40 C.F.R. § 1042.101

Current through September 30, 2024

Section 1042.101 - Exhaust emission standards for Category 1 and Category 2 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.

(2) The following CO emission standards in this paragraph (a)(2) apply starting with the applicable model year identified in § 1042.1 :

(i) 8.0 g/kW-hr for engines below 8 kW.

(ii) 6.6 g/kW-hr for engines at or above 8 kW and below 19 kW.

(iii) 5.5 g/kW-hr for engines at or above 19 kW and below 37 kW.

(iv) 5.0 g/kW-hr for engines at or above 37 kW.

(3) Except as described in paragraphs (a)(4) and (5) of this section, the Tier 3 standards for PM and NO_X+HC emissions are described in the following tables:

Table 1 to § 1042.101 -Tier 3 Standards for Category 1 Engines Below 3700 kW ^a

Power density and application	Displacement (L/cyl)	Maximum engine power	Model year	PM (g/kW-hr)	NO_X+HC (g/kW-hr)^b
All	disp. [LESS THAN] 0.9	kW [LESS THAN] 19	2009+	0.40	7.5
		19 [LESS THAN EQUAL TO] kW [LESS THAN] 75	2009-2013	0.30	7.5
			2014+	0.30^c	4.7^c
Commercial engines with kW/L [LESS THAN EQUAL TO] 35	disp. [LESS THAN] 0.9	kW [GREATER THAN EQUAL TO] 75	2012+	0.14	5.4
	0.9 [LESS THAN EQUAL TO] disp. [LESS THAN] 1.2	all	2013+	0.12	5.4
	1.2 [LESS THAN EQUAL TO] disp. [LESS THAN] 2.5	kW [LESS THAN] 600	2014-2017	0.11	5.6
			2018+	0.10	5.6
		kW [GREATER THAN EQUAL TO] 600	2014+	0.11	5.6
	2.5 [LESS THAN EQUAL TO] disp. [LESS THAN] 3.5	kW [LESS THAN] 600	2013-2017	0.11	5.6
			2018+	0.10	5.6
		kW [GREATER THAN EQUAL TO] 600	2013+	0.11	5.6
	3.5 [LESS THAN EQUAL TO] disp. [LESS THAN] 7.0	kW [LESS THAN] 600	2012-2017	0.11	5.8
			2018+	0.10	5.8
		kW [GREATER THAN EQUAL TO] 600	2012+	0.11	5.8
Commercial engines with kW/L [GREATER THAN] 35, and all recreational engines [GREATER THAN EQUAL TO] 75 kW	disp. [LESS THAN] 0.9	kW [GREATER THAN EQUAL TO] 75	2012+	0.15	5.8
	0.9 [LESS THAN EQUAL TO] disp. [LESS THAN] 1.2	all	2013+	0.14	5.8
	1.2 [LESS THAN EQUAL TO] disp. [LESS THAN] 2.5		2014+	0.12	5.8
	2.5 [LESS THAN EQUAL TO] disp. [LESS THAN] 3.5		2013+	0.12	5.8
	3.5 [LESS THAN EQUAL TO] disp. [LESS THAN] 7.0		2012+	0.11	5.8

^a No Tier 3 standards apply for commercial Category 1 engines at or above 3700 kW. See § 1042.1(c) and paragraph (a)(7) of this section for the standards that apply for these engines.

^b The applicable NO_X+HC standards specified for Tier 2 engines in Appendix I of this part continue to apply instead of the values noted in the table for commercial engines at or above 2000 kW. FELs for these engines may not be higher than the Tier 1 NO_X standard specified in Appendix I of this part.

^c See paragraph (a)(4) of this section for alternative PM and NO_X+HC standards for engines at or above 19 kW and below 75 kW with displacement below 0.9 L/cyl.

Table 2 to § 1042.101 - Tier 3 Standards for Category 2 Engines Below 3700 kW ^a

Displacement (L/cyl)	Maximum engine power	Model year	PM (g/kW-hr)	NO_X+HC (g/kW-hr)
7.0 [LESS THAN EQUAL TO] disp. [LESS THAN] 15.0	kW [LESS THAN] 2000	2013+	0.14	6.2
	2000 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO] 3700	2013+	0.14	7.8^b
15.0 [LESS THAN EQUAL TO] disp. [LESS THAN] 20.0^c	kW [LESS THAN] 2000	2014+	0.34	7.0
20.0 [LESS THAN EQUAL TO] disp. [LESS THAN] 25.0^c	kW [LESS THAN] 2000	2014+	0.27	9.8
25.0 [LESS THAN EQUAL TO] disp. [LESS THAN] 30.0^c	kW [LESS THAN] 2000	2014+	0.27	11.0

^a The Tier 3 standards in this table do not apply for Category 2 engines at or above 2000 kW with per-cylinder displacement at or above 15.0 liters, or for any Category 2 engines at or above 3700 kW. See § 1042.1(c) and paragraphs (a)(6) through (8) of this section for the standards that apply for these engines.

