are deemed to be in full compliance with the fuel
recordkeeping requirements and prohibitions of this part and Annex VI.
Sec. 1043.80 Recordkeeping and reporting requirements for fuel
suppliers.
Under APPS, fuel suppliers must provide bunker delivery notes to
vessel operators for any fuel for an engine on any vessel identified in
paragraph (a) of this section. Fuel suppliers must also keep copies of
these records.
(a) The requirements of this section apply for fuel delivered to
any of the following vessels:
(1) Vessels of 400 gross tonnage and above engaged in voyages to
ports or offshore terminals under the jurisdiction of other Parties.
(2) Platforms and drilling rigs engaged in voyages to waters under
the sovereignty or jurisdiction of other Parties.
[[Page 23018]]
(b) Except as allowed by paragraph (c) of this section, the bunker
delivery note must contain the following:
(1) The name and IMO number of the receiving vessel.
(2) Port (or other description of the location, if the delivery
does not take place at a port).
(3) Date the fuel is delivered to the vessel (or date on which the
delivery begins where the delivery begins on one day and ends on a
later day).
(4) Name, address, and telephone number of fuel supplier.
(5) Fuel type and designation under 40 CFR part 80.
(6) Quantity in metric tons.
(7) Density at 15 [deg]C, in kg/m\3\.
(8) Sulfur content in weight percent.
(9) A signed statement by an authorized representative of fuel
supplier certifying that the fuel supplied conforms to Regulations 14
and 18 of Annex VI consistent with it designation, intended use, and
the date on which it is to be used. For example, with respect to
conformity to Regulation 14 of Annex VI, a fuel designated and intended
for use in an ECA any time between July 1, 2010 and January 1, 2015 may
not have a sulfur content above 1.00 weight percent. This statement is
not required where the vessel conforms to the requirements of Sec.
1043.55.
(c) You may measure density and sulfur content according to the
specifications of Annex VI, or according to other equivalent methods
that we approve. Where the density and/or sulfur content of the
delivered fuel cannot be measured, we may allow the use of alternate
methods to specify the density and/or sulfur content of the fuel. For
example, where fuel is supplied from multiple tanks on a supply vessel,
we may allow the density and sulfur content of the fuel to be
calculated as a weighted average of the measured densities and sulfur
contents of the fuel that is supplied from each tank.
Sec. 1043.90 [Reserved]
Sec. 1043.95 Interim provisions.
The interim provisions of this section apply for vessels operating
exclusively in the Great Lakes.
(a) Notwithstanding other provisions of this part, the requirements
of this part do not apply for vessels propelled by steam turbine
engines or reciprocating steam engines (also known as steamships),
provided they were propelled by steam engines and operated within the
Great Lakes before October 30, 2009 and continue to operate exclusively
within the Great Lakes.
(b) In cases of serious economic hardship, we may exempt Great
Lakes vessels from the otherwise applicable fuel use requirements under
this part.
(1) To be eligible, you must demonstrate that all of the following
are true:
(i) Unusual circumstances exist that impose serious economic
hardship and significantly affect your ability to comply.
(ii) You have taken all reasonable steps to minimize the extent of
the nonconformity.
(iii) No other allowances are available under the regulations in
this chapter to avoid the impending violation.
(2) Send the Designated Certification Officer a written request for
an exemption no later than January 1, 2014.
(3) Applicants must provide, at a minimum, the following
information:
(i) Detailed description of existing contract freight rates, the
additional operating costs attributed to complying with the
regulations, any loan covenants or other requirements regarding vessel
financial instruments or agreements.
(ii) Bond rating of entity that owns the vessels in question (in
the case of joint ventures, include the bond rating of the joint
venture entity and the bond ratings of all partners; in the case of
corporations, include the bond ratings of any parent or subsidiary
corporations).
(iii) Estimated capital investment needed to comply with the
requirements of this part by the applicable date.
(4) In determining whether to grant the exemptions, we will
consider all relevant factors, including the following:
(i) The number of vessels to be exempted.
(ii) The size of your company and your ability to endure the
hardship.
(iii) The length of time a vessel is expected to remain out of
compliance with this part.
(iv) The ability of an individual vessel to recover capital
investments incurred to repower or otherwise modify a vessel to reduce
air emissions.
(5) In addition to the application requirements of paragraphs
(b)(1) through (4) of this section, your application for temporary
relief under this paragraph (b) must also include a compliance plan
that shows the period over which the waiver is needed.
(6) We may impose conditions on the waiver, including conditions to
limit or recover any environmental loss.
(c) Prior to January 1, 2015, it is not a violation of this part
for vessels operating exclusively in the Great Lakes to use a residual
fuel not meeting the sulfur limits of Regulation 14.4.2 of Annex VI,
where the operator bunkers with the lowest sulfur marine residual fuel
that was available within the port area where the vessel bunkered the
fuel. For purposes of this paragraph (c), port area means the
geographic limits of the port as specified by the Army Corps of
Engineers. The reporting and recordkeeping requirements of this part
continue to apply for such operation. In addition, if you operate using
a residual fuel not meeting the sulfur limits of Regulation 14.4.2
under this paragraph (c), you must send a report to the Designated
Certification Officer that identifies the fuel that was used and
documents how you determined that no compliant fuel was available. You
must send this report within three months after the fueling event.
Sec. 1043.100 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, (202) 566-1744, 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) IMO material. This paragraph (a) lists material from the
International Maritime Organization that we have incorporated by
reference. 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, or 44-(0)20-7735-7611.
(1) Revised MARPOL Annex VI, Regulations for the Prevention of Air
Pollution from Ships, and NOX Technical Code 2008, 2009
edition.
(i) Revised MARPOL Annex VI, Regulations for the Prevention of
Pollution from Ships (``2008 Annex VI''); IBR approved for Sec.
1043.1, 1043.20, 1043.30(f), and 1043.60(c), and 1043.70(a).
(ii) NOX Technical Code 2008 (``NOX Technical
Code''); IBR approved for Sec. Sec. 1043.20, 1043.41(b) and (h), and
1043.70(a).
(2) [Reserved]
(b) [Reserved]
[[Page 23019]]
PART 1045--CONTROL OF EMISSIONS FROM SPARK-IGNITION PROPULSION
MARINE ENGINES AND VESSELS
0
211. The authority citation for part 1045 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart B--[Amended]
0
212. Section 1045.103 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 1045.103 What exhaust emission standards must my outboard and
personal watercraft engines meet?
* * * * *
(b) Averaging, banking, and trading. You may generate or use
emission credits under the averaging, banking, and trading (ABT)
program described in subpart H of this part for demonstrating
compliance with HC+NOX emission standards. For CO emissions,
you may generate or use emission credits for averaging as described in
subpart H of this part, but such credits may not be banked or traded.
To generate or use emission credits, you must specify a family emission
limit for each pollutant you include in the ABT program for each engine
family. These family emission limits serve as the emission standards
for the engine family with respect to all required testing instead of
the standards specified in this section. An engine family meets
emission standards even if its family emission limit is higher than the
standard, as long as you show that the whole averaging set of
applicable engine families meets the emission standards using emission
credits and the engines within the family meet the family emission
limit. The following FEL caps apply:
* * * * *
0
213. Section 1045.125 is amended as follows:
0
a. By revising paragraphs (a)(2).
0
b. By adding paragraph (a)(3).
0
c. By revising paragraph (c).
Sec. 1045.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(2) You may not schedule critical emission-related maintenance
within the useful life period for aftertreatment devices, pulse-air
valves, fuel injectors, oxygen sensors, electronic control units,
superchargers, or turbochargers, except as specified in paragraph
(a)(3), (b), or (c) of this section.
(3) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(2) of this section. In your request you
must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other
available information to establish alternate specifications for
maintenance intervals, if appropriate.
* * * * *
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
engine operation that is not atypical, or that the maintenance is
unlikely to occur in use. If we determine that certain maintenance
items do not qualify as special maintenance under this paragraph (c),
you may identify this as recommended additional maintenance under
paragraph (b) of this section.
* * * * *
0
214. Section 1045.140 is amended by revising paragraph (a) to read as
follows:
Sec. 1045.140 What is my engine's maximum engine power?
(a) An engine configuration's maximum engine power is the maximum
brake power point on the nominal power curve for the engine
configuration, as defined in this section. Round the power value to the
nearest whole kilowatt for engines above 30 kW and to the nearest 0.1
kilowatt for engines at or below 30 kW.
* * * * *
0
215. Section 1045.145 is amended by adding paragraph (o) to read as
follows:
Sec. 1045.145 Are there interim provisions that apply only for a
limited time?
* * * * *
(o) Banking early credits for jet boat engines. Banked emission
credits that were originally generated from outboard and personal
watercraft engines under 40 CFR part 91 may be used to certify jet boat
engines under the provisions Sec. 1045.660.
Subpart C--[Amended]
0
216. Section 1045.201 is amended by adding paragraph (h) to read as
follows:
Sec. 1045.201 What are the general requirements for obtaining a
certificate of conformity?
* * * * *
(h) For engines that become new after being placed into service,
such as engines installed on imported vessels or engines converted to
run on a different fuel, we may specify alternate certification
provisions consistent with the intent of this part. See Sec. 1045.645
and the definition of ``new propulsion marine engine'' in Sec.
1045.801.
0
217. Section 1045.220 is amended by revising paragraph (a) to read as
follows:
Sec. 1045.220 How do I amend the maintenance instructions in my
application?
* * * * *
(a) If you are decreasing or eliminating 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. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
* * * * *
0
218. Section 1045.230 is amended by revising paragraph (b)(4) to read
as follows:
Sec. 1045.230 How do I select engine families?
* * * * *
(b) * * *
(4) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
* * * * *
0
219. Section 1045.240 is amended by revising paragraphs (a) and (b) and
adding paragraph (e) to read as follows:
Sec. 1045.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the duty-cycle emission standards in Sec. 1045.103
or Sec. 1045.105 if all emission-data engines representing that family
have test results showing official emission results and deteriorated
emission levels at or below these standards. This also applies for all
test points for emission-data engines within the family used to
establish deterioration factors. Note that your FELs are considered to
be the applicable
[[Page 23020]]
emission standards with which you must comply if you participate in the
ABT program in subpart H of this part. See paragraph (e) of this
section for provisions related to demonstrating compliance with NTE
standards.
(b) Your engine family is deemed not to comply with the duty-cycle
emission standards in Sec. 1045.103 or Sec. 1045.105 if any emission-
data engine representing that family has test results showing an
official emission result or a deteriorated emission level for any
pollutant that is above an applicable emission standard. Similarly,
your engine family is deemed not to comply if any emission-data engine
representing that family has test results showing any emission level
above the applicable not-to-exceed emission standard for any pollutant.
This also applies for all test points for emission-data engines within
the family used to establish deterioration factors.
* * * * *
(e) Use good engineering judgment to demonstrate compliance with
NTE standards throughout the useful life. You may, but are not required
to, apply the same deterioration factors used to show compliance with
the applicable duty-cycle standards.
Subpart E--[Amended]
0
220. Section 1045.405 is amended by revising paragraphs (c) and (e) to
read as follows:
Sec. 1045.405 How does this program work?
* * * * *
(c) Send us an in-use testing plan for engine families selected for
testing as described in this paragraph (c). Complete the testing within
36 months after we direct you to test a particular engine family. Send
us a complete in-use testing plan according to the following deadlines:
(1) Within six months after we direct you to test a particular
engine family.
(2) By February 28 of the following year if you select engine
families for testing under paragraph (b)(1) of this section.
(3) Within six months after we approve certification for engine
families subject to the requirements of paragraph (b)(2) of this
section.
(4) If we request additional information or require you to modify
your plan to meet the requirements of this subpart, you must provide
the information or the modified plan within 30 days of our request.
* * * * *
(e) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may allow more time
to complete testing or we may waive the in-use testing requirement for
an engine family. For example, if your test fleet is destroyed by
severe weather during service accumulation and we agree that completion
of testing is not possible, we would generally waive testing
requirements for that engine family.
Subpart F--[Amended]
0
221. Section 1045.515 is amended by revising paragraph (c)(5)
introductory text to read as follows:
Sec. 1045.515 What are the test procedures related to not-to-exceed
standards?
* * * * *
(c) * * *
(5) For two-stroke engines not equipped with a catalyst, the NTE
zone described in paragraph (c)(3) of this section is divided into
subzones for testing to determine compliance with the applicable NTE
standards. Measure emissions to get an NTE result by collecting
emissions at five points as described in this paragraph (c)(5).
Calculate a weighted test result for these emission measurements using
the weighting factors from Appendix II of this part for the
corresponding modal result (similar to discrete-mode testing for
certification). Test engines over the following modes corresponding to
the certification duty cycle:
* * * * *
Subpart H--[Amended]
0
222. Section 1045.701 is amended by revising paragraphs (d), (g),
(j)(4) and (j)(5) to read as follows:
Sec. 1045.701 General provisions.
* * * * *
(d) Sterndrive/inboard engines certified under Sec. 1045.660 for
jet boats may use HC+NOx and CO exhaust credits generated
from outboard and personal watercraft engines, as long as the credit-
using engine is the same model as an engine model from an outboard or
personal watercraft family. Such emission credits that you generate
under this part 1045 may be used for averaging, but not for banking or
trading. The FEL caps for such jet boat families are the
HC+NOx and CO standard for outboard and personal watercraft
engines. U.S.-directed sales from jet boat engines using the provisions
of this paragraph (d) may not be greater than the U.S.-directed sales
of the same engine model for outboard or personal watercraft engines.
* * * * *
(g) Emission credits may be used for averaging in the model year
they are generated or banked for averaging in future model years,
except that CO emission credits for outboard and personal watercraft
engines may not be banked or traded.
* * * * *
(j) * * *
(4) Engines or vessels not subject to the requirements of this
part, such as those excluded under Sec. 1045.5.
(5) Any other engines or vessels where we indicate elsewhere in
this part 1045 that they are not to be included in the calculations of
this subpart.
0
223. Section 1045.705 is amended by revising paragraph (a) to read as
follows:
Sec. 1045.705 How do I generate and calculate exhaust emission
credits?
* * * * *
(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 the sum of
emission credits to the nearest kilogram (kg) using consistent units
throughout the following equation:
Emission credits (kg) = (STD-FEL) x (Volume) x (Power) x (UL) x (LF) x
(10-3)
Where:
STD = the emission standard, in g/kW-hr.
FEL = the family emission limit for the family, in g/kW-hr.
Volume = the number of engines eligible to participate in the
averaging, banking, and trading program within the given family
during the model year, as described in Sec. 1045.701(j).
Power = maximum engine power for the family, in kilowatts (see Sec.
1045.140).
UL = The useful life for the given family.
LF = load factor. Use 0.207. 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.
* * * * *
Subpart I--[Amended]
0
224. Section 1045.801 is amended by revising the definition of ``Fuel
system'' and paragraphs (2) and (5)(iii) of the definition of ``Model
year'' to read as follows:
Sec. 1045.801 What definitions apply to this part?
* * * * *
[[Page 23021]]
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. In the case where the fuel tank cap or other
components (excluding fuel lines) are directly mounted on the fuel
tank, they are considered to be a part of the fuel tank.
* * * * *
Model year * * *
(2) For an engine that is converted to a propulsion marine engine
after being certified and placed into service as a motor vehicle
engine, a nonroad engine that is not a propulsion marine engine, or a
stationary engine, model year means the calendar year in which the
engine was originally produced. For an engine that is converted to a
propulsion marine engine after being placed into service as a motor
vehicle engine, a nonroad engine that is not a propulsion marine
engine, or a stationary engine without having been certified, model
year means the calendar year in which the engine becomes a new
propulsion marine engine. (See definition of ``new propulsion marine
engine,'' paragraph (2).)
* * * * *
(5) * * *
(iii) For imported engines described in paragraph (5)(iii) of the
definition of ``new propulsion marine nonroad engine,'' model year
means the calendar year in which the engine is first assembled in its
imported configuration, unless specified otherwise in this part or in
40 CFR part 1068.
* * * * *
PART 1048--CONTROL OF EMISSIONS FROM NEW, LARGE NONROAD SPARK-
IGNITION ENGINES
0
225. The authority citation for part 1048 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
226. Section 1048.15 is amended by revising paragraph (b) to read as
follows:
Sec. 1048.15 Do any other regulation parts apply to me?
* * * * *
(b) Part 1065 of this chapter describes procedures and equipment
specifications for testing engines to measure exhaust emissions.
Subpart F of this part 1048 describes how to apply the provisions of
part 1065 of this chapter to determine whether engines meet the exhaust
emission standards in this part.
* * * * *
0
227. A new Sec. 1048.30 is added to subpart A to read as follows:
Sec. 1048.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1048.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
(b) The regulations in Sec. 1048.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1048.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--[Amended]
0
228. Section 1048.120 is amended by revising paragraph (b) to read as
follows:
Sec. 1048.120 What emission-related warranty requirements apply to
me?
* * * * *
(b) Warranty period. Your emission-related warranty for evaporative
emission controls must be valid for at least two years. Your emission-
related warranty for exhaust emission controls must be valid for at
least 50 percent of the engine's useful life in hours of operation or
at least three years, whichever comes first. In the case of a high-cost
warranted part, the warranty must be valid for at least 70 percent of
the engine's useful life in hours of operation or at least five years,
whichever comes first. You may offer an emission-related warranty more
generous than we require. The emission-related warranty for the engine
may not be shorter than any published warranty you offer without charge
for the engine. Similarly, the emission-related warranty for any
component may not be shorter than any published warranty you offer
without charge for that component. If an engine has no hour meter, we
base the warranty periods in this paragraph (b) only on the engine's
age (in years). The warranty period begins when the engine is placed
into service.
* * * * *
0
229. Section 1048.125 is amended by adding paragraph (a)(4) and
revising paragraph (c) to read as follows:
Sec. 1048.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(4) You may ask us to approve a maintenance interval shorter than
that specified in paragraphs (a)(2) of this section. In your request
you must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other
available information to establish alternate specifications for
maintenance intervals, if appropriate.
* * * * *
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as substandard
fuel or atypical engine operation. For example, you may specify more
frequent cleaning of fuel system components for engines you have reason
to believe will be using fuel that causes substantially more engine
performance problems than commercial fuels of the same type that are
generally available across the United States. You must clearly state
that this additional maintenance is associated with the special
situation you are addressing. We may disapprove your maintenance
instructions if we determine that you have specified special
maintenance steps to address engine operation that is not atypical, or
that the maintenance is unlikely to occur in use. If we determine that
certain maintenance items do not qualify as special maintenance under
this paragraph (c), you may identify this as recommended additional
maintenance under paragraph (b) of this section.
* * * * *
[[Page 23022]]
Subpart C--[Amended]
0
230. Section 1048.201 is amended by adding paragraph (h) to read as
follows:
Sec. 1048.201 What are the general requirements for obtaining a
certificate of conformity?
* * * * *
(h) For engines that become new after being placed into service,
such as engines converted to nonroad use after being used in motor
vehicles, we may specify alternate certification provisions consistent
with the intent of this part. See the definition of ``new nonroad
engine'' in Sec. 1048.801.
0
231. Section 1048.220 is amended by revising paragraphs (a) and (c) to
read as follows:
Sec. 1048.220 How do I amend the maintenance instructions in my
application?
* * * * *
(a) If you are decreasing or eliminating 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. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
* * * * *
(c) You need not 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. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
0
232. Section 1048.230 is amended by revising paragraph (b)(6) to read
as follows:
Sec. 1048.230 How do I select engine families?
* * * * *
(b) * * *
(6) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
* * * * *
0
233. Section 1048.240 is amended by revising paragraphs (a) and (b) and
adding paragraph (e) to read as follows:
Sec. 1048.240 How do I demonstrate that my engine family complies
with exhaust emission standards?
(a) For purposes of certification, your engine family is considered
in compliance with the applicable numerical emission standards in Sec.
1048.101(a) and (b) if all emission-data engines representing that
family have test results showing official emission results and
deteriorated emission levels at or below these standards. This includes
all test points over the course of the durability demonstration. This
also applies for all test points for emission-data engines within the
family used to establish deterioration factors. See paragraph (e) of
this section for provisions related to demonstrating compliance with
field-testing standards.
(b) Your engine family is deemed not to comply if any emission-data
engine representing that family has test results showing an official
emission result or a deteriorated emission level for any pollutant that
is above an applicable emission standard from Sec. 1048.101(a) and
(b). Similarly, your engine family is deemed not to comply if any
emission-data engine representing that family has test results showing
any emission level above the applicable field-testing standard for any
pollutant. This also applies for all test points for emission-data
engines within the family used to establish deterioration factors.
* * * * *
(e) Use good engineering judgment to demonstrate compliance with
field-testing standards throughout the useful life. You may, but are
not required to, apply the same deterioration factors used to show
compliance with the applicable duty-cycle standards.
0
234. Section 1048.245 is amended by revising paragraph (e) to read as
follows:
Sec. 1048.245 How do I demonstrate that my engine family complies
with evaporative emission standards?
* * * * *
(e) You may demonstrate that your engine family complies with the
evaporative emission standards by demonstrating that you use the
following control technologies:
(1) For certification to the standards specified in Sec.
1048.105(c), with the following technologies:
(i) Use a tethered or self-closing gas cap on a fuel tank that
stays sealed up to a positive pressure of 24.5 kPa (3.5 psig); however,
they may contain air inlets that open when there is a vacuum pressure
inside the tank. Nonmetal fuel tanks must also use one of the
qualifying designs for controlling permeation emissions specified in 40
CFR 1060.240.
(ii) [Reserved]
(2) For certification to the standards specified in Sec.
1048.105(d), demonstrating that you use design features to prevent fuel
boiling under all normal operation. If you install engines in
equipment, you may do this using fuel temperature data measured during
normal operation. Otherwise, you may do this by including appropriate
information in your emission-related installation instructions.
(3) We may establish additional options for design-based
certification where we find that new test data demonstrate that a
technology will ensure compliance with the emission standards in this
section.
0
235. Section 1048.255 is amended by revising paragraph (b) to read as
follows:
Sec. 1048.255 What decisions may EPA make regarding my certificate of
conformity?
* * * * *
(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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *
Subpart E--[Amended]
0
236. Section 1048.405 is amended by revising paragraphs (b) and (d) to
read as follows:
Sec. 1048.405 How does this program work?
* * * * *
(b) Send us an in-use testing plan within six months after we
direct you to test a particular engine family. If we request additional
information or require you to modify your plan to meet the requirements
of this subpart, you must provide the information or the modified plan
within 30 days of our request. Complete the testing within 36 months
after we direct you to test a particular engine family.
* * * * *
(d) In appropriate extreme and unusual circumstances that are
clearly outside your control and could not have been avoided by the
exercise of prudence, diligence, and due care, we may allow more time
to complete testing or we may waive the in-use testing requirement for
an engine family. For example, if your test fleet is destroyed by
severe weather during service accumulation and we agree that completion
of testing is not possible, we would generally waive testing
requirements for that engine family.
Subpart F--[Amended]
0
237. Section 1048.505 is amended by revising the section heading and
paragraph (b)(5)(i) and Table 3 to read as follows:
[[Page 23023]]
Sec. 1048.505 How do I test engines using steady-state duty cycles,
including ramped-modal testing?
* * * * *
(b) * * *
(5) * * *
(i) The following duty cycle applies for discrete-mode testing:
Table 3 of Sec. 1048.505
----------------------------------------------------------------------------------------------------------------
Torque (percent) Minimum time in Weighting
Mode No. Engine speed \1\ mode (minutes) factors
----------------------------------------------------------------------------------------------------------------
1............................ Maximum test speed......... 100 3.0 0.50
2............................ Maximum test speed......... 75 3.0 0.50
----------------------------------------------------------------------------------------------------------------
\1\ The percent torque is relative to the maximum torque at maximum test speed.
* * * * *
0
238. Section 1048.510 is amended by adding paragraph (b) to read as
follows:
Sec. 1048.510 What transient duty cycles apply for laboratory
testing?
* * * * *
(b) Calculate cycle statistics and compare with the established
criteria as specified in 40 CFR 1065.514 to confirm that the test is
valid.
* * * * *
Subpart I--[Amended]
0
239. Section 1048.801 is amended by adding definitions for
``Carryover'' and ``Date of manufacture'' in alphabetical order to read
as follows:
Sec. 1048.801 What definitions apply to this part?
* * * * *
Carryover means relating to certification based on emission data
generated from an earlier model year as described in Sec. 1048.235(d).
* * * * *
Date of manufacture has the meaning given in 40 CFR 1068.30.
* * * * *
PART 1051--CONTROL OF EMISSIONS FROM RECREATIONAL ENGINES AND
VEHICLES
0
240. The authority citation for part 1051 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
241. Section 1051.15 is amended by revising paragraph (a) to read as
follows:
Sec. 1051.15 Do any other regulation parts apply to me?
(a) Parts 86 and 1065 of this chapter describe procedures and
equipment specifications for testing vehicles and engines to measure
exhaust emissions. Subpart F of this part 1051 describes how to apply
the provisions of parts 86 and 1065 of this chapter to determine
whether vehicles meet the exhaust emission standards in this part.
* * * * *
0
242. Section 1051.20 is amended by adding paragraph (g) to read as
follows:
Sec. 1051.20 May I certify a recreational engine instead of the
vehicle?
