[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2013 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          Title 40

Protection of Environment


________________________

Part 1000 to End

                         Revised as of July 1, 2013

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2013
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
          Chapter IV--Environmental Protection Agency and 
          Department of Justice                                    985
          Chapter V--Council on Environmental Quality              993
          Chapter VI--Chemical Safety and Hazard Investigation 
          Board                                                   1041
          Chapter VII--Environmental Protection Agency and 
          Department of Defense; Uniform National Discharge 
          Standards for Vessels of the Armed Forces               1077
  Finding Aids:
      Table of CFR Titles and Chapters........................    1089
      Alphabetical List of Agencies Appearing in the CFR......    1109
      List of CFR Sections Affected...........................    1119

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 1027.101 
                       refers to title 40, part 
                       1027, section 101.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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    To determine whether a Code volume has been amended since its 
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OMB CONTROL NUMBERS

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Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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PAST PROVISIONS OF THE CODE

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[[Page vii]]

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    Charles A. Barth,
    Director,
    Office of the Federal Register.
    July 1, 2013.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-three 
volumes. The parts in these volumes are arranged in the following order: 
Parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-
52.2019), part 52 (52.2020-end of part 52), parts 53-59, part 60 (60.1-
end of part 60, sections), part 60 (Appendices), parts 61-62, part 63 
(63.1-63.599), part 63 (63.600-63.1199), part 63 (63.1200-63.1439), part 
63 (63.1440-63.6175), part 63 (63.6580-63.8830), part 63 (63.8980-end of 
part 63) parts 64-71, parts 72-80, parts 81-84, part 85-Sec.  86.599-99, 
part 86 (86.600-1-end of part 86), parts 87-95, parts 96-99, parts 100-
135, parts 136-149, parts 150-189, parts 190-259, parts 260-265, parts 
266-299, parts 300-399, parts 400-424, parts 425-699, parts 700-789, 
parts 790-999, and part 1000 to end. The contents of these volumes 
represent all current regulations codified under this title of the CFR 
as of July 1, 2013.

    Chapter I--Environmental Protection Agency appears in all thirty-
three volumes. Regulations issued by the Council on Environmental 
Quality, including an Index to Parts 1500 through 1508, appear in the 
volume containing part 1000 to end. The OMB control numbers for title 40 
appear in Sec.  9.1 of this chapter.

    For this volume, Michele Bugenhagen was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                  (This book contains part 1000 to End)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Environmental Protection Agency (Continued)......        1027

chapter iv--Environmental Protection Agency and Department 
  of Justice................................................        1400

chapter v--Council on Environmental Quality.................        1500

chapter vi--Chemical Safety and Hazard Investigation Board..        1600

chapter vii--Environmental Protection Agency and Department 
  of Defense; Uniform National Discharge Standards for 
  Vessels of the Armed Forces...............................        1700

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000, and 66 FR 34375, 34376, June 28, 2001.

                  SUBCHAPTER U--AIR POLLUTION CONTROLS
Part                                                                Page
1027            Fees for engine, vehicle, and equipment 
                    compliance programs.....................           4
1033            Control of emissions from locomotives.......          11
1036            Control of emissions from new and in-use 
                    heavy-duty highway engines..............          90
1037            Control of emissions from new heavy-duty 
                    motor vehicles..........................         123
1039            Control of emissions from new and in-use 
                    nonroad compression-ignition engines....         195
1042            Control of emissions from new and in-use 
                    marine compression-ignition engines and 
                    vessels.................................         277
1043            Control of NOX, SOX, 
                    and PM emissions from marine engines and 
                    vessels subject to the MARPOL protocol..         363
1045            Control of emissions from spark-ignition 
                    propulsion marine engines and vessels...         374
1048            Control of emissions from new, large nonroad 
                    spark-ignition engines..................         439
1051            Control of emissions from recreational 
                    engines and vehicles....................         498
1054            Control of emissions from new, small nonroad 
                    spark-ignition engines and equipment....         564
1060            Control of evaporative emissions from new 
                    and in-use nonroad and stationary 
                    equipment...............................         634
1065            Engine-testing procedures...................         675
1066            Vehicle-testing procedures..................         881
1068            General compliance provisions for highway, 
                    stationary, and nonroad programs........         914
1074            Preemption of state standards and procedures 
                    for waiver of federal preemption for 
                    nonroad engines and nonroad vehicles....         980

[[Page 4]]



                   SUBCHAPTER U_AIR POLLUTION CONTROLS





PART 1027_FEES FOR ENGINE, VEHICLE, AND EQUIPMENT COMPLIANCE PROGRAMS
--Table of Contents



Sec.
1027.101 To whom do these requirements apply?
1027.105 How much are the fees?
1027.110 What special provisions apply for certification related to 
          motor vehicles?
1027.115 What special provisions apply for certification related to 
          nonroad and stationary engines?
1027.120 Can I qualify for reduced fees?
1027.125 Can I get a refund?
1027.130 How do I make a fee payment?
1027.135 What provisions apply to a deficient filing?
1027.140 What reporting and recordkeeping requirements apply under this 
          part?
1027.150 What definitions apply to this part?
1027.155 What abbreviations apply to this subpart?

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 59184, Oct. 8, 2008, unless otherwise noted.



Sec.  1027.101  To whom do these requirements apply?

    (a) This part prescribes fees manufacturers must pay for activities 
related to EPA's engine, vehicle, and equipment compliance program 
(EVECP). This includes activities related to approving certificates of 
conformity and performing tests and taking other steps to verify 
compliance with emission standards. You must pay fees as described in 
this part if you are a manufacturer of any of the following products:
    (1) Motor vehicles and motor vehicle engines we regulate under 40 
CFR part 86. This includes light-duty vehicles, light-duty trucks, 
medium-duty passenger vehicles, highway motorcycles, and heavy-duty 
highway engines and vehicles.
    (2) The following nonroad engines and equipment:
    (i) Locomotives and locomotive engines we regulate under 40 CFR part 
92 or 1033.
    (ii) Nonroad compression-ignition engines we regulate under 40 CFR 
part 89 or 1039.
    (iii) Marine compression-ignition engines we regulate under 40 CFR 
part 94, 1042, or 1043.
    (iv) Marine spark-ignition engines and vessels we regulate under 40 
CFR part 91, 1045, or 1060. We refer to these as Marine SI engines.
    (v) Nonroad spark-ignition engines above 19 kW we regulate under 40 
CFR part 1048. We refer to these as Large SI engines.
    (vi) Recreational vehicles we regulate under 40 CFR part 1051.
    (vii) Nonroad spark-ignition engines and equipment at or below 19 kW 
we regulate under 40 CFR part 90, 1054, or 1060. We refer to these as 
Small SI engines.
    (3) The following stationary internal combustion engines:
    (i) Stationary compression-ignition engines we certify under 40 CFR 
part 60, subpart IIII.
    (ii) Stationary spark-ignition engines we certify under 40 CFR part 
60, subpart JJJJ.
    (4) Portable fuel containers we regulate under 40 CFR part 59, 
subpart F.
    (b) This part applies to applications for certification that we 
receive on or after December 8, 2008. Earlier applications are subject 
to the provisions of 40 CFR part 85, subpart Y, as that provision read 
before December 8, 2008.
    (c) Nothing in this part limits our authority to conduct testing or 
to require you to conduct testing as provided in the Act, including our 
authority to require you to conduct in-use testing under section 208 of 
the Act (42 U.S.C. 7542).
    (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

[[Page 5]]

the standard-setting part for the equipment or fuel system components 
you produce.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22981, Apr. 30, 2010]



Sec.  1027.105  How much are the fees?

    (a) Fees are determined based on the date we receive a complete 
application for certification. Each reference to a year in this subpart 
refers to the calendar year, unless otherwise specified. Paragraph (b) 
of this section specifies baseline fees, which applied for certificates 
received in 2005. For engine and vehicles not yet subject to standards 
in 2005, these values represent the fees that apply initially based on 
available information to characterize what the fees would have been in 
2005. See paragraph (c) of this section for provisions describing how we 
calculate fees for future years.
    (b) The following baseline fees for each application for 
certification:
    (1) Except as specified in paragraph (b)(2) of this section for 
Independent Commercial Importers, the following fees apply for motor 
vehicles and motor vehicle engines:

------------------------------------------------------------------------
             Category                 Certificate type          Fee
------------------------------------------------------------------------
(i) Light-duty vehicles and trucks  Federal.............         $33,883
(ii) Light-duty vehicles and        California-only.....          16,944
 trucks.
(iii) Medium-duty passenger         Federal.............          33,883
 vehicles.
(iv) Medium-duty passenger          California-only.....          16,944
 vehicles.
(v) Highway motorcycle............  All.................           2,414
(vi) Heavy-duty highway engine....  Federal.............          21,578
(vii) Heavy-duty highway engine...  California-only.....             826
(viii) Complete heavy-duty highway  Federal.............          33,883
 vehicles.
(ix) Complete heavy-duty highway    California-only.....          16,944
 vehicles.
(x) Heavy-duty vehicle............  Evap................             826
------------------------------------------------------------------------

    (2) A fee of $8,387 applies for Independent Commercial Importers 
with respect to the following motor vehicles:
    (i) Light-duty vehicles and light-duty trucks.
    (ii) Medium-duty passenger vehicles.
    (iii) Complete heavy-duty highway vehicles.
    (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.
(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.
------------------------------------------------------------------------

    (c) We will calculate adjusted fees for later years based on changes 
in the Consumer Price Index and the number of certificates. We will 
announce adjusted fees for a given year by January 31 of the preceding 
year.
    (1) We will adjust the values specified in paragraph (b) of this 
section for later years as follows:
    (i) Use the fee identified inSec. 1027.105(b)(3) through 2014 for 
certification related to evaporative emissions from nonroad and 
stationary engines when a separate fee applies for certification to 
evaporative emission standards. Use the following equation starting with 
2015:

[[Page 6]]

[GRAPHIC] [TIFF OMITTED] TR24FE09.003

Where:

Certificate FeeCY = Fee per certificate for a given year.
Op = operating costs are all of EPA's nonlabor costs for each category's 
          compliance program, including any fixed costs associated with 
          EPA's testing laboratory, as described in paragraph (d)(1) of 
          this section.
L = the labor costs, to be adjusted by the Consumer Price Index, as 
          described in paragraph (d)(1) of this section.
CPICY-2 = the Consumer Price Index for the month of November 
          two years before the applicable calendar year, as described in 
          paragraph (d)(2) of this section.
CPI2006 = 201.8. This is based on the October 2006 value of 
          the Consumer Price Index.
OH = 1.169. This is based on EPA overhead, which is applied to all 
          costs.
certMY-2 = the total number of certificates issued 
          for a fee category in the model year two years before the 
          calendar year for the applicable fees as described in 
          paragraph (d)(3) of this section.
certMY-3 = the total number of certificates issued 
          for a fee category in the model year three years before the 
          calendar year for the applicable fees as described in 
          paragraph (d)(3) of this section.

    (ii) Use the following equation for all other certificates for 2006 
and later:
[GRAPHIC] [TIFF OMITTED] TR24FE09.004

Where:

CPI2002 = 180.9. This is based on the December 2002 value of 
          the Consumer Price Index as described in paragraph (d)(2) of 
          this section.

    (2) The fee for any year will remain at the previous year's amount 
until the value calculated in paragraph (c)(1) of this section differs 
by at least $50 from the amount specified for the previous year.
    (d) Except as specified inSec. 1027.110(a) for motor vehicles and 
motor vehicle engines, we will use the following values to determine 
adjusted fees using the equation in paragraph (c) of this section:
    (1) The following values apply for operating costs and labor costs:

------------------------------------------------------------------------
       Engine or Vehicle Category               Op               L
------------------------------------------------------------------------
(i) Light-duty, medium-duty passenger,        $3,322,039      $2,548,110
 and complete heavy-duty highway vehicle
 certification..........................
(ii) Light-duty, medium-duty passenger,        2,858,223       2,184,331
 and complete heavy-duty highway vehicle
 in-use testing.........................
(iii) Independent Commercial Importers           344,824         264,980
 identified inSec.  1027.105(b)(2)....
(iv) Highway motorcycles................         225,726         172,829
(v) Heavy-duty highway engines..........       1,106,224       1,625,680
(vi) Nonroad compression-ignition                486,401         545,160
 engines that are not locomotive or
 marine engines, and stationary
 compression-ignition engines with per-
 cylinder displacement below 10 liters..
(vii) Evaporative certificates related             5,039         236,670
 to nonroad and stationary engines......
(viii) All other........................         177,425         548,081
------------------------------------------------------------------------

    (2) The applicable Consumer Price Index is based on the values 
published by the Bureau of Labor Statistics for all U.S. cities using 
the ``U.S. city average'' area, ``all items,'' and ``not seasonally 
adjusted'' numbers (see ftp://ftp.bls.gov/pub/special.requests/cpi/
cpiai.txt). For example, we calculated the 2006 fees using the Consumer 
Price Index for November 2004, which is 191.0.
    (3) Fee categories for counting the number of certificates issued 
are based on the grouping shown in paragraph (d)(1) of this section.

[[Page 7]]

    (e) The following example for calculating the 2006 complete federal 
heavy duty highway vehicle fee illustrates the fee adjustment:

    Op = $1,106,224
    L = $1,625,680
    CPI2002 = 180.9
    CPI2004 = 191.0
    cert 2004 = 131
    cert2003 = 95
    Fee06 = [$1,106,224 + $1,625,680 . (191.0/180.9)] . 
1.169/[(131+95) . 0.5] = $29,200.88
    Assessed Fee = $29,201

[73 FR 59184, Oct. 8, 2008, as amended at 74 FR 8423, Feb. 24, 2009; 75 
FR 22981, Apr. 30, 2010]



Sec.  1027.110  What special provisions apply for certification
related to motor vehicles?

    (a) We will adjust fees for 2006 and later years for light-duty, 
medium-duty passenger, and complete heavy-duty highway vehicles as 
follows:
    (1) California-only certificates. Calculate adjusted fees for 
California-only certificates by applying the light-duty, medium-duty 
passenger, and complete heavy-duty highway vehicle certification Op and 
L values to the equation inSec. 1027.105(c). The total number of 
certificates issued will be the total number of California-only and 
federal light-duty, medium-duty passenger, and complete heavy-duty 
highway vehicle certificates issued during the appropriate model years.
    (2) Federal certificates. Calculate adjusted fees for federal 
certificates with the following three steps:
    (i) Apply the light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certification Op and L values to the equation in 
Sec.  1027.105(c) to determine the certification portion of the light-
duty fee. The total number of certificates issued will be the total 
number of California-only and federal light-duty, medium-duty passenger 
and complete heavy-duty highway vehicle certificates issued during the 
appropriate model years.
    (ii) Apply the light-duty, medium-duty passenger, and complete 
heavy-duty highway vehicle in-use testing Op and L values to the 
equation inSec. 1027.105(c) to determine the in-use testing portion of 
the fee. The total number of certificates issued will be the total 
number of federal light-duty, medium-duty passenger, and complete heavy-
duty highway vehicle certificates issued during the appropriate model 
years.
    (iii) Add the certification and in-use testing portions determined 
in paragraphs (a)(2)(i) and (ii) of this section to determine the total 
light-duty, medium-duty passenger, and complete heavy-duty highway 
vehicle fee for each federal certificate.
    (b) For light-duty vehicles, light-duty trucks, medium-duty 
passenger vehicles, highway motorcycles, and complete heavy-duty highway 
vehicles subject to exhaust emission standards, the number of 
certificates issued as specified inSec. 1027.105(d)(3) is based only 
on engine families with respect to exhaust emissions. A separate fee 
applies for each evaporative family for heavy-duty engines.
    (c) If you manufacture a heavy-duty vehicle that another company has 
certified as an incomplete vehicle such that you exceed the maximum fuel 
tank size specified by the original manufacturer in the applicable 
certificate of conformity, you must submit a new application for 
certification and certification fee for the vehicle.



Sec.  1027.115  What special provisions apply for certification 
related to nonroad and stationary engines?

    (a) For spark-ignition engines above 19 kW that we regulate under 40 
CFR part 1048 and for all compression-ignition engines, the applicable 
fee is based only on engine families with respect to exhaust emissions.
    (b) For manufacturers certifying recreational vehicles with respect 
to both exhaust and evaporative emission standards, fees are determined 
using one of the following approaches:
    (1) If your engine family includes demonstration of compliance with 
both exhaust and evaporative emission standards, the applicable fee is 
based on certification related to the combined family. No separate fee 
applies for certification with respect to evaporative emission 
standards. These are all considered engine families complying with 
exhaust emissions for determining the number of certificates for 
calculating fees for later years.

[[Page 8]]

    (2) If you have separate families for demonstrating compliance with 
exhaust and evaporative emission standards, a separate fee from the 
appropriate fee category applies for each unique family. Also, the 
number of certificates issued as specified inSec. 1027.105(d)(3) is 
based on a separate count of emission families for exhaust and 
evaporative emissions for each respective fee category.
    (c) For manufacturers certifying other spark-ignition engines or 
equipment with respect to exhaust and evaporative emission standards, a 
separate fee from the appropriate fee category applies for each unique 
family. A single engine or piece of equipment may involve separate 
emission families and certification fees for exhaust and evaporative 
emissions. Also, the number of certificates issued as specified inSec. 
1027.105(d)(3) is based on a separate count of emission families for 
exhaust and evaporative emissions for each respective fee category.
    (d) For any certification related to evaporative emissions from 
engines, equipment, or components not covered by paragraph (a) through 
(c) of this section, the fee applies for each certified product 
independent of certification for exhaust emissions, as illustrated in 
the following examples:
    (1) A fuel tank certified to meet permeation and diurnal emission 
standards would count as a single family for assessing the certification 
fee and for calculating fee amounts for future years.
    (2) If an equipment manufacturer applies for certification to 
generate or use emission credits for fuel tanks and fuel lines, each 
affected fuel-tank and fuel-line family would count as a single family 
for assessing the certification fee and for calculating fee amounts for 
future years. This fee applies whether or not the equipment manufacturer 
is applying for certification to demonstrate compliance with another 
emission standard, such as running losses.
    (e) If you certify fuel system components under 40 CFR part 1060, a 
single fee applies for each emission family even if those components are 
used with different types of nonroad or stationary engines.
    (f) If your application for certification relates to emission 
standards that apply only in California, you must pay the same fee 
identified for meeting EPA standards.
    (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).
    (h) If you produce engines for multiple categories in a single 
engine family, a single fee applies for the engine family. For example, 
40 CFR 60.4210 allows you to produce stationary and nonroad compression-
ignition engines in a single engine family. If the certification fee for 
the different types of engines is different, the fee that applies for 
these engines is based on the emission standards to which you certify 
the engine family. For example, if you certify marine diesel engines to 
the standards that apply to land-based nonroad diesel engines under 40 
CFR 94.912, the certification fee is based on the rate that applies for 
land-based nonroad diesel engines.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec.  1027.120  Can I qualify for reduced fees?