^b For engines subject to the 7.8 g/kW-hr NO_X+HC standard, FELs may not be higher than the Tier 1 NO_X standards specified in Appendix I of this part.

^c There are no Tier 3 standards for Category 2 engines with per-cylinder displacement at or above 15 and 20 liters with maximum engine power at or above 2000 kW. See paragraphs (a)(6) and (7) of this section for the Tier 4 standards that apply for these engines starting with the 2014 model year.

(4) For Tier 3 engines at or above 19 kW and below 75 kW with displacement below 0.9 L/cyl, you may alternatively certify some or all of your engine families to a PM emission standard of 0.20 g/kW-hr and a NO_X+HC emission standard of 5.8 g/kW-hr for 2014 and later model years.

(5) Starting with the 2014 model year, recreational marine engines at or above 3700 kW (with any displacement) must be certified under this part 1042 to the Tier 3 standards specified in this section for 3.5 to 7.0 L/cyl recreational marine engines.

(6) Interim Tier 4 PM standards apply for 2014 and 2015 model year engines between 2000 and 3700 kW as specified in this paragraph (a)(6). These engines are considered Tier 4 engines.

(i) For Category 1 engines, the Tier 3 PM standards from Table 1 to this section continue to apply. PM FELs for these engines may not be higher than the applicable Tier 2 PM standards specified in appendix I of this part.

(ii) For Category 2 engines with per-cylinder displacement below 15.0 liters, the Tier 3 PM standards from Table 2 to this section continue to apply. PM FELs for these engines may not be higher than 0.27 g/kW-hr.

(iii) For Category 2 engines with per-cylinder displacement at or above 15.0 liters, the PM standard is 0.34 g/kW-hr for engines at or above 2000 kW and below 3300 kW, and 0.27 g/kW-hr for engines at or above 3300 kW and below 3700 kW. PM FELs for these engines may not be higher than 0.50 g/kW-hr.

(7) Except as described in paragraph (a)(8) of this section, the Tier 4 standards for PM, NO_X, and HC emissions are described in the following table:

Table 3 to § 1042.101 -Tier 4 Standards for Category 2 and Commercial Category 1 Engines at or Above 600 kW

Maximum engine power	Displacement (L/cyl)	Model year	PM (g/kW-hr)	NO_X (g/kW-hr)	HC (g/kW-hr)
600 [LESS THAN EQUAL TO] kW [LESS THAN] 1400	all	2017+	0.04	1.8	0.19
1400 [LESS THAN EQUAL TO] kW [LESS THAN] 2000	all	2016+	0.04	1.8	0.19
2000 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO] 3700^a	all	2014+	0.04	1.8	0.19
kW [GREATER THAN] 3700	disp. [LESS THAN] 15.0	2014-2015	0.12	1.8	0.19
	15.0 [LESS THAN EQUAL TO] disp. [LESS THAN] 30.0	2014-2015	0.25	1.8	0.19
	all	2016+	0.06	1.8	0.19

^a See paragraph (a)(6) of this section for interim PM standards that apply for model years 2014 and 2015 for engines between 2000 and 3700 kW. The Tier 4 NO_X FEL cap for engines at or above 2000 kW and below 3700 kW is 7.0 g/kW-hr. Starting in the 2016 model year, the Tier 4 PM FEL cap for engines at or above 2000 kW and below 3700 kW is 0.34 g/kW-hr.

(8) The following optional provisions apply for complying with the Tier 3 and Tier 4 standards specified in paragraphs (a)(3) through (7) of this section:

(i) You may use NO_X credits accumulated through the ABT program to certify Tier 4 engines to a NO_X+HC emission standard of 1.9 g/kW-hr instead of the NO_X and HC standards that would otherwise apply by certifying your family to a NO_X+HC FEL. Calculate the NO_X credits needed as specified in subpart H of this part using the NO_X+HC emission standard and FEL in the calculation instead of the otherwise applicable NO_X standard and FEL. You may not generate credits relative to the alternate standard or certify to the standard without using credits.

(ii) For engines below 1000 kW, you may delay complying with the Tier 4 standards in the 2017 model year for up to nine months, but you must comply no later than October 1, 2017.

(iii) For engines at or above 3700 kW, you may delay complying with the Tier 4 standards in the 2016 model year for up to twelve months, but you must comply no later than December 31, 2016.

(iv) For Category 2 engines at or above 1400 kW, you may alternatively comply with the Tier 3 and Tier 4 standards specified in Table 4 of this section instead of the NO_X, HC, NO_X+HC, and PM standards specified in paragraphs (a)(3) through (7) of this section. The CO standards specified in paragraph (a)(2) of this section apply without regard to whether you choose this option. If you choose this option, you must do so for all engines at or above 1400 kW in the same displacement category (that is, 7-15, 15-20, 20-25, or 25-30 liters per cylinder) in model years 2012 through 2015.