* * * * *
(g) Apply the provisions of 40 CFR part 1068 for engines certified
under this section as if they were subject to engine-based standards.
For example, you may rely on the provisions of 40 CFR 1068.261 to have
vehicle manufacturers install catalysts that you describe in your
application for certification.
0
243. A new Sec. 1051.30 is added to subpart A to read as follows:
Sec. 1051.30 Submission of information.
(a) This part includes various requirements to record data or other
information. Refer to Sec. 1051.825 and 40 CFR 1068.25 regarding
recordkeeping requirements. Unless we specify otherwise, store these
records in any format and on any media and keep them readily available
for one year after you send an associated application for
certification, or one year after you generate the data if they do not
support an application for certification. You must promptly send us
organized, written records in English if we ask for them. We may review
them at any time.
(b) The regulations in Sec. 1051.255 and 40 CFR 1068.101 describe
your obligation to report truthful and complete information and the
consequences of failing to meet this obligation. This includes
information not related to certification.
(c) Send all reports and requests for approval to the Designated
Compliance Officer (see Sec. 1051.801).
(d) Any written information we require you to send to or receive
from another company is deemed to be a required record under this
section. Such records are also deemed to be submissions to EPA. We may
require you to send us these records whether or not you are a
certificate holder.
Subpart B--[Amended]
0
244. Section 1051.125 is amended by adding paragraph (a)(3) and
revising paragraph (c) to read as follows:
Sec. 1051.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(3) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(2) of this section. In your request you
must describe the proposed maintenance step, recommend the maximum
feasible interval for this maintenance, include your rationale with
supporting evidence to support the need for the maintenance at the
recommended interval, and demonstrate that the maintenance will be done
at the recommended interval on in-use engines. In considering your
request, we will evaluate the information you provide and any other
available information to establish alternate specifications for
maintenance intervals, if appropriate.
* * * * *
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
engine operation that is not atypical, or that the maintenance is
unlikely to occur in use. If we determine that certain maintenance
items do not qualify as special maintenance under this paragraph (c),
you may identify this as recommended additional maintenance under
paragraph (b) of this section.
* * * * *
[[Page 23024]]
0
245. Section 1051.135 is amended by revising paragraph (c)(12) to read
as follows:
Sec. 1051.135 How must I label and identify the vehicles I produce?
* * * * *
(c) * * *
(12) State: ``THIS VEHICLE MEETS U.S. EPA REGULATIONS FOR [MODEL
YEAR] [SNOWMOBILES or OFF-ROAD MOTORCYCLES or ATVs or OFFROAD UTILITY
VEHICLES].''
* * * * *
Subpart C--[Amended]
0
246. Section 1051.201 is amended by adding paragraph (h) to read as
follows:
Sec. 1051.201 What are the general requirements for obtaining a
certificate of conformity?
* * * * *
(h) For vehicles that become new after being placed into service,
such as vehicles converted to run on a different fuel, we may specify
alternate certification provisions consistent with the intent of this
part. See Sec. 1051.650 and the definition of ``new'' in Sec.
1051.801.
0
247. Section 1051.220 is amended by revising paragraphs (a) and (c) to
read as follows:
Sec. 1051.220 How do I amend the maintenance instructions in my
application?
* * * * *
(a) If you are decreasing or eliminating 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. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
* * * * *
(c) You need not 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. We may ask you to send us copies of
maintenance instructions revised under this paragraph (c).
0
248. Section 1051.230 is amended by revising paragraph (b)(7) to read
as follows:
Sec. 1051.230 How do I select engine families?
* * * * *
(b) * * *
(7) The number, arrangement (such as in-line or vee configuration),
and approximate bore diameter of cylinders.
* * * * *
0
249. Section 1051.255 is amended by revising paragraph (b) to read as
follows:
Sec. 1051.255 What decisions may EPA make regarding my certificate of
conformity?
* * * * *
(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. We will base our
decision on all available information. If we deny your application, we
will explain why in writing.
* * * * *
Subpart I--[Amended]
0
250. Section 1051.801 is amended by revising paragraph (2) of the
definition for ``All-terrain vehicle'' and the definition for ``Offroad
utility vehicle'' to read as follows:
Sec. 1051.801 What definitions apply to this part?
* * * * *
All-terrain vehicle means * * *
(2) Other all-terrain vehicles have three or more wheels and one or
more seats, are designed for operation over rough terrain, are intended
primarily for transportation, and have a maximum vehicle speed higher
than 25 miles per hour. Golf carts generally do not meet these criteria
since they are generally not designed for operation over rough terrain.
* * * * *
Offroad utility vehicle means a nonroad vehicle that has four or
more wheels, seating for two or more persons, is designed for operation
over rough terrain, and has either a rear payload capacity of 350
pounds or more or seating for six or more passengers. Vehicles intended
primarily for recreational purposes that are not capable of
transporting six passengers (such as dune buggies) are not offroad
utility vehicles. (Note: Sec. 1051.1(a) specifies that some offroad
utility vehicles are required to meet the requirements that apply for
all-terrain vehicles.) Unless there is significant information to the
contrary, we consider vehicles to be intended primarily for
recreational purposes if they are marketed for recreational use, have a
rear payload capacity no greater than 1,000 pounds, and meet at least
five of the following criteria:
(1) Front and rear suspension travel is greater than 18 cm.
(2) The vehicle has no tilt bed.
(3) The vehicle has no mechanical power take-off (PTO) and no
permanently installed hydraulic system for operating utility-oriented
accessory devices.
(4) The engine has in-use operating speeds at or above 4,000 rpm.
(5) Maximum vehicle speed is greater than 35 miles per hour.
(6) The speed at which the engine produces peak power is above
4,500 rpm and the engine is equivalent to engines in ATVs certified by
the same manufacturer. For the purpose of this paragraph (6), the
engine is considered equivalent if it could be included in the same
emission family based on the characteristics specified in Sec.
1051.230(b).
(7) Gross Vehicle Weight Rating is no greater than 3,750 pounds.
This is the maximum design loaded weight of the vehicle as defined in
40 CFR 86.1803-01, including passengers and cargo.
* * * * *
PART 1054--CONTROL OF EMISSIONS FROM NEW, SMALL NONROAD SPARK-
IGNITION ENGINES AND EQUIPMENT
0
251. The authority citation for part 1054 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
252. Section 1054.1 is amended by revising paragraph (a)(4) to read as
follows:
Sec. 1054.1 Does this part apply for my engines and equipment?
(a) * * *
(4) This part 1054 applies for other spark-ignition engines as
follows:
(i) The provisions of Sec. Sec. 1054.620 and 1054.801 apply for
new engines used solely for competition beginning January 1, 2010.
(ii) The provisions of Sec. Sec. 1054.660 and 1054.801 apply for
new engines used in emergency rescue equipment beginning January 1,
2010.
* * * * *
Subpart B--[Amended]
0
253. Section 1054.125 is amended by adding paragraph (a)(4) and
revising paragraph (c) to read as follows:
Sec. 1054.125 What maintenance instructions must I give to buyers?
* * * * *
(a) * * *
(4) You may ask us to approve a maintenance interval shorter than
that specified in paragraph (a)(3) of this
[[Page 23025]]
section. In your request you must describe the proposed maintenance
step, recommend the maximum feasible interval for this maintenance,
include your rationale with supporting evidence to support the need for
the maintenance at the recommended interval, and demonstrate that the
maintenance will be done at the recommended interval on in-use engines.
In considering your request, we will evaluate the information you
provide and any other available information to establish alternate
specifications for maintenance intervals, if appropriate.
* * * * *
(c) Special maintenance. You may specify more frequent maintenance
to address problems related to special situations, such as atypical
engine operation. You must clearly state that this additional
maintenance is associated with the special situation you are
addressing. We may disapprove your maintenance instructions if we
determine that you have specified special maintenance steps to address
engine operation that is not atypical, or that the maintenance is
unlikely to occur in use. If we determine that certain maintenance
items do not qualify as special maintenance under this paragraph (c),
you may identify this as recommended additional maintenance under
paragraph (b) of this section.
* * * * *
0
254. Section 1054.145 is amended by adding paragraph (o) to read as
follows:
Sec. 1054.145 Are there interim provisions that apply only for a
limited time?
* * * * *
(o) Interim bonding provisions. Through 2012, the maximum value of
the bond under Sec. 1054.690 is $10 million. This maximum value
applies without adjustment for inflation.
Subpart C--[Amended]
0
255. Section 1054.201 is amended by adding paragraph (h) to read as
follows:
Sec. 1054.201 What are the general requirements for obtaining a
certificate of conformity?
* * * * *
(h) For engines that become new after being placed into service,
such as engines converted to run on a different fuel, we may specify
alternate certification provisions consistent with the intent of this
part. See Sec. 1054.645 and the definition of ``new nonroad engine''
in Sec. 1054.801.
0
256. Section 1054.205 is amended by revising paragraph (b) to read as
follows:
Sec. 1054.205 What must I include in my application?
* * * * *
(b) Explain how the emission control systems operate. Describe the
evaporative emission controls and show how your design will prevent
running loss emissions, if applicable. Also describe in detail all
system components for controlling exhaust emissions, including all
auxiliary emission control devices (AECDs) and all fuel-system
components you will install on any production or test engine. Identify
the part number of each component you describe. For this paragraph (b),
treat as separate AECDs any devices that modulate or activate
differently from each other. Include sufficient detail to allow us to
evaluate whether the AECDs are consistent with the defeat device
prohibition of Sec. 1054.115. For example, if your engines will
routinely experience in-use operation that differs from the specified
duty cycle for certification, describe how the fuel-metering system
responds to varying speeds and loads not represented by the duty cycle.
If you test an emission-data engine by disabling the governor for full-
load operation such that the engine operates at an air-fuel ratio
significantly different than under full-load operation with an
installed governor, explain why these differences are necessary or
appropriate. For conventional carbureted engines without electronic
fuel controls, it is sufficient to state that there is no significant
difference in air-fuel ratios.
* * * * *
0
257. Section 1054.220 is amended by revising paragraph (a) to read as
follows:
Sec. 1054.220 How do I amend the maintenance instructions in my
application?
* * * * *
(a) If you are decreasing or eliminating 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. This would generally include replacing one maintenance step
with another. We may approve a shorter time or waive this requirement.
* * * * *
0
258. Section 1054.230 is amended by revising paragraph (b)(6) to read
as follows:
Sec. 1054.230 How do I select emission families?
* * * * *
(b) * * *
(6) The number and arrangement of cylinders (such as in-line or vee
configuration) and approximate total displacement.
* * * * *
Subpart G--[Amended]
0
259. Section 1054.601 is amended by revising the section heading and
adding paragraph (c) to read as follows:
Sec. 1054.601 What compliance provisions apply?
* * * * *
(c) The provisions of 40 CFR 1068.215 apply for cases in which the
manufacturer takes possession of engines for purposes of recovering
components as described in this paragraph (c). Note that this paragraph
(c) does not apply for certified engines that still have the emission
control information label since such engines do not need an exemption.
(1) You must label the engine as specified in 40 CFR
1068.215(c)(3), except that the label may be removable as specified in
40 CFR 1068.45(b).
(2) You may not resell the engine. For components other than the
engine block, you may generate revenue from the sale of the components
that you recover, or from the sale of new engines containing these
components. You may also use components other than the engine block for
engine rebuilds as otherwise allowed under the regulations. You may use
the engine block from an engine that is exempted under this paragraph
(c) only to make a new engine, and then only where such an engine has a
separate identity from the original engine.
(3) Once the engine has reached its final destination, you may stop
collecting records describing the engine's final disposition and how
you use the engine. This does not affect the requirement to maintain
the records you have already collected under 40 CFR 1068.215. This also
does not affect the requirement to maintain records for new engines.
0
260. Section 1054.690 is amended by revising paragraphs (d), (f), and
(j) to read as follows:
Sec. 1054.690 What bond requirements apply for certified engines?
* * * * *
(d) The minimum value of the bond is $500,000. A higher bond value
may apply based on the per-engine bond values shown in Table 1 to this
section and on the U.S.-directed production volume from each
displacement grouping for the calendar model year. For example, if you
have projected U.S.-directed production volumes of 10,000 engines with
180 cc displacement and
[[Page 23026]]
10,000 engines with 400 cc displacement in 2013, the appropriate bond
amount is $750,000. Adjust the value of the bond as follows:
(1) If your estimated or actual U.S.-directed production volume in
any later year increases beyond the level appropriate for your current
bond payment, you must post additional bond to reflect the increased
volume within 90 days after you change your estimate or determine the
actual production volume. You may not decrease your bond.
(2) If you sell engines without aftertreatment components under the
provisions of Sec. 1054.610, you must increase the per-engine bond
values for the current year by 20 percent.
Table 1 to Sec. 1054.690--Per-engine bond values
------------------------------------------------------------------------
The per-engine
For engines with displacement falling in the following bond value is .
ranges . . . . .
------------------------------------------------------------------------
Disp. < 225 cc......................................... $25
225 <= Disp. < 740 cc.................................. 50
740 <= Disp. <= 1,000 cc............................... 100
Disp. > 1,000 cc....................................... 200
------------------------------------------------------------------------
* * * * *
(f) You may meet the bond requirements of this section by obtaining
a bond from a third-party surety that is cited in the U.S. Department
of Treasury Circular 570, ``Companies Holding Certificates of Authority
as Acceptable Sureties on Federal Bonds and as Acceptable Reinsuring
Companies'' (http://www.fms.treas.gov/c570/c570.html#certified). You
must maintain this bond for every year in which you sell certified
engines. The surety agent remains responsible for obligations under the
bond for two years after the bond is cancelled or expires without being
replaced.
* * * * *
(j) The following provisions apply if you import engines for resale
when those engines have been certified by someone else (or equipment
containing such engines):
(1) You and the certificate holder are each responsible for
compliance with the requirements of this part and the Clean Air Act.
For example, we may require you to comply with the warranty
requirements in Sec. 1054.120.
(2) You do not need to post bond if you or the certificate holder
complies with the bond requirements of this section. You also do not
need to post bond if the certificate holder complies with the asset
requirements of this section and the repair-network provisions of Sec.
1054.120(f)(4).
Subpart H--[Amended]
0
261. Section 1054.730 is amended by revising paragraph (b)(4) to read
as follows:
Sec. 1054.730 What ABT reports must I send to EPA?
* * * * *
(b) * * *
(4) The projected and actual U.S.-directed production volumes for
the model year, as described in Sec. 1054.701(i). For fuel tanks,
state the production volume in terms of surface area and production
volume for each fuel tank configuration and state the total surface
area for the emission family. If you changed an FEL during the model
year, identify the actual production volume associated with each FEL.
* * * * *
Subpart I--[Amended]
0
262. Section 1054.801 is amended by revising the definitions for
``Oxides of nitrogen'', ``Total hydrocarbon'', and ``Total hydrocarbon
equivalent'' to read as follows:
Sec. 1054.801 What definitions apply to this part?
* * * * *
Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
* * * * *
* * * * *
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 an
atomic hydrocarbon with a hydrogen-to-carbon 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
engines. The atomic hydrogen-to-carbon ratio of the equivalent
hydrocarbon is 1.85:1.
* * * * *
PART 1060--CONTROL OF EVAPORATIVE EMISSIONS FROM NEW AND IN-USE
NONROAD AND STATIONARY EQUIPMENT
0
263. The authority citation for part 1060 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart B--[Amended]
0
264. Section 1060.103 is amended by revising paragraph (e) to read as
follows:
Sec. 1060.103 What permeation emission control requirements apply for
fuel tanks?
* * * * *
(e) Fuel caps may be certified separately relative to the
permeation emission standard in paragraph (b) of this section using the
test procedures specified in Sec. 1060.521. Fuel caps certified alone
do not need to meet the emission standard. Rather, fuel caps would be
certified with a Family Emission Limit, which is used for demonstrating
that fuel tanks meet the emission standard as described in Sec.
1060.520(b)(5). For the purposes of this paragraph (e), gaskets or O-
rings that are produced as part of an assembly with the fuel cap are
considered part of the fuel cap.
* * * * *
0
265. Section 1060.135 is amended by revising paragraph (a)(5) to read
as follows:
Sec. 1060.135 How must I label and identify the engines and equipment
I produce?
* * * * *
(a) * * *
(5) Readily visible in the final installation. It may be under a
hinged door or other readily opened cover. It may not be hidden by any
cover attached with screws or any similar designs. Labels on marine
vessels (except personal watercraft) must be visible from the helm.
* * * * *
0
266. Section 1060.137 is amended by revising paragraphs (a)
introductory text and (a)(4) to read as follows:
Sec. 1060.137 How must I label and identify the fuel-system
components I produce?
* * * * *
(a) Label the components identified in this paragraph (a), unless
the components are too small to be properly labeled. Unless we approve
otherwise, we consider parts large enough to be properly labeled if
they have space for 12 characters in six-point font (approximately 2 mm
x 12 mm). For these small parts, you may omit the label as long as you
identify those part numbers in your maintenance and installation
instructions.
* * * * *
(4) Fuel caps, as described in this paragraph (a)(4). Fuel caps
must be labeled if they are separately certified under Sec. 1060.103
or if the diurnal control system requires that the fuel tank hold
pressure. Fuel caps must also be labeled if they are mounted directly
[[Page 23027]]
on the fuel tank, unless the fuel tank is certified based on a worst-
case fuel cap.
* * * * *
Subpart F--[Amended]
0
267. Section 1060.515 is amended by revising paragraph (c) to read as
follows:
Sec. 1060.515 How do I test EPA Nonroad Fuel Lines and EPA Cold-
Weather Fuel Lines for permeation emissions?
* * * * *
(c) Measure fuel line permeation emissions using the equipment and
procedures for weight-loss testing specified in SAE J30 or SAE J1527
(incorporated by reference in Sec. 1060.810). Start the measurement
procedure within 8 hours after draining and refilling the fuel line.
Perform the emission test over a sampling period of 14 days. Determine
your final emission result based on the highest measured valued over
the 14-day period.
* * * * *
0
268. Section 1060.520 is amended as follows:
0
a. By adding paragraph (a)(4).
0
b. By removing and reserving paragraph (b)(3).
0
c. By revising paragraphs (b)(5)(ii)(B), (d)(8), (d)(9), and (d)(10).
Sec. 1060.520 How do I test fuel tanks for permeation emissions?
* * * * *
(a) * * *
(4) Cap testing. Perform durability cycles on fuel caps intended
for use with handheld equipment by putting the fuel cap on and taking
it off 300 times. Tighten the fuel cap each time in a way that
represents the typical in-use experience.
(b) * * *
(5) * * *
(ii) * * *
(B) You may seal the fuel inlet with a nonpermeable covering if you
separately account for permeation emissions from the fuel cap. This may
involve a separate measurement of permeation emissions from a worst-
case fuel cap as described in Sec. 1060.521. This may also involve
specifying a worst-case Family Emission Limit based on separately
certified fuel caps as described in Sec. 1060.103(e).
* * * * *
(d) * * *
(8) Measure weight loss daily by retaring the balance using the
reference tank and weighing the sealed test tank. Calculate the
cumulative weight loss in grams for each measurement. Calculate the
coefficient of determination, r\2\, based on a linear plot of
cumulative weight loss vs. test days. Use the equation in 40 CFR
1065.602(k), with cumulative weight loss represented by yi
and cumulative time represented by yref. The daily
measurements must be at approximately the same time each day. You may
omit up to two daily measurements in any seven-day period. Test for ten
full days, then determine when to stop testing as follows:
(i) You may stop testing after the measurement on the tenth day if
r\2\ is at or above 0.95 or if the measured value is less than 50
percent of the applicable standard. (Note that if a Family Emission
Limit applies for the family, it is considered to be the applicable
standard for that family.) This means that if you stop testing with an
r\2\ below 0.95, you may not use the data to show compliance with a
Family Emission Limit less than twice the measured value.
(ii) If after ten days of testing your r\2\ value is below 0.95 and
your measured value is more than 50 percent of the applicable standard,
continue testing for a total of 20 days or until r\2\ is at or above
0.95. If r\2\ is not at or above 0.95 within 20 days of testing,
discontinue the test and precondition the fuel tank further until it
has stabilized emission levels, then repeat the testing.
(9) Record the difference in mass between the reference tank and
the test tank for each measurement. This value is Mi, where
i is a counter representing the number of days elapsed. Subtract
Mi from Mo and divide the difference by the
internal surface area of the fuel tank. Divide this g/m\2\ value by the
number of test days (using at least two decimal places) to calculate
the emission rate in g/m\2\/day. Example: If a tank with an internal
surface area of 0.720 m\2\ weighed 1.31 grams less than the reference
tank at the beginning of the test and weighed 9.86 grams less than the
reference tank after soaking for 10.03 days, the emission rate would
be--
((-1.31 g) - (-9.82 g))/0.720 m\2\/10.03 days = 1.1784 g/m\2\/day
(10) Determine your final emission result based on the cumulative
weight loss measured on the final day of testing. Round this result to
the same number of decimal places as the emission standard.
* * * * *
Subpart G--[Amended]
0
269. Section 1060.601 is amended by adding paragraph (h) to read as
follows:
Sec. 1060.601 How do the prohibitions of 40 CFR 1068.101 apply with
respect to the requirements of this part?
* * * * *
(h) If equipment manufacturers hold certificates of conformity for
their equipment but they use only fuel-system components that have been
certified by other companies, they may satisfy their defect-reporting
obligations by tracking the information described in 40 CFR
1068.501(b)(1) related to possible defects, reporting this information
to the appropriate component manufacturers, and keeping these records
for eight years. Such equipment manufacturers will not be considered in
violation of 40 CFR 1068.101(b)(6) for failing to perform
investigations, make calculations, or submit reports to EPA as
specified in 40 CFR 1068.501. See Sec. 1060.5(a).
Subpart I--[Amended]
0
270. Section 1060.801 is amended by revising the definitions for
``Detachable fuel line'', ``Installed marine fuel tank'', and
``Sealed'' and adding definitions for ``Installed marine fuel line''
and ``Portable marine fuel line'' to read as follows:
Sec. 1060.801 What definitions apply to this part?
* * * * *
Detachable fuel line means a fuel line or fuel line assembly
intended to be used with a portable nonroad fuel tank and which is
connected by special fittings to the fuel tank and/or engine for easy
disassembly. Fuel lines that require a wrench or other tools to
disconnect are not considered detachable fuel lines. Fuel lines that
are labeled or marketed as USCG Type B1 fuel line as specified in 33
CFR 183.540 are not considered detachable fuel lines if they are sold
to the ultimate purchaser without quick-connect fittings or similar
hardware.
* * * * *
Installed marine fuel line means a fuel line designed for
delivering fuel to a Marine SI engine that does not meet the definition
of portable marine fuel line.
Installed marine fuel tank means a fuel tank designed for
delivering fuel to a Marine SI engine that does not meet the definition
of portable marine fuel tanks.
* * * * *
Portable marine fuel line means a detachable fuel line that is used
or intended to be used to supply fuel to a marine engine during
operation. This also includes any fuel line labeled or marketed at USCG
Type B1 fuel line as specified in 33 CFR 183.540, whether or not it
includes detachable connecting hardware; this is often called universal
fuel line.
* * * * *
[[Page 23028]]
Sealed means lacking openings to the atmosphere that would allow a
measurable amount of liquid or vapor to leak out under normal operating
pressures or other pressures specified in this part. For example, you
may generally establish a maximum value for operating pressures based
on the highest pressure you would observe from an installed fuel tank
during continuous equipment operation on a sunny day with ambient
temperatures of 35 [deg]C. A fuel system may be considered to have no
measurable leak if it does not release bubbles when held underwater at
the identified tank pressure for 60 seconds. This determination
presumes the use of good engineering judgment; for example, it would
not be appropriate to test the fuel tank such that small leaks would
avoid detection by collecting in a cavity created by holding the tank
with a certain orientation. Sealed fuel systems may have openings for
emission controls or for fuel lines needed to route fuel to the engine.
* * * * *
PART 1065--ENGINE-TESTING PROCEDURES
0
271. The authority citation for part 1065 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
Subpart A--[Amended]
0
272. Section 1065.1 is amended by revising paragraphs (d) and (g) to
read as follows:
Sec. 1065.1 Applicability.
* * * * *
(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. Note that
while 40 CFR part 86 is the standard-setting part for heavy-duty
highway engines, this refers specifically to 40 CFR part 86, subpart A,
and to certain portions of 40 CFR part 86, subpart N, as described in
40 CFR 86.1301.
* * * * *
(g) For additional information regarding these test procedures,
visit our Web site at http://www.epa.gov, and in particular http://www.epa.gov/nvfel/testing/regulations.htm.
0
273. Section 1065.2 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 1065.2 Submitting information to EPA under this part.
(a) You are responsible for statements and information in your
applications for certification, requests for approved procedures,
selective enforcement audits, laboratory audits, production-line test
reports, field test reports, or any other statements you make to us
related to this part 1065. If you provide statements or information to
someone for submission to EPA, you are responsible for these statements
and information as if you had submitted them to EPA yourself.