    (a) Eligibility requirements. Both of the following conditions must 
be met before you are eligible for a reduced fee:
    (1) The certificate is to be used for sale of vehicles or engines 
within the United States.
    (2) The full fee for an application for certification for a model 
year exceeds 1.0% of the aggregate projected retail sales price of all 
vehicles or engines covered by the certificate.
    (b) Initial reduced fee calculation. (1) If the conditions of 
paragraph (a) of this section are met, the initial fee paid must be $750 
or 1.0% of the aggregate projected retail sales price of all the 
vehicles or engines to be covered by the certificate, whichever is 
greater.
    (2) For vehicles or engines that are converted to operate on an 
alternative fuel using as the basis for the conversion a vehicle or 
engine that is covered by an existing certificate of conformity, the 
cost basis used in this section must be the aggregate projected

[[Page 9]]

retail value-added to the vehicle or engine by the conversion rather 
than the full cost of the vehicle or engine. For this provision to 
apply, the existing certificate must cover the same sales area and model 
year as the requested certificate for the converted vehicle or engine.
    (3) For remanufacturing systems, the cost basis used in this section 
must be the aggregate projected retail cost of a complete remanufacture, 
including the cost of the replacement components, software, and 
assembly.
    (4) For ICI certification applications, the cost basis of this 
section must be the aggregate projected retail cost of the entire 
vehicle(s) or engine(s), not just the value added by the conversion. If 
the vehicles/engines covered by an ICI certificate are not being offered 
for sale, the manufacturer shall use the fair retail market value of the 
vehicles/engines as the retail sale price required in this section. For 
an ICI application for certification, the retail sales price (or fair 
retail market value) must be based on the applicable National Automobile 
Dealer's Association (NADA) appraisal guide and/or other evidence of the 
actual market value.
    (5) The aggregate cost used in this section must be based on the 
total projected sales of all vehicles and engines under a certificate, 
including vehicles and engines modified under the modification and test 
option in 40 CFR 85.1509 and 89.609. The projection of the number of 
vehicles or engines to be covered by the certificate and their projected 
retail selling price must be based on the latest information available 
at the time of the fee payment.
    (6) You may submit a reduced fee as described in this section if it 
is accompanied by a calculation of the fee based on the number of 
vehicles covered and the projected aggregate retail sales price as 
specified on the fee filing form. Your reduced fee calculation shall be 
deemed approved unless we determine that the criteria of this section 
have not been met. We may make such a determination either before or 
after issuing a certificate of conformity. If we determine that the 
requirements of this section have not been met, we may deny future 
reduced fee applications and require submission of the full fee payment 
until you demonstrate to our satisfaction that your reduced fee 
submissions are based on accurate data and that final fee payments are 
made within 45 days of the end of the model year.
    (7) If we deny your request for a reduced fee, you must send us the 
appropriate fee within 30 days after we notify you.
    (c) Revision of the number of vehicles or engines covered by the 
certificate. (1) You must take both of the following steps if the number 
of vehicles or engines to be produced or imported under the certificate 
exceeds the number indicated on the certificate (including a certificate 
under which modification and test vehicles are imported under 40 CFR 
85.1509 and 89.609):
    (i) Request that we revise the certificate with a number that 
indicates the new projection of the vehicles or engines to be covered by 
the certificate. We must issue the revised certificate before the 
additional number of vehicles or engines may be sold or finally imported 
into the United States.
    (ii) Submit payment of 1.0% of the aggregate projected retail sales 
price of all the additional vehicles or engines.
    (2) You must receive a revised certificate before the sale or final 
importation of any vehicles or engines, including modification and test 
vehicles, that are not originally included in the certificate issued 
under paragraph (b) of this section, or as indicated in a revised 
certificate issued under paragraph (c)(1) of this section. Such vehicles 
that are sold or imported before we issue a revised certificate are 
deemed to be not covered by a certificate of conformity.
    (d) Final reduced fee calculation and adjustment. (1) If the initial 
fee payment is less than the final reduced fee, you must pay the 
difference between the initial reduced fee and the final reduced fee 
using the provisions ofSec. 1027.130. Calculate the final reduced fee 
using the procedures of paragraph (c) of this section but using actual 
production figures rather than projections and actual retail sales value 
rather than projected retail sales value.
    (2) You must pay the difference between the initial reduced fee and 
the final reduced fee within 45 days of the

[[Page 10]]

end of the model year. The total fees paid for a certificate may not 
exceed the applicable full fee specified inSec. 1027.105. We may void 
the applicable certificate if you fail to make a complete payment within 
the specified period. We may also refuse to grant reduced fee requests 
submitted under paragraph (b)(5) of this section.
    (3) If the initial fee payment exceeds the final reduced fee, you 
may request a refund using the procedures ofSec. 1027.125.
    (e) Records retention. You are subject to the applicable 
requirements to maintain records under this chapter. If you fail to 
maintain required records or provide them to us, we may void the 
certificate associated with such records. You must also record the basis 
you used to calculate the projected sales and fair retail market value 
and the actual sales and retail price for the vehicles and engines 
covered by each certificate issued under this section. You must keep 
this information for at least three years after we issue the certificate 
and provide it to us within 30 days of our request.



Sec.  1027.125  Can I get a refund?

    (a) We will refund the total fee imposed under this part if you ask 
for a refund after failing to get a certificate for any reason.
    (b) If your actual sales or the actual retail prices in a given year 
are less than you projected for calculating a reduced fee underSec. 
1027.120, we will refund the appropriate portion of the fee. We will 
also refund a portion of the initial payment if it exceeds the final fee 
for the engines, vehicles, or equipment covered by the certificate 
application.
    (1) You are eligible for a partial refund related only to a 
certificate used for the sale of engines, vehicles, or equipment under 
that certificate in the United States.
    (2) Include all the following in your request for a partial refund 
of reduced fee payments:
    (i) State that you sold engines, vehicles, or equipment under the 
applicable certificate in the United States.
    (ii) Identify the number of engines, vehicles, or equipment you 
produced or imported under the certificate, and whether the engines, 
vehicles, or equipment have been sold.
    (iii) Identify the reduced fee that you paid under the applicable 
certificate.
    (iv) Identify the actual retail sales price for the engines, 
vehicles, or equipment produced or imported under the certificate.
    (v) Calculate the final value of the reduced fee using actual 
production figures and retail prices.
    (vi) Calculate the refund amount.
    (c) We will approve your request to correct errors in the amount of 
the fee.
    (d) All refunds must be applied for within six months after the end 
of the model year.
    (e) Send refund and correction requests to the Fee Program 
Specialist, U.S. Environmental Protection Agency, Vehicle Programs and 
Compliance Division, 2000 Traverwood Dr., Ann Arbor, MI 48105, online at 
www.Pay.gov, or as specified in guidance by the Administrator.
    (f) You may request to have refund amounts applied to the amount due 
on another application for certification.



Sec.  1027.130  How do I make a fee payment?

    (a) Pay fees to the order of the Environmental Protection Agency in 
U.S. dollars using any of the following methods: money order, bank 
draft, certified check, corporate check, electronic funds transfer, any 
method available for payment online at www.Pay.gov., or as specified in 
EPA guidance.
    (b) Send a completed fee filing form to the address designated on 
the form for each fee payment or electronically at www.Pay.gov., or as 
provided in EPA guidance. These forms are available on the Internet at 
http://www.epa.gov/otaq/guidance.htm.
    (c) You must pay the fee amount due before we will start to process 
an application for certification.
    (d) If we deny a reduced fee, you must pay the proper fee within 30 
days after we notify you of our decision.



Sec.  1027.135  What provisions apply to a deficient filing?

    (a) Any filing under this part is deficient if it is not accompanied 
by a

[[Page 11]]

completed fee filing form and full payment of the appropriate fee.
    (b) A deficient filing will be rejected unless the completed form 
and full payment are submitted within a time limit we specify. We will 
not process an application for certification if the associated filing is 
deficient.



Sec.  1027.140  What reporting and recordkeeping requirements apply
under this part?

    Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines, 
vehicles, and equipment regulated under this part:
    (a) Filling out fee filing forms underSec. 1027.130.
    (b) Retaining fee records, including reduced fee documentation, 
underSec. 1027.120.
    (c) Requesting refunds underSec. 1027.125.



Sec.  1027.150  What definitions apply to this part?

    The definitions in this section apply to this part. As used in this 
part, all undefined terms have the meaning the Act or the standard-
setting part gives to them. The definitions follow:
    Application for Certification means a manufacturer's submission of 
an application for certification.
    California-only certificate is a certificate of conformity issued by 
EPA showing compliance with emission standards established by 
California.
    Federal certificate is a certificate of conformity issued by EPA 
showing compliance with EPA emission standards specified in one of the 
standard-setting parts specified inSec. 1027.101(a).
    Light-duty means relating to light-duty vehicles and light-duty 
trucks.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, vessel, or piece of equipment for sale in the United States or 
otherwise introduces a new engine, vehicle, vessel, or piece of 
equipment into commerce in the United States. This includes importers 
who import such products for resale, but not dealers.
    Total number of certificates issued means the number of certificates 
for which fees have been paid. This term is not intended to represent 
multiple certificates that are issued within a single family or test 
group.
    Void has the meaning given in 40 CFR 1068.30.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 FR 59184, Oct. 8, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec.  1027.155  What abbreviations apply to this subpart?

    The following symbols, acronyms, and abbreviations apply to this 
part:

CFR.......................................  Code of Federal Regulations.
EPA.......................................  U.S. Environmental
                                             Protection Agency.
Evap......................................  Evaporative Emissions.
EVECP.....................................  Engine, vehicle, and
                                             equipment compliance
                                             program.
ICI.......................................  Independent Commercial
                                             Importer.
U.S.......................................  United States.
 



PART 1033_CONTROL OF EMISSIONS FROM LOCOMOTIVES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1033.1 Applicability.
1033.5 Exemptions and exclusions.
1033.10 Organization of this part.
1033.15 Other regulation parts that apply for locomotives.
1033.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1033.101 Exhaust emission standards.
1033.102 Transition to the standards of this part.
1033.110 Emission diagnostics--general requirements.
1033.112 Emission diagnostics for SCR systems.
1033.115 Other requirements.
1033.120 Emission-related warranty requirements.
1033.125 Maintenance instructions.
1033.130 Instructions for engine remanufacturing or engine installation.
1033.135 Labeling.

[[Page 12]]

1033.140 Rated power.
1033.150 Interim provisions.

                  Subpart C_Certifying Engine Families

1033.201 General requirements for obtaining a certificate of conformity.
1033.205 Applying for a certificate of conformity.
1033.210 Preliminary approval.
1033.220 Amending maintenance instructions.
1033.225 Amending applications for certification.
1033.230 Grouping locomotives into engine families.
1033.235 Emission testing required for certification.
1033.240 Demonstrating compliance with exhaust emission standards.
1033.245 Deterioration factors.
1033.250 Reporting and recordkeeping.
1033.255 EPA decisions.

 Subpart D_Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs

1033.301 Applicability.
1033.305 General requirements.
1033.310 Sample selection for testing.
1033.315 Test procedures.
1033.320 Calculation and reporting of test results.
1033.325 Maintenance of records; submittal of information.
1033.330 Compliance criteria for production line testing.
1033.335 Remanufactured locomotives: installation audit requirements.
1033.340 Suspension and revocation of certificates of conformity.

                        Subpart E_In-use Testing

1033.401 Applicability.
1033.405 General provisions.
1033.410 In-use test procedure.
1033.415 General testing requirements.
1033.420 Maintenance, procurement and testing of in-use locomotives.
1033.425 In-use test program reporting requirements.

                        Subpart F_Test Procedures

1033.501 General provisions.
1033.505 Ambient conditions.
1033.510 Auxiliary power units.
1033.515 Discrete-mode steady-state emission tests of locomotives and 
          locomotive engines.
1033.520 Alternative ramped modal cycles.
1033.525 Smoke testing.
1033.530 Duty cycles and calculations.
1033.535 Adjusting emission levels to account for infrequently 
          regenerating aftertreatment devices.

                 Subpart G_Special Compliance Provisions

1033.601 General compliance provisions.
1033.610 Small railroad provisions.
1033.615 Voluntarily subjecting locomotives to the standards of this 
          part.
1033.620 Hardship provisions for manufacturers and remanufacturers.
1033.625 Special certification provisions for non-locomotive-specific 
          engines.
1033.630 Staged-assembly and delegated assembly exemptions.
1033.640 Provisions for repowered and refurbished locomotives.
1033.645 Non-OEM component certification program.
1033.650 Incidental use exemption for Canadian and Mexican locomotives.
1033.652 Special provisions for exported locomotives.
1033.655 Special provisions for certain Tier 0/Tier 1 locomotives.

       Subpart H_Averaging, Banking, and Trading for Certification

1033.701 General provisions.
1033.705 Calculating emission credits.
1033.710 Averaging emission credits.
1033.715 Banking emission credits.
1033.720 Trading emission credits.
1033.722 Transferring emission credits.
1033.725 Requirements for your application for certification.
1033.730 ABT reports.
1033.735 Required records.
1033.740 Credit restrictions.
1033.745 Compliance with the provisions of this subpart.
1033.750 Changing a locomotive's FEL at remanufacture.

             Subpart I_Requirements for Owners and Operators

1033.801 Applicability.
1033.805 Remanufacturing requirements.
1033.810 In-use testing program.
1033.815 Maintenance, operation, and repair.
1033.820 In-use locomotives.
1033.825 Refueling requirements.

          Subpart J_Definitions and Other Reference Information

1033.901 Definitions.
1033.905 Symbols, acronyms, and abbreviations.
1033.915 Confidential information.
1033.920 How to request a hearing.
1033.925 Reporting and recordkeeping requirements.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 73 FR 37197, June 30, 2008, unless otherwise noted.

[[Page 13]]



                  Subpart A_Overview and Applicability



Sec.  1033.1  Applicability.

    The regulations in this part 1033 apply for all new locomotives and 
all locomotives containing a new locomotive engine, except as provided 
inSec. 1033.5.
    (a) Standards begin to apply each time a locomotive or locomotive 
engine is originally manufactured or otherwise becomes new (defined in 
Sec.  1033.901). The requirements of this part continue to apply as 
specified after locomotives cease to be new.
    (b) Standards apply to the locomotive. However, in certain cases, 
the manufacturer/remanufacturer is allowed to test a locomotive engine 
instead of a complete locomotive, such as for certification. Also, you 
are not required to complete assembly of a locomotive to obtain a 
certificate of conformity for it, provided you meet the definition of 
``manufacturer'' or ``remanufacturer'' (as applicable) inSec. 
1033.901. For example, an engine manufacturer may obtain a certificate 
for locomotives which it does not manufacture, if the locomotives use 
its engines.
    (c) Standards apply based on the year in which the locomotive was 
originally manufactured. The date of original manufacture is generally 
the date on which assembly is completed for the first time. For example, 
all locomotives originally manufactured in calendar years 2002, 2003, 
and 2004 are subject to the Tier 1 emission standards for their entire 
service lives.
    (d) The following provisions apply when there are multiple persons 
meeting the definition of manufacturer or remanufacturer inSec. 
1033.901:
    (1) Each person meeting the definition of manufacturer must comply 
with the requirements of this part that apply to manufacturers; and each 
person meeting the definition of remanufacturer must comply with the 
requirements of this part that apply to remanufacturers. However, if one 
person complies with a specific requirement for a given locomotive, then 
all manufacturers/remanufacturers are deemed to have complied with that 
specific requirement.
    (2) We will apply the requirements of subparts C, D, and E of this 
part to the manufacturer/remanufacturer that obtains the certificate of 
conformity for the locomotive. Other manufacturers and remanufacturers 
are required to comply with the requirements of subparts C, D, and E of 
this part only when notified by us. In our notification, we will specify 
a reasonable time period in which you need to comply with the 
requirements identified in the notice. SeeSec. 1033.601 for the 
applicability of 40 CFR part 1068 to these other manufacturers and 
remanufacturers.
    (3) For example, we may require a railroad that installs certified 
kits but does not hold the certificate to perform production line 
auditing of the locomotives that it remanufactures. However, if we did, 
we would allow the railroad a reasonable amount of time to develop the 
ability to perform such auditing.
    (e) The provisions of this part apply as specified for locomotives 
manufactured or remanufactured on or after July 7, 2008. SeeSec. 
1033.102 to determine whether the standards of this part or the 
standards of 40 CFR part 92 apply for model years 2008 through 2012. For 
example, for a locomotive that was originally manufactured in 2007 and 
remanufactured on April 10, 2014, the provisions of this part begin to 
apply on April 10, 2014.



Sec.  1033.5  Exemptions and exclusions.

    (a) Subpart G of this part exempts certain locomotives from the 
standards of this part.
    (b) The definition of ``locomotive'' inSec. 1033.901 excludes 
certain vehicles. In general, the engines used in such excluded 
equipment are subject to standards under other regulatory parts. For 
example, see 40 CFR part 1039 for requirements that apply to diesel 
engines used in equipment excluded from the definition of ``locomotive'' 
inSec. 1033.901. The following locomotives are also excluded from the 
provisions of this part 1033:
    (1) Historic locomotives powered by steam engines. For a locomotive 
that was originally manufactured after January 1, 1973 to be excluded 
under this paragraph (b)(1), it may not use any internal combustion 
engines and must be

[[Page 14]]

used only for historical purposes such as at a museum or similar public 
attraction.
    (2) Locomotives powered only by an external source of electricity.
    (c) The requirements and prohibitions of this part apply only for 
locomotives that have become ``new'' (as defined inSec. 1033.901) on 
or after July 7, 2008.
    (d) The provisions of this part do not apply for any auxiliary 
engine that only provides hotel power. In general, these engines are 
subject to the provisions of 40 CFR part 1039. However, depending on the 
engine cycle, model year and power rating, the engines may be subject to 
other regulatory parts instead.
    (e) Manufacturers and owners of locomotives that operate only on 
non-standard gauge rails may ask us to exclude such locomotives from 
this part by excluding them from the definition of ``locomotive''.



Sec.  1033.10  Organization of this part.

    The regulations in this part 1033 contain provisions that affect 
locomotive manufacturers, remanufacturers, and others. However, the 
requirements of this part are generally addressed to the locomotive 
manufacturer/remanufacturer. The term ``you'' generally means the 
manufacturer/remanufacturer, as defined inSec. 1033.901. This part 
1033 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1033 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify locomotives under this 
part. Note thatSec. 1033.150 discusses certain interim requirements 
and compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) Subpart D of this part describes general provisions for testing 
and auditing production locomotives.
    (e) Subpart E of this part describes general provisions for testing 
in-use locomotives.
    (f) Subpart F of this part and 40 CFR part 1065 describe how to test 
locomotives and engines.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, exemptions, and other provisions that apply 
to locomotive manufacturer/remanufacturers, owners, operators, and all 
others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your locomotives.
    (i) Subpart I of this part describes provisions for locomotive 
owners and operators.
    (j) Subpart J of this part contains definitions and other reference 
information.



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.
    (b) The requirements and prohibitions of part 1068 of this chapter 
apply to everyone, including anyone who manufactures, remanufactures, 
imports, maintains, owns, or operates any of the locomotives subject to 
this part 1033. SeeSec. 1033.601 to determine how to apply the part 
1068 regulations for locomotives. Part 1068 of this chapter describes 
general provisions, including the following areas:
    (1) Prohibited acts and penalties for locomotive manufacturer/
remanufacturers and others.
    (2) Exclusions and exemptions for certain locomotives.
    (3) Importing locomotives.
    (4) Selective enforcement audits of your production.
    (5) Defect reporting and recall.
    (6) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22982, Apr. 30, 2010]



Sec.  1033.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer toSec. 1033.925 and 40 CFR 1068.25 regarding 
recordkeeping

[[Page 15]]

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 inSec. 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 (seeSec. 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.

[75 FR 22982, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec.  1033.101  Exhaust emission standards.

    See Sec.Sec. 1033.102 and 1033.150 to determine how the emission 
standards of this section apply before 2023.
    (a) Emission standards for line-haul locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 1 to this section during the useful life of the 
locomotive. (Note:Sec. 1033.901 defines locomotives to be ``new'' when 
originally manufactured and when remanufactured.) Measure emissions 
using the applicable test procedures described in subpart F of this 
part.

                       Table 1 toSec.  1033.101--Line-Haul Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-1992 \a\.......................  Tier 0 \b\............          8.0         0.22         1.00          5.0
1993 \a\-2004.......................  Tier 1 \b\............          7.4         0.22         0.55          2.2
2005-2011...........................  Tier 2 \b\............          5.5     \e\ 0.10         0.30          1.5
2012-2014...........................  Tier 3 \c\............          5.5         0.10         0.30          1.5
2015 or later.......................  Tier 4 \d\............          1.3         0.03         0.14          1.5
----------------------------------------------------------------------------------------------------------------
\a\ Locomotive models that were originally manufactured in model years 1993 through 2001, but that were not
  originally equipped with a separate coolant system for intake air are subject to the Tier 0 rather than the
  Tier 1 standards.
\b\ Line-haul locomotives subject to the Tier 0 through Tier 2 emission standards must also meet switch
  standards of the same tier.
\c\ Tier 3 line-haul locomotives must also meet Tier 2 switch standards.
\d\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.
\e\ The PM standard for newly remanufactured Tier 2 line-haul locomotives is 0.20 g/bhp-hr until January 1,
  2013, except as specified inSec.  1033.150(a).