Table 4 to § 1042.101 -Optional Tier 3 and Tier 4 Standards for Category 2 Engines at or Above 1400 kW

Tier	Maximum engine power	Model year	PM (g/kW-hr)	NO_X (g/kW-hr)	HC (g/kW-hr)
Tier 3	kW [GREATER THAN EQUAL TO] 1400	2012-2014	0.14	7.8 NO_X+HC
Tier 4	1400 [LESS THAN EQUAL TO] kW [LESS THAN EQUAL TO] 3700	2015	0.04	1.8	0.19
	kW [GREATER THAN] 3700	2015	0.06	1.8	0.19

(b)Averaging, banking, and trading. You may generate or use emission credits under the averaging, banking, and trading (ABT) program as described in subpart H of this part for demonstrating compliance with NO_X, NO_X+HC, and PM emission standards for Category 1 and Category 2 engines. You may also use NO_X or NO_X+HC emission credits to comply with the alternate NO_X+HC standard in paragraph (a)(8)(i) of this section. Generating or using emission credits requires that you specify a family emission limit (FEL) for each pollutant you include in the ABT program for each engine family. These FELs serve as the emission standards for the engine family with respect to all required testing instead of the standards specified in paragraph (a) of this section. The FELs determine the not-to-exceed standards for your engine family, as specified in paragraph (c) of this section. Unless otherwise specified, the following FEL caps apply:

(1) FELs for Tier 3 engines may not be higher than the applicable Tier 2 standards specified in Appendix I of this part.

(2) FELs for Tier 4 engines may not be higher than the applicable Tier 3 standards specified in paragraph (a)(3) of this section.

(3) The following FEL caps apply for engines at or above 3700 kW that are not subject to Tier 3 standards under paragraph (a)(3) of this section:

(i) FELs may not be higher than the applicable Tier 1 NO_X standards specified in Appendix I of this part before the Tier 4 standards start to apply.

(ii) FELs may not be higher than the applicable Tier 2 NO_X+THC standards specified in Appendix I of this part after the Tier 4 standards start to apply.

(c)Not-to-exceed standards. Except as noted in § 1042.145(e) , exhaust emissions from all engines subject to the requirements of this part may not exceed the not-to-exceed (NTE) standards as follows:

(1) Use the following equation to determine the NTE standards:

(i) NTE standard for each pollutant = STD * M.

Where:

STD = The standard specified for that pollutant in this section if you certify without using ABT for that pollutant; or the FEL for that pollutant if you certify using ABT.

M = The NTE multiplier for that pollutant.

(ii) Round each NTE standard to the same number of decimal places as the emission standard.

(2) Determine the applicable NTE zone and subzones as described in § 1042.515 . Determine NTE multipliers for specific zones and subzones and pollutants as follows:

(i) For marine engines certified using the duty cycle specified in § 1042.505(b)(1) , except for variable-speed propulsion marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers:

(A) Subzone 1: 1.2 for Tier 3 NO_X+HC standards.

(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.

(C) Subzone 2: 1.5 for Tier 4 NO_X and HC standards and for Tier 3 NO_X+HC standards.

(D) Subzone 2: 1.9 for PM and CO standards.

(ii) For recreational marine engines certified using the duty cycle specified in § 1042.505(b)(2) , except for variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers, apply the following NTE multipliers:

(A) Subzone 1: 1.2 for Tier 3 NO_X+HC standards.

(B) Subzone 1: 1.5 for Tier 3 PM and CO standards.

(C) Subzones 2 and 3: 1.5 for Tier 3 NO_X+HC standards.

(D) Subzones 2 and 3: 1.9 for PM and CO standards.

(iii) For variable-speed marine engines used with controllable-pitch propellers or with electrically coupled propellers that are certified using the duty cycle specified in § 1042.505(b)(1), (2), or (3) , apply the following NTE multipliers:

(A) Subzone 1: 1.2 for Tier 3 NO_X+HC standards.

(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.

(C) Subzone 2: 1.5 for Tier 4 NO_X and HC standards and for Tier 3 NO_X+HC standards.

(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE standard in Subzone 2b for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.

(iv) For constant-speed engines certified using a duty cycle specified in § 1042.505(b)(3) or (4) , apply the following NTE multipliers:

(A) Subzone 1: 1.2 for Tier 3 NO_X+HC standards.

(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.

(C) Subzone 2: 1.5 for Tier 4 NO_X and HC standards and for Tier 3 NO_X+HC standards.

(D) Subzone 2: 1.9 for PM and CO standards. However, there is no NTE standard for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.