(b) In the standard-setting part and in 40 CFR 1068.101, we
describe your obligation to report truthful and complete information
and the consequences of failing to meet this obligation. See also 18
U.S.C. 1001 and 42 U.S.C. 7413(c)(2). This obligation applies whether
you submit this information directly to EPA or through someone else.
* * * * *
0
274. Section 1065.10 is amended by revising paragraphs (c)(2) and
(c)(7) introductory text to read as follows:
Sec. 1065.10 Other procedures.
* * * * *
(c) * * *
(2) You may request to use special procedures if your engine cannot
be tested using the specified procedures. For example, this may apply
if your engine cannot operate on the specified duty cycle. In this
case, tell us in writing why you cannot satisfactorily test your engine
using this part's procedures and ask to use a different approach. We
will approve your request if we determine that it would produce
emission measurements that represent in-use operation and we determine
that it can be used to show compliance with the requirements of the
standard-setting part. Where we approve special procedures that differ
substantially from the specified procedures, we may preclude you from
participating in averaging, banking, and trading with the affected
engine families.
* * * * *
(7) You may request to use alternate procedures that are equivalent
to the allowed procedures, or procedures that are more accurate or more
precise than the allowed procedures. The following provisions apply to
requests for alternate procedures:
* * * * *
0
275. Section 1065.15 is amended by revising paragraph (c) to read as
follows:
Sec. 1065.15 Overview of procedures for laboratory and field testing.
* * * * *
(c) We generally set brake-specific emission standards over test
intervals and/or duty cycles, as follows:
(1) Engine operation. Testing may involve measuring emissions and
work in a laboratory-type environment or in the field, as described in
paragraph (f) of this section. For most laboratory testing, the engine
is operated over one or more duty cycles specified in the standard-
setting part. However, laboratory testing may also include non-duty
cycle testing (such as simulation of field testing in a laboratory).
For field testing, the engine is operated under normal in-use
operation. The standard-setting part specifies how test intervals are
defined for field testing. Refer to the definitions of ``duty cycle''
and ``test interval'' in Sec. 1065.1001. Note that a single duty cycle
may have multiple test intervals and require weighting of results from
multiple test intervals to calculate a composite brake-specific
emissions value to compare to the standard.
(2) Constituent determination. Determine the total mass of each
constituent over a test interval by selecting from the following
methods:
(i) Continuous sampling. In continuous sampling, measure the
constituent's concentration continuously from raw or dilute exhaust.
Multiply this concentration by the continuous (raw or dilute) flow rate
at the emission sampling location to determine the constituent's flow
rate. Sum the constituent's flow rate continuously over the test
interval. This sum is the total mass of the emitted constituent.
(ii) Batch sampling. In batch sampling, continuously extract and
store a sample of raw or dilute exhaust for later measurement. Extract
a sample proportional to the raw or dilute exhaust flow rate. You may
extract and store a proportional sample of exhaust in an appropriate
container, such as a bag, and then measure HC, CO, and NOX
concentrations in the container after the test interval. You may
deposit PM from proportionally extracted exhaust onto an appropriate
substrate, such as a filter. In this case, divide the PM by the amount
of filtered exhaust to calculate the PM concentration. Multiply batch
sampled concentrations by the total (raw or dilute) flow from which it
was extracted during the test interval. This product is the total mass
of the emitted constituent.
(iii) Combined sampling. You may use continuous and batch sampling
[[Page 23029]]
simultaneously during a test interval, as follows:
(A) You may use continuous sampling for some constituents and batch
sampling for others.
(B) You may use continuous and batch sampling for a single
constituent, with one being a redundant measurement. See Sec. 1065.201
for more information on redundant measurements.
(3) Work determination. Determine work over a test interval by one
of the following methods:
(i) Speed and torque. Synchronously multiply speed and brake torque
to calculate instantaneous values for engine brake power. Sum engine
brake power over a test interval to determine total work.
(ii) Fuel consumed and brake-specific fuel consumption. Directly
measure fuel consumed or calculate it with chemical balances of the
fuel, intake air, and exhaust. To calculate fuel consumed by a chemical
balance, you must also measure either intake-air flow rate or exhaust
flow rate. Divide the fuel consumed during a test interval by the
brake-specific fuel consumption to determine work over the test
interval. For laboratory testing, calculate the brake-specific fuel
consumption using fuel consumed and speed and torque over a test
interval. For field testing, refer to the standard-setting part and
Sec. 1065.915 for selecting an appropriate value for brake-specific
fuel consumption.
* * * * *
Subpart B--[Amended]
0
276. Section 1065.125 is amended by revising paragraphs (c) and (e) to
read as follows:
Sec. 1065.125 Engine intake air.
* * * * *
(c) Maintain the temperature of intake air to (25 5)
[deg]C, except as follows:
(1) Follow the standard-setting part if it specifies different
temperatures.
(2) For engines above 560 kW, you may use 35 [deg]C as the upper
bound of the tolerance. However, your system must be capable of
controlling the temperature to the 25 [deg]C setpoint for any steady-
state operation at > 30% of maximum engine power.
(3) You may ask us to allow you to apply a different setpoint for
intake air temperature if it is necessary to remain consistent with the
provisions of Sec. 1065.10(c)(1) for testing during which ambient
temperature will be outside this range.
* * * * *
(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 and
completely close all drains before starting a duty cycle. Keep the
drains closed during the emission test. 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. We recommend
maintaining a coolant temperature of 25 5 [deg]C at the
inlet of the charge-air cooler.
(ii) At the engine conditions specified by the manufacturer, set
the coolant flow rate to achieve an air temperature within 5 [deg]C of the value specified by the manufacturer after 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) Using a constant flow rate as described in paragraph (e)(1) of
this section may result in unrepresentative overcooling of the intake
air. The provisions of this paragraph (e)(2) apply instead of the
provisions of Sec. 1065.10(c)(1) for this simulation. Our allowance to
cool intake air as specified in this paragraph (e) does not affect your
liability for field testing or for laboratory testing that is done in a
way that better represents in-use operation. Where we determine that
this allowance adversely affects your ability to demonstrate that your
engines would comply with emission standards under in-use conditions,
we may require you to use more sophisticated setpoints and controls of
charge-air pressure drop, coolant temperature, and flow rate 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.
0
277. Section 1065.140 is revised amended by revising paragraphs (c)(6),
(e) introductory text, and (e)(4) to read as follows:
Sec. 1065.140 Dilution for gaseous and PM constituents.
* * * * *
(c) * * *
(6) Aqueous condensation. This paragraph (c)(6) describes how you
must address aqueous condensation in the CVS. As described below, you
may meet these requirements by preventing or limiting aqueous
condensation in the CVS from the exhaust inlet to the last emission
sample probe. See that paragraph for provisions related to the CVS
between the last emission sample probe and the CVS flow meter. You may
heat and/or insulate the dilution tunnel walls, as well as the bulk
stream tubing downstream of the tunnel to prevent or limit aqueous
condensation. Where we allow aqueous condensation to occur, use good
engineering judgment to ensure that the condensation does not affect
your ability to demonstrate that your engines comply with the
applicable standards (see Sec. 1065.10(a)).
(i) Preventing aqueous condensation. To prevent condensation, you
must keep the temperature of internal surfaces, excluding any sample
probes, above the dew point of the dilute exhaust passing through the
CVS tunnel. Use good engineering judgment to monitor temperatures in
the CVS. For the purposes of this paragraph (c)(6), assume that aqueous
condensation is pure water condensate only, even though the definition
of ``aqueous condensation'' in Sec. 1065.1001 includes condensation of
any constituents that contain water. No specific verification check is
required under this paragraph (c)(6)(i), but we may ask you to show how
you comply with this requirement. You may use engineering analysis, CVS
tunnel design, alarm systems, measurements of wall temperatures, and
calculation of water dew point to demonstrate compliance with this
requirement. For optional CVS heat exchangers, you may use the lowest
water temperature at the inlet(s) and outlet(s) to determine the
minimum internal surface temperature.
(ii) Limiting aqueous condensation. This paragraph (c)(6)(ii)
specifies limits of allowable condensation and requires
[[Page 23030]]
you to verify that the amount of condensation that occurs during each
test interval does not exceed the specified limits.
(A) Use chemical balance equations in Sec. 1065.655 to calculate
the mole fraction of water in the dilute exhaust continuously during
testing. Alternatively, you may continuously measure the mole fraction
of water in the dilute exhaust prior to any condensation during
testing. Use good engineering judgment to select, calibrate and verify
water analyzers/detectors. The linearity verification requirements of
Sec. 1065.307 do not apply to water analyzers/detectors used to
correct for the water content in exhaust samples.
(B) Use good engineering judgment to select and monitor locations
on the CVS tunnel walls prior to the last emission sample probe. If you
are also verifying limited condensation from the last emission sample
probe to the CVS flow meter, use good engineering judgment to select
and monitor locations on the CVS tunnel walls, optional CVS heat
exchanger, and CVS flow meter. For optional CVS heat exchangers, you
may use the lowest water temperature at the inlet(s) and outlet(s) to
determine the minimum internal surface temperature. Identify the
minimum surface temperature on a continuous basis.
(C) Identify the maximum potential mole fraction of dilute exhaust
lost on a continuous basis during the entire test interval. This value
must be less than or equal to 0.02 (i.e. 2%). Calculate on a continuous
basis the mole fraction of water that would be in equilibrium with
liquid water at the measured minimum surface temperature. Subtract this
mole fraction from the mole fraction of water that would be in the
exhaust without condensation (either measured or from the chemical
balance), and set any negative values to zero. This difference is the
potential mole fraction of the dilute exhaust that would be lost due to
water condensation on a continuous basis.
(D) Integrate the product of the molar flow rate of the dilute
exhaust and the potential mole fraction of dilute exhaust lost, and
divide by the totalized dilute exhaust molar flow over the test
interval. This is the potential mole fraction of the dilute exhaust
that would be lost due to water condensation over the entire test
interval. Note that this assumes no re-evaporation. This value must be
less than or equal to 0.005 (i.e. 0.5%).
* * * * *
(e) Dilution air temperature, dilution ratio, residence time, and
temperature control of PM samples. 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. In the case of partial-flow
dilution, you may have up to 26 cm of insulated length between the end
of the probe and the dilution stage, but we recommend that the length
be as short as practical. The intent of these specifications is to
minimize heat transfer to or from the emission sample before the final
stage of dilution, other than the heat you may need to add to prevent
aqueous condensation. This is accomplished by initially cooling the
sample through dilution. Configure dilution systems as follows:
* * * * *
(4) Control sample temperature to a (47 5) [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 0.025) mm diameter, or with another suitable instrument that has
equivalent performance.
0
278. 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) Options for engines with multiple exhaust stacks. Measure
emissions from a test engine as described in this paragraph (b) if it
has multiple exhaust stacks. You may choose to use different
measurement procedures for different pollutants under this paragraph
(b) for a given test. For purposes of this part 1065, the test engine
includes all the devices related to converting the chemical energy in
the fuel to the engine's mechanical output energy. This may or may not
involve vehicle- or equipment-based devices. For example, all of an
engine's cylinders are considered to be part of the test engine even if
the exhaust is divided into separate exhaust stacks. As another
example, all the cylinders of a diesel-electric locomotive are
considered to be part of the test engine even if they transmit power
through separate output shafts, such as might occur with multiple
engine-generator sets working in tandem. Use one of the following
procedures to measure emissions with multiple exhaust stacks:
(1) Route the exhaust flow from the multiple stacks into a single
flow as described in Sec. 1065.130(c)(6). Sample and measure emissions
after the exhaust streams are mixed. Calculate the emissions as a
single sample from the entire engine. We recommend this as the
preferred option, since it requires only a single measurement and
calculation of the exhaust molar flow for the entire engine.
(2) Sample and measure emissions from each stack and calculate
emissions separately for each stack. Add the mass (or mass rate)
emissions from each stack to calculate the emissions from the entire
engine. Testing under this paragraph (b)(2) requires measuring or
calculating the exhaust molar flow for each stack separately. If the
exhaust molar flow in each stack cannot be calculated from combustion
air flow(s), fuel flow(s), and measured gaseous emissions, and it is
impractical to measure the exhaust molar flows directly, you may
alternatively proportion the engine's calculated total exhaust molar
flow rate (where the flow is calculated using combustion air mass
flow(s), fuel mass flow(s), and emissions concentrations) based on
exhaust molar flow measurements in each stack using a less accurate,
non-traceable method. For example, you may use a total pressure probe
and static pressure measurement in each stack.
(3) Sample and measure emissions from one stack and repeat the duty
cycle as needed to collect emissions from each stack separately.
Calculate the emissions from each stack and add the separate
measurements to calculate the mass (or mass rate) emissions from the
entire engine. Testing under this paragraph (b)(3) requires measuring
or calculating the exhaust molar flow for each stack separately. You
may alternatively proportion the engine's calculated total exhaust
molar flow rate based on calculation and measurement limitations as
described in paragraph (b)(2) of this section. Use the average of the
engine's total power or work values from the multiple test runs to
calculate brake-specific emissions. Divide the total mass (or mass
rate) of each emission by the average power (or work). You may
alternatively use the engine power or work associated with the
corresponding stack during each test run if these values can be
determined for each stack separately.
(4) Sample and measure emissions from each stack separately and
calculate emissions for the entire engine based on the stack with the
highest concentration. Testing under this paragraph (b)(4)
[[Page 23031]]
requires only a single exhaust flow measurement or calculation for the
entire engine. You may determine which stack has the highest
concentration by performing multiple test runs, reviewing the results
of earlier tests, or using good engineering judgment. Note that the
highest concentration of different pollutants may occur in different
stacks. Note also that the stack with the highest concentration of a
pollutant during a test interval for field testing may be a different
stack than the one you identified based on average concentrations over
a duty cycle.
(5) Sample emissions from each stack separately and combine the wet
sample streams from each stack proportionally to the exhaust molar
flows in each stack. Measure the emission concentrations and calculate
the emissions for the entire engine based on these weighted
concentrations. Testing under this paragraph (b)(5) requires measuring
or calculating the exhaust molar flow for each stack separately during
the test run to proportion the sample streams from each stack. If it is
impractical to measure the exhaust molar flows directly, you may
alternatively proportion the wet sample streams based on less accurate,
non-traceable flow methods. For example, you may use a total pressure
probe and static pressure measurement in each stack. The following
restrictions apply for testing under this paragraph (b)(5):
(i) You must use an accurate, traceable measurement or calculation
of the engine's total exhaust molar flow rate for calculating the mass
of emissions from the entire engine.
(ii) You may dry the single, combined, proportional sample stream;
you may not dry the sample streams from each stack separately.
(iii) You must measure and proportion the sample flows from each
stack with active flow controls. For PM sampling, you must measure and
proportion the diluted sample flows from each stack with active flow
controls that use only smooth walls with no sudden change in cross-
sectional area. For example, you may control the dilute exhaust PM
sample flows using electrically conductive vinyl tubing and a control
device that pinches the tube over a long enough transition length so no
flow separation occurs.
(iv) For PM sampling, the transfer lines from each stack must be
joined so the angle of the joining flows is 12.5[deg] or less. Note
that the exhaust manifold must meet the same specifications as the
transfer line according to paragraph (d) of this section.
(6) Sample emissions from each stack separately and combine the wet
sample streams from each stack equally. Measure the emission
concentrations and calculate the emissions for the entire engine based
on these measured concentrations. Testing under this paragraph (b)(6)
assumes that the raw-exhaust and sample flows are the same for each
stack. The following restrictions apply for testing under this
paragraph (b)(6):
(i) You must measure and demonstrate that the sample flow from each
stack is within 5% of the value from the stack with the highest sample
flow. You may alternatively ensure that the stacks have equal flow
rates without measuring sample flows by designing a passive sampling
system that meets the following requirements:
(A) The probes and transfer line branches must be symmetrical, have
equal lengths and diameters, have the same number of bends, and have no
filters.
(B) If probes are designed such that they are sensitive to stack
velocity, the stack velocity must be similar at each probe. For
example, a static pressure probe used for gaseous sampling is not
sensitive to stack velocity.
(C) The stack static pressure must be the same at each probe. You
can meet this requirement by placing probes at the end of stacks that
are vented to atmosphere.
(D) For PM sampling, the transfer lines from each stack must be
joined so the angle of the joining flows is 12.5[deg] or less. Note
that the exhaust manifold must meet the same specifications as the
transfer line according to paragraph (d) of this section.
(ii) You may use the procedure in this paragraph (b)(6) only if you
perform an analysis showing that the resulting error due to imbalanced
stack flows and concentrations is either at or below 2%. You may
alternatively show that the resulting error does not impact your
ability to demonstrate compliance with applicable standards. For
example, you may use less accurate, non-traceable measurements of
emission concentrations and molar flow in each stack and demonstrate
that the imbalances in flows and concentrations cause 2% or less error.
(iii) For a two-stack engine, you may use the procedure in this
paragraph (b)(6) only if you can show that the stack with the higher
flow has the lower average concentration for each pollutant over the
duty cycle.
(iv) You must use an accurate, traceable measurement or calculation
of the engine's total exhaust molar flow rate for calculating the mass
of emissions from the entire engine.
(v) You may dry the single, equally combined, sample stream; you
may not dry the sample streams from each stack separately.
(vi) You may determine your exhaust flow rates with a chemical
balance of exhaust gas concentrations and either intake air flow or
fuel flow.
(c) 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 (d) 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) 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 NOX from diluted exhaust,
control the probe's wall temperature to prevent aqueous condensation.
(ii) For probes that extract hydrocarbons for THC or NMHC analysis
from the diluted exhaust of compression-ignition engines, 2-stroke
spark-ignition engines, or 4-stroke spark-ignition engines below 19 kW,
we recommend heating the probe to minimize hydrocarbon contamination
consistent with good engineering judgment. If you routinely fail the
contamination check in the 1065.520 pretest check, we recommend heating
[[Page 23032]]
the probe section to approximately 190 [deg]C to minimize
contamination.
(3) 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 (f)(1) of this section. We
recommend sizing the inside diameter of PM probes to approximate
isokinetic sampling at the expected mean flow rate.
(d) Transfer lines. You may use transfer lines to transport an
extracted sample from a probe to an analyzer, storage medium, or
dilution system, noting certain restrictions for PM sampling in Sec.
1065.140(e). 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 (d). 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 NOX 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. For dilute sampling,
you may use a transition zone between the probe and transfer line of up
to 92 cm to allow your wall temperature to transition to (191 11) [deg]C.
(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.
(e) 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 converter conversion verification specified in
Sec. 1065.378 at any point upstream of a NOX analyzer,
sample bag, or other storage medium.
(2) Sample dryer. You may use either type of sample dryer described
in this paragraph (e)(2) to decrease the effects of water on gaseous
emission measurements. You may not use a 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 (d)(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, Tdew, and
absolute pressure, ptotal, downstream of an osmotic-membrane
dryer. You may use continuously recorded values of Tdew and
ptotal in the amount of water calculations specified in
Sec. 1065.645. For our testing we may use average temperature and
pressure values over the test interval or a nominal pressure value that
we estimate as the dryer's average pressure expected during testing as
constant values in the amount of water calculations specified in Sec.
1065.645. For your testing, you may use the maximum temperature or
minimum pressure values observed during a test interval or duty cycle
or the high alarm temperature setpoint or low alarm pressure setpoint
as constant values in the calculations specified in Sec. 1065.645. For
your testing, you may also use a nominal ptotal, 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, Tdew, and absolute pressure,
ptotal, downstream of a thermal chiller. You may use
continuously recorded values of Tdew and ptotal
in the amount of water calculations specified in Sec. 1065.645. If it
is valid to assume the degree of saturation in the thermal chiller, you
may calculate Tdew based on the known chiller performance
and continuous monitoring of chiller temperature, Tchiller.
If it is valid to assume a constant temperature offset between
Tchiller and Tdew, 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 (e)(2)(ii). For our testing we may use average
temperature and pressure values over the test interval or a nominal
pressure value that we estimate as the dryer's average pressure
expected during testing as constant values in the calculations
specified in Sec. 1065.645. For your testing you may use the maximum
temperature and minimum pressure values observed during a test interval
or duty cycle 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. For your testing you may also
use a nominal ptotal, which you may estimate as the dryer's
lowest absolute pressure expected during testing.
(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
[[Page 23033]]
better properties for emission sampling. For some sample pumps, you
must control temperatures, as follows:
(i) If you use a NOX 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 spark-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 11) [deg]C.
(4) Ammonia Scrubber. You may use ammonia scrubbers for any or all
gaseous sampling systems to prevent interference with NH3,
poisoning of the NO2-to-NO converter, and deposits in the
sampling system or analyzers. Follow the ammonia scrubber
manufacturer's recommendations or use good engineering judgment in
applying ammonia scrubbers.
(f) 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.
Subpart C--[Amended]
0
279. Section 1065.201 is amended by revising paragraph (h) to read as
follows:
Sec. 1065.201 Overview and general provisions.
* * * * *
(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 repeatable measurements. 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. Similarly, we are not required to follow all recommended
practices, as long as we meet the required calibrations and
verifications. Our decision to follow or not follow a given
recommendation when testing your engine is not dependent on whether or
not you followed it during your testing.
0
280. Section 1065.205 is revised to read as follows:
Sec. 1065.205 Performance specifications for measurement instruments.
Your test system as a whole must meet all the applicable
calibrations, verifications, and test-validation criteria specified in
subparts D and F of this part or subpart J of this part for using PEMS
and for performing field testing. We recommend that your instruments
meet the specifications in Table 1 of this section for all ranges you
use for testing. We also recommend that you keep any documentation you
receive from instrument manufacturers showing that your instruments
meet the specifications in Table 1 of this section.
BILLING CODE 6560-50-P
[[Page 23034]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.105
[GRAPHIC] [TIFF OMITTED] TR30AP10.106
[[Page 23035]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.107
BILLING CODE 6560-50-C
0
281. Section 1065.240 is amended by revising paragraph (d) introductory
text to read as follows:
Sec. 1065.240 Dilution air and diluted exhaust flow meters.
* * * * *
(d) Exhaust cooling. You may cool diluted exhaust upstream of a
dilute-exhaust flow meter, as long as you observe all the following
provisions:
* * * * *
0
282. Section 1065.260 is amended by revising paragraph (c) to read as
follows:
Sec. 1065.260 Flame-ionization detector.
* * * * *
(c) Heated FID analyzers. For compression-ignition engines, two-
stroke spark-ignition engines, and four-stroke spark-ignition engines
below 19 kW, you must use heated FID analyzers that maintain all
surfaces that are exposed to emissions at a temperature of (191 11) [deg]C.
* * * * *
Subpart D--[Amended]
0
283. 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:
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 verification 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.
Fuel flow: 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.
[[Page 23036]]
Gas dividers: Upon initial
installation, within 370 days
before testing, and after
major maintenance.
Gas analyzers: Upon initial
installation, within 35 days
before testing and after major
maintenance.
FTIR and photoacoustic
analyzers: Upon initial
installation, within 370 days
before testing and after major
maintenance.
GC-ECD: Upon initial
installation and after major
maintenance.
PM balance: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Pressure, temperature, and
dewpoint: Upon initial
installation, within 370 days
before testing and after major
maintenance.
Sec. 1065.308: Continuous gas Upon initial installation or
analyzer system response and updating- after system modification that
recording verification--for gas would affect response.
analyzers not continuously compensated
for other gas species.
Sec. 1065.309: Continuous gas Upon initial installation or
analyzer system-response and updating- after system modification that
recording verification--for gas would affect response.
analyzers continuously compensated for
other gas species.
Sec. 1065.310: Torque................ Upon initial installation and
after major maintenance.
Sec. 1065.315: Pressure, temperature, Upon initial installation and
dewpoint. after 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 flow Upon initial installation and
(CVS). after major maintenance.
Sec. 1065.341: CVS and batch sampler Upon initial installation,
verification \b\. within 35 days before testing,
and after major maintenance.
Sec. 1065.342 Sample dryer For thermal chillers: Upon
verification. installation and after major
maintenance.
For osmotic membranes; upon
installation, within 35 days
of testing, and after major
maintenance.
Sec. 1065.345: Vacuum leak........... For laboratory testing: Upon
initial installation of the
sampling system, within 8
hours before the start of the
first test interval of each
duty-cycle sequence, and after
maintenance such as pre-filter
changes.
For field testing: After each
installation of the sampling
system on the vehicle, prior
to the start of the field
test, and after maintenance
such as pre-filter changes.
Sec. 1065.350: CO2 NDIR H2O Upon initial installation and
interference. after major maintenance.
Sec. 1065.355: CO NDIR CO2 and H2O Upon initial installation and
interference. after major maintenance.
Sec. 1065.360: FID calibration....... Calibrate all FID analyzers:
Upon initial installation and
after major maintenance.
THC FID optimization, and THC FID Optimize and determine CH4
verification. 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 O2 For all FID analyzers: Upon
interference. initial installation, and
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,
penetration. within 185 days before
testing, and after major
maintenance.
Sec. 1065.370: CLD CO2 and H2O quench Upon initial installation and
after major maintenance.
Sec. 1065.372: NDUV HC and H2O Upon initial installation and
interference. after major maintenance.
Sec. 1065.375: N2O analyzer Upon initial installation and
interference. after major maintenance.
Sec. 1065.376: Chiller NO2 Upon initial installation and
penetration. after major maintenance.