    (b) Emission standards for switch locomotives. Exhaust emissions 
from your new locomotives may not exceed the applicable emission 
standards in Table 2 to this section during the useful life of the 
locomotive. (Note:Sec. 1033.901 defines locomotives to be ``new'' when 
originally manufactured and when remanufactured.) Measure emissions 
using the applicable test procedures described in subpart F of this 
part.

                        Table 2 toSec.  1033.101--Switch Locomotive Emission Standards
----------------------------------------------------------------------------------------------------------------
                                                                             Standards (g/bhp-hr)
    Year of original manufacture         Tier of standards   ---------------------------------------------------
                                                                  NOX           PM           HC           CO
----------------------------------------------------------------------------------------------------------------
1973-2001...........................  Tier 0................         11.8         0.26         2.10          8.0
2002-2004...........................  Tier 1 a..............         11.0         0.26         1.20          2.5
2005-2010...........................  Tier 2 a..............          8.1       b 0.13         0.60          2.4
2011-2014...........................  Tier 3................          5.0         0.10         0.60          2.4

[[Page 16]]

 
2015 or later.......................  Tier 4................        c 1.3         0.03       c 0.14          2.4
----------------------------------------------------------------------------------------------------------------
\a\ Switch locomotives subject to the Tier 1 through Tier 2 emission standards must also meet line-haul
  standards of the same tier.
\b\ The PM standard for new Tier 2 switch locomotives is 0.24 g/bhp-hr until January 1, 2013.
\c\ Manufacturers may elect to meet a combined NOX+HC standard of 1.4 g/bhp-hr instead of the otherwise
  applicable Tier 4 NOX and HC standards, as described in paragraph (j) of this section.

    (c) Smoke standards. The smoke opacity standards specified in Table 
3 to this section apply only for locomotives certified to one or more PM 
standards or FELs greater than 0.05 g/bhp-hr. Smoke emissions, when 
measured in accordance with the provisions of Subpart F of this part, 
shall not exceed these standards.

                  Table 3 toSec.  1033.101--Smoke Standards for Locomotives (Percent Opacity)
----------------------------------------------------------------------------------------------------------------
                                                                   Steady-state     30-sec peak     3-sec peak
----------------------------------------------------------------------------------------------------------------
Tier 0..........................................................              30              40              50
Tier 1..........................................................              25              40              50
Tier 2 and later................................................              20              40              50
----------------------------------------------------------------------------------------------------------------

    (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.
    (e) Notch standards. (1) Exhaust emissions from locomotives may not 
exceed the notch standards specified in paragraph (e)(2) of this 
section, except as allowed in paragraph (e)(3) of this section, when 
measured using any test procedures under any test conditions.
    (2) Except as specified in paragraph (e)(5) of this section, 
calculate the applicable notch standards for each pollutant for each 
notch from the certified notch emission rate as follows:

Notch standard = (Ei) x (1.1 + (1--ELHi/std))

Where:

Ei = The deteriorated brake-specific emission rate (for 
          pollutant i) for the notch (i.e., the brake-specific emission 
          rate calculated under subpart F of this part, adjusted by the 
          deterioration factor in the application for certification); 
          where i is NOX, HC, CO or PM.
ELHi = The deteriorated line-haul duty-cycle weighted brake-
          specific emission rate for pollutant i, as reported in the 
          application for certification, except as specified in 
          paragraph (e)(6) of this section.

[[Page 17]]

std = The applicable line-haul duty-cycle standard/FEL, except as 
          specified in paragraph (e)(6) of this section.

    (3) Exhaust emissions that exceed the notch standards specified in 
paragraph (e)(2) of this section are allowed only if one of the 
following is true:
    (i) The same emission controls are applied during the test 
conditions causing the noncompliance as were applied during 
certification test conditions (and to the same degree).
    (ii) The exceedance result from a design feature that was described 
(including its effect on emissions) in the approved application for 
certification, and is:
    (A) Necessary for safety;
    (B) Addresses infrequent regeneration of an aftertreatment device; 
or
    (C) Otherwise allowed by this part.
    (4) Since you are only required to test your locomotive at the 
highest emitting dynamic brake point, the notch caps that you calculate 
for the dynamic brake point that you test also apply for other dynamic 
brake points.
    (5) No PM notch caps apply for locomotives certified to a PM 
standard or FEL of 0.05 g/bhp-hr or lower.
    (6) For switch locomotives that are not subject to line-haul 
standards, ELH\i\ equals the deteriorated switch duty-cycle weighted 
brake-specific emission rate for pollutant i and std is the applicable 
switch cycle standard/FEL.
    (f) Fuels. The exhaust emission standards in this section apply for 
locomotives using the fuel type on which the locomotives in the engine 
family are designed to operate.
    (1) You must meet the numerical emission standards for HC in this 
section based on the following types of hydrocarbon emissions for 
locomotives powered by the following fuels:
    (i) Alcohol-fueled locomotives: THCE emissions for Tier 3 and 
earlier locomotives and NMHCE for Tier 4.
    (ii) Gaseous-fueled locomotives: NMHC emissions.
    (iii) Diesel-fueled and other locomotives: THC emissions for Tier 3 
and earlier locomotives and NMHC for Tier 4. Note that manufacturers/
remanufacturers may choose to not measure NMHC and assume that NMHC is 
equal to THC multiplied by 0.98 for diesel-fueled locomotives.
    (2) You must certify your diesel-fueled locomotives to use the 
applicable grades of diesel fuel as follows:
    (i) Certify your Tier 4 and later diesel-fueled locomotives for 
operation with only Ultra Low Sulfur Diesel (ULSD) fuel. Use ULSD as the 
test fuel for these locomotives.
    (ii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with only ULSD fuel if they include sulfur-sensitive 
technology and you demonstrate compliance using a ULSD test fuel.
    (iii) Certify your Tier 3 and earlier diesel-fueled locomotives for 
operation with either ULSD fuel or Low Sulfur Diesel (LSD) fuel if they 
do not include sulfur-sensitive technology or if you demonstrate 
compliance using an LSD test fuel (including commercial LSD fuel).
    (iv) For Tier 1 and earlier diesel-fueled locomotives, if you 
demonstrate compliance using a ULSD test fuel, you must adjust the 
measured PM emissions upward by 0.01 g/bhp-hr to make them equivalent to 
tests with LSD. We will not apply this adjustment for our testing.
    (g) Useful life. The emission standards and requirements in this 
subpart apply to the emissions from new locomotives for their useful 
life. The useful life is generally specified as MW-hrs and years, and 
ends when either of the values (MW-hrs or years) is exceeded or the 
locomotive is remanufactured.
    (1) The minimum useful life in terms of MW-hrs is equal to the 
product of the rated horsepower multiplied by 7.50. The minimum useful 
life in terms of years is ten years. For locomotives originally 
manufactured before January 1, 2000 and not equipped with MW-hr meters, 
the minimum useful life is equal to 750,000 miles or ten years, 
whichever is reached first. SeeSec. 1033.140 for provisions related to 
rated power.
    (2) You must specify a longer useful life if the locomotive or 
locomotive engine is designed to last longer than the applicable minimum 
useful life. Recommending a time to remanufacture that is longer than 
the minimum useful life is one indicator of a longer design life.

[[Page 18]]

    (3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined inSec. 1033.901) may ask us 
(before certification) to allow a shorter useful life for an engine 
family containing only non-locomotive-specific engines. We may approve a 
shorter useful life, in MW-hrs of locomotive operation but not in years, 
if we determine that these locomotives 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.
    (4) Remanufacturers of locomotive or locomotive engine 
configurations that have been previously certified under paragraph 
(g)(3) of this section to a useful life that is shorter than the value 
specified in paragraph (g)(1) of this section may certify to that same 
shorter useful life value without request.
    (5) In unusual circumstances, you may ask us to allow you to certify 
some locomotives in your engine family to a partial useful life. This 
allowance is limited to cases in which some or all of the locomotive's 
power assemblies have been operated previously such that the locomotive 
will need to be remanufactured prior to the end of the otherwise 
applicable useful life. Unless we specify otherwise, define the partial 
useful life based on the total MW-hrs since the last remanufacture to be 
consistent with other locomotives in the family. For example, this may 
apply for a previously uncertified locomotive that becomes ``new'' when 
it is imported, but that was remanufactured two years earlier 
(representing 25 percent of the normal useful life period). If such a 
locomotive could be brought into compliance with the applicable 
standards without being remanufactured, you may ask to include it in 
your engine family for the remaining 75 percent of its useful life 
period.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification testing, 
production-line testing, and in-use testing.
    (i) Alternate CO standards. Manufacturers/remanufacturers may 
certify Tier 0, Tier 1, or Tier 2 locomotives to an alternate CO 
emission standard of 10.0 g/bhp-hr instead of the otherwise applicable 
CO standard if they also certify those locomotives to alternate PM 
standards less than or equal to one-half of the otherwise applicable PM 
standard. For example, a manufacturer certifying Tier 1 locomotives to a 
0.11 g/bhp-hr PM standard may certify those locomotives to the alternate 
CO standard of 10.0 g/bhp-hr.
    (j) Alternate NOX+HC standards for Tier 4. Manufacturers/
remanufacturers may use credits accumulated through the ABT program to 
certify Tier 4 locomotives to an alternate NOX+HC emission 
standard of 1.4 g/bhp-hr (instead of the otherwise applicable 
NOX and NMHC standards). You may use NOX credits 
to show compliance with this standard by certifying your family to a 
NOX+HC FEL. Calculate the NOX credits needed as 
specified in subpart H of this part using the NOX+HC emission 
standard and FEL in the calculation instead of the otherwise applicable 
NOX standard and FEL. You may not generate credits relative 
to the alternate standard or certify to the standard without using 
credits.
    (k) Upgrading. Upgraded locomotives that were originally 
manufactured prior to January 1, 1973 are subject to the Tier 0 
standards. (See the definition of upgrade inSec. 1033.901.)
    (l) Other optional standard provisions. Locomotives may be certified 
to a higher tier of standards than would otherwise be required. Tier 0 
switch locomotives may be certified to both the line-haul and switch 
cycle standards. In both cases, once the locomotives become subject to 
the additional standards, they remain subject to those

[[Page 19]]

standards for the remainder of their service lives.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59188, Oct. 8, 2008; 75 
FR 22982, Apr. 30, 2010]



Sec.  1033.102  Transition to the standards of this part.

    (a) Except as specified inSec. 1033.150(a), the Tier 0 and Tier 1 
standards ofSec. 1033.101 apply for new locomotives beginning January 
1, 2010, except as specified inSec. 1033.150(a). The Tier 0 and Tier 1 
standards of 40 CFR part 92 apply for earlier model years.
    (b) Except as specified inSec. 1033.150(a), the Tier 2 standards 
ofSec. 1033.101 apply for new locomotives beginning January 1, 2013. 
The Tier 2 standards of 40 CFR part 92 apply for earlier model years.
    (c) The Tier 3 and Tier 4 standards ofSec. 1033.101 apply for the 
model years specified in that section.



Sec.  1033.110  Emission diagnostics--general requirements.

    The provisions of this section apply if you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems and you choose to base your emission-
related maintenance instructions on such diagnostics. SeeSec. 1033.420 
for information about how to select and maintain diagnostic-equipped 
locomotives for in-use testing. Notify the owner/operator that the 
presence of this diagnostic system affects their maintenance obligations 
underSec. 1033.815. Except as specified inSec. 1033.112, this 
section does not apply for diagnostics that you do not include in your 
emission-related maintenance instructions. The provisions of this 
section address diagnostic systems based on malfunction-indicator lights 
(MILs). You may ask to use other indicators instead of MILs.
    (a) The MIL must be readily visible to the operator. When the MIL 
goes on, it must display ``Check Emission Controls'' or a similar 
message that we approve. You may use sound in addition to the light 
signal.
    (b) To ensure that owner/operators consider MIL illumination 
seriously, you may not illuminate it for malfunctions that would not 
otherwise require maintenance. This section does not limit your ability 
to display other indicator lights or messages, as long as they are 
clearly distinguishable from MILs affecting the owner/operator's 
maintenance obligations underSec. 1033.815.
    (c) Control when the MIL can go out. If the MIL goes on to show a 
malfunction, it must remain on during all later engine operation until 
servicing corrects the malfunction. If the engine is not serviced, but 
the malfunction does not recur during the next 24 hours, the MIL may 
stay off during later engine operation.
    (d) Record and store in computer memory any diagnostic trouble codes 
showing a malfunction that should illuminate the MIL. The stored codes 
must identify the malfunctioning system or component as uniquely as 
possible. Make these codes available through the data link connector as 
described in paragraph (e) of this section. You may store codes for 
conditions that do not turn on the MIL. The system must store a separate 
code to show when the diagnostic system is disabled (from malfunction or 
tampering). Provide instructions to the owner/operator regarding how to 
interpret malfunction codes.
    (e) Make data, access codes, and devices accessible. Make all 
required data accessible to us without any access codes or devices that 
only you can supply. Ensure that anyone servicing your locomotive can 
read and understand the diagnostic trouble codes stored in the onboard 
computer with generic tools and information.
    (f) Follow standard references for formats, codes, and connections.



Sec.  1033.112  Emission diagnostics for SCR systems.

    Engines equipped with SCR systems using separate reductant tanks 
must also meet the requirements of this section in addition to the 
requirements ofSec. 1033.110. This section does not apply for SCR 
systems using the engine's fuel as the reductant.
    (a) The diagnostic system must monitor reductant quality and tank 
levels and alert operators to the need to refill the reductant tank 
before it is empty, or to replace the reductant if it does

[[Page 20]]

not meet your concentration specifications. Unless we approve other 
alerts, use a malfunction-indicator light (MIL) as specified inSec. 
1033.110 and an audible alarm. You do not need to separately monitor 
reductant quality if you include an exhaust NOX sensor (or 
other sensor) that allows you to determine inadequate reductant quality. 
However, tank level must be monitored in all cases.
    (b) Your onboard computer must record in nonvolatile computer memory 
all incidents of engine operation with inadequate reductant injection or 
reductant quality. It must record the total amount of operation without 
adequate reductant. It may total the operation by hours, work, or excess 
NOX emissions.



Sec.  1033.115  Other requirements.

    Locomotives that are required to meet the emission standards of this 
part must meet the requirements of this section. These requirements 
apply when the locomotive is new (for freshly manufactured or 
remanufactured locomotives) and continue to apply throughout the useful 
life.
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere from any locomotive, except as 
follows:
    (1) Locomotives may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing. If you take 
advantage of this exception, you must do both of the following things:
    (i) Manufacture the locomotives so that all crankcase emissions can 
be routed into the applicable sampling systems specified in 40 CFR part 
1065, consistent with good engineering judgment.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (2) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b) Adjustable parameters. Locomotives that have adjustable 
parameters must meet all the requirements of this part for any 
adjustment in the approved adjustable range. You must specify in your 
application for certification the adjustable range of each adjustable 
parameter on a new locomotive or new locomotive engine to:
    (1) Ensure that safe locomotive operating characteristics are 
available within that range, as required by section 202(a)(4) of the 
Clean Air Act (42 U.S.C. 7521(a)(4)), taking into consideration the 
production tolerances.
    (2) Limit the physical range of adjustability to the maximum extent 
practicable to the range that is necessary for proper operation of the 
locomotive or locomotive engine.
    (c) Prohibited controls. You may not design or produce your 
locomotives with emission control devices, systems, or elements of 
design that cause or contribute to an unreasonable risk to public 
health, welfare, or safety while operating. For example, this would 
apply if the locomotive emits a noxious or toxic substance it would 
otherwise not emit that contributes to such an unreasonable risk.
    (d) Evaporative and refueling controls. For locomotives fueled with 
a volatile fuel you must design and produce them to minimize evaporative 
emissions during normal operation, including periods when the engine is 
shut down. You must also design and produce them to minimize the escape 
of fuel vapors during refueling. Hoses used to refuel gaseous-fueled 
locomotives may not be designed to be bled or vented to the atmosphere 
under normal operating conditions. No valves or pressure relief vents 
may be used on gaseous-fueled locomotives except as emergency safety 
devices that do not operate at normal system operating flows and 
pressures.
    (e) Altitude requirements. All locomotives must be designed to 
include features that compensate for changes in altitude so that the 
locomotives will comply with the applicable emission standards when 
operated at any altitude less than:
    (1) 7000 feet above sea level for line-haul locomotives.
    (2) 5500 feet above sea level for switch locomotives.
    (f) Defeat devices. You may not equip your locomotives with a defeat 
device.

[[Page 21]]

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 ofSec. 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 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 underSec. 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.
    (g) Idle controls. All new locomotives must be equipped with 
automatic engine stop/start as described in this paragraph (g). All new 
locomotives must be designed to allow the engine(s) to be restarted at 
least six times per day without causing engine damage that would affect 
the expected interval between remanufacturing. Note that it is a 
violation of 40 CFR 1068.101(b)(1) to circumvent the provisions of this 
paragraph (g).
    (1) Except as allowed by paragraph (g)(2) of this section, the stop/
start systems must shut off the main locomotive engine(s) after 30 
minutes of idling (or less).
    (2) Stop/start systems may restart or continue idling for the 
following reasons:
    (i) To prevent engine damage such as to prevent the engine coolant 
from freezing.
    (ii) To maintain air pressure for brakes or starter system, or to 
recharge the locomotive battery.
    (iii) To perform necessary maintenance.
    (iv) To otherwise comply with federal regulations.
    (3) You may ask to use alternate stop/start systems that will 
achieve equivalent idle control.
    (4) SeeSec. 1033.201 for provisions that allow you to obtain a 
separate certificate for idle controls.
    (5) It is not considered circumvention to allow a locomotive to idle 
to heat or cool the cab, provided such heating or cooling is necessary.
    (h) Power meters. Tier 1 and later locomotives must be equipped with 
MW-hr meters (or the equivalent) consistent with the specifications of 
Sec.  1033.140.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75 
FR 22982, Apr. 30, 2010]



Sec.  1033.120  Emission-related warranty requirements.

    (a) General requirements. Manufacturers/remanufacturers must warrant 
to the ultimate purchaser and each subsequent purchaser that the new 
locomotive, including all parts of its emission control system, meets 
two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Except as specified in this paragraph, the 
minimum warranty period is one-third of the useful life. Your emission-
related warranty must be valid for at least as long as the minimum 
warranty periods listed in this paragraph (b) in MW-hrs of

[[Page 22]]

operation (or miles for Tier 0 locomotives not equipped with MW-hr 
meters) and years, whichever comes first. You may offer an emission-
related warranty more generous than we require. The emission-related 
warranty for the locomotive may not be shorter than any published 
warranty you offer without charge for the locomotive. Similarly, the 
emission-related warranty for any component may not be shorter than any 
published warranty you offer without charge for that component. If you 
provide an extended warranty to individual owners for any components 
covered in paragraph (c) of this section for an additional charge, your 
emission-related warranty must cover those components for those owners 
to the same degree. If the locomotive does not record MW-hrs, we base 
the warranty periods in this paragraph (b) only on years. The warranty 
period begins when the locomotive is placed into service, or back into 
service after remanufacture.
    (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.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the 
locomotive.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 75 
FR 22983, Apr. 30, 2010]



Sec.  1033.125  Maintenance instructions.

    Give the owner of each new locomotive written instructions for 
properly maintaining and using the locomotive, including the emission-
control system. Include in the instructions a notification that owners 
and operators must comply with the requirements of subpart I of this 
part 1033. The emission-related maintenance instructions also apply to 
any service accumulation on your emission-data locomotives, as described 
inSec. 1033.245 and in 40 CFR part 1065. If you equip your locomotives 
with a diagnostic system that will detect significant malfunctions in 
their emission-control systems, specify the extent to which your 
emission-related maintenance instructions include such diagnostics.



Sec.  1033.130  Instructions for engine remanufacturing or engine
installation.