(v) For variable-speed auxiliary marine engines certified using the duty cycle specified in § 1042.505(b)(5)(ii) or (iii) :

(A) Subzone 1: 1.2 for Tier 3 NO_X+HC standards.

(B) Subzone 1: 1.5 for Tier 4 standards and Tier 3 PM and CO standards.

(C) Subzone 2: 1.2 for Tier 3 NO_X+HC standards.

(D) Subzone 2: 1.5 for Tier 4 standards and Tier 3 PM and CO standards. However, there is no NTE standard for PM emissions if the engine family's applicable standard for PM is at or above 0.07 g/kW-hr.

(3) The NTE standards apply to your engines whenever they operate within the NTE zone for an NTE sampling period of at least thirty seconds, during which only a single operator demand set point may be selected. Engine operation during a change in operator demand is excluded from any NTE sampling period. There is no maximum NTE sampling period.

(4) Collect emission data for determining compliance with the NTE standards using the procedures described in subpart F of this part.

(5) You may ask us to accept as compliant an engine that does not fully meet specific requirements under the applicable NTE standards where such deficiencies are necessary for safety.

(d)Fuel types. The exhaust emission standards in this section apply for engines using the fuel type on which the engines in the engine family are designed to operate.

(1) You must meet the numerical emission standards for hydrocarbons in this section based on the following types of hydrocarbon emissions for engines powered by the following fuels:

(i) Alcohol-fueled engines must comply with Tier 3 HC standards based on THCE emissions and with Tier 4 standards based on NMHCE emissions.

(ii) Gaseous-fueled engines must comply with HC standards based on nonmethane-nonethane hydrocarbon emissions.

(iii) Diesel-fueled and all other engines not described in paragraph (d)(1)(i) or (ii) of this section must comply with Tier 3 HC standards based on THC emissions and with Tier 4 standards based on NMHC emissions.

(2) Tier 3 and later engines must comply with the exhaust emission standards when tested using test fuels containing 15 ppm or less sulfur (ultra low-sulfur diesel fuel). Manufacturers may use low-sulfur diesel fuel (without request) to certify an engine otherwise requiring an ultra low-sulfur test fuel; however, emissions may not be corrected to account for the effects of using higher sulfur fuel.

(3) Engines designed to operate using residual fuel must comply with the standards and requirements of this part when operated using residual fuel in addition to complying with the requirements of this part when operated using diesel fuel.

(e)Useful life. Your engines must meet the exhaust emission standards of this section over their full useful life, expressed as a period in years or hours of engine operation, whichever comes first.

(1) The minimum useful life values are as follows, except as specified by paragraph (e)(2) or (3) of this section:

(i) 10 years or 1,000 hours of operation for recreational Category 1 engines

(ii) 5 years or 3,000 hours of operation for commercial engines below 19 kW.

(iii) 7 years or 5,000 hours of operation for commercial engines at or above 19 kW and below 37kW.

(iv) 10 years or 10,000 hours of operation for commercial Category 1 engines at or above 37 kW.

(v) 10 years or 20,000 hours of operation for Category 2 engines.

(2) Specify a longer useful life in hours for an engine family under either of two conditions:

(i) If you design your engine to operate longer than the minimum useful life. Indicators of design life include your recommended overhaul interval and may also include your advertising and marketing materials.

(ii) If your basic mechanical warranty is longer than the minimum useful life.

(3) You may request in your application for certification that we approve a shorter useful life for an engine family. We may approve a shorter useful life, in hours of engine operation but not in years, if we determine that these engines will rarely operate longer than the shorter useful life. If engines identical to those in the engine family have already been produced and are in use, your demonstration must include documentation from such in-use engines. In other cases, your demonstration must include an engineering analysis of information equivalent to such in-use data, such as data from research engines or similar engine models that are already in production. Your demonstration must also include any overhaul interval that you recommend, any mechanical warranty that you offer for the engine or its components, and any relevant customer design specifications. Your demonstration may include any other relevant information. The useful life value may not be shorter than any of the following:

(i) 1,000 hours of operation.

(ii) Your recommended overhaul interval.

(iii) Your mechanical warranty for the engine.

(f)Applicability for testing. The duty-cycle emission standards in this subpart apply to all testing performed according to the procedures in § 1042.505 , including certification, production-line, and in-use testing. The not-to-exceed standards apply for all testing performed according to the procedures of subpart F of this part.

40 C.F.R. §1042.101

73 FR 37243, June 30, 2008, as amended at 73 FR 59192, Oct. 8, 2008; 74 FR 8425, Feb. 24, 2009; 75 FR 22996, Apr. 30, 2010; 81 FR 74142, Oct. 25, 2016; 86 FR 34508, June 29, 2021

81 FR 74142, 12/27/2016; 86 FR 34508, 7/29/2021