Sec. 1065.378: NO2-to-NO converter Upon initial installation,
conversion. within 35 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 balance Independent verification: Upon
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.
\b\ The CVS verification described in Sec. 1065.341 is not required
for systems that agree within 2% based on a chemical
balance of carbon or oxygen of the intake air, fuel, and diluted
exhaust.
[[Page 23037]]
0
284. Section 1065.305 is amended by revising paragraphs (d)(4), (d)(5),
and (d)(7) 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, yref. 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 noise
verification, use the same zero gas from paragraph (d)(2) 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.
(5) Sample and record values for 30 seconds (you may select a
longer sampling period if the recording update frequency is less than
0.5 Hz), record the arithmetic mean, yi and record the
standard deviation, [sigma]i of the recorded values. Refer
to Sec. 1065.602 for an example of calculating arithmetic mean and
standard deviation.
* * * * *
(7) Subtract the reference value, yref (or
yrefi), from the arithmetic mean, yi. Record this
value as the error, [egr]i.
* * * * *
0
285. Section 1065.307 is amended by revising paragraphs (c)(6),
(c)(11), (d), (e), and Table 1 of Sec. 1065.307 to read as follows:
Sec. 1065.307 Linearity verification.
* * * * *
(c) * * *
(6) For all measured quantities, use instrument manufacturer
recommendations and good engineering judgment to select reference
values, yrefi, that cover a range of values that you expect
would prevent extrapolation beyond these values during emission
testing. We recommend selecting a zero reference signal as one of the
reference values of the linearity verification. For pressure,
temperature, dewpoint, and GC-ECD linearity verifications, we recommend
at least three reference values. For all other linearity verifications
select at least ten reference values.
* * * * *
(11) At a recording frequency of at least f Hz, specified in Table
1 of Sec. 1065.205, measure the reference value for 30 seconds (you
may select a longer sampling period if the recording update frequency
is less than 0.5 Hz) and record the arithmetic mean of the recorded
values, yi. Refer to Sec. 1065.602 for an example of
calculating an arithmetic mean.
* * * * *
(d) Reference signals. This paragraph (d) describes recommended
methods for generating reference values for the linearity-verification
protocol in paragraph (c) of this section. Use reference values that
simulate actual values, or introduce an actual value and measure it
with a reference-measurement system. In the latter case, the reference
value is the value reported by the reference-measurement system.
Reference values and reference-measurement systems must be NIST-
traceable. We recommend using calibration reference quantities that are
NIST-traceable within 0.5% uncertainty, if not specified otherwise in
other sections of this part 1065. Use the following recommended methods
to generate reference values or use good engineering judgment to select
a different reference:
(1) Speed. Run the engine or dynamometer at a series of steady-
state speeds and use a strobe, a photo tachometer, or a laser
tachometer to record reference speeds.
(2) Torque. Use a series of calibration weights and a calibration
lever arm to simulate engine torque. You may instead use the engine or
dynamometer itself to generate a nominal torque that is measured by a
reference load cell or proving ring in series with the torque-
measurement system. In this case use the reference load cell
measurement as the reference value. Refer to Sec. 1065.310 for a
torque-calibration procedure similar to the linearity verification in
this section.
(3) Electrical power. Use a controlled source of current and a
watt-hour standard reference meter. Complete calibration systems that
contain a current source and a reference watt-hour meter are commonly
used in the electrical power distribution industry and are therefore
commercially available.
(4) Fuel rate. Operate the engine at a series of constant fuel-flow
rates or re-circulate fuel back to a tank through the fuel flow meter
at different flow rates. Use a gravimetric reference measurement (such
as a scale, balance, or mass comparator) at the inlet to the fuel-
measurement system. Use a stopwatch or timer to measure the time
intervals over which reference masses of fuel are introduced to the
fuel measurement system. The reference fuel mass divided by the time
interval is the reference fuel flow rate.
(5) Flow rates--inlet air, dilution air, diluted exhaust, raw
exhaust, or sample flow. Use a reference flow meter with a blower or
pump to simulate flow rates. Use a restrictor, diverter valve, a
variable-speed blower or a variable-speed pump to control the range of
flow rates. Use the reference meter's response as the reference values.
(i) Reference flow meters. Because the flow range requirements for
these various flows are large, we allow a variety of reference meters.
For example, for diluted exhaust flow for a full-flow dilution system,
we recommend a reference subsonic venturi flow meter with a restrictor
valve and a blower to simulate flow rates. For inlet air, dilution air,
diluted exhaust for partial-flow dilution, raw exhaust, or sample flow,
we allow reference meters such as critical flow orifices, critical flow
venturis, laminar flow elements, master mass flow standards, or Roots
meters. Make sure the reference meter is calibrated by the flow-meter
manufacturer and its calibration is NIST-traceable. If you use the
difference of two flow measurements to determine a net flow rate, you
may use one of the measurements as a reference for the other.
(ii) Reference flow values. Because the reference flow is not
absolutely constant, sample and record values of nrefi for
30 seconds and use the arithmetic mean of the values, nref,
as the reference value. Refer to Sec. 1065.602 for an example of
calculating arithmetic mean.
(6) Gas division. Use one of the two reference signals:
(i) At the outlet of the gas-division system, connect a gas
analyzer that meets the linearity verification described in this
section and has not been linearized with the gas divider being
verified. For example, verify the linearity of an analyzer using a
series of reference analytical gases directly from compressed gas
cylinders that meet the specifications of Sec. 1065.750. We recommend
using a FID analyzer or a PMD or MPD O2 analyzer because of
their inherent linearity. Operate this analyzer consistent with how you
would operate it during an emission test. Connect a span gas to the
gas-divider inlet. Use the gas-division system to divide the span gas
with purified air or nitrogen. Select gas divisions that you typically
use. Use a selected gas division as the measured value. Use the
analyzer response divided by the span gas concentration as the
reference gas-division value.
[[Page 23038]]
Because the instrument response is not absolutely constant, sample and
record values of xrefi for 30 seconds and use the arithmetic
mean of the values, xref, as the reference value. Refer to
Sec. 1065.602 for an example of calculating arithmetic mean.
(ii) Using good engineering judgment and gas divider manufacturer
recommendations, use one or more reference flow meters to measure the
flow rates of the gas divider and verify the gas-division value.
(7) Continuous constituent concentration. For reference values, use
a series of gas cylinders of known gas concentration or use a gas-
division system that is known to be linear with a span gas. Gas
cylinders, gas-division systems, and span gases that you use for
reference values must meet the specifications of Sec. 1065.750.
(8) Temperature. You may perform the linearity verification for
temperature measurement systems with thermocouples, RTDs, and
thermistors by removing the sensor from the system and using a
simulator in its place. Use a NIST-traceable simulator that is
independently calibrated and, as appropriate, cold-junction
compensated. The simulator uncertainty scaled to temperature must be
less than 0.5% of Tmax. If you use this option, you must use
sensors that the supplier states are accurate to better than 0.5% of
Tmax compared with their standard calibration curve.
(e) Measurement systems that require linearity verification. Table
1 of this section indicates measurement systems that require linearity
verifications, subject to the following provisions:
(1) Perform a linearity verification more frequently based on the
instrument manufacturer's recommendation or good engineering judgment.
(2) The expression ``xmin'' refers to the reference
value used during the linearity verification that is closest to zero.
This is the value used to calculate the first tolerance in Table 1 of
this section using the intercept, a0. Note that this value
may be zero, positive, or negative depending on the reference values.
For example, if the reference values chosen to validate a pressure
transducer vary from -10 to -1 kPa, xmin is -1 kPa. If the
reference values used to validate a temperature device vary from 290 to
390 K, xmin is 290 K.
(3) The expression ``max'' generally refers to the absolute value
of the reference value used during the linearity verification that is
furthest from zero. This is the value used to scale the first and third
tolerances in Table 1 of this section using a0 and SEE. For
example, if the reference values chosen to validate a pressure
transducer vary from -10 to -1 kPa, then pmax is +10 kPa. If
the reference values used to validate a temperature device vary from
290 to 390 K, then Tmax is 390 K. For gas dividers where
``max'' is expressed as, xmax/xspan;
xmax is the maximum gas concentration used during the
verification, xspan is the undivided, undiluted, span gas
concentration, and the resulting ratio is the maximum divider point
reference value used during the verification (typically 1). The
following are special cases where ``max'' refers to a different value:
(i) For linearity verification with a PM balance, mmax
refers to the typical mass of a PM filter.
(ii) For linearity verification of torque on the engine's primary
output shaft, Tmax refers to the manufacturer's specified
engine torque peak value of the lowest torque engine to be tested.
(4) The specified ranges are inclusive. For example, a specified
range of 0.98-1.02 for a1 means 0.98<=a1<=1.02.
(5) These linearity verifications are optional 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.
(6) You must meet the a1 criteria for these quantities
only if the absolute value of the quantity is required, as opposed to a
signal that is only linearly proportional to the actual value.
(7) Linearity checks are required for the following temperature
measurements:
(i) The following temperature measurements always require linearity
checks:
(A) Air intake.
(B) Aftertreatment bed(s), for engines tested with aftertreatment
devices subject to cold-start testing.
(C) Dilution air for PM sampling, including CVS, double-dilution,
and partial-flow systems.
(D) PM sample, if applicable.
(E) Chiller sample, for gaseous sampling systems that use thermal
chillers to dry samples and use chiller temperature to calculate the
dewpoint at the outlet of the chiller. For your testing, if you choose
to use a high alarm temperature setpoint for the chiller temperature as
a constant value in the amount of water calculations in Sec. 1065.645,
you may use good engineering judgment to verify the accuracy of the
high alarm temperature setpoint in lieu of the linearity verification
on the chiller temperature. We recommend that you input a reference
simulated temperature signal below the alarm trip point, increase this
signal until the high alarm trips, and verify that the alarm trip point
value is no less than 2.0 [deg]C below the reference value at the trip
point.
(ii) Linearity checks are required for the following temperature
measurements if these temperature measurements are specified by the
engine manufacturer:
(A) Fuel inlet.
(B) Air outlet to the test cell's charge air cooler air outlet, for
engines tested with a laboratory heat exchanger that simulates an
installed charge air cooler.
(C) Coolant inlet to the test cell's charge air cooler, for engines
tested with a laboratory heat exchanger that simulates an installed
charge air cooler.
(D) Oil in the sump/pan.
(E) Coolant before the thermostat, for liquid-cooled engines.
(8) Linearity checks are required for the following pressure
measurements:
(i) The following pressure measurements always require linearity
checks:
(A) Air intake restriction.
(B) Exhaust back pressure.
(C) Barometer.
(D) CVS inlet gage pressure.
(E) Sample dryer, for gaseous sampling systems that use either
osmotic-membrane or thermal chillers to dry samples. For your testing,
if you choose to use a low alarm pressure setpoint for the sample dryer
pressure as a constant value in the amount of water calculations in
Sec. 1065.645, you may use good engineering judgment to verify the
accuracy of the low alarm pressure setpoint in lieu of the linearity
verification on the sample dryer pressure. We recommend that you input
a reference pressure signal above the alarm trip point, decrease this
signal until the low alarm trips, and verify that the trip point value
is no more than 4.0 kPa above the reference value at the trip point.
(ii) Linearity checks are required for the following pressure
measurements if these pressure measurements are specified by the engine
manufacturer:
(A) The test cell's charge air cooler and interconnecting pipe
pressure drop, for turbo-charged engines tested with a laboratory heat
exchanger that simulates an installed charge air cooler.
(B) Fuel outlet.
[[Page 23039]]
Table 1 of Sec. 1065.307--Measurement Systems That Require Linearity Verifications--continued
--------------------------------------------------------------------------------------------------------------------------------------------------------
Linearity criteria
Minimum ----------------------------------------------------------------------------------------
Measurement system Quantity verification [verbarlm]xmin(a1-1) + a0
frequency [verbarlm] a1 SEE r 2
--------------------------------------------------------------------------------------------------------------------------------------------------------
Speed........................ fn............ Within 370 days <=0.05% [middot] fnmax..... 0.98-1.02 <=2% [middot] fnmax....... =0.
before testing. 990
Torque....................... T............. Within 370 days <=1% [middot] Tmax......... 0.98-1.02 <=2% [middot] Tmax........ =0.
before testing. 990
Electrical power............. P............. Within 370 days <=1% [middot] Pmax......... 0.98-1.02 <=2% [middot] Pmax........ >=0.990
before testing.
Fuel flow rate............... m............. Within 370 days <=1% [middot] mmax......... 0.98-1.02 <=2% [middot] mmax........ 0.9
before testing. 90
Intake-air flow rate......... n............. Within 370 days <=1% [middot] nmax......... 0.98-1.02 <=2% [middot] nmax........ >=0.990
before testing.
Dilution air flow rate....... n............. Within 370 days <=1% [middot] nmax......... 0.98-1.02 <=2% [middot] nmax........ =0.
before testing. 990
Diluted exhaust.............. n............. Within 370 days <=1% [middot] nmax......... 0.98-1.02 <=2% [middot] nmax........ =0.
flow rate.................... before testing. 990
Raw exhaust flow rate........ n............. Within 185 days <=1% [middot] nmax......... 0.98-1.02 <=2% [middot] nmax........ =0.
before testing. 990
Batch sampler flow rates..... n............. Within 370 days <=1% [middot] nmax......... 0.98-1.02 <=2% [middot] nmax........ =0.
before testing. 990
Gas dividers................. x/xspan....... Within 370 days <=0.5% [middot] xmax/xspan. 0.98-1.02 <=2% [middot] xmax/xspan.. 0.9
before testing. 90
Gas analyzers for laboratory x............. Within 35 days <=0.5% [middot] xmax....... 0.99-1.01 <=1% [middot] xmax........ =0.
testing. before testing. 998
Gas analyzers for field x............. Within 35 days <=1% [middot] xmax......... 0.99-1.01 <=1% [middot] xmax........ =0.
testing. before testing. 998
PM balance................... m............. Within 370 days <=1% [middot] mmax......... 0.99-1.01 <=1% [middot] mmax........ =0.
before testing. 998
Pressures.................... p............. Within 370 days <=1% [middot] pmax......... 0.99-1.01 <=1% [middot] pmax........ =0.
before testing. 998
Dewpoint for intake air, PM- Tdew.......... Within 370 days <=0.5% [middot] Tdewmax.... 0.99-1.01 <=0.5% [middot] Tdewmax... =0.
stabilization and balance before testing. 998
environments.
Other dewpoint measurements.. Tdew.......... Within 370 days <=1% [middot] Tdewmax...... 0.99-1.01 <=1% [middot] Tdewmax..... =0.
before testing. 998
Analog-to-digital conversion T............. Within 370 days <=1% [middot] Tmax......... 0.99-1.01 <=1% [middot] Tmax........ =0.
of temperature signals. before testing. 998
--------------------------------------------------------------------------------------------------------------------------------------------------------
0
286. Section 1065.309 is amended by revising paragraph (d)(2) to read
as follows:
Sec. 1065.309 Continuous gas analyzer system-response and updating-
recording verification--for gas analyzers continuously compensated for
other gas species.
* * * * *
(d) * * *
(2) Equipment setup. We recommend using minimal lengths of gas
transfer lines between all connections and fast-acting three-way valves
(2 inlets, 1 outlet) to control the flow of zero and blended span gases
to the sample system's probe inlet or a tee near the outlet of the
probe. Normally the gas flow rate is higher than the probe sample flow
rate and the excess is overflowed out the inlet of the probe. If the
gas flow rate is lower than the probe flow rate, the gas concentrations
must be adjusted to account for the dilution from ambient air drawn
into the probe. Select span gases for the species being continuously
combined, other than H2O. Select concentrations of
compensating species that will yield concentrations of these species at
the analyzer inlet that covers the range of concentrations expected
during testing. You may use binary or multi-gas span gases. You may use
a gas blending or mixing device to blend span gases. A gas blending or
mixing device is recommended when blending span gases diluted in
N2 with span gases diluted in air. You may use a multi-gas
span gas, such as NO-CO-CO2-C3H8-
CH4, to verify multiple analyzers at the same time. In
designing your experimental setup, avoid pressure pulsations due to
stopping the flow through the gas blending device. If H2O
correction is applicable, then span gases must be humidified before
entering the analyzer; however, you may not humidify NO2
span gas by passing it through a sealed humidification vessel that
contains water. You must humidify NO2 span gas with another
moist gas stream. We recommend humidifying your NO-CO-CO2-
C3H8-CH4, balance N2
blended gas by flowing the gas mixture through a sealed vessel that
humidifies the gas by bubbling it through distilled water and then
mixing the gas with dry NO2 gas, balance purified synthetic
air. If your system does not use a sample dryer to remove water from
the sample gas, you must humidify your span gas to the highest sample
H2O content that you estimate during emission sampling. If
your system uses a sample dryer during testing, it must pass the sample
dryer verification check in Sec. 1065.342, and you must humidify your
span gas to an H2O content greater than or equal to the
level determined in Sec. 1065.145(e)(2). If you are humidifying span
gases without NO2, use good engineering judgment to ensure
that the wall temperatures in the transfer lines, fittings, and valves
from the humidifying system to the probe are above the dewpoint
required for the target H2O content. If you are humidifying
span gases with NO2, use good engineering judgment to ensure
that there is no condensation in the transfer lines, fittings, or
valves from the point where humidified gas is mixed
[[Page 23040]]
with NO2 span gas to the probe. We recommend that you design
your setup so that the wall temperatures in the transfer lines,
fittings, and valves from the humidifying system to the probe are at
least 5 [deg]C above the local sample gas dewpoint. Operate the
measurement and sample handling system as you do for emission testing.
Make no modifications to the sample handling system to reduce the risk
of condensation. Flow humidified gas through the sampling system before
this check to allow stabilization of the measurement system's sampling
handling system to occur, as it would for an emission test.
* * * * *
0
287. Section 1065.315 is amended by revising paragraph (a)(2) to read
as follows:
Sec. 1065.315 Pressure, temperature, and dewpoint calibration.
(a) * * *
(2) Temperature. We recommend digital dry-block or stirred-liquid
temperature calibrators, with data logging capabilities to minimize
transcription errors. We recommend using calibration reference
quantities that are NIST-traceable within 0.5% uncertainty. You may
perform the linearity verification for temperature measurement systems
with thermocouples, RTDs, and thermistors by removing the sensor from
the system and using a simulator in its place. Use a NIST-traceable
simulator that is independently calibrated and, as appropriate, cold-
junction compensated. The simulator uncertainty scaled to temperature
must be less than 0.5% of Tmax. If you use this option, you
must use sensors that the supplier states are accurate to better than
0.5% of Tmax compared with their standard calibration curve.
* * * * *
0
288. Section 1065.342 is amended by revising paragraphs (a), (c),
(d)(4), and (d)(7) to read as follows:
Sec. 1065.342 Sample dryer verification.
(a) Scope and frequency. If you use a sample dryer as allowed in
Sec. 1065.145(e)(2) to remove water from the sample gas, verify the
performance upon installation, after major maintenance, for thermal
chiller. For osmotic membrane dryers, verify the performance upon
installation, after major maintenance, and within 35 days of testing.
* * * * *
(c) System requirements. The sample dryer must meet the
specifications as determined in Sec. 1065.145(e)(2) for dewpoint,
Tdew, and absolute pressure, ptotal, downstream
of the osmotic-membrane dryer or thermal chiller.
(d) * * *
(4) Maintain the sample lines, fittings, and valves from the
location where the humidified gas water content is measured to the
inlet of the sampling system at a temperature at least 5 [deg]C above
the local humidified gas dewpoint. For dryers used in NOX
sample systems, verify the sample system components used in this
verification prevent aqueous condensation as required in Sec.
1065.145(d)(1)(i). We recommend that the sample system components be
maintained at least 5 [deg]C above the local humidified gas dewpoint to
prevent aqueous condensation.
* * * * *
(7) The sample dryer meets the verification if the dewpoint at the
sample dryer pressure as measured in paragraph (d)(6) of this section
is less than the dewpoint corresponding to the sample dryer
specifications as determined in Sec. 1065.145(e)(2) plus 2 [deg]C or
if the mole fraction of water as measured in (d)(6) is less than the
corresponding sample dryer specifications plus 0.002 mol/mol.
* * * * *
0
289. Section 1065.345 is amended by revising paragraphs (a) and
(e)(1)(iii) to read as follows:
Sec. 1065.345 Vacuum-side leak verification.
(a) Scope and frequency. Verify that there are no significant
vacuum-side leaks using one of the leak tests described in this
section. For laboratory testing, perform the vacuum-side leak
verification upon initial sampling system installation, within 8 hours
before the start of the first test interval of each duty-cycle
sequence, and after maintenance such as pre-filter changes. For field
testing, perform the vacuum-side leak verification after each
installation of the sampling system on the vehicle, prior to the start
of the field test, and after maintenance such as pre-filter changes.
This verification does not apply to any full-flow portion of a CVS
dilution system.
* * * * *
(e) * * *
(1) * * *
(iii) Close a leak-tight valve located in the sample transfer line
within 92 cm of the probe.
* * * * *
0
290. Section 1065.350 is amended by revising paragraph (d) to read as
follows:
Sec. 1065.350 H2O interference verification for CO2 NDIR analyzers.
* * * * *
(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. If the sample is passed through a
dryer during emission testing, you may run this verification test with
the dryer if it meets the requirements of Sec. 1065.342. Operate the
dryer at the same conditions as you will for an emission test. You may
also run this verification test without the sample dryer.
(2) Create a humidified test gas by bubbling zero gas that meets
the specifications in Sec. 1065.750 through distilled water in a
sealed vessel. If the sample is not passed through a dryer during
emission testing, control the vessel temperature to generate an
H2O level at least as high as the maximum expected during
emission testing. If the sample is passed through a dryer during
emission testing, control the vessel temperature to generate an
H2O level at least as high as the level determined in Sec.
1065.145(e)(2) for that dryer.
(3) Introduce the humidified test gas into the sample system. You
may introduce it downstream of any sample dryer, if one is used during
testing.
(4) If the sample is not passed through a dryer during this
verification test, measure the water mole fraction, xH2O, of
the humidified test gas, as close as possible to the inlet of the
analyzer. For example, measure dewpoint, Tdew, and absolute
pressure, ptotal, to calculate xH2O. Verify that
the water content meets the requirement in paragraph (d)(2) of this
section. If the sample is passed through a dryer during this
verification test, you must verify that the water content of the
humidified test gas downstream of the vessel meets the requirement in
paragraph (d)(2) of this section based on either direct measurement of
the water content (e.g., dewpoint and pressure) or an estimate based on
the vessel pressure and temperature. Use good engineering judgment to
estimate the water content. For example, you may use previous direct
measurements of water content to verify the vessel's level of
saturation.
(5) If a sample dryer is not used in this verification test, use
good engineering judgment to prevent condensation in the transfer
lines, fittings, or valves from the point where xH2O is
measured to the analyzer. We recommend that you design your system so
the wall temperatures in the transfer lines, fittings, and valves from
the point where xH2O is measured to the analyzer are at
[[Page 23041]]
least 5 [deg]C above the local sample gas dewpoint.
(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
30 seconds of sampled data. Calculate the arithmetic mean of this data.
The analyzer meets the interference verification if this value is
within (0 0.4) mmol/mol.
0
291. 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. If the sample is passed through a dryer
during emission testing, you may run this verification test with the
dryer if it meets the requirements of Sec. 1065.342. Operate the dryer
at the same conditions as you will for an emission test. You may also
run this verification test without the sample dryer.
(2) Create a humidified CO2 test gas by bubbling a
CO2 span gas that meets the specifications in Sec. 1065.750
through distilled water in a sealed vessel. If the sample is not passed
through a dryer during emission testing, control the vessel temperature
to generate an H2O level at least as high as the maximum
expected during emission testing. If the sample is passed through a
dryer during emission testing, control the vessel temperature to
generate an H2O level at least as high as the level
determined in Sec. 1065.145(e)(2) for that dryer. Use a CO2
span gas concentration at least as high as the maximum expected during
testing.
(3) Introduce the humidified CO2 test gas into the
sample system. You may introduce it downstream of any sample dryer, if
one is used during testing.
(4) If the sample is not passed through a dryer during this
verification test, measure the water mole fraction, xH2O, of
the humidified CO2 test gas as close as possible to the
inlet of the analyzer. For example, measure dewpoint, Tdew,
and absolute pressure, ptotal, to calculate xH2O.
Verify that the water content meets the requirement in paragraph (d)(2)
of this section. If the sample is passed through a dryer during this
verification test, you must verify that the water content of the
humidified test gas downstream of the vessel meets the requirement in
paragraph (d)(2) of this section based on either direct measurement of
the water content (e.g., dewpoint and pressure) or an estimate based on
the vessel pressure and temperature. Use good engineering judgment to
estimate the water content. For example, you may use previous direct
measurements of water content to verify the vessel's level of
saturation.
(5) If a sample dryer is not used in this verification test, use
good engineering judgment to prevent condensation in the transfer
lines, fittings, or valves from the point where xH2O is
measured to the analyzer. We recommend that you design your system so
that the wall temperatures in the transfer lines, fittings, and valves
from the point where xH2O is measured to the analyzer are at
least 5 [deg]C above the local sample gas dewpoint.