    (a) If you do not complete assembly of the new locomotive (such as 
selling a kit that allows someone else to remanufacture a locomotive 
under your certificate), give the assembler instructions for completing 
assembly consistent with the requirements of this part. Include all 
information necessary to ensure that the locomotive will be assembled in 
its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related assembly instructions''
    (2) Describe any instructions necessary to make sure the assembled 
locomotive will operate according to design specifications in your 
application for certification.
    (3) Describe how to properly label the locomotive. This will 
generally include instructions to remove and destroy the previous Engine 
Emission Control Information label.
    (4) State one of the following as applicable:

[[Page 23]]

    (i) ``Failing to follow these instructions when remanufacturing a 
locomotive or locomotive engine violates federal law (40 CFR 
1068.105(b)), and may subject you to fines or other penalties as 
described in the Clean Air Act.''
    (ii) ``Failing to follow these instructions when installing this 
locomotive engine violates federal law (40 CFR 1068.105(b)), and may 
subject you to fines or other penalties as described in the Clean Air 
Act.''
    (c) You do not need installation instructions for locomotives you 
assemble.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each assembler is informed of the assembly requirements.
    (e) Your emission-related assembly instructions may not include 
specifications for parts unrelated to emissions. For the basic 
mechanical parts listed in this paragraph (e), you may not specify a 
part manufacturer unless we determine that such a specification is 
necessary. You may include design specifications for such parts 
addressing the dimensions and material constraints as necessary. You may 
also specify a part number, as long you make it clear that alternate 
part suppliers may be used. This paragraph (e) covers the following 
parts or other parts we determine qualify as basic mechanical parts:
    (1) Intake and exhaust valves.
    (2) Intake and exhaust valve retainers.
    (3) Intake and exhaust valve springs.
    (4) Intake and exhaust valve rotators.
    (5) Oil coolers.



Sec.  1033.135  Labeling.

    As described in this section, each locomotive must have a label on 
the locomotive and a separate label on the engine. The label on the 
locomotive stays on the locomotive throughout its service life. It 
generally identifies the original certification of the locomotive, which 
is when it was originally manufactured for Tier 1 and later locomotives. 
The label on the engine is replaced each time the locomotive is 
remanufactured and identifies the most recent certification.
    (a) Serial numbers. At the point of original manufacture, assign 
each locomotive and each locomotive engine a serial number or other 
unique identification number and permanently affix, engrave, or stamp 
the number on the locomotive and engine in a legible way.
    (b) Locomotive labels. (1) Locomotive labels meeting the 
specifications of paragraph (b)(2) of this section must be applied as 
follows:
    (i) The manufacturer must apply a locomotive label at the point of 
original manufacture.
    (ii) The remanufacturer must apply a locomotive label at the point 
of original remanufacture, unless the locomotive was labeled by the 
original manufacturer.
    (iii) Any remanufacturer certifying a locomotive to an FEL or 
standard different from the previous FEL or standard to which the 
locomotive was previously certified must apply a locomotive label.
    (2) The locomotive label must meet all of the following criteria:
    (i) The label must be permanent and legible and affixed to the 
locomotive in a position in which it will remain readily visible. Attach 
it to a locomotive chassis part necessary for normal operation and not 
normally requiring replacement during the service life of the 
locomotive. You may not attach this label to the engine or to any 
equipment that is easily detached from the locomotive. Attach the label 
so that it cannot be removed without destroying or defacing the label. 
For Tier 0 and Tier 1 locomotives, the label may be made up of more than 
one piece, as long as all pieces are permanently attached to the 
locomotive.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ORIGINAL LOCOMOTIVE EMISSION CONTROL 
INFORMATION.'' Manufacturers/remanufacturers may add a subheading

[[Page 24]]

to distinguish this label from the engine label described in paragraph 
(c) of this section.
    (B) Full corporate name and trademark of the manufacturer (or 
remanufacturer).
    (C) The applicable engine family and configuration identification. 
In the case of locomotive labels applied by the manufacturer at the 
point of original manufacture, this will be the engine family and 
configuration identification of the certificate applicable to the 
freshly manufactured locomotive. In the case of locomotive labels 
applied by a remanufacturer during remanufacture, this will be the 
engine family and configuration identification of the certificate under 
which the remanufacture is being performed.
    (D) Date of original manufacture of the locomotive, as defined in 
Sec.  1033.901.
    (E) The standards/FELs to which the locomotive was certified and the 
following statement: ``THIS LOCOMOTIVE MUST COMPLY WITH THESE EMISSION 
LEVELS EACH TIME THAT IT IS REMANUFACTURED, EXCEPT AS ALLOWED BY 40 CFR 
1033.750.''
    (3) Label diesel-fueled locomotives near the fuel inlet to identify 
the allowable fuels, consistent withSec. 1033.101. For example, Tier 4 
locomotives should be labeled ``ULTRA LOW SULFUR DIESEL FUEL ONLY''. You 
do not need to label Tier 3 and earlier locomotives certified for use 
with both LSD and ULSD.
    (c) Engine labels. (1) For engines not requiring aftertreatment 
devices, apply engine labels meeting the specifications of paragraph 
(c)(2) of this section once an engine has been assembled in its 
certified configuration. For engines that require aftertreatment 
devices, apply the label after the engine has been fully assembled, 
which may occur before installing the aftertreatment devices. These 
labels must be applied by:
    (i) The manufacturer at the point of original manufacture; and
    (ii) The remanufacturer at the point of each remanufacture 
(including the original remanufacture and subsequent remanufactures).
    (2) The engine label must meet all of the following criteria:
    (i) The label must be durable throughout the useful life of the 
engine, be legible and affixed to the engine in a position in which it 
will be readily visible after installation of the engine in the 
locomotive. Attach it to an engine part necessary for normal operation 
and not normally requiring replacement during the useful life of the 
locomotive. You may not attach this label to any equipment that is 
easily detached from the engine. Attach the label so it cannot be 
removed without destroying or defacing the label. The label may be made 
up of more than one piece, as long as all pieces are permanently 
attached to the same engine part.
    (ii) The label must be lettered in the English language using a 
color that contrasts with the background of the label.
    (iii) The label must include all the following information:
    (A) The label heading: ``ENGINE EMISSION CONTROL INFORMATION.'' 
Manufacturers/remanufacturers may add a subheading to distinguish this 
label from the locomotive label described in paragraph (b) of this 
section.
    (B) Full corporate name and trademark of the manufacturer/
remanufacturer.
    (C) Engine family and configuration identification as specified in 
the certificate under which the locomotive is being manufactured or 
remanufactured.
    (D) A prominent unconditional statement of compliance with U.S. 
Environmental Protection Agency regulations which apply to locomotives, 
as applicable:
    (1) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 0+ switch locomotives.''
    (2) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 0+ line-haul locomotives.''
    (3) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 1+ locomotives.''
    (4) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 2+ locomotives.''
    (5) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 switch locomotives.''

[[Page 25]]

    (6) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 line-haul locomotives.''
    (7) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 4 switch locomotives.''
    (8) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 4 line-haul locomotives.''
    (E) The useful life of the locomotive.
    (F) The standards/FELS to which the locomotive was certified.
    (iv) You may include other critical operating instructions such as 
specifications for adjustments or reductant use for SCR systems.
    (d) You may add information to the emission control information 
label as follows:
    (1) You may identify other emission standards that the engine/
locomotive meets or does not meet (such as international standards). You 
may include this information by adding it to the statement we specify or 
by including a separate statement.
    (2) You may add other information to ensure that the locomotive will 
be properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the engine's unique identification number 
on the label.
    (e) You may ask us to approve modified labeling requirements in this 
part 1033 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008]



Sec.  1033.140  Rated power.

    This section describes how to determine the rated power of a 
locomotive for the purposes of this part.
    (a) A locomotive configuration's rated power is the maximum brake 
power point on the nominal power curve for the locomotive configuration, 
as defined in this section. SeeSec. 1033.901 for the definition of 
brake power. Round the power value to the nearest whole horsepower. 
Generally, this will be the brake power of the engine in notch 8.
    (b) The nominal power curve of a locomotive configuration is its 
maximum available brake power at each possible operator demand setpoint 
or ``notch''. See 40 CFR 1065.1001 for the definition of operator 
demand. The maximum available power at each operator demand setpoint is 
based on your design and production specifications for that locomotive. 
The nominal power curve does not include any operator demand setpoints 
that are not achievable during in-use operation. For example, for a 
locomotive with only eight discrete operator demand setpoints, or 
notches, the nominal power curve would be a series of eight power points 
versus notch, rather than a continuous curve.
    (c) The nominal power curve must be within the range of the actual 
power curves of production locomotives considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production locomotives, we may 
require you to amend your application for certification underSec. 
1033.225.
    (d) For the purpose of determining useful life, you may need to use 
a rated power based on power other than brake power according to the 
provisions of this paragraph (d). The useful life must be based on the 
power measured by the locomotive's megawatt-hour meter. For example, if 
your megawatt-hour meter reads and records the electrical work output of 
the alternator/generator rather than the brake power of the engine, and 
the power output of the alternator/generator at notch 8 is 4000 
horsepower, calculate your useful life as 30,000MW-hrs (7.5 x 4000).



Sec.  1033.150  Interim provisions.

    The provisions of this section apply instead of other provisions of 
this part for a limited time. This section describes when these 
provisions apply.
    (a) Early availability of Tier 0, Tier 1, or Tier 2 systems. Except 
as specified in paragraph (a)(2) of this section, for model years 2008 
and 2009, you may remanufacture locomotives to meet the applicable 
standards in 40 CFR part 92 only if no remanufacture system has been 
certified to meet the standards of

[[Page 26]]

this part and is available at a reasonable cost at least 90 days prior 
to the completion of the remanufacture as specified in paragraph (a)(3) 
of this section. This same provision continues to apply after 2009, but 
only for Tier 2 locomotives. Note that remanufacturers may certify 
remanufacturing systems that will not be available at a reasonable cost; 
however such certification does not trigger the requirements of this 
paragraph (a).
    (1) For the purpose of this paragraph (a), ``available at a 
reasonable cost'' means available for use where all of the following are 
true:
    (i) The total incremental cost to the owner and operators of the 
locomotive due to meeting the new standards (including initial hardware, 
increased fuel consumption, and increased maintenance costs) during the 
useful life of the locomotive is less than $250,000, adjusted as 
specified in paragraph (a)(4)(i) of this section.
    (ii) The initial incremental hardware costs are reasonably related 
to the technology included in the remanufacturing system and are less 
than $125,000, adjusted as specified in paragraph (a)(4)(i) of this 
section.
    (iii) The remanufactured locomotive will have reliability throughout 
its useful life that is similar to the reliability the locomotive would 
have had if it had been remanufactured without the certified 
remanufacture system.
    (iv) The remanufacturer must demonstrate at the time of 
certification that the system meets the requirements of this paragraph 
(a)(1).
    (v) The system does not generate or use emission credits.
    (2) The number of locomotives that each railroad must remanufacture 
under this paragraph (a) is capped as follows:
    (i) For the period October 3, 2008 to December 31, 2008, the maximum 
number of locomotives that a railroad must remanufacture under this 
paragraph (a) is 50 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (ii) For the period January 1, 2009 to December 31, 2009, the 
maximum number of locomotives that a railroad must remanufacture under 
this paragraph (a) is 70 percent of the total number of the railroad's 
locomotives that are remanufactured during this period under this part 
or 40 CFR part 92. Include in the calculation both locomotives you own 
and locomotives you lease.
    (3) Remanufacturers applying for certificates under this paragraph 
(a) are responsible to notify owner/operators (and other customers as 
applicable) that they have requested such certificates. The notification 
should occur at the same time that the remanufacturer submits its 
application, and should include a description of the remanufacturing 
system, price, expected incremental operating costs, and draft copies of 
your installation and maintenance instructions. The system is considered 
to be available for a customer 120 days after this notification, or 90 
days after the certificate is issued, whichever is later. Where we issue 
a certificate of conformity under this part based on carryover data from 
an engine family that we previously considered available for the 
configuration, the system is considered to be available when we issue 
the certificate.
    (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

[[Page 27]]

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)

    (b) Idle controls. A locomotive equipped with an automatic engine 
stop/start system that was originally installed before January 1, 2009 
and that conforms to the requirements ofSec. 1033.115(g) is deemed to 
be covered by a certificate of conformity with respect to the 
requirements ofSec. 1033.115(g). Note that the provisions of subpart C 
of this part also allow you to apply for a conventional certificate of 
conformity for such systems.
    (c) Locomotive labels for transition to new standards. This 
paragraph (c) applies when you remanufacture a locomotive that was 
previously certified under 40 CFR part 92. You must remove the old 
locomotive label and replace it with the locomotive label specified in 
Sec.  1033.135.
    (d) Small manufacturer/remanufacturer provisions. The production-
line testing requirements and in-use testing requirements of this part 
do not apply until January 1, 2013 for manufacturers/remanufacturers 
that qualify as small manufacturers underSec. 1033.901.
    (e) Producing switch locomotives using certified nonroad engines. 
You may use the provisions of this paragraph (e) to produce any number 
of freshly manufactured or refurbished switch locomotives in model years 
2008 through 2017. Locomotives produced under this paragraph (e) are 
exempt from the standards and requirements of this part and 40 CFR part 
92 subject to the following provisions:
    (1) All of the engines on the switch locomotive must be covered by a 
certificate of conformity issued under 40 CFR part 89 or 1039 for model 
year 2008 or later (or earlier model years if the same standards applied 
as in 2008). Engines over 750 hp certified to the Tier 4 standards for 
non-generator set engines are not eligible for this allowance after 
2014.
    (2) You must reasonably project that more of the engines will be 
sold and used for non-locomotive use than for use in locomotives.
    (3) You may not generate or use locomotive credits under this part 
for these locomotives.
    (4) Include the following statement on a permanent locomotive label: 
``THIS LOCOMOTIVE WAS CERTIFIED UNDER 40 CFR 1033.150(e). THE ENGINES 
USED IN THIS LOCOMOTIVE ARE SUBJECT TO REQUIREMENTS OF 40 CFR PARTS 1039 
(or 89) AND 1068.''
    (5) The rebuilding requirements of 40 CFR part 1068 apply when 
remanufacturing engines used in these locomotives.
    (f) In-use compliance limits. For purposes of determining compliance 
other than for certification or production-line testing, calculate the 
applicable in-use compliance limits by adjusting the applicable 
standards/FELs. The PM adjustment applies only for model year 2017 and 
earlier locomotives and does not apply for locomotives with a PM FEL 
higher than 0.03 g/bhp-hr. The NOX adjustment applies only 
for model year 2017 and earlier locomotives and does not apply for 
locomotives with a NOX FEL higher than 2.0 g/bhp-hr. Add the 
applicable adjustments in Tables 1 or 2 of this section (which follow) 
to the otherwise applicable standards (or FELs) and notch caps. You must 
specify during certification which add-ons, if any, will apply for your 
locomotives.

  Table 1 toSec.  1033.150--In-use Adjustments for Tier 4 Locomotives
------------------------------------------------------------------------
                                           In-use adjustments (g/bhp-hr)
                                         -------------------------------
                                          For model year  For model year
  Fraction of useful life already used       2017 and        2017 and
                                          earlier Tier 4  earlier Tier 4
                                           NOX standards   PM standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.................             0.7            0.01

[[Page 28]]

 
50 < MW-hrs <= 75% of UL................             1.0            0.01
MW-hrs  75% of UL............             1.3            0.01
------------------------------------------------------------------------


   Table 2 toSec.  1033.150--Optional In-Use Adjustments for Tier 4
                               Locomotives
------------------------------------------------------------------------
                                         In-use adjustments (g/bhp-hr)
                                     -----------------------------------
                                       For model year    For model year
Fraction of useful life already used  2017 and earlier  2017 and earlier
                                         Tier 4 NOX         Tier 4 PM
                                          standards         standards
------------------------------------------------------------------------
0 < MW-hrs <= 50% of UL.............               0.2              0.03
50 < MW-hrs <= 75% of UL............               0.3              0.03
MW-hrs  75% of UL........               0.4              0.03
------------------------------------------------------------------------

    (g) Optional interim Tier 4 compliance provisions for NOX 
emissions. For model years 2015 through 2022, manufacturers may choose 
to certify some or all of their Tier 4 line-haul engine families 
according to the optional compliance provisions of this paragraph (g). 
The following provisions apply to all locomotives in those families:
    (1) The provisions of this paragraph (g) apply instead of the 
deterioration factor requirements of Sec.Sec. 1033.240 and 1033.245 
for NOX emissions. You must certify that the locomotives in 
the engine family will conform to the requirements of this paragraph (g) 
for their full useful lives.
    (2) The applicable NOX emission standard for locomotives 
certified under this paragraph (g) is:
    (i) 1.3 g/bhp-hr for locomotives that have accumulated less than 50 
hours of operation.
    (ii) 1.3 plus 0.6 g/bhp-hr for locomotives that have accumulated 50 
hours or more of operation.
    (3) The engine family may not generate NOX emission 
credits.
    (4) The design certification provisions ofSec. 1033.240(c) do not 
apply for these locomotives for the next remanufacture.
    (5) Manufacturers must comply with the production-line testing 
program in subpart D of this part for these engine families or the 
following optional program:
    (i) You are not required to test locomotives in the family under 
subpart D of this part if you comply with the requirements of this 
paragraph (g)(5).
    (ii) Test the locomotives as specified in subpart E of this part, 
with the following exceptions:
    (A) The minimum test sample size is one percent of the number of 
locomotives in the family or five, whichever is less.
    (B) The locomotives must be tested after they have accumulated 50 
hours or more of operation but before they have reached 50 percent of 
their useful life.
    (iii) The standards in this part for pollutants other than 
NOX apply as specified for testing conducted under this 
optional program.
    (6) The engine family may use NOX emission credits to 
comply with this paragraph (g). However, a 1.5 g/bhp-hr NOX 
FEL cap applies for engine families certified under this paragraph (g). 
The applicable standard for locomotives that have accumulated 50 hours 
or more of operation is the FEL plus 0.6 g/bhp-hr.
    (7) The in-use NOX add-ons specified in paragraph (f) of 
this section do not apply for these locomotives.
    (8) All other provisions of this part apply to such locomotives, 
except as specified otherwise in this paragraph (g).
    (h) Test procedures. You are generally required to use the test 
procedures

[[Page 29]]

specified in subpart F of this part (including the applicable test 
procedures in 40 CFR part 1065). As specified in this paragraph (h), you 
may use a combination of the test procedures specified in this part and 
the test procedures specified in 40 CFR part 92 prior to January 1, 
2015. After this date, you must use only the test procedures specified 
in this part.
    (1) Prior to January 1, 2015, you may ask to use some or all of the 
procedures specified in 40 CFR part 92 for locomotives certified under 
this part 1033.
    (2) If you ask to rely on a combination of procedures under this 
paragraph (h), we will approve your request only if you show us that it 
does not affect your ability to demonstrate compliance with the 
applicable emission standards. Generally this requires that the combined 
procedures would result in emission measurements at least as high as 
those that would be measured using the procedures specified in this 
part. Alternatively, you may demonstrate that the combined effects of 
the different procedures is small relative to your compliance margin 
(the degree to which your emissions are below the applicable standards).
    (i) Certification testing. Prior to model year 2014, you may use the 
simplified steady-state engine test procedure specified in this 
paragraph (i) for certification testing. The normal certification 
procedures and engine testing procedures apply, except as specified in 
this paragraph (i).
    (1) Use good engineering judgment to operate the engine consistent 
with its expected operation in the locomotive, to the extent practical. 
You are not required to exactly replicate the transient behavior of the 
engine.
    (2) You may delay sampling during notch transition for up to 20 
seconds after you begin the notch change.
    (3) We may require you provide additional information in your 
application for certification to support the expectation that production 
locomotives will meet all applicable emission standards when tested as 
locomotives.
    (4) You may not use this simplified procedure for production-line or 
in-use testing.
    (j) Administrative requirements. For model years 2008 and 2009, you 
may use a combination of the administrative procedures specified in this 
part and the test procedures specified in 40 CFR part 92. For example, 
this would allow you to use the certification procedures of 40 CFR part 
92 to apply for certificates under this part 1033.
    (k) Test fuels. Testing performed during calendar years 2008 and 
2009 may be performed using test fuels that meet the specifications of 
40 CFR 92.113. If you do, adjust PM emissions downward by 0.04 g/bhp-hr 
to account for the difference in sulfur content of the fuel.
    (l) Refurbished switch locomotives. In 2008 and 2009 remanufactured 
Tier 0 switch locomotives that are deemed to be refurbished may be 
certified as remanufactured switch locomotives under 40 CFR part 92.
    (m) Assigned deterioration factors. The provisions of this paragraph 
(m) apply for Tier 0 and Tier 1 locomotives to the standards of this 
part during model years 2008 or 2009. Remanufacturers certifying such 
locomotives to the standards of this part during these model years may 
use an assigned deterioration factor of 0.03 g/bhp-hr for PM and an 
assigned deterioration factor of zero for other pollutants. For purposes 
of determining compliance other than for certification or production-
line testing, calculate the applicable in-use compliance limits for 
these locomotives by adjusting the applicable PM standards/FELs upward 
by 0.03 g/bhp-hr.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59189, Oct. 8, 2008; 74 
FR 8423, Feb. 24, 2009; 75 FR 22983, Apr. 30, 2010; 75 FR 68460, Nov. 8, 
2010]



                  Subpart C_Certifying Engine Families



Sec.  1033.201  General requirements for obtaining a certificate 
of conformity.

    Certification is the process by which you demonstrate to us that 
your freshly manufactured or remanufactured locomotives will meet the 
applicable emission standards throughout their useful lives (explaining 
to us how you plan to manufacture or remanufacture locomotives, and 
providing test data showing that such locomotives will comply with all 
applicable emission

[[Page 30]]

standards). Anyone meeting the definition of manufacturer inSec. 
1033.901 may apply for a certificate of conformity for freshly 
manufactured locomotives. Anyone meeting the definition of 
remanufacturer inSec. 1033.901 may apply for a certificate of 
conformity for remanufactured locomotives.
    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
starting with the indicated effective date, but it is not valid for any 
production after December 31 of the model year for which it is issued. 
No certificate will be issued after December 31 of the model year.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (seeSec. 1033.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1033.250.
    (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) SeeSec. 1033.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test locomotives to a 
facility we designate for our testing (seeSec. 1033.235(c)).
    (h) By applying for a certificate of conformity, you are accepting 
responsibility for the in-use emission performance of all properly 
maintained and used locomotives covered by your certificate. This 
responsibility applies without regard to whether you physically 
manufacture or remanufacture the entire locomotive. If you do not 
physically manufacture or remanufacture the entire locomotive, you must 
take reasonable steps (including those specified by this part) to ensure 
that the locomotives produced under your certificate conform to the 
specifications of your application for certification. Note that this 
paragraph does not limit any liability under this part or the Clean Air 
Act for entities that do not obtain certificates. This paragraph also 
does not prohibit you from making contractual arrangements with 
noncertifiers related to recovering damages for noncompliance.
    (i) The provisions of this subpart describe how to obtain a 
certificate that covers all standards and requirements. Manufacturer/
remanufacturers may ask to obtain a certificate of conformity that does 
not cover the idle control requirements ofSec. 1033.115 or one that 
only covers the idle control requirements ofSec. 1033.115. 
Remanufacturers obtaining such partial certificates must include a 
statement in their installation instructions that two certificates and 
labels are required for a locomotive to be in a fully certified 
configuration. We may modify the certification requirements for 
certificates that will only cover idle control systems.



Sec.  1033.205  Applying for a certificate of conformity.

    (a) Send the Designated Compliance Officer a complete application 
for each engine family for which you are requesting a certificate of 
conformity.
    (b) [Reserved]
    (c) You must update and correct your application to accurately 
reflect your production, as described inSec. 1033.225.
    (d) Include the following information in your application:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications listed inSec. 1033.230. 
For freshly manufactured locomotives, a description of the basic 
locomotive design. For remanufactured locomotives, a description of the 
basic locomotive designs to which the remanufacture system will be 
applied. Include in your description, a list of distinguishable 
configurations to be included in the engine family. Note whether you are 
requesting a certificate that will or will not cover idle controls.
    (2) An explanation of how the emission control system operates, 
including detailed descriptions of:
    (i) All emission control system components.
    (ii) Injection or ignition timing for each notch (i.e., degrees 
before or after top-dead-center), and any functional

[[Page 31]]

dependence of such timing on other operational parameters (e.g., engine 
coolant temperature).
    (iii) Each auxiliary emission control device (AECD).
    (iv) All fuel system components to be installed on any production or 
test locomotives.
    (v) Diagnostics.
    (3) A description of the test locomotive.
    (4) A description of the test equipment and fuel used. Identify any 
special or alternate test procedures you used.
    (5) A description of the operating cycle and the period of operation 
necessary to accumulate service hours on the test locomotive and 
stabilize emission levels. You may also include a Green Engine Factor 
that would adjust emissions from zero-hour engines to be equivalent to 
stabilized engines.
    (6) A description of all adjustable operating parameters (including, 
but not limited to, injection timing and fuel rate), including the 
following:
    (i) The nominal or recommended setting and the associated production 
tolerances.
    (ii) The intended adjustable range, and the physically adjustable 
range.
    (iii) The limits or stops used to limit adjustable ranges.
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range.
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are the most effective means 
possible of preventing adjustment of parameters to settings outside your 
specified adjustable ranges on in-use engines.
    (7) Projected U.S. production information for each configuration. If 
you are projecting substantially different sales of a configuration than 
you had previously, we may require you to explain why you are projecting 
the change.
    (8)(i) All test data you obtained for each test engine or 
locomotive. As described inSec. 1033.235, we may allow you to 
demonstrate compliance based on results from previous emission tests, 
development tests, or other testing information. Include data for NOx, 
PM, HC, CO, and CO2.
    (ii) Report measured CO2, N2O, and 
CH4 as described inSec. 1033.235. Small manufacturers/
remanufacturers may omit reporting N2O and CH4.
    (9) The intended deterioration factors for the engine family, in 
accordance withSec. 1033.245. If the deterioration factors for the 
engine family were developed using procedures that we have not 
previously approved, you should request preliminary approval underSec. 
1033.210.
    (10) The intended useful life period for the engine family, in 
accordance withSec. 1033.101(g). If the useful life for the engine 
family was determined using procedures that we have not previously 
approved, you should request preliminary approval underSec. 1033.210.
    (11) Copies of your proposed emission control label(s), maintenance 
instructions, and installation instructions (where applicable).
    (12) An unconditional statement declaring that all locomotives 
included in the engine family comply with all requirements of this part 
and the Clean Air Act.
    (e) If we request it, you must supply such additional information as 
may be required to evaluate the application.
    (f) Provide the information to read, record, and interpret all the 
information broadcast by a locomotive's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. You may reference any 
appropriate publicly released standards that define conventions for 
these messages and parameters. Format your information consistent with 
publicly released standards.
    (g) Include the information required by other subparts of this part. 
For example, include the information required bySec. 1033.725 if you 
participate in the ABT program.
    (h) Include other applicable information, such as information 
specified in this part or part 1068 of this chapter related to requests 
for exemptions.
    (i) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any

[[Page 32]]

action by EPA or otherwise by the United States related to the 
requirements of this part.
    (j) For imported locomotives, we may require you to describe your 
expected importation process.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 56508, Oct. 30, 2008]



Sec.  1033.210  Preliminary approval.

    (a) If you send us information before you finish the application, we 
will review it and make any appropriate determinations for questions 
related to engine family definitions, auxiliary emission-control 
devices, deterioration factors, testing for service accumulation, 
maintenance, and useful lives.
    (b) Decisions made under this section are considered to be 
preliminary approval, subject to final review and approval. We will 
generally not reverse a decision where we have given you preliminary 
approval, unless we find new information supporting a different 
decision.
    (c) If you request preliminary approval related to the upcoming 
model year or the model year after that, we will make best-efforts to 
make the appropriate determinations as soon as practicable. We will 
generally not provide preliminary approval related to a future model 
year more than three years ahead of time.
    (d) You must obtain preliminary approval for your plan to develop 
deterioration factors prior to the start of any service accumulation to 
be used to develop the factors.



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 ofSec. 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.
    (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 
locomotives in severe-duty applications.
    (c) You do not need to 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).

[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]



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

[[Page 33]]

amend your application if you determine that your actual production 
variation for an adjustable parameter exceeds the tolerances specified 
in your application.
    (a) You must amend your application before you take either of the 
following actions:
    (1) Add a locomotive configuration to an engine family. In this 
case, the locomotive added must be consistent with other locomotives in 
the engine family with respect to the criteria listed inSec. 1033.230. 
For example, you must amend your application if you want to produce 12-
cylinder versions of the 16-cylinder locomotives you described in your 
application.
    (2) Change a locomotive already included in an engine family in a 
way that may affect emissions, or change any of the components you 
described in your application for certification. This includes 
production and design changes that may affect emissions any time during 
the locomotive's lifetime. For example, you must amend your application 
if you want to change a part supplier if the part was described in your 
original application and is different in any material respect than the 
part you described.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the relevant 
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the locomotive 
model or configuration you intend to make.
    (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.
    (3) If the original emission-data locomotive for the engine family 
is not appropriate to show compliance for the new or modified 
locomotive, include new test data showing that the new or modified 
locomotive meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your new or modified locomotive. You may ask for a 
hearing if we deny your request (seeSec. 1033.920).
    (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 (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

[[Page 34]]

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.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010]



Sec.  1033.230  Grouping locomotives into engine families.

    (a) Divide your product line into engine families of locomotives 
that are expected to have similar emission characteristics throughout 
the useful life. Your engine family is limited to a single model year. 
Freshly manufactured locomotives may not be included in the same engine 
family as remanufactured locomotives, except as allowed by paragraph (f) 
of this section. Paragraphs (b) and (c) of this section specify default 
criteria for dividing locomotives into engine families. Paragraphs (d) 
and (e) of this section allow you deviate from these defaults in certain 
circumstances.
    (b) This paragraph (b) applies for all locomotives other than Tier 0 
locomotives. Group locomotives in the same engine family if they are the 
same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed to 
maintain engine temperature within desired limits (thermostat, on-off 
radiator fan(s), radiator shutters, etc.).
    (3) The nominal bore and stroke dimensions.
    (4) The approximate intake and exhaust event timing and duration 
(valve or port).
    (5) The location of the intake and exhaust valves (or ports).
    (6) The size of the intake and exhaust valves (or ports).
    (7) The overall injection or ignition timing characteristics (i.e., 
the deviation of the timing curves from the optimal fuel economy timing 
curve must be similar in degree).
    (8) The combustion chamber configuration and the surface-to-volume 
ratio of the combustion chamber when the piston is at top dead center 
position, using nominal combustion chamber dimensions.
    (9) The location of the piston rings on the piston.
    (10) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (11) The general performance characteristics of the turbocharger or 
supercharger (e.g., approximate boost pressure, approximate response 
time, approximate size relative to engine displacement).
    (12) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (13) The intake manifold induction port size and configuration.
    (14) The type of fuel and fuel system configuration.
    (15) The configuration of the fuel injectors and approximate 
injection pressure.
    (16) The type of fuel injection system controls (i.e., mechanical or 
electronic).
    (17) The type of smoke control system.
    (18) The exhaust manifold port size and configuration.
    (19) The type of exhaust aftertreatment system (oxidation catalyst, 
particulate trap), and characteristics of the aftertreatment system 
(catalyst loading, converter size vs. engine size).
    (c) Group Tier 0 locomotives in the same engine family if they are 
the same in all the following aspects:
    (1) The combustion cycle (e.g., diesel cycle).
    (2) The type of engine cooling employed and procedure(s) employed to 
maintain engine temperature within desired limits (thermostat, on-off 
radiator fan(s), radiator shutters, etc.).
    (3) The approximate bore and stroke dimensions.

[[Page 35]]

    (4) The approximate location of the intake and exhaust valves (or 
ports).
    (5) The combustion chamber general configuration and the approximate 
surface-to-volume ratio of the combustion chamber when the piston is at 
top dead center position, using nominal combustion chamber dimensions.
    (6) The method of air aspiration (turbocharged, supercharged, 
naturally aspirated, Roots blown).
    (7) The type of air inlet cooler (air-to-air, air-to-liquid, 
approximate degree to which inlet air is cooled).
    (8) The type of fuel and general fuel system configuration.
    (9) The general configuration of the fuel injectors and approximate 
injection pressure.
    (10) The type of fuel injection system control (electronic or 
mechanical).
    (d) You may subdivide a group of locomotives that is identical under 
paragraph (b) or (c) of this section into different engine families if 
you show the expected emission characteristics are different during the 
useful life. This allowance also covers locomotives for which only 
calculated emission rates differ, such as locomotives with and without 
energy-saving design features. For the purposes of determining whether 
an engine family is a small engine family inSec. 1033.405(a)(2), we 
will consider the number of locomotives that could have been classed 
together under paragraph (b) or (c) of this section, instead of the 
number of locomotives that are included in a subdivision allowed by this 
paragraph (d).
    (e) In unusual circumstances, you may group locomotives that are not 
identical with respect to the things listed in paragraph (b) or (c) of 
this section in the same engine family if you show that their emission 
characteristics during the useful life will be similar.
    (f) During the first six calendar years after a new tier of 
standards becomes applicable, remanufactured engines/locomotives may be 
included in the same engine family as freshly manufactured locomotives, 
provided the same engines and emission controls are used for locomotive 
models included in the engine family.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec.  1033.235  Emission testing required for certification.

    This section describes the emission testing you must perform to show 
compliance with the emission standards inSec. 1033.101.
    (a) Select an emission-data locomotive (or engine) from each engine 
family for testing. It may be a low mileage locomotive, or a development 
engine (that is equivalent in design to the engines of the locomotives 
being certified), or another low hour engine. Use good engineering 
judgment to select the locomotive configuration that is most likely to 
exceed (or have emissions nearest to) an applicable emission standard or 
FEL. In making this selection, consider all factors expected to affect 
emission control performance and compliance with the standards, 
including emission levels of all exhaust constituents, especially 
NOX and PM.
    (b) Test your emission-data locomotives using the procedures and 
equipment specified in subpart F of this part.
    (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

[[Page 36]]

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:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year, or other factors 
not related to emissions. You may include additional configurations 
subject to the provisions ofSec. 1033.225.
    (2) The emission-data locomotive from the previous model year 
remains the appropriate emission-data locomotive under paragraph (b) of 
this section.
    (3) The data show that the emission-data locomotive would meet all 
the requirements that apply to the engine family covered by the 
application for certification.
    (e) You may ask to use emission data from a different engine family 
you have already certified instead of testing a locomotive in the second 
engine family if all the following are true:
    (1) The same engine is used in both engine families.
    (2) You demonstrate to us that the differences in the two families 
are sufficiently small that the locomotives in the untested family will 
meet the same applicable notch standards calculated from the test data.
    (f) We may require you to test a second locomotive of the same or 
different configuration in addition to the locomotive tested under 
paragraph (b) of this section.
    (g) 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 specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (h) The requirement to measure smoke emissions is waived for 
certification and production line testing, except where there is reason 
to believe your locomotives do not meet the applicable smoke standards.
    (i) Measure CO2 with each test. Measure CH4 
with each low-hour certification test using the procedures specified in 
40 CFR part 1065 starting in the 2012 model year. Also measure 
N2O with each low-hour certification test using the 
procedures specified in 40 CFR part 1065 for any engine family that 
depends on NOx aftertreatment to meet emission standards. Small 
manufacturers/remanufacturers may omit measurement of N2O and 
CH4. Use the same units and modal calculations as for your 
other results to report a single weighted value for CO2, 
N2O, and CH4. Round the final values as follows:
    (1) Round CO2 to the nearest 1 g/bhp-hr.
    (2) Round N2O to the nearest 0.001 g/bhp-hr.
    (3) Round CH4 to the nearest 0.001g/bhp-hr.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22984, Apr. 30, 2010]



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 inSec. 
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.
    (1) If you include your locomotive in the ABT program in subpart H 
of this part, your FELs are considered to be the applicable emission 
standards with which you must comply.
    (2) If you do not include your remanufactured locomotive in the ABT 
program in subpart H of this part, but it was previously included in the 
ABT program in subpart H of this part, the previous FELs are considered 
to be the applicable emission standards with which you must comply.
    (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:
    (1) Collect emission data using measurements with enough significant 
figures to calculate the cycle-weighted

[[Page 37]]

emission rate to at least one more decimal place than the applicable 
standard. Apply any applicable humidity corrections before weighting 
emissions.
    (2) Apply the regeneration factors if applicable. At this point the 
emission rate is generally considered to be an official emission result.
    (3) Apply the deterioration factor to the official emission result, 
as described inSec. 1033.245, then round the adjusted figure to the 
same number of decimal places as the emission standard. This adjusted 
value is the deteriorated emission level. Compare these emission levels 
from the emission-data locomotive with the applicable emission 
standards. In the case of NOX+NMHC standards, apply the 
deterioration factor to each pollutant and then add the results before 
rounding.
    (4) The highest deteriorated emission levels for each pollutant are 
considered to be the certified emission levels.
    (c) An owner/operator remanufacturing its locomotives to be 
identical to their previously certified configuration may certify by 
design without new emission test data. To do this, submit the 
application for certification described inSec. 1033.205, but instead 
of including test data, include a description of how you will ensure 
that your locomotives will be identical in all material respects to 
their previously certified condition. You may use reconditioned parts 
consistent with good engineering judgment. You have all of the 
liabilities and responsibilities of the certificate holder for 
locomotives you certify under this paragraph.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



Sec.  1033.245  Deterioration factors.

    Establish deterioration factors for each pollutant to determine, as 
described inSec. 1033.240, whether your locomotives will meet emission 
standards for each pollutant throughout the useful life. Determine 
deterioration factors as described in this section, either with an 
engineering analysis, with pre-existing test data, or with new emission 
measurements. The deterioration factors are intended to reflect the 
deterioration expected to result during the useful life of a locomotive 
maintained as specified inSec. 1033.125. If you perform durability 
testing, the maintenance that you may perform on your emission-data 
locomotive is limited to the maintenance described inSec. 1033.125.
    (a) Your deterioration factors must take into account any available 
data from in-use testing with similar locomotives, consistent with good 
engineering judgment. For example, it would not be consistent with good 
engineering judgment to use deterioration factors that predict emission 
increases over the useful life of a locomotive or locomotive engine that 
are significantly less than the emission increases over the useful life 
observed from in-use testing of similar locomotives.
    (b) Deterioration factors may be additive or multiplicative.
    (1) Additive deterioration factor for exhaust emissions. Except as 
specified in paragraph (b)(2) of this section, use an additive 
deterioration factor for exhaust emissions. An additive deterioration 
factor for a pollutant 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 locomotive at the selected test point by adding the factor to the 
measured emissions. The deteriorated emission level is intended to 
represent the highest emission level during the useful life. Thus, if 
the factor is less than zero, use zero. Additive deterioration factors 
must be specified to one more decimal place than the applicable 
standard.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested locomotive 
at the selected test point by multiplying the measured emissions by the 
deterioration factor.

[[Page 38]]

The deteriorated emission level is intended to represent the highest 
emission level during the useful life. Thus, if the factor is less than 
one, use one. A multiplicative deterioration factor may not be 
appropriate in cases where testing variability is significantly greater 
than locomotive-to-locomotive variability. Multiplicative deterioration 
factors must be specified to one more significant figure than the 
applicable standard.
    (c) Deterioration factors for smoke are always additive.
    (d) If your locomotive vents crankcase emissions to the exhaust or 
to the atmosphere, you must account for crankcase emission 
deterioration, using good engineering judgment. You may use separate 
deterioration factors for crankcase emissions of each pollutant (either 
multiplicative or additive) or include the effects in combined 
deterioration factors that include exhaust and crankcase emissions 
together for each pollutant.
    (e) Include the following information in your application for 
certification:
    (1) If you determine your deterioration factors based on test data 
from a different engine family, explain why this is appropriate and 
include all the emission measurements on which you base the 
deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.



Sec.  1033.250  Reporting and recordkeeping.

    (a) Within 45 days after the end of the model year, send the 
Designated Compliance Officer a report describing the following 
information about locomotives you produced during the model year:
    (1) Report the total number of locomotives you produced in each 
engine family by locomotive model and engine model.
    (2) If you produced exempted locomotives, report the number of 
exempted locomotives you produced for each locomotive model and identify 
the buyer or shipping destination for each exempted locomotive. You do 
not need to report under this paragraph (a)(2) locomotives that were 
temporarily exempted, exported locomotives, locomotives exempted as 
manufacturer/remanufacturer-owned locomotives, or locomotives exempted 
as test locomotives.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify inSec. 1033.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data locomotive. For each 
locomotive, describe all of the following:
    (i) The emission-data locomotive's construction, including its 
origin and buildup, steps you took to ensure that it represents 
production locomotives, any components you built specially for it, and 
all the components you include in your application for certification.
    (ii) How you accumulated locomotive operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose locomotive or emission control 
performance, giving the date and time of each and the reasons for the 
test.
    (vi) Any other significant events.
    (4) If you test a development engine for certification, you may omit 
information otherwise required by paragraph (b)(3) of this section that 
is unrelated to emissions and emission-related components.
    (5) Production figures for each engine family divided by assembly 
plant.