(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) The analyzer meets the interference verification if the result
of paragraph (d)(7) of this section meets the tolerance in paragraph
(c) of this section.
(9) You may also run interference procedures for CO2 and
H2O separately. If the CO2 and H2O
levels used are higher than the maximum levels expected during testing,
you may scale down each observed interference value by multiplying the
observed interference by the ratio of the maximum expected
concentration value to the actual value used during this procedure. You
may run separate interference concentrations of H2O (down to
0.025 mol/mol H2O content) that are lower than the maximum
levels expected during testing, but you must scale up the observed
H2O interference by multiplying the observed interference by
the ratio of the maximum expected H2O concentration value to
the actual value used during this procedure. The sum of the two scaled
interference values must meet the tolerance in paragraph (c) of this
section.
(e) * * *
(1) You may omit this verification if you can show by engineering
analysis that for your CO sampling system and your emission-calculation
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.
* * * * *
0
292. Section 1065.360 is amended by revising paragraph (e)(2) to read
as follows:
Sec. 1065.360 FID optimization and verification.
* * * * *
(e) * * *
(2) If RFCH4[THC-FID] is not within the tolerance
specified in this paragraph (e), re-optimize the FID response as
described in paragraph (c) of this section.
* * * * *
0
293. Section 1065.370 is amended by revising paragraphs (e)(5) and
(g)(1) to read as follows:
Sec. 1065.370 CLD CO2 and H2O quench verification.
* * * * *
(e) * * *
(5) Humidify the NO span gas by bubbling it through distilled water
in a sealed vessel. If the humidified NO span gas sample does not pass
through a sample dryer for this verification test, control the vessel
temperature to generate an H2O level approximately equal to
the maximum mole fraction of H2O expected during emission
testing. If the humidified NO span gas sample does not pass through a
sample dryer, the quench verification calculations in Sec. 1065.675
scale the measured H2O quench to the highest mole fraction
of H2O expected during emission testing. If the humidified
NO span gas sample passes through a dryer for this verification test,
control the vessel temperature to generate an H2O level at
least as high as the level determined in Sec. 1065.145(e)(2). For this
case, the quench verification calculations in Sec. 1065.675 do not
scale the measured H2O quench.
* * * * *
(g) * * *
(1) You may omit this verification if you can show by engineering
analysis that for your NOX sampling system and your emission
calculation procedures, the combined CO2 and H2O
interference for your NOX CLD analyzer always affects your
brake-specific NOX emission results within no more than
1.0% of the applicable NOX standard. If you
certify to a combined emission standard (such as a NOX +
NMHC standard), scale your NOX results to the combined
standard based on the measured results (after incorporating
deterioration factors, if applicable). For example, if your final
NOX + NMHC value is half of the emission standard,
[[Page 23042]]
double the NOX result to estimate the level of
NOX emissions corresponding to the applicable standard.
* * * * *
0
294. Section 1065.390 is amended by revising paragraph (d)(9) to read
as follows:
Sec. 1065.390 PM balance verifications and weighing process
verification.
* * * * *
(d) * * *
(9) If any of the reference filters' observed mass changes by more
than that allowed under this paragraph, you must invalidate all PM mass
determinations made since the last successful reference media (e.g.
filter) mass validation. You may discard reference PM media (e.g.
filters) if only one of the filter's mass changes by more than the
allowable amount and you can positively identify a special cause for
that filter's mass change that would not have affected other in-process
filters. Thus, the validation can be considered a success. In this
case, you do not have to include the contaminated reference media when
determining compliance with paragraph (d)(10) of this section, but the
affected reference filter must be immediately discarded and replaced
prior to the next weighing session.
* * * * *
Subpart F--[Amended]
0
295. Section 1065.501 is amended by revising paragraph (b)(2) to read
as follows:
Sec. 1065.501 Overview.
* * * * *
(b) * * *
(2) Steady-state cycles. Steady-state duty cycles are typically
specified in the standard-setting part as a list of discrete operating
points (modes or notches), where each operating point has one value of
a normalized speed command and one value of a normalized torque (or
power) command. Ramped-modal cycles for steady-state testing also list
test times for each mode and transition times between modes where speed
and torque are linearly ramped between modes, even for cycles with %
power. Start a steady-state cycle as a hot running test, where you
start to measure emissions after an engine is started, warmed up and
running. You may run a steady-state duty cycle as a discrete-mode cycle
or a ramped-modal cycle, as follows:
(i) Discrete-mode cycles. Before emission sampling, stabilize an
engine at the first discrete mode. Sample emissions and other
parameters for that mode in the same manner as a transient cycle, with
the exception that reference speed and torque values are constant.
Record mean values for that mode, and then stabilize the engine at the
next mode. Continue to sample each mode discretely as separate test
intervals and calculate weighted emission results according to the
standard-setting part.
(ii) Ramped-modal cycles. Perform ramped-modal cycles similar to
the way you would perform transient cycles, except that ramped-modal
cycles involve mostly steady-state engine operation. Generate a ramped-
modal duty cycle as a sequence of second-by-second (1 Hz) reference
speed and torque points. Run the ramped-modal duty cycle in the same
manner as a transient cycle and use the 1 Hz reference speed and torque
values to validate the cycle, even for cycles with % power.
Proportionally sample emissions and other parameters during the cycle
and use the calculations in subpart G of this part to calculate
emissions.
* * * * *
0
296. Section 1065.510 is amended by revising paragraphs (b)(5) and
(d)(5) to read as follows:
Sec. 1065.510 Engine mapping.
* * * * *
(b) * * *
(5) Perform one of the following:
(i) For any engine subject only to steady-state duty cycles (i.e.,
discrete-mode or ramped-modal), you may perform an engine map by using
discrete speeds. Select at least 20 evenly spaced setpoints from 95% of
warm idle speed to the highest speed above maximum power at which 50%
of maximum power occurs. We refer to this 50% speed as the check point
speed as described in paragraph (b)(5)(iii) of this section. At each
setpoint, stabilize speed and allow torque to stabilize. Record the
mean speed and torque at each setpoint. We recommend that you stabilize
an engine for at least 15 seconds at each setpoint and record the mean
feedback speed and torque of the last (4 to 6) seconds. Use linear
interpolation to determine intermediate speeds and torques. Use this
series of speeds and torques to generate the power map as described in
paragraph (e) of this section.
(ii) For any variable-speed engine, you may perform an engine map
by using a continuous sweep of speed by continuing to record the mean
feedback speed and torque at 1 Hz or more frequently and increasing
speed at a constant rate such that it takes (4 to 6) min to sweep from
95% of warm idle speed to the check point speed as described in
paragraph (b)(5)(iii) of this section. Use good engineering judgment to
determine when to stop recording data to ensure that the sweep is
complete. In most cases, this means that you can stop the sweep at any
point after the power falls to 50% of the maximum value. From the
series of mean speed and maximum torque values, use linear
interpolation to determine intermediate values. Use this series of
speeds and torques to generate the power map as described in paragraph
(e) of this section.
(iii) The check point speed of the map is the highest speed above
maximum power at which 50% of maximum power occurs. If this speed is
unsafe or unachievable (e.g., for ungoverned engines or engines that do
not operate at that point), use good engineering judgment to map up to
the maximum safe speed or maximum achievable speed. For discrete
mapping, if the engine cannot be mapped to the check point speed, make
sure the map includes at least 20 points from 95% of warm idle to the
maximum mapped speed. For continuous mapping, if the engine cannot be
mapped to the check point speed, verify that the sweep time from 95% of
warm idle to the maximum mapped speed is (4 to 6) min.
(iv) Note that under Sec. 1065.10(c)(1) we may allow you to
disregard portions of the map when selecting maximum test speed if the
specified procedure would result in a duty cycle that does not
represent in-use operation.
* * * * *
(d) * * *
(5) Record at 1 Hz the mean of feedback speed and torque. Use the
dynamometer to increase torque at a constant rate. Unless the standard-
setting part specifies otherwise, complete the map such that it takes
(2 to 4) min to sweep from no-load governed speed to the speed below
maximum mapped power at which the engine develops 90% of maximum mapped
power. You may map your engine to lower speeds. Stop recording after
you complete the sweep. Use this series of speeds and torques to
generate the power map as described in paragraph (e) of this section.
* * * * *
0
297. Section 1065.514 is amended by revising paragraph (d) and Table 1
of Sec. 1065.514 to read as follows:
Sec. 1065.514 Cycle-validation criteria for operation over specified
duty cycles.
* * * * *
(d) Omitting additional points. Besides engine cranking, you may
omit additional points from cycle-validation
[[Page 23043]]
statistics as described in the following table:
Table 1 of Sec. 1065.514--Permissible Criteria for Omitting Points From Duty-Cycle Regression Statistics
----------------------------------------------------------------------------------------------------------------
When operator demand is at its . . . you may omit . . . if . . .
----------------------------------------------------------------------------------------------------------------
For reference duty cycles that are specified in terms of speed and torque (fnref, Tref)
----------------------------------------------------------------------------------------------------------------
minimum................................. power and torque........... Tref < 0% (motoring).
minimum................................. power and speed............ fnref = 0% (idle speed) and Tref = 0%
(idle torque) and Tref - (2% [middot]
Tmax mapped) < T < Tref + (2% [middot]
Tmax mapped).
minimum................................. power and either torque or fn >fnref or T > Tref but not if fn >
speed. (fnref [middot] 102%) and T >Tref (2% [middot] Tmax mapped).
maximum................................. power and either torque or fn < fnref or T < Tref but not if fn <
speed. (fnref [middot] 98%) and T < Tref - (2%
[middot] Tmax mapped).
----------------------------------------------------------------------------------------------------------------
For reference duty cycles that are specified in terms of speed and power (fnref, Pref)
----------------------------------------------------------------------------------------------------------------
minimum................................. power and torque........... Pref < 0% (motoring).
minimum................................. power and speed............ fnref = 0% (idle speed) and Pref = 0%
(idle power) and Pref - (2% [middot]
Pmax mapped) < P < Pref + (2% [middot]
Pmax mapped).
minimum................................. power and either torque or fn >fnref or P > Pref but not if fn >
speed. (fnref [middot] 102%) and P >Pref + (2%
[middot] Pmax mapped).
maximum................................. power and either torque or fn < fnref or P < Pref but not if fn <
speed. (fnref [middot] 98%) and P < Pref - (2%
[middot] Pmax mapped).
----------------------------------------------------------------------------------------------------------------
* * * * *
0
298. Section 1065.520 is amended by revising paragraphs (b) and (g)
introductory text to read as follows:
Sec. 1065.520 Pre-test verification procedures and pre-test data
collection.
* * * * *
(b) Unless the standard-setting part specifies different
tolerances, verify at some point before the test that ambient
conditions are within the tolerances specified in this paragraph (b).
For purposes of this paragraph (b), ``before the test'' means any time
from a point just prior to engine starting (excluding engine restarts)
to the point at which emission sampling begins.
(1) Ambient temperature of (20 to 30) [deg]C. See Sec. 1065.530(j)
for circumstances under which ambient temperatures must remain within
this range during the test.
(2) Atmospheric pressure of (80.000 to 103.325) kPa and within
5 kPa of the value recorded at the time of the last engine
map. You are not required to verify atmospheric pressure prior to a hot
start test interval for testing that also includes a cold start.
(3) Dilution air conditions as specified in Sec. 1065.140, except
in cases where you preheat your CVS before a cold start test. We
recommend verifying dilution air conditions just prior to the start of
each test interval.
* * * * *
(g) Verify the amount of nonmethane contamination in the exhaust
and background HC sampling systems within 8 hours before the start of
the first test interval of each duty-cycle sequence for laboratory
tests. You may verify the contamination of a background HC sampling
system by reading the last bag fill and purge using zero gas. For any
NMHC measurement system that involves separately measuring methane and
subtracting it from a THC measurement, verify the amount of THC
contamination using only the THC analyzer response. There is no need to
operate any separate methane analyzer for this verification, however
you may measure and correct for THC contamination in the CH4
sample train for the cases where NMHC is determined by subtracting
CH4 from THC, using an NMC as configured in Sec.
1065.365(d), (e), and (f); and the calculations in Sec.
1065.660(b)(2). Perform this verification as follows:
* * * * *
0
299. Section 1065.530 is amended by revising paragraphs (g)(3)(iv),
(g)(4)(i), and (j) to read as follows:
Sec. 1065.530 Emission test sequence.
* * * * *
(g) * * *
(3) * * *
(iv) Analyze non-conventional gaseous batch samples, such as
ethanol (NMHCE) as soon as practical using good engineering judgment.
(4) * * *
(i) For batch and continuous gas analyzers, record the mean
analyzer value after stabilizing a zero gas to the analyzer.
Stabilization may include time to purge the analyzer of any sample gas,
plus any additional time to account for analyzer response.
* * * * *
(j) Measure and record ambient temperature, pressure, and humidity,
as appropriate. For testing the following engines, you must record
ambient temperature continuously to verify that it remains within the
pre-test temperature range as specified in Sec. 1065.520(b):
(1) Air-cooled engines.
(2) Engines equipped with auxiliary emission control devices that
sense and respond to ambient temperature.
(3) Any other engine for which good engineering judgment indicates
this is necessary to remain consistent with Sec. 1065.10(c)(1).
0
300. Section 1065.545 is amended by revising the section heading and
removing paragraph (d) to read as follows:
Sec. 1065.545 Validation of proportional flow control for batch
sampling.
* * * * *
0
301. A new Sec. 1065.546 is added to subpart F to read as follows:
Sec. 1065.546 Validation of minimum dilution ratio for PM batch
sampling.
Use continuous flows and/or tracer gas concentrations for transient
and ramped modal cycles to validate the minimum dilution ratios for PM
batch sampling as specified in Sec. 1065.140(e)(2) over the test
interval. You may use mode-average values instead of continuous
measurements for discrete mode steady-state duty cycles. Determine the
minimum primary and minimum overall dilution ratios using one of the
following methods (you may
[[Page 23044]]
use a different method for each stage of dilution):
(a) Determine minimum dilution ratio based on molar flow data. This
involves determination of at least two of the following three
quantities: Raw exhaust flow (or previously diluted flow), dilution air
flow, and dilute exhaust flow. You may determine the raw exhaust flow
rate based on the measured intake air molar flow rate and the chemical
balance terms in Sec. 1065.655. You may alternatively estimate the
molar raw exhaust flow rate based on intake air, fuel rate
measurements, and fuel properties, consistent with good engineering
judgment.
(b) Determine minimum dilution ratio based on tracer gas (e.g.,
CO2) concentrations in the raw (or previously diluted) and
dilute exhaust corrected for any removed water.
(c) Use good engineering judgment to develop your own method of
determining dilution ratios.
0
302. Section 1065.550 is amended by revising paragraph (b)(2) and
adding paragraph (b)(3) to read as follows:
Sec. 1065.550 Gas analyzer range validation, drift validation, and
drift correction.
* * * * *
(b) * * *
(2) For standards consisting of multiple emission mass measurements
(such as NMHC + NOX or separate NO and NO2
measurements to comply with a NOX standard), the duty cycle
shall be validated for drift if you satisfy one of the following:
(i) For each test interval of the duty cycle and for each
individual mass, the difference between the uncorrected and the
corrected brake-specific emission values over the test interval is
within 4% of the uncorrected value; or
(ii) For the entire duty cycle the difference between the combined
(e.g. NMHC + NOX) uncorrected and combined (e.g. NMHC +
NOX) corrected composite brake-specific emissions values
over the entire duty cycle is within 4% of the uncorrected
value or the applicable emissions standard, whichever is greater.
(3) If the test is not validated for drift, you may consider the
test results for the duty cycle to be valid only if, using good
engineering judgment, the observed drift does not affect your ability
to demonstrate compliance with the applicable emission standards. For
example, if the drift-corrected value is less than the standard by at
least two times the absolute difference between the uncorrected and
corrected values, you may consider the data to be valid for
demonstrating compliance with the applicable standard.
* * * * *
Subpart G--[Amended]
0
303. Section 1065.601 is amended by revising paragraph (b) to read as
follows:
Sec. 1065.601 Overview.
* * * * *
(b) You may use data from multiple systems to calculate test
results for a single emission test, consistent with good engineering
judgment. You may also make multiple measurements from a single batch
sample, such as multiple weighings of a PM filter or multiple readings
from a bag sample. You may not use test results from multiple emission
tests to report emissions. We allow weighted means where appropriate.
You may discard statistical outliers, but you must report all results.
* * * * *
0
304. Section 1065.602 is amended by revising paragraphs (b), (e), and
(l)(1)(iii) to read as follows:
Sec. 1065.602 Statistics.
* * * * *
(b) Arithmetic mean. Calculate an arithmetic mean, y, as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.003
Example:
N = 3
y1 = 10.60
y2 = 11.91
yN = y3 = 11.09
[GRAPHIC] [TIFF OMITTED] TR30AP10.004
y = 11.20
* * * * *
(e) Accuracy. Determine accuracy as described in this paragraph
(e). Make multiple measurements of a standard quantity to create a set
of observed values, yi, and compare each observed value to
the known value of the standard quantity. The standard quantity may
have a single known value, such as a gas standard, or a set of known
values of negligible range, such as a known applied pressure produced
by a calibration device during repeated applications. The known value
of the standard quantity is represented by yrefi . If you
use a standard quantity with a single value, yrefi would be
constant. Calculate an accuracy value as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.005
Example:
yref = 1800.0
N = 3
y1 = 1806.4
y2 = 1803.1
y3 = 1798.9
[GRAPHIC] [TIFF OMITTED] TR30AP10.006
[GRAPHIC] [TIFF OMITTED] TR30AP10.007
accuracy = 2.8
* * * * *
(l) * * *
(1) * * *
(iii) Use your estimated values as described in the following
example calculation:
[[Page 23045]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.008
[GRAPHIC] [TIFF OMITTED] TR30AP10.009
Example:
eNOx = 2.5 g/(kW[middot]hr)
Wref = 11.883 kW[middot]hr
MNOx = 46.0055 g/mol = 46.0055[middot]10-6 g/
[mu]mol
[Delta]tdutycycle = 20 min = 1200 s
Pref = 35.65 kW
Pfrict = 15%
Pmax = 125 kW
pmax = 300 kPa = 300000 Pa
Vdisp = 3.0 l = 0.0030 m3
fnmax = 2800 rev/min = 46.67 rev/s
Nstroke = 4 1/rev
[eta]V = 0.9
R = 8.314472 J/(mol[middot]K)
Tmax = 348.15 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.010
nexhmax = 6.53 mol/s
[GRAPHIC] [TIFF OMITTED] TR30AP10.011
xexp = 189.4 [mu]mol/mol
* * * * *
0
305. Section 1065.610 is amended by revising paragraph (c)(3)
introductory text to read as follows:
Sec. 1065.610 Duty cycle generation.
* * * * *
(c) * * *
(3) Intermediate speed. If your normalized duty cycle specifies a
speed as ``intermediate speed,'' use your torque-versus-speed curve to
determine the speed at which maximum torque occurs. This is peak torque
speed. If maximum torque occurs in a flat region of the torque-versus-
speed curve, your peak torque speed is the midpoint between the lowest
and highest speeds at which the trace reaches the flat region. For
purposes of this paragraph (c)(3), a flat region is one in which
measured torque values are within 2.0% of the maximum recorded value.
Identify your reference intermediate speed as one of the following
values:
* * * * *
0
306. Section 1065.640 is amended as follows:
0
a. By revising paragraphs (b)(1), (b)(5), and Table 1 of Sec.
1065.640.
0
b. By revising paragraphs (c)(3), (c)(4) introductory text, and
(c)(4)(i).
0
c. By revising paragraph (c)(5), (d)(1) (including Table 4 of Sec.
1065.640), and (e)(3).
Sec. 1065.640 Flow meter calibration calculations.
* * * * *
(b) * * *
(1) PDP volume pumped per revolution, Vrev (m\3\/rev):
[GRAPHIC] [TIFF OMITTED] TR30AP10.012
Example:
nref = 25.096 mol/s
R = 8.314472 J/(mol[middot]K)
Tin = 299.5 K
Pin = 98290 Pa
fnPDP = 1205.1 rev/min = 20.085 rev/s
[GRAPHIC] [TIFF OMITTED] TR30AP10.013
Vrev = 0.03166 m\3\/rev
* * * * *
(5) The following example illustrates these calculations:
Table 1 of Sec. 1065.640--Example of PDP Calibration Data
------------------------------------------------------------------------
------------------------------------------------------------------------
f8nPDP a1 a0
(rev/min) (m\3\/min) (m\3\/rev)
------------------------------------------------------------------------
755.0......................................... 50.43 0.056
987.6......................................... 49.86 -0.013
1254.5........................................ 48.54 0.028
1401.3........................................ 47.30 -0.061
------------------------------------------------------------------------
* * * * *
(c) * * *
(3) Calculate r as follows:
(i) For SSV systems only, calculate rSSV using the
following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.014
Where:
[Delta]pSSV = Differential static pressure; venturi inlet
minus venturi throat.
(ii) For CFV systems only, calculate rCFV iteratively
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.015
(4) You may make any of the following simplifying assumptions of
the governing equations, or you may use good engineering judgment to
develop more appropriate values for your testing:
(i) For emission testing over the full ranges of raw exhaust,
diluted exhaust and dilution air, you may assume that
[[Page 23046]]
the gas mixture behaves as an ideal gas: Z = 1.
* * * * *
(5) The following example illustrates the use of the governing
equations to calculate the discharge coefficient, Cd of an
SSV flow meter at one reference flow meter value. Note that calculating
Cd for a CFV flow meter would be similar, except that
Cf would be determined from Table 2 of this section or
calculated iteratively using values of [beta] and [gamma] as described
in paragraph (c)(2) of this section.
Example:
nref= 57.625 mol/s
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol[middot]K)
Tin = 298.15 K
At = 0.01824 m\2\
pin = 99132.0 Pa
[gamma] = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa
[GRAPHIC] [TIFF OMITTED] TR30AP10.016
[GRAPHIC] [TIFF OMITTED] TR30AP10.017
Cf = 0.274
[GRAPHIC] [TIFF OMITTED] TR30AP10.018
Cd = 0.981
(d) * * *
(1) Calculate the Reynolds number, Re, for each
reference molar flow rate, using the throat diameter of the venturi,
dt. Because the dynamic viscosity, [mu], is needed to
compute Re, you may use your own fluid viscosity
model to determine [mu] for your calibration gas (usually air), using
good engineering judgment. Alternatively, you may use the Sutherland
three-coefficient viscosity model to approximate [mu], as shown in the
following sample calculation for Re:
[GRAPHIC] [TIFF OMITTED] TR30AP10.019
Where, using the Sutherland three-coefficient viscosity model:
[GRAPHIC] [TIFF OMITTED] TR30AP10.020
Where:
[mu] = Dynamic viscosity of calibration gas.
[mu]0 = Sutherland reference viscosity.
T0 = Sutherland reference temperature.
S = Sutherland constant.
Table 4 of Sec. 1065.640--Sutherland Three-Coefficient Viscosity Model Parameters
----------------------------------------------------------------------------------------------------------------
[mu]0 T0 S Temp range Pressure
------------------------------------------ within 2% ------------
Gas \a\ kg/ error
(m[middot]s) K K ---------------- kPa
K
----------------------------------------------------------------------------------------------------------------
Air...................................... 1.716[middot]1 273 111 170 to 1,900 <= 1,800
0-5
CO2...................................... 1.370[middot]1 273 222 190 to 1,700 <= 3,600
0-5
H2O...................................... 1.12[middot]10- 350 1,064 360 to 1,500 <= 10,000
5
O2....................................... 1.919[middot]1 273 139 190 to 2,000 <= 2,500
0-5
N2....................................... 1.663[middot]1 273 107 100 to 1,500 <= 1,600
0-5
----------------------------------------------------------------------------------------------------------------
\a\ Use tabulated parameters only for the pure gases, as listed. Do not combine parameters in calculations to
calculate viscosities of gas mixtures.
Example:
[mu]0 = 1.716 [middot] 10-5 kg/(m[middot]s)
T0 = 273.11 K
S = 110.56 K
[[Page 23047]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.021
[mu] = 1.837[middot]10-5 kg/(m[middot]s)
Mmix = 28.7805 g/mol
nref = 57.625 mol/s
dt = 152.4 mm
Tin = 298.15 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.022
Re = 7.541[middot]10\5\
* * * * *
(e) * * *
(3) If the standard deviation of all the Cd values is
less than or equal to 0.3% of the mean Cd, use the mean
Cd in Eq 1065.642-6, and use the CFV only down to the lowest
r measured during calibration using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.023
Where:
[Delta]pCFV = Differential static pressure; venturi inlet
minus venturi outlet.
* * * * *
0
307. Section 1065.642 is revised to read as follows:
Sec. 1065.642 SSV, CFV, and PDP molar flow rate calculations.
This section describes the equations for calculating molar flow
rates from various flow meters. After you calibrate a flow meter
according to Sec. 1065.640, use the calculations described in this
section to calculate flow during an emission test.
(a) PDP molar flow rate. Based upon the speed at which you operate
the PDP for a test interval, select the corresponding slope,
a1, and intercept, a0, as calculated in Sec.
1065.640, to calculate molar flow rate, n as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.024
Where:
[GRAPHIC] [TIFF OMITTED] TR30AP10.025
Example:
a1 = 50.43 (m\3\/min) = 0.8405 (m\3\/s)
fnPDP = 755.0 rev/min = 12.58 rev/s
pout = 99950 Pa
pin = 98575 Pa
a0 = 0.056 (m\3\/rev)
R = 8.314472 J/(mol[middot]K)
Tin = 323.5 K
Cp = 1000 (J/m\3\)/kPa
Ct = 60 s/min
[GRAPHIC] [TIFF OMITTED] TR30AP10.026
Vrev = 0.06383 m\3\/rev
[GRAPHIC] [TIFF OMITTED] TR30AP10.027
n = 29.428 mol/s
(b) SSV molar flow rate. Based on the Cd versus
Re equation you determined according to Sec.
1065.640, calculate SSV molar flow rate, n during an emission test as
follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.028
Example:
At = 0.01824 m\2\
pin = 99132 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol\.\K)
Tin = 298.15 K
Re = 7.232\.\10\5\
[gamma] = 1.399
[beta] = 0.8
[Delta]p = 2.312 kPa
Using Eq. 1065.640-7,
rssv = 0.997
Using Eq. 1065.640-6,
Cf = 0.274
Using Eq. 1065.640-5,
Cd = 0.990
[GRAPHIC] [TIFF OMITTED] TR30AP10.029
n = 58.173 mol/s
(c) CFV molar flow rate. Some CFV flow meters consist of a single
venturi and some consist of multiple venturis, where different
combinations of venturis are used to meter different flow rates. If you
use multiple venturis and you calibrated each venturi independently to
determine a separate discharge coefficient, Cd, for each
venturi, calculate the individual molar flow rates through each venturi
and sum all their flow rates to determine n. If you use multiple
venturis and you calibrated each combination of venturis, calculate n
using the sum of the active venturi throat areas as At, the
sum of the active venturi throat diameters as dt, and the
ratio of venturi throat to inlet diameters as the ratio of the sum of
the active venturi throat diameters to the diameter of the common
entrance to all of the venturis. To calculate the molar flow rate
through one venturi or one combination of venturis, use its respective
mean Cd and other constants you determined according to
Sec. 1065.640 and calculate its molar flow rate n during an emission
test, as follows:
[[Page 23048]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.030
Example:
Cd = 0.985
Cf = 0.7219
At = 0.00456 m\2\
pin = 98836 Pa
Z = 1
Mmix = 28.7805 g/mol = 0.0287805 kg/mol
R = 8.314472 J/(mol\.\K)
Tin = 378.15 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.031
n = 33.690 mol/s
0
308. Section 1065.645 is amended by revising paragraphs (a)(2), (b),
and (c) to read as follows:
Sec. 1065.645 Amount of water in an ideal gas.
* * * * *
(a) * * *
(2) For humidity measurements over ice at ambient temperatures from
(-100 to 0) [deg]C, use the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.032
Example:
Tice = -15.4 [deg]C
Tice = -15.4 + 273.15 = 257.75 K
[GRAPHIC] [TIFF OMITTED] TR30AP10.033
log10(pH20) = -0.798207
pH20 = 10 \0.79821\ = 0.159145 kPa
(b) Dewpoint. If you measure humidity as a dewpoint, determine the
amount of water in an ideal gas, xH20, as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.034
Where:
xH20 = amount of water in an ideal gas.
pH20 = water vapor pressure at the measured dewpoint,
Tsat = Tdew.
pabs = wet static absolute pressure at the location of
your dewpoint measurement.
Example::
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-1,
pH20 = 1.186581 kPa
xH2O = 1.186581/99.980
xH2O = 0.011868 mol/mol
(c) Relative humidity. If you measure humidity as a relative
humidity, RH%, determine the amount of water in an ideal gas,
xH2O, as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.035
Where:
xH20 = amount of water in an ideal gas.
RH% = relative humidity.
pH20 = water vapor pressure at 100% relative humidity at
the location of your relative humidity measurement, Tsat
= Tamb.
pabs = wet static absolute pressure at the location of
your relative humidity measurement.
Example:
RH% = 50.77%
pabs = 99.980 kPa
Tsat = Tamb = 20 [deg]C
Using Eq. 1065.645-1,
pH20 = 2.3371 kPa
xH2O = (50.77% [middot] 2.3371)/99.980
xH2O = 0.011868 mol/mol
0
309. Section 1065.650 is amended by revising paragraphs (a), (b), (c)
introductory text, (d) introductory text, (d)(7), (e)(2), (f)(4), (g),
and (h) to read as follows:
Sec. 1065.650 Emission calculations.
(a) General. Calculate brake-specific emissions over each
applicable duty cycle or test interval. For test intervals with zero
work (or power), calculate the emission mass (or mass rate), but do not
calculate brake-specific emissions. For duty cycles with multiple test
intervals, refer to the standard-setting part for calculations you need
to determine a composite result, such as a calculation that weights and
sums the results of individual test intervals in a duty cycle. If the
standard-setting part does not include those calculations, use the
equations in paragraph (g) of this section. This section is written
based on rectangular integration, where each indexed value (i.e.,
``i'') represents (or approximates) the mean value of the
parameter for its respective time interval, delta-t. You may also
integrate continuous signals using trapezoidal integration consistent
with good engineering judgment.
(b) Brake-specific emissions over a test interval. We specify three
alternative ways to calculate brake-specific emissions over a test
interval, as follows:
(1) For any testing, you may calculate the total mass of emissions,
as described in paragraph (c) of this section, and divide it by the
total work generated over the test interval, as described in paragraph
(d) of this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.036
Example:
mNOx = 64.975 g
W = 25.783 kW[middot]hr
eNOx = 64.975/25.783
eNOx = 2.520 g/(kW[middot]hr)
(2) For discrete-mode steady-state testing, you may calculate the
brake-specific emissions over a test interval
[[Page 23049]]
using the ratio of emission mass rate to power, as described in
paragraph (e) of this section, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.037
(3) For field testing, you may calculate the ratio of total mass to
total work, where these individual values are determined as described
in paragraph (f) of this section. You may also use this approach for
laboratory testing, consistent with good engineering judgment. Good
engineering judgment dictates that this method not be used if there are
any work flow paths described in Sec. 1065.210 that cross the system
boundary, other than the primary output shaft (crankshaft). This is a
special case in which you use a signal linearly proportional to raw
exhaust molar flow rate to determine a value proportional to total
emissions. You then use the same linearly proportional signal to
determine total work using a chemical balance of fuel, intake air, and
exhaust as described in Sec. 1065.655, plus information about your
engine's brake-specific fuel consumption. Under this method, flow
meters need not meet accuracy specifications, but they must meet the
applicable linearity and repeatability specifications in subpart D or
subpart J of this part. The result is a brake-specific emission value
calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.038
Example:
m = 805.5 g
W = 52.102 kW[middot]hr
eCO = 805.5/52.102
eCO = 2.520 g/(kW[middot]hr)
(c) Total mass of emissions over a test interval. To calculate the
total mass of an emission, multiply a concentration by its respective
flow. For all systems, make preliminary calculations as described in
paragraph (c)(1) of this section, then use the method in paragraphs
(c)(2) through (4) of this section that is appropriate for your system.
Calculate the total mass of emissions as follows:
* * * * *
(d) Total work over a test interval. To calculate the total work
from the engine over a test interval, add the total work from all the
work paths described in Sec. 1065.210 that cross the system boundary
including electrical energy/work, mechanical shaft work, and fluid
pumping work. For all work paths, except the engine's primary output
shaft (crankshaft), the total work for the path over the test interval
is the integration of the net work flow rate (power) out of the system
boundary. When energy/work flows into the system boundary, this work
flow rate signal becomes negative; in this case, include these negative
work rate values in the integration to calculate total work from that
work path. Some work paths may result in a negative total work. Include
negative total work values from any work path in the calculated total
work from the engine rather than setting the values to zero. The rest
of this paragraph (d) describes how to calculate total work from the
engine's primary output shaft over a test interval. Before integrating
power on the engine's primary output shaft, adjust the speed and torque
data for the time alignment used in Sec. 1065.514(c). Any advance or
delay used on the feedback signals for cycle validation must also be
used for calculating work. Account for work of accessories according to
Sec. 1065.110. Exclude any work during cranking and starting. Exclude
work during actual motoring operation (negative feedback torques),
unless the engine was connected to one or more energy storage devices.
Examples of such energy storage devices include hybrid powertrain
batteries and hydraulic accumulators, like the ones illustrated in
Figure 1 of Sec. 1065.210. Exclude any work during reference zero-load
idle periods (0% speed or idle speed with 0 N[middot]m reference
torque). Note, that there must be two consecutive reference zero load
idle points to establish a period where this applies. Include work
during idle points with simulated minimum torque such as Curb Idle
Transmissions Torque (CITT) for automatic transmissions in ``drive''.
The work calculation method described in paragraphs (b)(1) through (7)
of this section meets these requirements using rectangular integration.
You may use other logic that gives equivalent results. For example, you
may use a trapezoidal integration method as described in paragraph
(b)(8) of this section.
* * * * *
(7) Integrate the resulting values for power over the test
interval. Calculate total work as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.039
Where:
W = total work from the primary output shaft
Pi = instantaneous power from the primary output shaft
over an interval i.
[GRAPHIC] [TIFF OMITTED] TR30AP10.040
Example:
N = 9000
fn1 = 1800.2 rev/min
fn2 = 1805.8 rev/min
T1 = 177.23 N\.\m
T2 = 175.00 N\.\m
Crev = 2[middot][pi] rad/rev
Ct1 = 60 s/min
Cp = 1000 (N[middot]m[middot]rad/s)/kW
frecord = 5 Hz
Ct2 = 3600 s/hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.041
P1 = 33.41 kW
P2 = 33.09 kW
Using Eq. 1065.650-5,
[Delta]t = \1/5\ = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR30AP10.042
W = 16.875 kW[middot]hr
* * * * *
(e) * * *
(2) To calculate an engine's mean steady-state total power, P, add
the mean steady-state power from all the work paths described in Sec.
1065.210 that cross the system boundary including electrical power,
mechanical shaft power, and fluid pumping power. For all work paths,
except the engine's primary output shaft (crankshaft), the mean steady-
state power over the test interval is the integration of the net work
flow rate (power) out of the system boundary divided by the period of
the test interval. When power flows into the system boundary, the
power/work flow rate signal becomes negative; in this case, include
these negative power/work rate values in the integration to calculate
the mean power from that work path. Some work paths may result in a
negative mean power. Include negative mean power values from any work
path in the mean total power from the engine rather than setting these
values to zero. The rest of this paragraph (e)(2) describes how to
calculate the mean power from the engine's primary output shaft.
Calculate P using Equation 1065.650-13, noting that P, fnrecord = 5 Hz
efuel = 285 g/(kW[middot]hr)
wfuel = 0.869 g/g
Mc = 12.0107 g/mol
n1= 3.922 ~mol/s = 14119.2 mol/hr
xCcombdry1 = 91.634 mmol/mol = 0.091634 mol/mol
xH2Oexh1 = 27.21 mmol/mol = 0.02721 mol/mol
Using Eq. 1065.650-5,
[Delta]t = 0.2 s
[GRAPHIC] [TIFF OMITTED] TR30AP10.044
W= 5.09 (kW[middot]hr)
(g) Brake-specific emissions over a duty cycle with multiple test
intervals. The standard-setting part may specify a duty cycle with
multiple test intervals, such as with discrete-mode steady-state
testing. Unless we specify otherwise, calculate composite brake-
specific emissions over the duty cycle as described in this paragraph
(g). If a measured mass (or mass rate) is negative, set it to zero for
calculating composite brake-specific emissions, but leave it unchanged
for drift validation. In the case of calculating composite brake-
specific emissions relative to a combined emission standard (such as a
NOX + NMHC standard), change any negative mass (or mass
rate) values to zero for a particular pollutant before combining the
values for the different pollutants.
(1) Use the following equation to calculate composite brake-
specific emissions for duty cycles with multiple test intervals all
with prescribed durations, such as cold-start and hot-start transient
cycles:
[GRAPHIC] [TIFF OMITTED] TR30AP10.045
Where:
i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the
standard-setting part.
m = mass of emissions over the test interval as determined in
paragraph (c) of this section.
W = total work from the engine over the test interval as determined
in paragraph (d) of this section.
Example:
N = 2
WF1 = 0.1428
WF2 = 0.8572
m1 = 70.125 g
m2 = 64.975 g
W1 = 25.783 kW[middot]hr
W2 = 25.783 kW[middot]hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.046
eNOxcomposite = 2.548 g/kW[middot]hr
(2) Calculate composite brake-specific emissions for duty cycles
with multiple test intervals that allow use of varying duration, such
as discrete-mode steady-state duty cycles, as follows:
(i) Use the following equation if you calculate brake-specific
emissions over test intervals based on total mass and total work as
described in paragraph (b)(1) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.047
Where:
i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the
standard-setting part.
m = mass of emissions over the test interval as determined in
paragraph (c) of this section.
[[Page 23051]]
W = total work from the engine over the test interval as determined
in paragraph (d) of this section.
t = duration of the test interval.
Example:
N = 2
WF1 = 0.85
WF2 = 0.15
m1 = 1.3753 g
m2 = 0.4135 g
t1 = 120 s
t2 = 200 s
W1 = 2.8375 kW[middot]hr
W2 = 0.0 kW[middot]hr
[GRAPHIC] [TIFF OMITTED] TR30AP10.048
eNOxcomposite = 0.5001 g/kW[middot]hr
(ii) Use the following equation if you calculate brake-specific
emissions over test intervals based on the ratio of mass rate to power
as described in paragraph (b)(2) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.049
Where:
i = test interval number.
N = number of test intervals.
WF = weighting factor for the test interval as defined in the
standard-setting part.
m= mean steady-state mass rate of emissions over the test interval
as determined in paragraph (e) of this section.
P is the mean steady-state power over the test interval as
described in paragraph (e) of this section.
Example:
N = 2
WF1 = 0.85
WF2 = 0.15
m1 = 2.25842 g/hr
m2 = 0.063443 g/hr
P1= 4.5383 kW
P2= 0.0 kW
[GRAPHIC] [TIFF OMITTED] TR30AP10.050
eNOxcomposite = 0.5001 g/kW[middot]hr
(h) Rounding. Round the final brake-specific emission values to be
compared to the applicable standard only after all calculations are
complete (including any drift correction, applicable deterioration
factors, adjustment factors, and allowances) and the result is in g/
(kW[middot]hr) or units equivalent to the units of the standard, such
as g/(hp[middot]hr). See the definition of ``Round'' in Sec.
1065.1001.
0
310. Section 1065.655 is amended by revising paragraphs (c), (d), Table
1 of Sec. 1065.655, and paragraph (e)(3) to read as follows:
Sec. 1065.655 Chemical balances of fuel, intake air, and exhaust.
* * * * *
(c) Chemical balance procedure. The calculations for a chemical
balance involve a system of equations that require iteration. We
recommend using a computer to solve this system of equations. You must
guess the initial values of up to three quantities: The amount of water
in the measured flow, xH2Oexh, fraction of dilution air in
diluted exhaust, xdil/exh, and the amount of products on a
C1 basis per dry mole of dry measured flow,
xCcombdry. You may use time-weighted mean values of
combustion air humidity and dilution air humidity in the chemical
balance; as long as your combustion air and dilution air humidities
remain within tolerances of 0.0025 mol/mol of their
respective mean values over the test interval. For each emission
concentration, x, and amount of water, xH2Oexh, you must
determine their completely dry concentrations, xdry and
xH2Oexhdry. You must also use your fuel's atomic hydrogen-
to-carbon ratio, [alpha], oxygen-to-carbon ratio, [beta], sulfur-to-
carbon ratio, [gamma], and nitrogen-to-carbon ratio, [delta]. You may
measure [alpha], [beta], [gamma], and [delta] or you may use default
values for a given fuel as described in Sec. 1065.655(d). Use the
following steps to complete a chemical balance:
(1) Convert your measured concentrations such as,
xCO2meas, xNOmeas, and xH2Oint, to dry
concentrations by dividing them by one minus the amount of water
present during their respective measurements; for example:
xH2OxCO2meas x, H2OxNOmeas, and
xH2Oint. If the amount of water present during a ``wet''
measurement is the same as the unknown amount of water in the exhaust
flow, xH2Oexh, iteratively solve for that value in the
system of equations. If you measure only total NOX and not
NO and NO2 separately, use good engineering judgment to
estimate a split in your total NOX concentration between NO
and NO2 for the chemical balances. For example, if you
measure emissions from a stoichiometric spark-ignition engine, you may
assume all NOX is NO. For a compression-ignition engine, you
may assume that your molar concentration of NOX,
xNOx, is 75% NO and 25% NO2. For NO2
storage aftertreatment systems, you may assume xNOx is 25%
NO and 75% NO2. Note that for calculating the mass of
NOX emissions, you must use the molar mass of NO2
for the effective molar mass of all NOX species, regardless
of the actual NO2 fraction of NOX.
(2) Enter the equations in paragraph (c)(4) of this section into a
computer program to iteratively solve for xH2Oexh,
[[Page 23052]]
xCcombdry, and xdil/exh. Use good engineering
judgment to guess initial values for xH2Oexh,
xCcombdry, and xdil/exh. We recommend guessing an
initial amount of water that is about twice the amount of water in your
intake or dilution air. We recommend guessing an initial value of
xCcombdry as the sum of your measured CO2, CO,
and THC values. We also recommend guessing an initial
xdil/exh between 0.75 and 0.95, such as 0.8. Iterate values
in the system of equations until the most recently updated guesses are
all within 1% of their respective most recently calculated
values.
(3) Use the following symbols and subscripts in the equations for
this paragraph (c):
xdil/exh = amount of dilution gas or excess air per mole of
exhaust.
xH2Oexh = amount of water in exhaust per mole of exhaust.
xCcombdry = amount of carbon from fuel in the exhaust per
mole of dry exhaust.
xH2dry = amount of H2 in exhaust per amount of
dry exhaust.
KH2Ogas = water-gas reaction equilibrium coefficient. You
may use 3.5 or calculate your own value using good engineering
judgment.
xH2Oexhdry = amount of water in exhaust per dry mole of dry
exhaust.
xprod/intdry = amount of dry stoichiometric products per dry
mole of intake air.
xdil/exhdry = amount of dilution gas and/or excess air per
mole of dry exhaust.
xint/exhdry = amount of intake air required to produce
actual combustion products per mole of dry (raw or diluted) exhaust.
xraw/exhdry = amount of undiluted exhaust, without excess
air, per mole of dry (raw or diluted) exhaust.
xO2int = amount of intake air O2 per mole of
intake air.
xCO2intdry = amount of intake air CO2 per mole of
dry intake air. You may use xCO2intdry = 375 [mu]mol/mol,
but we recommend measuring the actual concentration in the intake air.
xH2Ointdry = amount of intake air H2O per mole of
dry intake air.
xCO2int = amount of intake air CO2 per mole of
intake air.
xCO2dil = amount of dilution gas CO2 per mole of
dilution gas.
xCO2dildry = amount of dilution gas CO2 per mole
of dry dilution gas. If you use air as diluent, you may use
xCO2dildry = 375 [mu]mol/mol, but we recommend measuring the
actual concentration in the intake air.
xH2Odildry = amount of dilution gas H2O per mole
of dry dilution gas.
xH2Odil = amount of dilution gas H2O per mole of
dilution gas.
x[emission]meas = amount of measured emission in the sample
at the respective gas analyzer.
x[emission]dry = amount of emission per dry mole of dry
sample.
xH2O[emission]meas = amount of water in sample at emission-
detection location. Measure or estimate these values according to Sec.
1065.145(e)(2).
xH2Oint = amount of water in the intake air, based on a
humidity measurement of intake air.nb
[alpha] = atomic hydrogen-to-carbon ratio of the mixture of fuel(s)
being combusted, weighted by molar consumption.
[beta] = atomic oxygen-to-carbon ratio of the mixture of fuel(s) being
combusted, weighted by molar consumption.
[gamma] = atomic sulfur-to-carbon ratio of the mixture of fuel(s) being
combusted, weighted by molar consumption.
[delta] = atomic nitrogen-to-carbon ratio of the mixture of fuel(s)
being combusted, weighted by molar consumption.
(4) Use the following equations to iteratively solve for
xdil/exh, xH2Oexh, and xCcombdry:
[GRAPHIC] [TIFF OMITTED] TR30AP10.051
[GRAPHIC] [TIFF OMITTED] TR30AP10.052
[GRAPHIC] [TIFF OMITTED] TR30AP10.053
[GRAPHIC] [TIFF OMITTED] TR30AP10.054
[GRAPHIC] [TIFF OMITTED] TR30AP10.055
[GRAPHIC] [TIFF OMITTED] TR30AP10.056
[GRAPHIC] [TIFF OMITTED] TR30AP10.057
[GRAPHIC] [TIFF OMITTED] TR30AP10.058
[[Page 23053]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.059
[GRAPHIC] [TIFF OMITTED] TR30AP10.060
[GRAPHIC] [TIFF OMITTED] TR30AP10.061
[GRAPHIC] [TIFF OMITTED] TR30AP10.062
[GRAPHIC] [TIFF OMITTED] TR30AP10.063
[GRAPHIC] [TIFF OMITTED] TR30AP10.064
[GRAPHIC] [TIFF OMITTED] TR30AP10.065
[GRAPHIC] [TIFF OMITTED] TR30AP10.066
[GRAPHIC] [TIFF OMITTED] TR30AP10.067
[GRAPHIC] [TIFF OMITTED] TR30AP10.068
(5) The following example is a solution for xdil/exh,
xH2Oexh, and xCcombdry using the
equations in paragraph (c)(4) of this section:
[GRAPHIC] [TIFF OMITTED] TR30AP10.069
[GRAPHIC] [TIFF OMITTED] TR30AP10.070
[GRAPHIC] [TIFF OMITTED] TR30AP10.071
[GRAPHIC] [TIFF OMITTED] TR30AP10.072
[[Page 23054]]
[GRAPHIC] [TIFF OMITTED] TR30AP10.073
[GRAPHIC] [TIFF OMITTED] TR30AP10.074
[GRAPHIC] [TIFF OMITTED] TR30AP10.075
[GRAPHIC] [TIFF OMITTED] TR30AP10.076
[GRAPHIC] [TIFF OMITTED] TR30AP10.077
[GRAPHIC] [TIFF OMITTED] TR30AP10.078
[GRAPHIC] [TIFF OMITTED] TR30AP10.079
[GRAPHIC] [TIFF OMITTED] TR30AP10.080
[GRAPHIC] [TIFF OMITTED] TR30AP10.081
[GRAPHIC] [TIFF OMITTED] TR30AP10.082
[GRAPHIC] [TIFF OMITTED] TR30AP10.083
[GRAPHIC] [TIFF OMITTED] TR30AP10.084
[GRAPHIC] [TIFF OMITTED] TR30AP10.085
[GRAPHIC] [TIFF OMITTED] TR30AP10.086
[alpha] = 1.8
[beta] = 0.05
[gamma] = 0.0003
[delta] = 0.0001
(d) Carbon mass fraction. Determine carbon mass fraction of fuel,
wc, using one of the following methods:
(1) You may calculate wc as described in this paragraph
(d)(1) based on measured fuel properties. To do so, you must determine
values for [alpha] and [beta] in all cases, but you may set [gamma] and
[delta] to zero if the default value listed in Table 1 of this section
is zero. Calculate wc using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.087
[[Page 23055]]
Where:
wC, = carbon mass fraction of fuel.
MC = molar mass of carbon.
[alpha] = atomic hydrogen-to-carbon ratio of the mixture of fuel(s)
being combusted, weighted by molar consumption.
MH = molar mass of hydrogen.
[beta] = atomic oxygen-to-carbon ratio of the mixture of fuel(s)
being combusted, weighted by molar consumption.
MO = molar mass of oxygen.
[gamma] = atomic sulfur-to-carbon ratio of the mixture of fuel(s)
being combusted, weighted by molar consumption.
MS = molar mass of sulfur.
[delta] = atomic nitrogen-to-carbon ratio of the mixture of fuel(s)
being combusted, weighted by molar consumption.
MN = molar mass of nitrogen.
Example:
[alpha] = 1.8
[beta] = 0.05
[gamma] = 0.0003
[delta] = 0.0001
MC = 12.0107
MH = 1.01
MO = 15.9994
MS = 32.065
MN = 14.0067
[GRAPHIC] [TIFF OMITTED] TR30AP10.088
wC, = 0.8205
(2) You may use the default values in the following table to
determine wc for a given fuel:
Table 1 of Sec. 1065.655--Default Values of [alpha], [beta], [gamma],
[delta], and wc, for Various Fuels
------------------------------------------------------------------------
------------------------------------------------------------------------
Fuel Atomic hydrogen, Carbon mass
oxygen, sulfur, and. fraction, wc
nitrogen-to-carbon g/g.
ratios.
CH[alpha]O[beta]S[gam
ma]N[delta].