[[Page 39]]

    (6) Keep a list of locomotive identification numbers for all the 
locomotives you produce under each certificate of conformity.
    (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 paragraph (a) of this section for eight years after we 
issue your certificate.
    (d) 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.
    (e) Send us copies of any locomotive maintenance instructions or 
explanations if we ask for them.



Sec.  1033.255  EPA decisions.

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Clean Air 
Act, we will issue a certificate of conformity for your engine family 
for that model year. We may make the approval subject to additional 
conditions.
    (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.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities. This includes a 
failure to provide reasonable assistance.
    (5) Produce locomotives for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all locomotives being produced.
    (7) Take any action that otherwise circumvents the intent of the 
Clean Air Act or this part.
    (d) We may void your certificate if you do not keep the records we 
require or do not give us information when we ask for it.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (seeSec. 1033.920).

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



 Subpart D_Manufacturer and Remanufacturer Production Line Testing and 
                             Audit Programs



Sec.  1033.301  Applicability.

    The requirements of this part apply to manufacturers/remanufacturers 
of locomotives certified under this part, with the following exceptions:
    (a) The requirements of Sec.Sec. 1033.310 1033.315, 1033.320, and 
1033.330 apply only to manufacturers of freshly manufactured locomotives 
or locomotive engines (including those used for repowering). We may also 
apply these requirements to remanufacturers of any locomotives for which 
there is reason to believe production problems exist that could affect 
emission performance. When we make a determination that production 
problems may exist that could affect emission performance, we will 
notify the remanufacturer(s). The requirements of Sec.Sec. 1033.310, 
1033.315, 1033.320, and 1033.330 will apply as specified in the notice.
    (b) The requirements ofSec. 1033.335 apply only to 
remanufacturers.
    (c) As specified inSec. 1033.1(d), we may apply the requirements 
of this subpart to manufacturers/remanufacturers that do not certify the 
locomotives. However, unless we specify otherwise, the requirements of 
this subpart apply to manufacturers/remanufacturers that hold the 
certificates for the locomotives.

[[Page 40]]



Sec.  1033.305  General requirements.

    (a) Manufacturers (and remanufacturers, where applicable) are 
required to test production line locomotives using the test procedures 
specified inSec. 1033.315. While this subpart refers to locomotive 
testing, you may ask to test locomotive engines instead of testing 
locomotives.
    (b) Remanufacturers are required to conduct audits according to the 
requirements ofSec. 1033.335 to ensure that remanufactured locomotives 
comply with the requirements of this part.
    (c) If you certify an engine family with carryover emission data, as 
described inSec. 1033.235, 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. 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 locomotives that have failed emission tests.
    (d) You may ask to use an alternate program or measurement method 
for testing production-line engines. In your request, you must show us 
that the alternate program gives equal assurance that your engines meet 
the requirements of this part. We may waive some or all of this 
subpart's requirements if we approve your alternate program.



Sec.  1033.310  Sample selection for testing.

    (a) At the start of each model year, begin randomly selecting 
locomotives from each engine family for production line testing at a 
rate of one percent. Make the selection of the test locomotive after it 
has been assembled. Perform the testing throughout the entire model year 
to the extent possible, unless we specify a different schedule for your 
tests. For example, we may require you to disproportionately select 
locomotives from the early part of a model year for a new locomotive 
model that has not been subject to PLT previously.
    (1) The required sample size for an engine family (provided that no 
locomotive tested fails to meet applicable emission standards) is the 
lesser of five tests per model year or one percent of projected annual 
production, with a minimum sample size for an engine family of one test 
per model year. See paragraph (d) of this section to determine the 
required number of test locomotives if any locomotives fail to comply 
with any standards.
    (2) You may elect to test additional locomotives. All additional 
locomotives must be tested in accordance with the applicable test 
procedures of this part.
    (b) You must assemble the test locomotives using the same production 
process that will be used for locomotives to be introduced into 
commerce. You may ask us to allow special assembly procedures for 
catalyst-equipped locomotives.
    (c) Unless we approve it, you may not use any quality control, 
testing, or assembly procedures that you do not use during the 
production and assembly of all other locomotives of that family. This 
applies for any test locomotive or any portion of a locomotive, 
including engines, parts, and subassemblies.
    (d) If one or more locomotives fail a production line test, then you 
must test two additional locomotives from the next fifteen produced in 
that engine family for each locomotive that fails. These two additional 
locomotives do not count towards your minimum number of locomotives. For 
example, if you are required to test a minimum of four locomotives under 
paragraph (a) of this section and the second locomotive fails to comply 
with one or more standards, then you must test two additional 
locomotives from the next fifteen produced in that engine family. If 
both of those locomotives pass all standards, you are required to test 
two additional locomotives to complete the original minimum number of 
four. If they both pass, you are done with testing for that family for 
the year since you tested six locomotives (the four originally required 
plus the two additional locomotives).



Sec.  1033.315  Test procedures.

    (a) Test procedures. Use the test procedures described in subpart F 
of this part, except as specified in this section.

[[Page 41]]

    (1) You may ask to use other test procedures. We will approve your 
request if we determine that it is not possible to perform satisfactory 
testing using the specified procedures. We may also approve alternate 
test procedures underSec. 1033.305(d).
    (2) If you used test procedures other than those in subpart F of 
this part during certification for the engine family (other than 
alternate test procedures necessary for testing a development engine or 
a low hour engine instead of a low mileage locomotive), use the same 
test procedures for production line testing that you used in 
certification.
    (b) Modifying a test locomotive. Once an engine is selected for 
testing, you may adjust, repair, maintain, or modify it or check its 
emissions only if one of the following is true:
    (1) You document the need for doing so in your procedures for 
assembling and inspecting all your production engines and make the 
action routine for all the engines in the engine family.
    (2) This subpart otherwise specifically allows your action.
    (3) We approve your action in advance.
    (c) Adjustable parameters. (1) Confirm that adjustable parameters 
are set to values or positions that are within the range recommended to 
the ultimate purchaser.
    (2) We may require to be adjusted any adjustable parameter to any 
setting within the specified adjustable range of that parameter prior to 
the performance of any test.
    (d) Stabilizing emissions. You may stabilize emissions from the 
locomotives to be tested through service accumulation by running the 
engine through a typical duty cycle. Emissions are considered stabilized 
after 300 hours of operation. You may accumulate fewer hours, consistent 
with good engineering judgment. You may establish a Green Engine Factor 
for each regulated pollutant for each engine family, instead of (or in 
combination with) accumulating actual operation, to be used in 
calculating emissions test results. You must obtain our approval prior 
to using a Green Engine Factor. For catalyst-equipped locomotives, you 
may operate the locomotive for up to 1000 hours (in revenue or other 
service) prior to testing.
    (e) Adjustment after shipment. If a locomotive is shipped to a 
facility other than the production facility for production line testing, 
and an adjustment or repair is necessary because of such shipment, you 
may perform the necessary adjustment or repair only after the initial 
test of the locomotive, unless we determine that the test would be 
impossible to perform or would permanently damage the locomotive.
    (f) Malfunctions. If a locomotive cannot complete the service 
accumulation or an emission test because of a malfunction, you may 
request that we authorize either the repair of that locomotive or its 
deletion from the test sequence.
    (g) Retesting. If you determine that any production line emission 
test of a locomotive is invalid, you must retest it in accordance with 
the requirements of this subpart. Report emission results from all tests 
to us, including test results you determined are invalid. You must also 
include a detailed explanation of the reasons for invalidating any test 
in the quarterly report required inSec. 1033.320(e). In the event a 
retest is performed, you may ask us within ten days of the end of the 
production quarter for permission to substitute the after-repair test 
results for the original test results. We will respond to the request 
within ten working days of our receipt of the request.



Sec.  1033.320  Calculation and reporting of test results.

    (a) Calculate initial test results using the applicable test 
procedure specified inSec. 1033.315(a). Include applicable non-
deterioration adjustments such as a Green Engine Factor or regeneration 
adjustment factor. Round the results to one more decimal place than the 
applicable emission standard.
    (b) If you conduct multiple tests on any locomotives, calculate 
final test results by summing the initial test results derived in 
paragraph (a) of this section for each test locomotive, dividing by the 
number of tests conducted on the locomotive, and rounding to one more 
decimal place than the applicable emission standard. For catalyst-
equipped locomotives, you may ask us

[[Page 42]]

to allow you to exclude an initial failed test if all of the following 
are true:
    (1) The catalyst was in a green condition when tested initially.
    (2) The locomotive met all emission standards when retested after 
degreening the catalyst.
    (3) No additional emission-related maintenance or repair was 
performed between the initial failed test and the subsequent passing 
test.
    (c) Calculate the final test results for each test locomotive by 
applying the appropriate deterioration factors, derived in the 
certification process for the engine family, to the final test results, 
and rounding to one more decimal place than the applicable emission 
standard.
    (d) If, subsequent to an initial failure of a production line test, 
the average of the test results for the failed locomotive and the two 
additional locomotives tested, is greater than any applicable emission 
standard or FEL, the engine family is deemed to be in non-compliance 
with applicable emission standards, and you must notify us within ten 
working days of such noncompliance.
    (e) Within 45 calendar days of the end of each quarter, you must 
send to the Designated Compliance Officer a report with the following 
information:
    (1) The location and description of the emission test facilities 
which you used to conduct your testing.
    (2) Total production and sample size for each engine family tested.
    (3) The applicable standards against which each engine family was 
tested.
    (4) For each test conducted, include all of the following:
    (i) A description of the test locomotive, including:
    (A) Configuration and engine family identification.
    (B) Year, make, and build date.
    (C) Engine identification number.
    (D) Number of megawatt-hours (or miles if applicable) of service 
accumulated on locomotive prior to testing.
    (E) Description of Green Engine Factor; how it is determined and how 
it is applied.
    (ii) Location(s) where service accumulation was conducted and 
description of accumulation procedure and schedule, if applicable. If 
the locomotive was introduced into service between assembly and testing, 
you are only required to summarize the service accumulation, rather than 
identifying specific locations.
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all production 
line emission tests conducted, whether valid or invalid, and the reason 
for invalidation of any test results, if applicable.
    (iv) A complete description of any adjustment, modification, repair, 
preparation, maintenance, and testing which was performed on the test 
locomotive, has not been reported pursuant to any other paragraph of 
this subpart, and will not be performed on other production locomotives.
    (v) Any other information we may ask you to add to your written 
report so we can determine whether your new engines conform with the 
requirements of this part.
    (6) For each failed locomotive as defined inSec. 1033.330(a), a 
description of the remedy and test results for all retests as required 
bySec. 1033.340(g).
    (7) The following signed statement and endorsement by an authorized 
representative of your company:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line testing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the test locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)



Sec.  1033.325  Maintenance of records; submittal of information.

    (a) You must establish, maintain, and retain the following 
adequately organized and indexed test records:
    (1) A description of all equipment used to test locomotives. The 
equipment requirements in subpart F of this part apply to tests 
performed under this subpart. Maintain these records for each test cell 
that can be used to perform emission testing under this subpart.
    (2) Individual test records for each production line test or audit 
including:

[[Page 43]]

    (i) The date, time, and location of each test or audit.
    (ii) The method by which the Green Engine Factor was calculated or 
the number of hours of service accumulated on the test locomotive when 
the test began and ended.
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test or audit;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed on test locomotives, giving the date, 
associated time, justification, name(s) of the authorizing personnel, 
and names of all supervisory personnel responsible for the conduct of 
the action.
    (v) If applicable, the date the locomotive was shipped from the 
assembly plant, associated storage facility or port facility, and the 
date the locomotive was received at the testing facility.
    (vi) A complete record of all emission tests or audits performed 
under this subpart (except tests performed directly by us), including 
all individual worksheets and/or other documentation relating to each 
test, or exact copies thereof, according to the record requirements 
specified in subpart F of this part and 40 CFR part 1065.
    (vii) A brief description of any significant events during testing 
not otherwise described under this paragraph (a)(2), commencing with the 
test locomotive selection process and including such extraordinary 
events as engine damage during shipment.
    (b) Keep all records required to be maintained under this subpart 
for a period of eight years after completion of all testing. Store these 
records in any format and on any media, as long as you can promptly 
provide to us organized, written records in English if we ask for them 
and all the information is retained.
    (c) Send us the following information with regard to locomotive 
production if we ask for it:
    (1) Projected production for each configuration within each engine 
family for which certification has been requested and/or approved.
    (2) Number of locomotives, by configuration and assembly plant, 
scheduled for production.
    (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.
    (e) Send all reports, submissions, notifications, and requests for 
approval made under this subpart to the Designated Compliance Officer 
using an approved format.
    (f) You must keep a copy of all reports submitted under this 
subpart.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



Sec.  1033.330  Compliance criteria for production line testing.

    There are two types of potential failures: failure of an individual 
locomotive to comply with the standards, and a failure of an engine 
family to comply with the standards.
    (a) A failed locomotive is one whose final test results pursuant to 
Sec.  1033.320(c), for one or more of the applicable pollutants, exceed 
an applicable emission standard or FEL.
    (b) An engine family is deemed to be in noncompliance, for purposes 
of this subpart, if at any time throughout the model year, the average 
of an initial failed locomotive and the two additional locomotives 
tested, is greater than any applicable emission standard or FEL.



Sec.  1033.335  Remanufactured locomotives: installation audit
requirements.

    The section specifies the requirements for certifying 
remanufacturers to audit the remanufacture of locomotives covered by 
their certificates of conformity for proper components, component 
settings and component installations on randomly chosen locomotives in 
an engine family.
    (a) You must ensure that all emission related components are 
properly installed on the locomotive and are set to the proper 
specification as indicated in your instructions. You may submit audits 
performed by the owners/operators of the locomotives, provided the 
audits are performed in accordance with the provisions of this section. 
We may require that you obtain affidavits

[[Page 44]]

for audits performed by owners/operators.
    (b) Audit at least five percent of your annual production per model 
year per installer or ten per engine family per installer, whichever is 
less. You must perform more audits if there are any failures. Randomly 
select the locomotives to be audited after the remanufacture is 
complete. We may allow you to select locomotives prior to the completion 
of the remanufacture, if the preselection would not have the potential 
to affect the manner in which the locomotive was remanufactured (e.g., 
where the installer is not aware of the selection prior to the 
completion of the remanufacture). Unless we specify otherwise, you are 
not required to audit installers that remanufacture fewer than 10 
locomotives per year under your certificates (combined for all of your 
engine families).
    (c) The audit should be completed as soon as is practical after the 
remanufacture is complete. In no case may the remanufactured locomotive 
accumulate more than 45,000 miles prior to an audit.
    (d) A locomotive fails if any emission related components are found 
to be improperly installed, improperly adjusted or incorrectly used.
    (e) If a remanufactured locomotive fails an audit, then you must 
audit two additional locomotives from the next ten remanufactured in 
that engine family by that installer.
    (f) An engine family is determined to have failed an audit, if at 
any time during the model year, you determine that the three locomotives 
audited are found to have had any improperly installed, improperly 
adjusted or incorrectly used components. You must notify us within 2 
working days of a determination of an engine family audit failure.
    (g) Within 45 calendar days of the end of each quarter, the 
remanufacturer must send the Designated Compliance Officer a report 
which includes the following information:
    (1) The location and description of your audit facilities which were 
utilized to conduct auditing reported pursuant to this section;
    (2) Total production and sample size for each engine family;
    (3) The applicable standards and/or FELs against which each engine 
family was audited;
    (4) For each audit conducted:
    (i) A description of the audited locomotive, including:
    (A) Configuration and engine family identification;
    (B) Year, make, build date, and remanufacture date; and
    (C) Locomotive and engine identification numbers;
    (ii) Any other information we request relevant to the determination 
whether the new locomotives being remanufactured do in fact conform with 
the regulations with respect to which the certificate of conformity was 
issued;
    (5) For each failed locomotive as defined in paragraph (d) of this 
section, a description of the remedy as required bySec. 1033.340(g);
    (6) The following signed statement and endorsement by your 
authorized representative:

    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our production-line auditing conformed completely with the 
requirements of 40 CFR part 1033. We have not changed production 
processes or quality-control procedures for the audited locomotives in a 
way that might affect emission controls. All the information in this 
report is true and accurate to the best of my knowledge. I know of the 
penalties for violating the Clean Air Act and the regulations. 
(Authorized Company Representative)

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec.  1033.340  Suspension and revocation of certificates of conformity.

    (a) A certificate can be suspended for an individual locomotive as 
follows:
    (1) The certificate of conformity is automatically suspended for any 
locomotive that fails a production line test pursuant toSec. 
1033.330(a), effective from the time the testing of that locomotive is 
completed.
    (2) The certificate of conformity is automatically suspended for any 
locomotive that fails an audit pursuant toSec. 1033.335(d), effective 
from the time that auditing of that locomotive is completed.
    (b) A certificate can be suspended for an engine family as follows:
    (1) We may suspend the certificate of conformity for an engine 
family that is

[[Page 45]]

in noncompliance pursuant toSec. 1033.330(b), thirty days after the 
engine family is deemed to be in noncompliance.
    (2) We may suspend the certificate of conformity for an engine 
family that is determined to have failed an audit pursuant toSec. 
1033.335(f). This suspension will not occur before thirty days after the 
engine family is deemed to be in noncompliance.
    (c) If we suspend your certificate of conformity for an engine 
family, the suspension may apply to all facilities producing engines 
from an engine family, even if you find noncompliant engines only at one 
facility.
    (d) We may revoke a certificate of conformity for any engine family 
in whole or in part if:
    (1) You fail to comply with any of the requirements of this subpart.
    (2) You submit false or incomplete information in any report or 
information provided to us under this subpart.
    (3) You render inaccurate any test data submitted under this 
subpart.
    (4) An EPA enforcement officer is denied the opportunity to conduct 
activities authorized in this subpart.
    (5) An EPA enforcement officer is unable to conduct authorized 
activities for any reason.
    (e) We will notify you in writing of any suspension or revocation of 
a certificate of conformity in whole or in part; a suspension or 
revocation is effective upon receipt of such notification or thirty days 
from the time a locomotive or engine family is deemed to be in 
noncompliance under Sec.Sec. 1033.320(d), 1033.330(a), 1033.330(b), or 
1033.335(f) is made, whichever is earlier, except that the certificate 
is immediately suspended with respect to any failed locomotives as 
provided for in paragraph (a) of this section.
    (f) We may revoke a certificate of conformity for an engine family 
when the certificate has been suspended under paragraph (b) or (c) of 
this section if the remedy is one requiring a design change or changes 
to the locomotive, engine and/or emission control system as described in 
the application for certification of the affected engine family.
    (g) Once a certificate has been suspended for a failed locomotive, 
as provided for in paragraph (a) of this section, you must take all the 
following actions before the certificate is reinstated for that failed 
locomotive:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the locomotive conforms to applicable standards 
or family emission limits by retesting, or reauditing if applicable, the 
locomotive in accordance with this part.
    (3) Submit a written report to us after successful completion of 
testing (or auditing, if applicable) on the failed locomotive, which 
contains a description of the remedy and testing (or auditing) results 
for each locomotive in addition to other information that may be 
required by this part.
    (h) Once a certificate for a failed engine family has been suspended 
pursuant to paragraph (b) or (c) of this section, you must take the 
following actions before we will consider reinstating the certificate:
    (1) Submit a written report to us identifying the reason for the 
noncompliance of the locomotives, describing the remedy, including a 
description of any quality control measures you will use to prevent 
future occurrences of the problem, and stating the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with the regulations 
of this part by testing (or auditing) locomotives selected from normal 
production runs of that engine family. Such testing (or auditing) must 
comply with the provisions of this subpart. If you elect to continue 
testing (or auditing) individual locomotives after suspension of a 
certificate, the certificate is reinstated for any locomotive actually 
determined to be in conformance with the applicable standards or family 
emission limits through testing (or auditing) in accordance with the 
applicable test procedures, provided that we have not revoked the 
certificate under paragraph (f) of this section.
    (i) If the certificate has been revoked for an engine family, you 
must take the following actions before we will issue a certificate that 
would allow you

[[Page 46]]

to continue introduction into commerce of a modified version of that 
family:
    (1) If we determine that the change(s) in locomotive design may have 
an effect on emission deterioration, we will notify you within five 
working days after receipt of the report in paragraph (h) of this 
section, whether subsequent testing/auditing under this subpart will be 
sufficient to evaluate the change(s) or whether additional testing (or 
auditing) will be required.
    (2) After implementing the change or changes intended to remedy the 
nonconformity, you must demonstrate that the modified engine family does 
in fact conform with the regulations of this part by testing locomotives 
(or auditing for remanufactured locomotives) selected from normal 
production runs of that engine family. When both of these requirements 
are met, we will reissue the certificate or issue a new certificate. If 
this subsequent testing (or auditing) reveals failing data the 
revocation remains in effect.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test or audit locomotive pursuant to paragraph (a) 
of this section, but not later than 30 days (or such other period as may 
we allow) after the notification our decision to suspend or revoke a 
certificate of conformity in whole or in part pursuant to this section, 
you may request a hearing as to whether the tests or audits have been 
properly conducted or any sampling methods have been properly applied. 
(SeeSec. 1033.920.)
    (k) Any suspension of a certificate of conformity under paragraphs 
(a) through (d) of this section will be made only after you have been 
offered an opportunity for a hearing conducted in accordance withSec. 
1033.920. It will not apply to locomotives no longer in your possession.
    (l) If we suspend, revoke, or void a certificate of conformity, and 
you believe that our decision was based on erroneous information, you 
may ask us to reconsider our decision before requesting a hearing. If 
you demonstrate to our satisfaction that our decision was based on 
erroneous information, we will reinstate the certificate.
    (m) We may conditionally reinstate the certificate for that family 
so that you do not have to store non-test locomotives while conducting 
subsequent testing or auditing of the noncomplying family subject to the 
following condition: you must commit to recall all locomotives of that 
family produced from the time the certificate is conditionally 
reinstated if the family fails subsequent testing, or auditing if 
applicable, and must commit to remedy any nonconformity at no expense to 
the owner.



                        Subpart E_In-use Testing



Sec.  1033.401  Applicability.

    The requirements of this subpart are applicable to certificate 
holders for locomotives subject to the provisions of this part. These 
requirements may also be applied to other manufacturers/remanufacturers 
as specified inSec. 1033.1(d).



Sec.  1033.405  General provisions.

    (a) Each year, we will identify engine families and configurations 
within families that you must test according to the requirements of this 
section.
    (1) We may require you to test one engine family each year for which 
you have received a certificate of conformity. If you are a manufacturer 
that holds certificates of conformity for both freshly manufactured and 
remanufactured locomotive engine families, we may require you to test 
one freshly manufactured engine family and one remanufactured engine 
family. We may require you to test additional engine families if we have 
reason to believe that locomotives in such families do not comply with 
emission standards in use.
    (2) For engine families of less than 10 locomotives per year, no in-
use testing will be required, unless we have reason to believe that 
those engine families are not complying with the applicable emission 
standards in use.
    (b) Test a sample of in-use locomotives from an engine family, as 
specified inSec. 1033.415. We will use these data, and any other data 
available to us, to determine the compliance status of classes of 
locomotives, including for purposes of recall under 40 CFR part

[[Page 47]]

1068, and whether remedial action is appropriate.



Sec.  1033.410  In-use test procedure.

    (a) You must test the complete locomotives; you may not test engines 
that are not installed in locomotives at the time of testing.
    (b) Test the locomotive according to the test procedures outlined in 
subpart F of this part, except as provided in this section.
    (c) Use the same test procedures for in-use testing as were used for 
certification, except for cases in which certification testing was not 
conducted with a locomotive, but with a development engine or other 
engine. In such cases, we will specify deviations from the certification 
test procedures as appropriate. We may allow or require other alternate 
procedures, with advance approval.
    (d) Set all adjustable locomotive or engine parameters to values or 
positions that are within the range specified in the certificate of 
conformity. We may require you to set these parameters to specific 
values.
    (e) We may waive a portion of the applicable test procedure that is 
not necessary to determine in-use compliance.



Sec.  1033.415  General testing requirements.

    (a) Number of locomotives to be tested. Determine the number of 
locomotives to be tested by the following method:
    (1) Test a minimum of 2 locomotives per engine family, except as 
provided in paragraph (a)(2) of this section. You must test additional 
locomotives if any locomotives fail to meet any standard. Test 2 more 
locomotives for each failing locomotive, but stop testing if the total 
number of locomotives tested equals 10.
    (2) If an engine family has been certified using carryover emission 
data from a family that has been previously tested under paragraph 
(a)(1) of this section (and we have not ordered or begun to negotiate 
remedial action of that family), you need to test only one locomotive 
per engine family. If that locomotive fails to meet applicable standards 
for any pollutant, testing for that engine family must be conducted as 
outlined under paragraph (a)(1) of this section.
    (3) You may ask us to allow you to test more locomotives than the 
minimum number described above or you may concede failure before testing 
10 locomotives.
    (b) Compliance criteria. We will consider failure rates, average 
emission levels and the existence of any defects among other factors in 
determining whether to pursue remedial action. We may order a recall 
pursuant to 40 CFR part 1068 before testing reaches the tenth 
locomotive.
    (c) Collection of in-use locomotives. Procure in-use locomotives 
that have been operated for 50 to 75 percent of the locomotive's useful 
life for testing under this subpart. Complete testing required by this 
section for any engine family before useful life of the locomotives in 
the engine family passes. (Note:Sec. 1033.820 specifies that railroads 
must make reasonable efforts to enable you to perform this testing.)



Sec.  1033.420  Maintenance, procurement and testing of in-use
locomotives.

    (a) A test locomotive must have a maintenance history that is 
representative of actual in-use conditions, and identical or equivalent 
to your recommended emission-related maintenance requirements.
    (1) When procuring locomotives for in-use testing, ask the end users 
about the accumulated usage, maintenance, operating conditions, and 
storage of the test locomotives.
    (2) Your selection of test locomotives is subject to our approval. 
Maintain the information you used to procure locomotives for in-use 
testing in the same manner as is required inSec. 1033.250.
    (b) You may perform minimal set-to-spec maintenance on a test 
locomotive before conducting in-use testing. Maintenance may include 
only that which is listed in the owner's instructions for locomotives 
with the amount of service and age of the acquired test locomotive. 
Maintain documentation of all maintenance and adjustments.
    (c) If the locomotive selected for testing is equipped with emission 
diagnostics meeting the requirements inSec. 1033.110 and the MIL is 
illuminated, you may read the code and repair the

[[Page 48]]

malfunction according to your emission-related maintenance instructions, 
but only to the degree that an owner/operator would be required to 
repair the malfunction underSec. 1033.815.
    (d) Results of at least one valid set of emission tests using the 
test procedure described in subpart F of this part is required for each 
in-use locomotive.
    (e) If in-use testing results show that an in-use locomotive fails 
to comply with any applicable emission standards, you must determine the 
reason for noncompliance and report your findings in the quarterly in-
use test result report described inSec. 1033.425.



Sec.  1033.425  In-use test program reporting requirements.

    (a) Within 90 days of completion of testing, send us all emission 
test results generated from the in-use testing program. Report all of 
the following information for each locomotive tested:
    (1) Engine family, and configuration.
    (2) Locomotive and engine models.
    (3) Locomotive and engine serial numbers.
    (4) Date of manufacture or remanufacture, as applicable.
    (5) Megawatt-hours of use (or miles, as applicable).
    (6) Date and time of each test attempt.
    (7) Results of all emission testing.
    (8) Results (if any) of each voided or failed test attempt.
    (9) Summary of all maintenance and/or adjustments performed.
    (10) Summary of all modifications and/or repairs.
    (11) Determinations of noncompliance.
    (12) The following signed statement and endorsement by an authorized 
representative of your company.
    We submit this report under sections 208 and 213 of the Clean Air 
Act. Our in-use testing conformed completely with the requirements of 40 
CFR part 1033. All the information in this report is true and accurate 
to the best of my knowledge. I know of the penalties for violating the 
Clean Air Act and the regulations. (Authorized Company Representative)
    (b) Report to us within 90 days of completion of testing the 
following information for each engine family tested:
    (1) The serial numbers of all locomotive that were excluded from the 
test sample because they did not meet the maintenance requirements of 
Sec.  1033.420.
    (2) The owner of each locomotive identified in paragraph (b)(1) of 
this section (or other entity responsible for the maintenance of the 
locomotive).
    (3) The specific reasons why the locomotives were excluded from the 
test sample.
    (c) Submit the information outlined in paragraphs (a) and (b) of 
this section electronically using an approved format. We may exempt you 
from this requirement upon written request with supporting 
justification.
    (d) Send all testing reports and requests for approvals to the 
Designated Compliance Officer.



                        Subpart F_Test Procedures



Sec.  1033.501  General provisions.

    (a) Except as specified in this subpart, use the equipment and 
procedures for compression-ignition engines in 40 CFR part 1065 to 
determine whether your locomotives meet the duty-cycle emission 
standards inSec. 1033.101. Use the applicable duty cycles specified in 
this subpart. Measure emissions of all the pollutants we regulate in 
Sec.  1033.101 plus CO2. Measure N2O, and 
CH4 as described inSec. 1033.235. The general test 
procedure is the procedure specified in 40 CFR part 1065 for steady-
state discrete-mode cycles. However, if you use the optional ramped 
modal cycle inSec. 1033.520, follow the procedures for ramped modal 
testing in 40 CFR part 1065. The following exceptions from the 1065 
procedures apply:
    (1) You must average power and emissions over the sampling periods 
specified in this subpart for both discrete-mode testing and ramped 
modal testing.
    (2) The test cycle is considered to be steady-state with respect to 
operator demand rather than engine speed and load.
    (3) The provisions related to engine mapping and duty cycle 
generation (40

[[Page 49]]

CFR 1065.510 and 1065.512) are not applicable to testing of complete 
locomotives or locomotive engines because locomotive operation and 
locomotive duty cycles are based on operator demand via locomotive notch 
settings rather than engine speeds and loads. The cycle validation 
criteria (40 CFR 1065.514) are not applicable to testing of complete 
locomotives but do apply for dynamometer testing of engines.
    (b) You may use special or alternate procedures to the extent we 
allow as them under 40 CFR 1065.10. In some cases, we allow you to use 
procedures that are less precise or less accurate than the specified 
procedures if they do not affect your ability to show that your 
locomotives comply with the applicable emission standards. This 
generally requires emission levels to be far enough below the applicable 
emission standards so that any errors caused by greater imprecision or 
inaccuracy do not affect your ability to state unconditionally that the 
locomotives meet all applicable emission standards.
    (c) This part allows (with certain limits) testing of either a 
complete locomotive or a separate uninstalled engine. When testing a 
locomotive, you must test the complete locomotive in its in-use 
configuration, except that you may disconnect the power output and fuel 
input for the purpose of testing. To calculate power from measured 
alternator/generator output, use an alternator/generator efficiency 
curve that varies with speed/load, consistent with good engineering 
judgment.
    (d) Unless smoke standards do not apply for your locomotives or the 
testing requirement is waived, measure smoke emissions using the 
procedures inSec. 1033.525.
    (e) Use the applicable fuel listed in 40 CFR part 1065, subpart H, 
to perform valid tests.
    (1) For diesel-fueled locomotives, use the appropriate diesel fuel 
specified in 40 CFR part 1065, subpart H, for emission testing. The 
applicable diesel test fuel is either the ultra low-sulfur diesel or 
low-sulfur diesel fuel, as specified inSec. 1033.101. Identify the 
test fuel in your application for certification and ensure that the fuel 
inlet label is consistent with your selection of the test fuel (see 
Sec.Sec. 1033.101 and 1033.135).
    (2) You may ask to use as a test fuel commercially available diesel 
fuel similar but not 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. If your locomotive uses sulfur-sensitive 
technology, you may not use an in-use fuel that has a lower sulfur 
content than the range specified for the otherwise applicable test fuel 
in 40 CFR part 1065. If your locomotive does not use sulfur-sensitive 
technology, we may allow you to use an in-use fuel that has a lower 
sulfur content than the range specified for the otherwise applicable 
test fuel in 40 CFR part 1065, but may require that you correct PM 
emissions to account for the sulfur differences.
    (3) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use 
locomotives will use.
    (f) SeeSec. 1033.505 for information about allowable ambient 
testing conditions for testing.
    (g) This subpart is addressed to you as a manufacturer/
remanufacturer, but it applies equally to anyone who does testing for 
you, and to us when we perform testing to determine if your locomotives 
meet emission standards.
    (h) We may also perform other testing as allowed by the Clean Air 
Act.
    (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 ofSec. 1033.101 and the defeat 
device prohibition ofSec. 1033.115.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22984, Apr. 30, 2010]



Sec.  1033.505  Ambient conditions.

    This section specifies the allowable ambient conditions (including 
temperature and pressure) under which testing may be performed to 
determine compliance with the emission standards ofSec. 1068.101. 
Manufacturers/remanufacturers may ask to perform testing at conditions 
other than those

[[Page 50]]

allowed by this section. We will allow such testing provided it does not 
affect your ability to demonstrate compliance with the applicable 
standards. See Sec.Sec. 1033.101 and 1033.115 for more information 
about the requirements that apply at other 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 
temperature, you will generally not need to correct emissions.
    (b) Altitude/pressure. Testing may be performed with ambient 
pressures from 88.000 kPa (26.0 in Hg) to 103.325 kPa (30.5 in Hg). This 
is intended to correspond to altitudes up to 4000 feet above sea level. 
Do not correct emissions for pressure effects within this range.
    (c) Humidity. Testing may be performed with any ambient humidity 
level. Correct NOX emissions as specified in 40 CFR 1065.670. 
Do not correct any other emissions for humidity effects.
    (d) Wind. If you test outdoors, use good engineering judgment to 
ensure that excessive wind does not affect your emission measurements. 
Winds are excessive if they disturb the size, shape, or location of the 
exhaust plume in the region where exhaust samples are drawn or where the 
smoke plume is measured, or otherwise cause any dilution of the exhaust. 
Tests may be conducted if wind shielding is placed adjacent to the 
exhaust plume to prevent bending, dispersion, or any other distortion of 
the exhaust plume as it passes through the optical unit or through the 
sample probe.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010]



Sec.  1033.510  Auxiliary power units.

    If your locomotive is equipped with an auxiliary power unit (APU) 
that operates during an idle shutdown mode, you must account for the 
APU's emissions rates as specified in this section, unless the APU is 
part of an AESS system that was certified separately from the rest of 
the locomotive. This section does not apply for auxiliary engines that 
only provide hotel power.
    (a) Adjust the locomotive main engine's idle emission rate (g/hr) as 
specified inSec. 1033.530. Add the APU emission rate (g/hr) that you 
determine under paragraph (b) of this section. Use the locomotive main 
engine's idle power as specified inSec. 1033.530.
    (b) Determine the representative emission rate for the APU using one 
of the following methods.
    (1) Installed APU tested separately. If you separately measure 
emission rates (g/hr) for each pollutant from the APU installed in the 
locomotive, you may use the measured emissions rates (g/hr) as the 
locomotive's idle emissions rates when the locomotive is shutdown and 
the APU is operating. For all testing other than in-use testing, apply 
appropriate deterioration factors to the measured emission rates. You 
may ask to carryover APU emission data for a previous test, or use data 
for the same APU installed on locomotives in another engine family.
    (2) Uninstalled APU tested separately. If you separately measure 
emission rates (g/hr) over an appropriate duty-cycle for each pollutant 
from the APU when it is not installed in the locomotive, you may use the 
measured emissions rates (g/hr) as the locomotive's idle emissions rates 
when the locomotive is shutdown and the APU is

[[Page 51]]

operating. For the purpose of this paragraph (b)(2), an appropriate 
duty-cycle is one that approximates the APU engine's cycle-weighted 
power when operating in the locomotive. Apply appropriate deterioration 
factors to the measured emission rates. You may ask to carryover APU 
emission data for a previous test, or use data for the same APU 
installed on locomotives in another engine family.
    (3) APU engine certification data. If the engine used for the APU 
has been certified to EPA emission standards you may calculate the APU's 
emissions based upon existing EPA-certification information about the 
APU's engine. In this case, calculate the APU's emissions as follows:
    (i) For each pollutant determine the brake-specific standard/FEL to 
which the APU engine was originally EPA-certified.
    (ii) Determine the APU engine's cycle-weighted power when operating 
in the locomotive.
    (iii) Multiply each of the APU's applicable brake-specific 
standards/FELs by the APU engine's cycle-weighted power. The results are 
the APU's emissions rates (in g/hr).
    (iv) Use these emissions rates as the locomotive's idle emissions 
rates when the locomotive is shutdown and the APU is running. Do not 
apply a deterioration factor to these values.
    (4) Other. You may ask us to approve an alternative means to account 
for APU emissions.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec.  1033.515  Discrete-mode steady-state emission tests of locomotives
and locomotive engines.

    This section describes how to test locomotives at each notch setting 
so that emissions can be weighted according to either the line-haul duty 
cycle or the switch duty cycle. The locomotive test cycle consists of a 
warm-up followed by a sequence of nominally steady-state discrete test 
modes, as described in Table 1 to this section. The test modes are 
steady-state with respect to operator demand, which is the notch setting 
for the locomotive. Engine speeds and loads are not necessarily steady-
state.
    (a) Follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning which is included as engine warm-up). You may operate the 
engine in any way you choose to warm it up prior to beginning the sample 
preconditioning specified in 40 CFR part 1065.
    (b) Begin the test by operating the locomotive over the pre-test 
portion of the cycle specified in Table 1 to this section. For 
locomotives not equipped with catalysts, you may begin the test as soon 
as the engine reaches its lowest idle setting. For catalyst-equipped 
locomotives, you may begin the test in normal idle mode if the engine 
does not reach its lowest idle setting within 15 minutes. If you do 
start in normal idle, run the low idle mode after normal idle, then 
resume the specified mode sequence (without repeating the normal idle 
mode).
    (c) Measure emissions during the rest of the test cycle.
    (1) Each test mode begins when the operator demand to the locomotive 
or engine is set to the applicable notch setting.
    (2) Start measuring gaseous emissions, power, and fuel consumption 
at the start of the test mode A and continue until the completion of 
test mode 8. You may zero and span analyzers between modes (or take 
other actions consistent with good engineering judgment).
    (i) The sample period over which emissions for the mode are averaged 
generally begins when the operator demand is changed to start the test 
mode and ends within 5 seconds of the minimum sampling time for the test 
mode is reached. However, you need to shift the sampling period to 
account for sample system residence times. Follow the provisions of 40 
CFR 1065.308 and 1065.309 to time align emission and work measurements.
    (ii) The sample period is 300 seconds for all test modes except mode 
10. The sample period for test mode 8 is 600 seconds.
    (3) If gaseous emissions are sampled using a batch-sampling method, 
begin proportional sampling at the beginning of each sampling period and 
terminate

[[Page 52]]

sampling once the minimum time in each test mode is reached, 5 seconds.
    (4) If applicable, begin the smoke test at the start of the test 
mode A. Continue collecting smoke data until the completion of test mode 
8. Refer toSec. 1033.101 to determine applicability of smoke testing 
andSec. 1033.525 for details on how to conduct a smoke test.
    (5) Begin proportional sampling of PM emissions at the beginning of 
each sampling period and terminate sampling within 5 seconds of the specified time in each test mode. If 
the PM sample is not sufficiently large, take one of the following 
actions consistent with good engineering judgment:
    (i) Extend the sampling period up to a maximum of 15 minutes.
    (ii) Group the modes in the same manner as the phases of the ramped 
modal cycle and use three different dilution settings for the groups. 
Use one setting for both idle modes, one for dynamic brake through notch 
5, and one for notches 6 through 8. For each group, ensure that the mode 
with the highest exhaust flow (typically normal idle, notch 5, and notch 
8) meets the criteria for minimum dilution ratio in 40 CFR part 1065.
    (6) Proceed through each test mode in the order specified in Table 1 
to this section until the locomotive test cycle is completed.
    (7) At the end of each numbered test mode, you may continue to 
operate sampling and dilution systems to allow corrections for the 
sampling system's response time.
    (8) Following the completion of Mode 8, conduct the post sampling 
procedures inSec. 1065.530. Note that cycle validation criteria do not 
apply to testing of complete locomotives.