------------------------------------------------------------------------
Gasoline......................... CH1.85O0S0N0......... 0.866
2 Diesel................ CH1.80O0S0N0......... 0.869
1 Diesel................ CH1.93O0S0N0......... 0.861
Liquefied Petroleum Gas.......... CH2.64O0S0N0......... 0.819
Natural gas...................... CH3.78O0.016S0N0..... 0.747
Ethanol.......................... CH3O0.5S0N0.......... 0.521
Methanol......................... CH4O1S0N0............ 0.375
------------------------------------------------------------------------
Residual fuel blends............. Must be determined by measured fuel
properties as described in paragraph
(d)(1) of this section.
------------------------------------------------------------------------
(e) * * *
(3) Fuel mass flow rate calculation. Based on mfuel,
calculate nexh as follows:
[GRAPHIC] [TIFF OMITTED] TR30AP10.089
Where:
nexh = raw exhaust molar flow rate from which you
measured emissions.
mfuel = fuel flow rate including humidity in intake air.
Example:
mfuel = 7.559 g/s
wC = 0.869 g/g
MC = 12.0107 g/mol
xCcombdry = 99.87 mmol/mol = 0.09987 mol/mol
xH20exhdry = 107.64 mmol/mol = 0.10764 mol/mol
[GRAPHIC] [TIFF OMITTED] TR30AP10.090
nexh= 6.066 mol/s
0
311. Section 1065.667 is amended by revising paragraphs (d) and (e) to
read as follows:
Sec. 1065.667 Dilution air background emission correction.
* * * * *
(d) The following is an example of using the flow-weighted mean
fraction of dilution air in diluted exhaust, xdil/exh, and
the total mass of background emissions calculated using the total flow
of diluted exhaust, ndexh, as described in Sec.
1065.650(c):
[GRAPHIC] [TIFF OMITTED] TR30AP10.091
[GRAPHIC] [TIFF OMITTED] TR30AP10.092
Example:
MNOx = 46.0055 g/mol
xbkgnd = 0.05 [mu]mol/mol = 0.05[middot]10-6
mol/mol
ndexh = 23280.5 mol
xdil/exh = 0.843 mol/mol
mbkgndNOxdexh =
46.0055[middot]0.05[middot]10-6[middot]23280.5
mbkgndNOxdexh = 0.0536 g
mbkgndNOx = 0.843 [middot] 0.0536
mbkgndNOx = 0.0452 g
(e) The following is an example of using the fraction of dilution
air in
[[Page 23056]]
diluted exhaust, xdil/exh, and the mass rate of background
emissions calculated using the flow rate of diluted exhaust,
ndexh, as described in Sec. 1065.650(c):
[GRAPHIC] [TIFF OMITTED] TR30AP10.093
[GRAPHIC] [TIFF OMITTED] TR30AP10.094
Example:
MNOx = 46.0055 g/mol
xbkgnd = 0.05 [mu]mol/mol = 0.05[middot]10-6
mol/mol
ndexh = 23280.5 mol/s
xdil/exh = 0.843 mol/mol
mbkgndNOxdexh =
36.0055[middot]0.05[middot]10-6 [middot] 23280.5
mbkgndNOXdexh = 0.0536 g/hr
mbkgndNOx = 0.843 [middot] 0.0536
mbkgndNOx = 0.0452 g/hr
0
312. Section 1065.670 is revised to read as follows:
Sec. 1065.670 NOX intake-air humidity and temperature corrections.
See the standard-setting part to determine if you may correct
NOX emissions for the effects of intake-air humidity or
temperature. Use the NOX intake-air humidity and temperature
corrections specified in the standard-setting part instead of the
NOX intake-air humidity correction specified in this part
1065. If the standard-setting part does not prohibit correcting
NOX emissions for intake-air humidity according to this part
1065, first apply any NOX corrections for background
emissions and water removal from the exhaust sample, then correct
NOX concentrations for intake-air humidity. You may use a
time-weighted mean combustion air humidity to calculate this correction
if your combustion air humidity remains within a tolerance of 0.0025 mol/mol of the mean value over the test interval. For
intake-air humidity correction, use one of the following approaches:
(a) For compression-ignition engines, correct for intake-air
humidity using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.095
Example:
xNOxuncor = 700.5 [mu]mol/mol
xH2O = 0.022 mol/mol
xNOxcor = 700.5 [middot] (9.953 [middot] 0.022 + 0.832)
xNOxcor = 736.2 [micro]mol/mol
(b) For spark-ignition engines, correct for intake-air humidity
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR30AP10.096
Example:
xNOxuncor = 154.7 [mu]mol/mol
xH2O = 0.022 mol/mol
xNOxcor = 154.7 [middot] (18.840 [middot] 0.022 +
0.68094)
xNOxcor = 169.5 [mu]mol/mol
(c) Develop your own correction, based on good engineering
judgment.
0
313. Section 1065.672 is amended by revising paragraph (d)(7) to read
as follows:
Sec. 1065.672 Drift correction.
* * * * *
(d) * * *
(7) Usually the reference concentration of the zero gas,
xrefzero, is zero: xrefzero = 0 [micro]mol/mol.
However, in some cases you might know that xrefzero has a
non-zero concentration. For example, if you zero a CO2
analyzer using ambient air, you may use the default ambient air
concentration of CO2, which is 375 [mu]mol/mol. In this
case, xrefzero = 375 [mu]mol/mol. Note that when you zero an
analyzer using a non-zero xrefzero, you must set the
analyzer to output the actual xrefzero concentration. For
example, if xrefzero = 375 [mu]mol/mol, set the analyzer to
output a value of 375 [mu]mol/mol when the zero gas is flowing to the
analyzer.
0
314. Section 1065.690 is amended by revising paragraphs (c) and (e) to
read as follows:
Sec. 1065.690 Buoyancy correction for PM sample media.
* * * * *
(c) Air density. Because a PM balance environment must be tightly
controlled to an ambient temperature of (22 1) [deg]C and
humidity has an insignificant effect on buoyancy correction, air
density is primarily a function of atmospheric pressure. Therefore you
may use nominal constant values for temperature and humidity in the
buoyancy correction equation in Eq. 1065.690-2.
* * * * *
(e) Correction calculation. Correct the PM sample media for
buoyancy using the following equations:
[GRAPHIC] [TIFF OMITTED] TR30AP10.097
Where:
mcor = PM mass corrected for buoyancy.
muncor = PM mass uncorrected for buoyancy.
[rho]air = density of air in balance environment.
[[Page 23057]]
[rho]weight = density of calibration weight used to span
balance.
[rho]media = density of PM sample media, such as a
filter.
[GRAPHIC] [TIFF OMITTED] TR30AP10.098
Where:
pabs = absolute pressure in balance environment.
Mmix = molar mass of air in balance environment.
R = molar gas constant.
Tamb = absolute ambient temperature of balance
environment.
Example:
pabs = 99.980 kPa
Tsat = Tdew = 9.5 [deg]C
Using Eq. 1065.645-1,
pH20 = 1.1866 kPa
Using Eq. 1065.645-3,
xH2O = 0.011868 mol/mol
Using Eq. 1065.640-9,
Mmix = 28.83563 g/mol
R = 8.314472 J/(mol\.\K)
Tamb = 20 [deg]C
[GRAPHIC] [TIFF OMITTED] TR30AP10.099
[rho]air = 1.18282 kg/m\3\
muncorr = 100.0000 mg
[rho]weight = 8000 kg/m\3\
[rho]media = 920 kg/m\3\
[GRAPHIC] [TIFF OMITTED] TR30AP10.100
mcor = 100.1139 mg
Subpart H-- [Amended]
0
315. Section 1065.701 is amended by revising paragraph (f) and Table 1
of Sec. 1065.701 to read as follows:
Sec. 1065.701 General requirements for test fuels.
* * * * *
(f) Service accumulation and field testing fuels. If we do not
specify a service-accumulation or field-testing fuel in the standard-
setting part, use an appropriate commercially available fuel such as
those meeting minimum specifications from the following table:
Table 1 of Sec. 1065.701--Examples of Service-accumulation and Field-
testing Fuels
------------------------------------------------------------------------
Reference procedure
Fuel category Subcategory \1\
------------------------------------------------------------------------
Light distillate and ASTM D975-07b.
light blends with
residual.
Diesel...................... Middle distillate... ASTM D6985-04a.
Biodiesel (B100).... ASTM D6751-07b.
Intermediate and residual All................. See Sec. 1065.705.
fuel.
Gasoline.................... Motor vehicle ASTM D4814-07a.
gasoline.
Minor oxygenated ASTM D4814-07a.
gasoline blends.
Alcohol..................... Ethanol (Ed75-85)... ASTM D5798-07.
Methanol (M70-M85).. ASTM D5797-07.
Aviation fuel............... Aviation gasoline... ASTM D910-07.
Gas turbine......... ASTM D1655-07e01.
Jet B wide cut...... ASTM D6615-06.
Gas turbine fuel............ General............. ASTM D2880-03l.
------------------------------------------------------------------------
\1\ASTM specifications are incorporated by reference in Sec.
1065.1010.
0
316. Section 1065.703 is amended by revising Table 1 of Sec. 1065.703
to read as follows:
Sec. 1065.703 Distillate diesel fuel.
* * * * *
Table 1 of Sec. 1065.703--Test Fuel Specifications for Distillate Diesel Fuel
----------------------------------------------------------------------------------------------------------------
Ultra low Reference procedure
Item Units sulfur Low sulfur High sulfur \1\
----------------------------------------------------------------------------------------------------------------
Cetane Number................. ................. 40-50 40-50 40-50 ASTM D613-05.
----------------------------------------------------------------------------------------------------------------
Distillation range:
Initial boiling point......... [deg]C........... 171-204 171-204 171-204 ASTM D86-07a.
----------------------------------------------------------------------------------------------------------------
10 pct. point................. ................. 204-238 204-238 204-238
----------------------------------------------------------------------------------------------------------------
50 pct. point................. ................. 243-282 243-282 243-282
----------------------------------------------------------------------------------------------------------------
90 pct. point................. ................. 293-332 293-332 293-332
----------------------------------------------------------------------------------------------------------------
Endpoint...................... ................. 321-366 321-366 321-366
----------------------------------------------------------------------------------------------------------------
Gravity....................... [deg]API......... 32-37 32-37 32-37 ASTM D4052-96e01.
----------------------------------------------------------------------------------------------------------------
Total sulfur, ultra low sulfur mg/kg............ 7-15 ........... ........... See 40 CFR 80.580.
----------------------------------------------------------------------------------------------------------------
Total sulfur, low and high mg/kg............ ........... 300-500 800-2500 ASTM D2622-07 or
sulfur. alternates as allowed
under 40 CFR 80.580.
----------------------------------------------------------------------------------------------------------------
Aromatics, min. (Remainder g/kg............. 100 100 100 ASTM D5186-03.
shall be paraffins,
naphthalenes, and olefins)
Flashpoint, min............... [deg]C........... 54 54 54 ASTM D93-07.
[[Page 23058]]
Kinematic Viscosity........... cSt.............. 2.0-3.2 2.0-3.2 2.0-3.2 ASTM D445-06.
----------------------------------------------------------------------------------------------------------------
\1\ASTM procedures are incorporated by reference in Sec. 1065.1010. See Sec. 1065.701(d) for other allowed
procedures.
Subpart I--[Amended]
0
317. Section 1065.845 is amended by revising paragraph (b) to read as
follows:
Sec. 1065.845 Response factor determination.
* * * * *
(b) Alcohol/carbonyl calibration gases must remain within 2% of the labeled concentration. You must demonstrate the
stability based on a quarterly measurement procedure with a precision
of 2% percent or another method that we approve. Your
measurement procedure may incorporate multiple measurements. If the
true concentration of the gas changes deviates by more than 2%, but less than 10%, the gas may be relabeled with
the new concentration.
Subpart J-- [Amended]
0
318. Section 1065.910 is amended by revising paragraphs (a)(3) and (c)
to read as follows:
Sec. 1065.910 PEMS auxiliary equipment for field testing.
* * * * *
(a) * * *
(3) Flow restriction. Use flow meters, connectors, and tubing that
do not increase flow restriction so much that it exceeds the
manufacturer's maximum specified value. You may verify this at the
maximum exhaust flow rate by measuring pressure at the manufacturer-
specified location with your system connected. You may also perform an
engineering analysis to verify an acceptable configuration, taking into
account the maximum exhaust flow rate expected, the field test system's
flexible connectors, and the tubing's characteristics for pressure
drops versus flow.
* * * * *
(c) Use mounting hardware as required for securing flexible
connectors, ambient sensors, and other equipment. Use structurally
sound mounting points such as vehicle frames, trailer hitch receivers,
walk spaces, and payload tie-down fittings. We recommend mounting
hardware such as clamps, suction cups, and magnets that are
specifically designed for your application. We also recommend
considering mounting hardware such as commercially available bicycle
racks, trailer hitches, and luggage racks where applicable.
* * * * *
Subpart K--[Amended]
0
319. Section 1065.1001 is amended by revising the definitions for
``Duty cycle'' and ``Percent'' to read as follows:
Sec. 1065.1001 Definitions.
* * * * *
Duty cycle means one of the following:
(1) A series of speed and torque values (or power values) that an
engine must follow during a laboratory test. Duty cycles are specified
in the standard-setting part. A single duty cycle may consist of one or
more test intervals. A series of speed and torque values meeting the
definition of this paragraph (1) may also be considered a test cycle.
For example, a duty cycle may be a ramped-modal cycle, which has one
test interval; a cold-start plus hot-start transient cycle, which has
two test intervals; or a discrete-mode cycle, which has one test
interval for each mode.
(2) A set of weighting factors and the corresponding speed and
torque values, where the weighting factors are used to combine the
results of multiple test intervals into a composite result.
* * * * *
Percent (%) means a representation of exactly 0.01 (with infinite
precision). Significant digits for the product of % and another value,
or the expression of any other value as a percentage, are defined as
follows:
(1) Where we specify some percentage of a total value, the
calculated value has the same number of significant digits as the total
value. The specified percentage by which the total value is multiplied
has infinite precision. Note that not all displayed or recorded digits
are significant. For example, 2% of a span value where the span value
is 101.3302 is 2.026604. However, where the span value has limited
precision such that only one digit to the right of the decimal is
significant (i.e., the actual value is 101.3), 2% of the span value is
2.026.
(2) In other cases, determine the number of significant digits
using the same method as you would use for determining the number of
significant digits of any calculated value. For example, a calculated
value of 0.321, where all three digits are significant, is equivalent
to 32.1%.
* * * * *
PART 1068--GENERAL COMPLIANCE PROVISIONS FOR ENGINE PROGRAMS
0
320. The authority citation for part 1068 continues to read as follows:
Authority: 42 U.S.C. 7401-7671q.
0
321. The heading for part 1068 is revised as set forth above.
Subpart A--[Amended]
0
322. Section 1068.1 is amended by revising paragraphs (a)(4), (b)(4),
(b)(8), and (d)(1) to read as follows:
Sec. 1068.1 Does this part apply to me?
(a) * * *
(4) Marine compression-ignition engines we regulate under 40 CFR
part 1042.
* * * * *
(b) * * *
(4) Land-based nonroad compression-ignition engines we regulate
under 40 CFR part 89.
* * * * *
(8) Marine compression-ignition engines we regulate under 40 CFR
parts 89 or 94.
* * * * *
(d) * * *
(1) The provisions of Sec. Sec. 1068.30 and 1068.310 apply for
stationary spark-ignition engines built on or after January 1, 2004,
and for stationary compression-ignition engines built on or after
January 1, 2006.
* * * * *
0
323. Section 1068.25 is amended by adding paragraph (c) to read as
follows:
Sec. 1068.25 What information must I give to EPA?
* * * * *
(c) You are responsible for statements and information in your
applications for certification or any other requests or reports. If you
provide statements or information to someone for submission to EPA, you
are responsible for these statements and information as if you had
submitted them to EPA yourself. For example, knowingly submitting
[[Page 23059]]
false information to someone else for inclusion in an application for
certification would be deemed to be a submission of false information
to the U.S. government in violation of 18 U.S.C. 1001.
0
324. Section 1068.30 is amended as follows:
0
a. By revising the introductory text of the definition for ``Engine''.
0
b. By adding a definition for ``Engine configuration'' in alphabetical
order.
0
c. By adding a definition for ``Gas turbine engine'' in alphabetical
order.
0
d. By revising the definition for ``Ultimate purchaser''.
Sec. 1068.30 What definitions apply to this part?
* * * * *
Engine means an engine block with an installed crankshaft, or a gas
turbine engine. The term engine does not include engine blocks without
an installed crankshaft, nor does it include any assembly of
reciprocating engine components that does not include the engine block.
(Note: For purposes of this definition, any component that is the
primary means of converting an engine's energy into usable work is
considered a crankshaft, whether or not it is known commercially as a
crankshaft.) This includes complete and partially complete engines as
follows:
* * * * *
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
or factors unrelated to emissions.
* * * * *
Gas turbine engine means anything commercially known as a gas
turbine engine or any collection of assembled engine components that is
substantially similar to engines commercially known as gas turbine
engines. For example, a jet engine is a gas turbine engine. Gas turbine
engines may be complete or partially complete. Turbines that rely on
external combustion such as steam engines are not gas turbine engines.
* * * * *
Ultimate purchaser means the first person who in good faith
purchases a new engine or new piece of equipment for purposes other
than resale.
* * * * *
0
325. Section 1068.31 is amended by revising paragraph (d) to read as
follows:
Sec. 1068.31 What provisions apply to nonroad or stationary engines
that change their status?
* * * * *
(d) Changing the status of a nonroad engine to be a new stationary
engine as described in paragraph (e) of this section is a violation of
Sec. 1068.101(a)(1) unless the engine complies with all the
requirements of this chapter for new stationary engines of the same
type (for example, a compression-ignition engine rated at 40 kW) and
model year. For a new stationary engine that is required to be
certified under 40 CFR part 60, the engine must have been certified to
be compliant with all the requirements that apply to new stationary
engines of the same type and model year, and must be in its certified
configuration. Note that the definitions of ``model year'' in the
standard-setting parts generally identify the engine's original date of
manufacture as the basis for determining which standards apply if it
becomes a stationary engine after it is no longer new. For example, see
40 CFR 60.4219 and 60.4248.
* * * * *
0
326. Section 1068.40 is revised to read as follows:
Sec. 1068.40 What special provisions apply for implementing changes
in the regulations?
(a) During the 12 months following the effective date of any change
in the provisions of this part, you may ask to apply the previously
applicable provisions. We will generally approve your request if you
can demonstrate that it would be impractical to comply with the new
requirements. We may consider the potential for adverse environmental
impacts in our decision. Similarly, in unusual circumstances, you may
ask for relief under this paragraph (a) from new requirements that
apply under the standard-setting part.
(b) During the 60 days following the effective date of any change
in the provisions of this part, you may use the previously applicable
provisions without request if they meet either of the following
criteria:
(1) The new provisions require you to redesign your engines/
equipment, modify your engine/equipment labels, or change your
production procedures.
(2) The new provisions change what you must include in an
application for certification that you submit before the end of this
60-day period. You are not required to amend such applications to
comply with the new provisions for that model year; however, this
allowance does not apply for later model years, even if you certify an
engine family using carryover emission data. This allowance does not
affect your obligation to provide information that we request separate
from an application for certification.
(c) Prior to the dates listed you may comply with earlier versions
of applicable regulations as follows:
(1) Prior to June 1, 2010, you may comply with the provisions of
Sec. 1068.240 that were in effect on April 30, 2010.
(2) [Reserved]
0
327. Section 1068.45 is amended by revising paragraph (c) introductory
text to read as follows:
Sec. 1068.45 General labeling provisions.
* * * * *
(c) Labels on packaging. Unless we specify otherwise, where we
require engine/equipment labels that may be removable, you may instead
label the packaging if the engines/equipment are packaged together as
described in this paragraph (c). For example, this may involve
packaging engines together by attaching them to a rack, binding them
together on a pallet, or enclosing them in a box. The provisions of
this paragraph (c) also apply for engines/equipment boxed individually
where you do not apply labels directly to the engines/equipment. The
following provisions apply if you label the packaging instead of
labeling engines/equipment individually:
* * * * *
0
328. Section 1068.101 is revised to read as follows:
Sec. 1068.101 What general actions does this regulation prohibit?
This section specifies actions that are prohibited and the maximum
civil penalties that we can assess for each violation in accordance
with 42 U.S.C. 7522 and 7524. The maximum penalty values listed in
paragraphs (a) and (b) of this section apply as of January 12, 2009. As
described in paragraph (h) of this section, these maximum penalty
limits are different for earlier violations and they may be adjusted as
set forth in 40 CFR part 19.
(a) The following prohibitions and requirements apply to
manufacturers of new engines, manufacturers of equipment containing
these engines, and manufacturers of new equipment, except as described
in subparts C and D of this part:
(1) Introduction into commerce. You may not sell, offer for sale,
or introduce or deliver into commerce in the United States or import
into the United States any new engine/equipment after emission
standards take effect for the engine/equipment, unless it is covered by
a valid certificate of conformity for its model year and has the
required label or tag. You also may not take any of the actions listed
in the previous sentence with respect to any equipment
[[Page 23060]]
containing an engine subject to this part's provisions unless the
engine is covered by a valid certificate of conformity for its model
year and has the required engine label or tag. We may assess a civil
penalty up to $37,500 for each engine or piece of equipment in
violation.
(i) For purposes of this paragraph (a)(1), a valid certificate of
conformity is one that applies for the same model year as the model
year of the equipment (except as allowed by Sec. 1068.105(a)), covers
the appropriate category of engines/equipment (such as locomotive or
Marine SI), and conforms to all requirements specified for equipment in
the standard-setting part. Engines/equipment are considered not covered
by a certificate unless they are in a configuration described in the
application for certification.
(ii) The requirements of this paragraph (a)(1) also cover new
engines you produce to replace an older engine in a piece of equipment,
unless the engine qualifies for the replacement-engine exemption in
Sec. 1068.240.
(iii) For engines used in equipment subject to equipment-based
standards, you may not sell, offer for sale, or introduce or deliver
into commerce in the United States or import into the United States any
new engine unless it is covered by a valid certificate of conformity
for its model year and has the required label or tag. See the standard-
setting part for more information about how this prohibition applies.
(2) Reporting and recordkeeping. This chapter requires you to
record certain types of information to show that you meet our
standards. You must comply with these requirements to make and maintain
required records (including those described in Sec. 1068.501). You may
not deny us access to your records or the ability to copy your records
if we have the authority to see or copy them. Also, you must give us
complete and accurate reports and information without delay as required
under this chapter. Failure to comply with the requirements of this
paragraph is prohibited. We may assess a civil penalty up to $37,500
for each day you are in violation. In addition, knowingly submitting
false information is a violation of 18 U.S.C. 1001, which may involve
criminal penalties and up to five years imprisonment.
(3) Testing and access to facilities. You may not keep us from
entering your facility to test engines/equipment or inspect if we are
authorized to do so. Also, you must perform the tests we require (or
have the tests done for you). Failure to perform this testing is
prohibited. We may assess a civil penalty up to $37,500 for each day
you are in violation.
(b) The following prohibitions apply to everyone with respect to
the engines and equipment to which this part applies:
(1) Tampering. You may not remove or render inoperative any device
or element of design installed on or in engines/equipment in compliance
with the regulations prior to its sale and delivery to the ultimate
purchaser. You also may not knowingly remove or render inoperative any
such device or element of design after such sale and delivery to the
ultimate purchaser. This includes, for example, operating an engine
without a supply of appropriate quality urea if the emissions control
system relies on urea to reduce NOx emissions or the use of incorrect
fuel or engine oil that renders the emissions control system
inoperative. Section 1068.120 describes how this applies to rebuilding
engines. See the standard-setting part, which may include additional
provisions regarding actions prohibited by this requirement. For a
manufacturer or dealer, we may assess a civil penalty up to $37,500 for
each engine or piece of equipment in violation. For anyone else, we may
assess a civil penalty up to $3,750 for each day an engine or piece of
equipment is operated in violation. This prohibition does not apply in
any of the following situations:
(i) You need to repair the engine/equipment and you restore it to
proper functioning when the repair is complete.
(ii) You need to modify the engine/equipment to respond to a
temporary emergency and you restore it to proper functioning as soon as
possible.
(iii) You modify new engines/equipment that another manufacturer
has already certified to meet emission standards and recertify them
under your own family. In this case you must tell the original
manufacturer not to include the modified engines/equipment in the
original family.
(2) Defeat devices. You may not knowingly manufacture, sell, offer
to sell, or install, any part that bypasses, impairs, defeats, or
disables the control of emissions of any regulated pollutant, except as
explicitly allowed by the standard-setting part. We may assess a civil
penalty up to $3,750 for each part in violation.
(3) Stationary engines. For an engine that is excluded from any
requirements of this chapter because it is a stationary engine, you may
not move it or install it in any mobile equipment except as allowed by
the provisions of this chapter. You may not circumvent or attempt to
circumvent the residence-time requirements of paragraph (2)(iii) of the
nonroad engine definition in Sec. 1068.30. Anyone violating this
paragraph (b)(3) is deemed to be a manufacturer in violation of
paragraph (a)(1) of this section. We may assess a civil penalty up to
$37,500 for each engine or piece of equipment in violation.
(4) Competition engines/equipment. For uncertified engines/
equipment that are excluded or exempted from any requirements of this
chapter because they are to be used solely for competition, you may not
use any of them in a manner that is inconsistent with use solely for
competition. Anyone violating this paragraph (b)(4) is deemed to be a
manufacturer in violation of paragraph (a)(1) of this section. We may
assess a civil penalty up to $37,500 for each engine or piece of
equipment in violation.
(5) Importation. You may not import an uncertified engine or piece
of equipment if it is defined to be new in the standard-setting part
with a model year for which emission standards applied. Anyone
violating this paragraph (b)(5) is deemed to be a manufacturer in
violation of paragraph (a)(1) of this section. We may assess a civil
penalty up to $37,500 for each engine or piece of equipment in
violation. Note the following:
(i) The definition of new is broad for imported engines/equipment;
uncertified engines and equipment (including used engines and
equipment) are generally considered to be new when imported.
(ii) Used engines/equipment that were originally manufactured
before applicable EPA standards were in effect are generally not
subject to emission standards.
(6) Warranty, recall, and maintenance instructions. You must meet
your obligation to honor your emission-related warranty under Sec.
1068.115, including any commitments you identify in your application
for certification. You must also fulfill all applicable requirements
under subpart F of this part related to emission-related defects and
recalls. You must also provide emission-related installation and
maintenance instructions as described in the standard-setting part.
Failure to meet these obligations is prohibited. Also, except as
specifically provided by regulation, you are prohibited from directly
or indirectly communicating to the ultimate purchaser or a later
purchaser that the emission-related warranty is valid only if the owner
has service performed at
[[Page 23061]]
authorized facilities or only if the owner uses authorized parts,
components, or systems. We may assess a civil penalty up to $37,500 for
each engine or piece of equipment in violation.
(7) Labeling. (i) You may not remove or alter an emission control
information label or other required permanent label except as specified
in this paragraph (b)(7) or otherwise allowed by this chapter. Removing
or altering an emission control information label is a violation of
paragraph (b)(1) of this section. However, it is not a violation to
remove a label in the following circumstances:
(A) The engine is destroyed, is permanently disassembled, or
otherwise loses its identity such that the original title to the engine
is no longer valid.
(B) The regulations specifically direct you to remove the label.
For example, see Sec. 1068.235.
(C) The part on which the label is mounted needs to be replaced. In
this case, you must have a replacement part with a duplicate of the
original label installed by the certifying manufacturer or an
authorized agent, except that the replacement label may omit the date
of manufacture if applicable. We generally require labels to be
permanently attached to parts that will not normally be replaced, but
this provision allows for replacements in unusual circumstances, such
as damage in a collision or other accident.
(D) The original label is incorrect, provided that it is replaced
with the correct label from the certifying manufacturer or an
authorized agent. This allowance to replace incorrect labels does not
affect whether the application of an incorrect original label is a
violation.
(ii) Removing or altering a temporary or removable label contrary
to the provisions of this paragraph (b)(7)(ii) is a violation of
paragraph (b)(1) of this section.
(A) For labels identifying temporary exemptions, you may not remove
or alter the label while the engine/equipment is in an exempt status.
The exemption is automatically revoked for each engine/equipment for
which the label has been removed.
(B) For temporary or removable consumer information labels, only
the ultimate purchaser may remove the label.
(iii) You may not apply a false emission control information label.
You also may not manufacture, sell, or offer to sell false labels. The
application, manufacture, sale, or offer for sale of false labels is a
violation of this section (such as paragraph (a)(1) or (b)(2) of this
section). Note that applying an otherwise valid emission control
information label to the wrong engine is considered to be applying a
false label.
(c) If you cause someone to commit a prohibited act in paragraph
(a) or (b) of this section, you are in violation of that prohibition.
(d) Exemptions from these prohibitions are described in subparts C
and D of this part and in the standard-setting part.
(e) The standard-setting parts describe more requirements and
prohibitions that apply to manufacturers (including importers) and
others under this chapter.
(f) The specification of prohibitions and penalties in this part
does not limit the prohibitions and penalties described in the Clean
Air Act. Additionally, a single act may trigger multiple violations
under this section and the Act. We may pursue all available
administrative, civil, or criminal remedies for those violations even
if the regulation references only a single prohibited act in this
section.
(g) [Reserved]
(h) The maximum penalty values listed in paragraphs (a) and (b) of
this section apply as of January 12, 2009. Maximum penalty values for
earlier violations are published in 40 CFR part 19. Maximum penalty
limits may be adjusted after January 12, 2009 based on the Consumer
Price Index. The specific regulatory provisions for changing the
maximum penalties, published in 40 CFR part 19, reference the
applicable U.S. Code citation on which the prohibited action is based.
The following table is shown here for informational purposes:
Table 1 of Sec. 1068.101--Legal Citation for Specific Prohibitions for
Determining Maximum Penalty Amounts
------------------------------------------------------------------------
Part 1068 regulatory U.S. Code citation
citation of prohibited General description for Clean Air Act
action of prohibition authority
------------------------------------------------------------------------
Sec. 1068.101(a)(1)....... Introduction into 42 U.S.C. 7522(a)(1)
U.S. commerce of an and (a)(4).
uncertified source.
Sec. 1068.101(a)(2)....... Failure to provide 42 U.S.C.
information. 7522(a)(2).
Sec. 1068.101(a)(3)....... Denying access to 42 U.S.C.
facilities. 7522(a)(2).
Sec. 1068.101(b)(1)....... Tampering with 42 U.S.C.
emission controls 7522(a)(3).
by a manufacturer
or dealer.
Tampering with
emission controls
by someone other
than a manufacturer
or dealer.
Sec. 1068.101(b)(2)....... Sale or use of a 42 U.S.C.
defeat device. 7522(a)(3).
Sec. 1068.101(b)(3)....... Mobile use of a 42 U.S.C. 7522(a)(1)
stationary engine. and (a)(4).
Sec. 1068.101(b)(4)....... Noncompetitive use 42 U.S.C. 7522(a)(1)
of uncertified and (a)(4).
engines/equipment
that is exempted
for competition.
Sec. 1068.101(b)(5)....... Importation of an 42 U.S.C. 7522(a)(1)
uncertified source. and (a)(4).
Sec. 1068.101(b)(6)....... Recall and warranty. 42 U.S.C.
7522(a)(4).
Sec. 1068.101(b)(7)....... Removing labels..... 42 U.S.C.
7522(a)(3).
------------------------------------------------------------------------
0
329. Section 1068.103 is amended by revising paragraph (a) to read as
follows:
Sec. 1068.103 What are the provisions related to the duration and
applicability of certificates of conformity?
(a) Engines/equipment covered by a certificate of conformity are
limited to those that are produced during the period specified in the
certificate and conform to the specifications described in the
certificate and the associated application for certification. For the
purposes of this paragraph (a), ``specifications'' includes any
conditions or limitations identified by the manufacturer or EPA. For
example, if the application for certification specifies certain engine
configurations, the certificate does not cover any configurations that
are not specified. We may ignore any information provided in the
application that we determine is not relevant to a demonstration of
compliance with applicable regulations,
[[Page 23062]]
such as your projected production volumes in many cases.
* * * * *
0
330. Section 1068.105 is amended by revising paragraph (a) to read as
follows:
Sec. 1068.105 What other provisions apply to me specifically if I
manufacture equipment needing certified engines?
* * * * *
(a) Transitioning to new engine-based standards. If new engine-
based emission standards apply in a given model year, your equipment in
that calendar year must have engines that are certified to the new
standards, except that you may continue to use up normal inventories of
earlier engines that were built before the date of the new or changed
standards. For purposes of this paragraph (a), normal inventory applies
for engines you possess and engines from your engine supplier's
inventory. (Note: this paragraph (a) does not apply in the case of new
remanufacturing standards.) For example, if your normal inventory
practice is to keep on hand a one-month supply of engines based on your
upcoming production schedules, and a new tier of standards starts to
apply for the 2015 model year, you may order engines consistent with
your normal inventory requirements late in the engine manufacturer's
2014 model year and install those engines in your equipment, regardless
of the date of installation. Also, if your model year starts before the
end of the calendar year preceding new standards, you may use engines
from the previous model year for those units you produce before January
1 of the year that new standards apply. If emission standards for the
engine do not change in a given model year, you may continue to install
engines from the previous model year without restriction (or any
earlier model year for which the same standards apply). You may not
circumvent the provisions of Sec. 1068.101(a)(1) by stockpiling
engines that were built before new or changed standards take effect.
Similarly, you may not circumvent the provisions of Sec.
1068.101(a)(1) by knowingly installing engines that were stockpiled by
engine suppliers in violation of Sec. 1068.103(f). Note that this
allowance does not apply for equipment subject to equipment-based
standards. See 40 CFR 1060.601 for similar provisions that apply for
equipment subject to evaporative emission standards.
* * * * *
0
331. Section 1068.120 is amended by revising paragraph (e) to read as
follows:
Sec. 1068.120 What requirements must I follow to rebuild engines?
* * * * *
(e) If the rebuilt engine remains installed or is reinstalled in
the same piece of equipment, you must rebuild it to the original
configuration, except as allowed by this paragraph (e). You may rebuild
it to a different certified configuration of the same or later model
year. You may also rebuild it to a certified configuration from an
earlier model year as long as the earlier configuration is as clean or
cleaner than the original configuration. For purposes of this paragraph
(e), ``as clean or cleaner'' means one of the following:
(1) For engines not certified with a Family Emission Limit for
calculating credits for a particular pollutant, this means that the
same emission standard applied for both model years. This includes
supplemental standards such as Not-to-Exceed standards.
(2) For engines certified with a Family Emission Limit for a
particular pollutant, this means that the configuration to which the
engine is being rebuilt has a Family Emission Limit for that pollutant
that is at or below the standard that applied to the engine originally,
and is at or below the original Family Emission Limit.
* * * * *
0
332. Section 1068.125 is amended by revising paragraph (b) introductory
text to read as follows:
Sec. 1068.125 What happens if I violate the regulations?
* * * * *
(b) Administrative penalties. Instead of bringing a civil action,
we may assess administrative penalties if the total is less than
$295,000 against you individually. This maximum penalty may be greater
if the Administrator and the Attorney General jointly determine that a
greater administrative penalty assessment is appropriate, or if the
limit is adjusted under 40 CFR part 19. No court may review this
determination. Before we assess an administrative penalty, you may ask
for a hearing (subject to 40 CFR part 22). The Administrator may
compromise or remit, with or without conditions, any administrative
penalty that may be imposed under this section.
* * * * *
Subpart C--[Amended]
0
333. Section 1068.215 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 1068.215 What are the provisions for exempting manufacturer-
owned engines/equipment?
(a) You are eligible for the exemption for manufacturer-owned
engines/equipment only if you are a certificate holder. Any engine for
which you meet all applicable requirements under this section is exempt
without request.
(b) Engines/equipment may be exempt without a request if they are
nonconforming engines/equipment under your ownership, possession, and
control and you do not operate them for purposes other than to develop
products, assess production methods, or promote your engines/equipment
in the marketplace, or other purposes we approve. You may not loan,
lease, sell, or use the engine/equipment to generate revenue, either by
itself or for an engine installed in a piece of equipment, except as
allowed by Sec. 1068.201(i). Note that this paragraph (b) does not
prevent the sale or shipment of a partially complete engine to a
secondary engine manufacturer that will meet the requirements of this
paragraph (b). See Sec. 1068.262 for provisions related to shipping
partially complete engines to secondary engine manufacturers.
* * * * *
0
334. Section 1068.225 is amended by revising paragraph (b) to read as
follows:
Sec. 1068.225 What are the provisions for exempting engines/equipment
for national security?
* * * * *
(b) Manufacturers may request a national security exemption for
engines/equipment not meeting the conditions of paragraph (a) of this
section as long as the request is endorsed by an agency of the Federal
government responsible for national defense. In your request, explain
why you need the exemption.
* * * * *
0
335. Section 1068.240 is amended as follows:
0
a. By revising paragraphs (a) and (b)(6).
0
b. By adding paragraph (b)(7).
0
c. By revising paragraphs (c) introductory text, (c)(2)(ii), and
(c)(4).
0
d. By revising paragraphs (d), (e), and (g)(2).
Sec. 1068.240 What are the provisions for exempting new replacement
engines?
* * * * *
(a) General provisions. You are eligible for the exemption for new
replacement engines only if you are a certificate holder. Note that
this exemption does not apply for locomotives (40 CFR 1033.601) and
that unique provisions apply to marine compression-ignition engines (40
CFR
[[Page 23063]]
1042.615). Paragraphs (b), (c), and (d) of this section describe
different approaches for exempting new replacement engines where the
engines are specially built to correspond to an earlier model year that
was subject to less stringent standards than those that apply for
current production (or is no longer covered by a certificate of
conformity). Paragraph (e) of this section describes a simpler approach
for exempting partially complete new replacement engines that are built
under a certificate of conformity that is valid for producing engines
for the current model year.
(b) * * *
(6) You add a permanent label, consistent with Sec. 1068.45, with
your corporate name and trademark and the following additional
information:
(i) Add the following statement if the engine being replaced was
not subject to any emission standards under this chapter:
THIS ENGINE DOES NOT COMPLY WITH U.S. EPA EMISSION REQUIREMENTS.
SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE
AN ENGINE BUILT BEFORE JANUARY 1, [Insert appropriate year reflecting
when the earliest tier of standards began to apply to engines of that
size and type] MAY BE A VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL
PENALTY.
(ii) Add the following statement if the engine being replaced was
subject to emission standards:
THIS ENGINE COMPLIES WITH U.S. EPA EMISSION REQUIREMENTS FOR [Identify
the appropriate emission standards (by model year, tier, or emission
levels) for the replaced engine] ENGINES UNDER 40 CFR 1068.240. SELLING
OR INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TO REPLACE A
[Identify the appropriate emission standards for the replaced engine,
by model year(s), tier(s), or emission levels)] ENGINE MAY BE A
VIOLATION OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
(7) Engines exempt under this paragraph (b) may not be introduced
into commerce before you make the determination under paragraph (b)(3),
except as specified in this paragraph (b)(7). We may waive this
restriction for engines excluded under paragraph (c)(5) of this section
that you ship to a distributor. Where we waive this restriction, you
must take steps to ensure that the engine is installed consistent with
the requirements of this paragraph (b). For example, at a minimum you
must report to us annually whether engines we allowed you to ship to a
distributor under this paragraph (b)(7) have been placed into service
or remain in inventory. After an engine is placed into service, your
report must describe how the engine was installed consistent with the
requirements of this paragraph (b). Send these reports to the
Designated Compliance Officer by the deadlines we specify.
(c) Previous-tier replacement engines without tracking. You may
produce a limited number of new replacement engines that are not from a
currently certified engine family under the provisions of this
paragraph (c). If you produce new engines under this paragraph (c) to
replace engines subject to emission standards, the new replacement
engine must be in a configuration identical in all material respects to
the old engine and meet the requirements of Sec. 1068.265. This would
apply, for example, for engine configurations that were certified in an
earlier model year but are no longer covered by a certificate of
conformity. You must comply with the requirements of paragraph (b) of
this section for any number of replacement engines you produce in
excess of what we allow under this paragraph (c). Engines produced
under this paragraph (c) may be redesignated as engines subject to
paragraph (b) of this section, as long as you meet all the requirements
and conditions of paragraph (b) of this section before the end of the
calendar year in which the engine was produced. The following
provisions apply to engines exempted under this paragraph (c):
(2) * * *
(ii) Partially complete engines exempted under paragraph (e) of
this section.
* * * * *
(4) Add a permanent label as specified in paragraph (b)(6) of this
section. For partially complete engines, you may alternatively add a
permanent or removable label as specified in paragraph (d) of this
section.
* * * * *
(d) Partially complete engines. The following requirements apply if
you ship a partially complete replacement engine under paragraph (b) or
(c) of this section:
(1) Provide instructions specifying how to complete the engine
assembly such that the resulting engine conforms to the applicable
certificate of conformity or the specifications of Sec. 1068.265.
Where a partially complete engine can be built into multiple different
configurations, you must be able to identify all the engine models and
model years for which the partially complete engine may properly be
used for replacement purposes. Your instructions must make clear how
the final assembler can determine which configurations are appropriate
for the engine they receive.
(2) You must label the engine as follows:
(i) If you have a reasonable basis to believe that the fully
assembled engine will include the original emission control information
label, you may add a removable label to the engine with your corporate
name and trademark and the statement: ``This replacement engine is
exempt under 40 CFR 1068.240.'' This would generally apply if all the
engine models that are compatible with the replacement engine were
covered by a certificate of conformity and they were labeled in a
position on the engine or equipment that is not included as part of the
partially complete engine being shipped for replacement purposes.
Removable labels must meet the requirements specified in Sec. 1068.45.
(ii) If you do not qualify for using a removable label in paragraph
(d)(1) of this section, you must add a permanent label in a readily
visible location, though it may be obscured after installation in a
piece of equipment. Include on the permanent label your corporate name
and trademark, the engine's part number (or other identifying
information), and the statement: ``This replacement engine is exempt
under 40 CFR 1068.240.'' If there is not enough space for this
statement, you may alternatively add: ``REPLACEMENT'' or ``SERVICE
ENGINE''. For purposes of this paragraph (d)(2), engine part numbers
permanently stamped or engraved on the engine are considered to be
included on the label.
(e) Partially complete current-tier replacement engines. The
provisions of paragraph (d) of this section apply for partially
complete engines you produce from a current line of certified engines
or vehicles. This applies for engine-based and equipment-based
standards as follows:
(1) Where engine-based standards apply, you may introduce into U.S.
commerce short blocks or other partially complete engines from a
currently certified engine family as replacement components for in-use
equipment powered by engines you originally produced. You must be able
to identify all the engine models and model years for which the
partially complete engine may properly be used for replacement
purposes.
[[Page 23064]]
(2) Where equipment-based standards apply, you may introduce into
U.S. commerce engines that are identical to engines covered by a
current certificate of conformity by demonstrating compliance with
currently applicable standards where the engines will be installed as
replacement engines. These engines might be fully assembled, but we
would consider them to be partially complete engines because they are
not yet installed in the equipment.
* * * * *
(g)* * *
(2) Anyone installing or completing assembly of an exempted new
replacement engine is deemed to be a manufacturer of a new engine with
respect to the prohibitions of Sec. 1068.101(a)(1). This applies to
all engines exempted under this section.
* * * * *
0
336. Section 1068.260 is amended by revising paragraphs (a), (b), (c),
and (e) to read as follows:
Sec. 1068.260 What general provisions apply for selling or shipping
engines that are not yet in their certified configuration?
* * * * *
(a) The provisions of this paragraph (a) apply for emission-related
components that cannot practically be assembled before shipment because
they depend on equipment design parameters.
(1) You do not need an exemption to ship an engine that does not
include installation or assembly of certain emission-related
components, if those components are shipped along with the engine. For
example, you may generally ship aftertreatment devices along with
engines rather than installing them on the engine before shipment. We
may require you to describe how you plan to use this provision.
(2) You may ask us at the time of certification for an exemption to
allow you to ship your engines without emission-related components. If
we allow this, we may specify conditions that we determine are needed
to ensure that shipping the engine without such components will not
result in the engine being operated outside of its certified
configuration. See paragraph (d) of this section for additional
provisions that apply in certain circumstances.
(b) You do not need an exemption to ship engines without specific
components if they are not emission-related components identified in
Appendix I of this part. For example, you may generally ship engines
without radiators needed to cool the engine.
(c) If you are a certificate holder, partially complete engines
shipped between two of your facilities are exempt, subject to the
provisions of this paragraph (c), as long as you maintain ownership and
control of the engines until they reach their destination. We may also
allow this where you do not maintain actual ownership and control of
the engines (such as hiring a shipping company to transport the
engines) but only if you demonstrate that the engines will be
transported only according to your specifications. See Sec.
1068.261(b) for the provisions that apply instead of this paragraph (c)
for the special case of integrated manufacturers using the delegated-
assembly exemption. Notify us of your intent to use this exemption in
your application for certification, if applicable. Your exemption is
effective when we grant your certificate. You may alternatively request
an exemption in a separate submission; for example, this would be
necessary if you will not be the certificate holder for the engines in
question. We may require you to take specific steps to ensure that such
engines are in a certified configuration before reaching the ultimate
purchaser. Note that since this is a temporary exemption, it does not
allow you to sell or otherwise distribute to ultimate purchasers an
engine in an uncertified configuration. Note also that the exempted
engine remains new and subject to emission standards (see definition of
``exempted'' in Sec. 1068.30) until its title is transferred to the
ultimate purchaser or it otherwise ceases to be new.
* * * * *
(e) Engines used in hobby vehicles are not presumed to be engines
subject to the prohibitions of Sec. 1068.101. Hobby vehicles are
reduced-scale models of vehicles that are not capable of transporting a
person. Some gas turbine engines are subject to the prohibitions of
Sec. 1068.101, but we do not presume that all gas turbine engines are
subject to these prohibitions. Other engines that do not have a valid
certificate of conformity or exemption when introduced into U.S.
commerce are presumed to be engines subject to the prohibitions of
Sec. 1068.101 unless we determine that such engines are excluded from
the prohibitions of Sec. 1068.101.
* * * * *
Sec. 1068.261 [Amended]
0
337. Section 1068.261 is amended by removing and reserving paragraph
(c)(5).
Subpart D--[Amended]
0
338. Section 1068.325 is amended by revising paragraph (g) to read as
follows:
Sec. 1068.325 What are the temporary exemptions for imported engines/
equipment?
* * * * *
(g) Exemption for partially complete engines. You may import an
engine if another company already has a certificate of conformity and
will be modifying the engine to be in its final certified configuration
or a final exempt configuration under the provisions of Sec. 1068.262.
You may also import a partially complete engine by shipping it from one
of your facilities to another under the provisions of Sec.
1068.260(c). If you are importing a used engine that becomes new as a
result of importation, you must meet all the requirements that apply to
original engine manufacturers under Sec. 1068.262.
* * * * *
Subpart E--[Amended]
Sec. 1068.410 [Amended]
0
339. Section 1068.410 is amended by removing and reserving paragraph
(e)(1).
0
340. Section 1068.440 is amended by revising paragraph (b) to read as
follows:
Sec. 1068.440 How do I ask EPA to reinstate my suspended certificate?
* * * * *
(b) Give us test data from production engines/equipment showing
that engines/equipment in the remedied family comply with all the
emission standards that apply.
Subpart F--[Amended]
0
341. Section 1068.501 is amended by revising paragraphs (a)(5), (e),
and (f) to read as follows:
Sec. 1068.501 How do I report emission-related defects?
* * * * *
(a)* * *
(5) You must track the information specified in paragraph (b)(1) of
this section. You must assess this data at least every three months to
evaluate whether you exceed the thresholds specified in paragraphs (e)
and (f) of this section. Where thresholds are based on a percentage of
engines/equipment in the family, use actual U.S.-directed production
volumes for the whole model year when they become available. Use
projected production figures until the actual production figures become
available. You are not required to collect additional information other
than that specified in paragraph (b)(1) of this section before reaching
a threshold for an investigation specified in paragraph (e) of this
section.
* * * * *
[[Page 23065]]
(e) Thresholds for conducting a defect investigation. You must
begin a defect investigation based on the following number of engines/
equipment that may have the defect:
(1) For engines/equipment with maximum engine power at or below 560
kW:
(i) For families with annual production below 500 units: 50 or more
engines/equipment.
(ii) For families with annual production from 500 to 50,000 units:
more than 10.0 percent of the total number of engines/equipment in the
family.
(iii) For families with annual production from 50,000 to 550,000
units: more than the total number of engines/equipment represented by
the following equation:
Investigation threshold = 5,000 + (Production units--50,000) x 0.04
(iv) For families with annual production above 550,000 units:
25,000 or more engines/equipment.
(2) For engines/equipment with maximum engine power greater than
560 kW:
(i) For families with annual production below 250 units: 25 or more
engines/equipment.
(ii) For families with annual production at or above 250 units:
more than 10.0 percent of the total number of engines/equipment in the
family.
(f) Thresholds for filing a defect report. You must send a defect
report based on the following number of engines/equipment that have the
defect:
(1) For engines/equipment with maximum engine power at or below 560
kW:
(i) For families with annual production below 1,000 units: 20 or
more engines/equipment.
(ii) For families with annual production from 1,000 to 50,000
units: more than 2.0 percent of the total number of engines/equipment
in the family.
(iii) For families with annual production from 50,000 to 550,000
units: more than the total number of engines/equipment represented by
the following equation:
Reporting threshold = 1,000 + (Production units--50,000) x 0.01
(iv) For families with annual production above 550,000 units: 6,000
or more engines/equipment.
(2) For engines/equipment with maximum engine power greater than
560 kW:
(i) For families with annual production below 150 units: 10 or more
engines/equipment.
(ii) For families with annual production from 150 to 750 units: 15
or more engines/equipment.
(iii) For families with annual production above 750 units: more
than 2.0 percent of the total number of engines/equipment in the
family.
* * * * *
[FR Doc. 2010-2534 Filed 4-29-10; 8:45 am]
BILLING CODE 6560-50-P