                                Table 1 toSec.  1033.515--Locomotive Test Cycle
----------------------------------------------------------------------------------------------------------------
                                                               Time in mode        Sample averaging period for
             Test mode                  Notch setting          (minutes) \1\              emissions \1\
----------------------------------------------------------------------------------------------------------------
Pre-test idle.....................  Lowest idle setting..  10 to 15 \3\........  Not applicable
A.................................  Low idle \2\.........  5 to 10.............  300 5
                                                                                  seconds
B.................................  Normal idle..........  5 to 10.............  300 5
                                                                                  seconds
C.................................  Dynamic brake \2\....  5 to 10.............  300 5
                                                                                  seconds
1.................................  Notch 1..............  5 to 10.............  300 5
                                                                                  seconds
2.................................  Notch 2..............  5 to 10.............  300 5
                                                                                  seconds
3.................................  Notch 3..............  5 to 10.............  300 5
                                                                                  seconds
4.................................  Notch 4..............  5 to 10.............  300 5
                                                                                  seconds
5.................................  Notch 5..............  5 to 10.............  300 5
                                                                                  seconds
6.................................  Notch 6..............  5 to 10.............  300 5
                                                                                  seconds
7.................................  Notch 7..............  5 to 10.............  300 5
                                                                                  seconds
8.................................  Notch 8..............  10 to 15............  600 5
                                                                                  seconds
----------------------------------------------------------------------------------------------------------------
\1\ The time in each notch and sample averaging period may be extended as needed to allow for collection of a
  sufficiently large PM sample.
\2\ Omit if not so equipped.
\3\ See paragraph (b) of this section for alternate pre-test provisions.

    (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

[[Page 53]]

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 inSec. 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.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 8424, Feb. 24, 2009; 75 FR 22985, Apr. 30, 2010]



Sec.  1033.520  Alternative ramped modal cycles.

    (a) Locomotive testing over a ramped modal cycle is intended to 
improve measurement accuracy at low emission levels by allowing the use 
of batch sampling of PM and gaseous emissions over multiple locomotive 
notch settings. Ramped modal cycles combine multiple test modes of a 
discrete-mode steady-state into a single sample period. Time in notch is 
varied to be proportional to weighting factors. The ramped modal cycle 
for line-haul locomotives is shown in Table 1 to this section. The 
ramped modal cycle for switch locomotives is shown in Table 2 to this 
section. Both ramped modal cycles consist of a warm-up followed by three 
test phases that are each weighted in a manner that maintains the duty 
cycle weighting of the line-haul and switch locomotive duty cycles in 
Sec.  1033.530. You may use ramped modal cycle testing for any 
locomotives certified under this part.
    (b) Ramped modal testing requires continuous gaseous analyzers and 
three separate PM filters (one for each phase). You may collect a single 
batch sample for each test phase, but you must also measure gaseous 
emissions continuously to allow calculation of notch caps as required 
underSec. 1033.101.
    (c) You may operate the engine in any way you choose to warm it up. 
Then follow the provisions of 40 CFR part 1065, subpart F for general 
pre-test procedures (including engine and sampling system pre-
conditioning).
    (d) Begin the test by operating the locomotive over the pre-test 
portion of the cycle. For locomotives not equipped with catalysts, you 
may begin the test as soon as the engine reaches

[[Page 54]]

its lowest idle setting. For catalyst-equipped locomotives, you may 
begin the test in normal idle mode if the engine does not reach its 
lowest idle setting within 15 minutes. If you do start in normal idle, 
run the low idle mode after normal idle, then resume the specified mode 
sequence (without repeating the normal idle mode).
    (e) Start the test according to 40 CFR 1065.530.
    (1) Each test phase begins when operator demand is set to the first 
operator demand setting of each test phase of the ramped modal cycle. 
Each test phase ends when the time in mode is reached for the last mode 
in the test phase.
    (2) For PM emissions (and other batch sampling), the sample period 
over which emissions for the phase are averaged generally begins within 
10 seconds after the operator demand is changed to start the test phase 
and ends within 5 seconds of the sampling time for the test mode is 
reached. (see Table 1 to this section). You may ask to delay the start 
of the sample period to account for sample system residence times longer 
than 10 seconds.
    (3) Use good engineering judgment when transitioning between phases.
    (i) You should come as close as possible to simultaneously:
    (A) Ending batch sampling of the previous phase.
    (B) Starting batch sampling of the next phase.
    (C) Changing the operator demand to the notch setting for the first 
mode in the next phase.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two phases.
    (B) An unnecessarily long delay before starting the next phase.
    (iii) For example, the following sequence would generally be 
appropriate:
    (A) End batch sampling for phase 2 after 240 seconds in notch 7.
    (B) Switch the operator demand to notch 8 one second later.
    (C) Begin batch sampling for phase 3 one second after switching to 
notch 8.
    (4) If applicable, begin the smoke test at the start of the first 
test phase of the applicable ramped modal cycle. Continue collecting 
smoke data until the completion of final test phase. Refer toSec. 
1033.101 to determine applicability of the smoke standards andSec. 
1033.525 for details on how to conduct a smoke test.
    (5) Proceed through each test phase of the applicable ramped modal 
cycle in the order specified until the test is completed.
    (6) If you must void a test phase you may repeat the phase. To do 
so, begin with a warm engine operating at the notch setting for the last 
mode in the previous phase. You do not need to repeat later phases if 
they were valid. (Note: you must report test results for all voided 
tests and test phases.)
    (7) Following the completion of the third test phase of the 
applicable ramped modal cycle, conduct the post sampling procedures 
specified in 40 CFR 1065.530.
    (f) Calculate your cycle-weighted brake-specific emission rates as 
follows:
    (1) For each test phase j:
    (i) Calculate emission rates (Eij) for each pollutant i 
as the total mass emissions divided by the total time in the phase.
    (ii) Calculate average power (Pj) as the total work 
divided by the total time in the phase.
    (2) For each pollutant, calculate your cycle-weighted brake-specific 
emission rate using the following equation, where wj is the 
weighting factor for phase j:
[GRAPHIC] [TIFF OMITTED] TR06MY08.010

    (g) The following tables define applicable ramped modal cycles for 
line-haul and switch locomotives:

                       Table 1 toSec.  1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                RMC test phase                  Weighting     RMC     Time in             Notch setting
----------------------------------------------    factor     mode       mode    --------------------------------
                                              ---------------------  (seconds)
                Pre-test idle                                      -------------     Lowest idle setting \1\
                                                    NA        NA     600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1                                        ...........       A          600  Low Idle.\2\

[[Page 55]]

 
(Idle test)..................................        0.380       B          600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 C         1000  Dynamic Brake.\3\
                                                                 1          520  Notch 1.
Phase 2......................................        0.389       2          520  Notch 2.
                                                                 3          416  Notch 3.
                                                                 4          352  Notch 4.
                                                                 5          304  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 6          144  Notch 6.
Phase 3......................................        0.231       7          111  Notch 7.
                                                                 8          600  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.
\3\ Operate at normal idle if not equipped with a dynamic brake.


                        Table 2 toSec.  1033.520--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                RMC test phase                  Weighting     RMC     Time in             Notch setting
----------------------------------------------    factor     mode       mode    --------------------------------
                                              ---------------------  (seconds)
                Pre-test idle                                      -------------     Lowest idle setting \1\
                                                    NA        NA     600 to 900
----------------------------------------------------------------------------------------------------------------
Phase 1                                        ...........       A          600  Low Idle.\2\
(Idle test)..................................        0.598       B          600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 1          868  Notch 1.
                                               ...........       2          861  Notch 2.
Phase 2......................................        0.377       3          406  Notch 3.
                                                                 4          252  Notch 4.
                                                                 5          252  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                                Phase Transition
----------------------------------------------------------------------------------------------------------------
                                                                 6         1080  Notch 6.
Phase 3......................................        0.025       7          144  Notch 7.
                                                                 8          576  Notch 8.
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d) of this section for alternate pre-test provisions.
\2\ Operate at normal idle for modes A and B if not equipped with multiple idle settings.


[73 FR 37197, June 30, 2008, as amended at 74 FR 8424, Feb. 24, 2009]



Sec.  1033.525  Smoke testing.

    This section describes the equipment and procedures for testing for 
smoke emissions when is required.
    (a) This section specifies how to measure smoke emissions using a 
full-flow, open path light extinction smokemeter. A light extinction 
meter consists of a built-in light beam that traverses the exhaust smoke 
plume that issues from exhaust the duct. The light beam must be at right 
angles to the axis of the plume. Align the light beam to go through the 
plume along the hydraulic diameter (defined in 1065.1001) of the exhaust 
stack. Where it is difficult to align the beam to have a path length 
equal to the hydraulic diameter (such as a long narrow rectangular 
duct), you may align the beam to have a different path length and 
correct it to be equivalent to a path length equal to the hydraulic 
diameter. The light extinction meter must meet the requirements of 
paragraph (b) of this section and the following requirements:

[[Page 56]]

    (1) Use an incandescent light source with a color temperature range 
of 2800K to 3250K, or a light source with a spectral peak between 550 
and 570 nanometers.
    (2) Collimate the light beam to a nominal diameter of 3 centimeters 
and an angle of divergence within a 6 degree included angle.
    (3) Use a photocell or photodiode light detector. If the light 
source is an incandescent lamp, use a detector that has a spectral 
response similar to the photopic curve of the human eye (a maximum 
response in the range of 550 to 570 nanometers, to less than four 
percent of that maximum response below 430 nanometers and above 680 
nanometers).
    (4) Attach a collimating tube to the detector with apertures equal 
to the beam diameter to restrict the viewing angle of the detector to 
within a 16 degree included angle.
    (5) Amplify the detector signal corresponding to the amount of 
light.
    (6) You may use an air curtain across the light source and detector 
window assemblies to minimize deposition of smoke particles on those 
surfaces, provided that it does not measurably affect the opacity of the 
plume.
    (7) Minimize distance from the optical centerline to the exhaust 
outlet; in no case may it be more than 3.0 meters. The maximum allowable 
distance of unducted space upstream of the optical centerline is 0.5 
meters. Center the full flow of the exhaust stream between the source 
and detector apertures (or windows and lenses) and on the axis of the 
light beam.
    (8) You may use light extinction meters employing substantially 
identical measurement principles and producing substantially equivalent 
results, but which employ other electronic and optical techniques.
    (b) All smokemeters must meet the following specifications:
    (1) A full-scale deflection response time of 0.5 second or less.
    (2) You may attenuate signal responses with frequencies higher than 
10 Hz with a separate low-pass electronic filter with the following 
performance characteristics:
    (i) Three decibel point: 10 Hz.
    (ii) Insertion loss: 0.0 0.5 dB.
    (iii) Selectivity: 12 dB down at 40 Hz minimum.
    (iv) Attenuation: 27 dB down at 40 Hz minimum.
    (c) Perform the smoke test by continuously recording smokemeter 
response over the entire locomotive test cycle in percent opacity to 
within one percent resolution and also simultaneously record operator 
demand set point (e.g., notch position). Compare the recorded opacities 
to the smoke standards applicable to your locomotive.
    (d) You may use a partial flow sampling smokemeter if you correct 
for the path length of your exhaust plume. If you use a partial flow 
sampling meter, follow the instrument manufacturer's installation, 
calibration, operation, and maintenance procedures.



Sec.  1033.530  Duty cycles and calculations.

    This section describes how to apply the duty cycle to measured 
emission rates to calculate cycle-weighted average emission rates.
    (a) Standard duty cycles and calculations. Tables 1 and 2 of this 
section show the duty cycle to use to calculate cycle-weighted average 
emission rates for locomotives equipped with two idle settings, eight 
propulsion notches, and at least one dynamic brake notch and tested 
using the Locomotive Test Cycle. Use the appropriate weighting factors 
for your locomotive application and calculate cycle-weighted average 
emissions as specified in 40 CFR part 1065, subpart G.

Table 1 toSec.  1033.530--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives
                                           With Multiple Idle Settings
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
                                                                            Line-haul    weighting      Switch
               Notch setting                           Test mode            weighting   factors (no   weighting
                                                                             factors      dynamic      factors
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Low Idle...................................  A...........................        0.190        0.190        0.299

[[Page 57]]

 
Normal Idle................................  B...........................        0.190        0.315        0.299
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.


Table 2 toSec.  1033.530--Standard Duty Cycle Weighting Factors for Calculating Emission Rates for Locomotives
                                           With a Single Idle Setting
----------------------------------------------------------------------------------------------------------------
                                                                                         Line-haul
               Notch setting                           Test mode            Line-haul   (no dynamic     Switch
                                                                                           brake)
----------------------------------------------------------------------------------------------------------------
Normal Idle................................  A...........................        0.380        0.505        0.598
Dynamic Brake..............................  C...........................        0.125        (\1\)        0.000
Notch 1....................................  1...........................        0.065        0.065        0.124
Notch 2....................................  2...........................        0.065        0.065        0.123
Notch 3....................................  3...........................        0.052        0.052        0.058
Notch 4....................................  4...........................        0.044        0.044        0.036
Notch 5....................................  5...........................        0.038        0.038        0.036
Notch 6....................................  6...........................        0.039        0.039        0.015
Notch 7....................................  7...........................        0.030        0.030        0.002
Notch 8....................................  8...........................        0.162        0.162        0.008
----------------------------------------------------------------------------------------------------------------
\1\ Not applicable.

    (b) Idle and dynamic brake notches. The test procedures generally 
require you to measure emissions at two idle settings and one dynamic 
brake, as follows:
    (1) If your locomotive is equipped with two idle settings and one or 
more dynamic brake settings, measure emissions at both idle settings and 
the worst case dynamic brake setting, and weight the emissions as 
specified in the applicable table of this section. Where it is not 
obvious which dynamic brake setting represents worst case, do one of the 
following:
    (i) You may measure emissions and power at each dynamic brake point 
and average them together.
    (ii) You may measure emissions and power at the dynamic brake point 
with the lowest power.
    (2) If your locomotive is equipped with two idle settings and is not 
equipped with dynamic brake, use a normal idle weighting factor of 0.315 
for the line-haul cycle. If your locomotive is equipped with only one 
idle setting and no dynamic brake, use an idle weighting factor of 0.505 
for the line-haul cycle.
    (c) Nonstandard notches or no notches. If your locomotive is 
equipped with more or less than 8 propulsion notches, recommend an 
alternate test cycle based on the in-use locomotive configuration. 
Unless you have data demonstrating that your locomotive will be operated 
differently from conventional locomotives, recommend weighting factors 
that are consistent with the power weightings of the specified duty 
cycle. For example, the average load factor for your recommended cycle 
(cycle-weighted power divided by rated power) should be equivalent to 
those of conventional locomotives. We may also allow the use of the 
standard power levels shown in Table 3 to this section for nonstandard 
locomotive testing subject to our prior approval.

[[Page 58]]

This paragraph (c) does not allow engines to be tested without 
consideration of the actual notches that will be used.

 Table 3 toSec.  1033.530--Standard Notch Power Levels Expressed as a
                        Percentage of Rated Power
------------------------------------------------------------------------
                                                                Percent
------------------------------------------------------------------------
Normal Idle..................................................       0.00
Dynamic Brake................................................       0.00
Notch 1......................................................       4.50
Notch 2......................................................      11.50
Notch 3......................................................      23.50
Notch 4......................................................      35.00
Notch 5......................................................      48.50
Notch 6......................................................      64.00
Notch 7......................................................      85.00
Notch 8......................................................     100.00
------------------------------------------------------------------------

    (d) Optional Ramped Modal Cycle Testing. Tables 1 and 2 ofSec. 
1033.520 show the weighting factors to use to calculate cycle-weighted 
average emission rates for the applicable locomotive ramped modal cycle. 
Use the weighting factors for the ramped modal cycle for your locomotive 
application and calculate cycle-weighted average emissions as specified 
in 40 CFR part 1065, subpart G.
    (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.
    (f) Multi-engine locomotives. This paragraph (f) applies for 
locomotives using multiple engines where all engines are identical in 
all material respects. In cases where we allow engine dynamometer 
testing, you may test a single engine consistent with good engineering 
judgment, as long as you test it at the operating points at which the 
engines will operate when installed in the locomotive (excluding 
stopping and starting). Weigh the results to reflect the power demand/
power-sharing of the in-use configuration for each notch setting.
    (g) Representative test cycles for freshly manufactured locomotives. 
As specified in this paragraph (g), manufacturers may be required to use 
an alternate test cycle for freshly manufactured Tier 3 and later 
locomotives.
    (1) If you determine that you are adding design features that will 
make the expected average in-use duty cycle for any of your freshly 
manufactured locomotive engine families significantly different from the 
otherwise applicable test cycle (including weighting factors), you must 
notify us and recommend an alternate test cycle that represents the 
expected average in-use duty cycle. You should also obtain preliminary 
approval before you begin collecting data to support an alternate test 
cycle. We will specify whether to use the default duty cycle, your 
recommended cycle, or a different cycle, depending on which cycle we 
believe best represents expected in-use operation.
    (2) The provisions of this paragraph (g) apply differently for 
different types of locomotives, as follows:
    (i) For Tier 4 and later line-haul locomotives, use the cycle 
required by (g)(1) of this section to show compliance with the line-haul 
cycle standards.
    (ii) For Tier 3 and later switch locomotives, use the cycle required 
by (g)(1) of this section to show compliance with the switch cycle 
standards.
    (iii) For Tier 3 line-haul locomotives, if we specify an alternate 
cycle, use it to show compliance with the line-haul cycle standards. If 
you include the locomotives in the ABT program of subpart H of this 
part, calculate line-haul cycle credits (positive or negative) using the 
alternate cycle and the line-haul cycle standards. Your locomotive is 
deemed to also generate an equal amount of switch cycle credits.
    (3) For all locomotives certified using an alternate cycle, include 
a description of the cycle in the owners manual such that the locomotive 
can be remanufactured using the same cycle.
    (4) For example, if your freshly manufactured line-haul locomotives 
are

[[Page 59]]

equipped with load control features that modify how the locomotive will 
operate when it is in a consist, and such features will cause the 
locomotives to operate differently from the otherwise applicable line-
haul cycle, we may require you to certify using an alternate cycle.
    (5) See paragraph (h) of this section for cycle-changing design 
features that also result in energy savings.
    (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 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.

[[Page 60]]

    (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.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 
FR 22985, Apr. 30, 2010]



Sec.  1033.535  Adjusting emission levels to account for infrequently
regenerating aftertreatment devices.

    This section describes how to adjust emission results from 
locomotives using aftertreatment technology with infrequent regeneration 
events that occur during testing. See paragraph (e) of this section for 
how to adjust ramped modal testing. See paragraph (f) of this section 
for how to adjust discrete-mode testing. For this section, 
``regeneration'' means an intended event during which emission levels 
change while the system restores aftertreatment performance. For 
example, hydrocarbon emissions may increase temporarily while oxidizing 
accumulated particulate matter in a trap. Also for this section, 
``infrequent'' refers to regeneration events that are expected to occur 
on average less than once per sample period.
    (a) Developing adjustment factors. Develop an upward adjustment 
factor and a downward adjustment factor for each pollutant based on 
measured emission data and observed regeneration frequency. Adjustment 
factors should generally apply to an entire engine family, but you may 
develop separate adjustment factors for different configurations within 
an engine family. If you use adjustment factors for certification, you 
must identify the frequency factor, F, from paragraph (b) of this 
section in your application for certification and use the adjustment 
factors in all testing for that engine family. You may use carryover or 
carry-across data to establish adjustment factors for an engine family, 
as described inSec. 1033.235, consistent with good engineering 
judgment. All adjustment factors for regeneration are additive. 
Determine adjustment factors separately for different test segments as 
described in paragraphs (e) and (f) of this section. You may use either 
of the following different approaches for locomotives that use 
aftertreatment with infrequent regeneration events:
    (1) You may disregard this section if you determine that 
regeneration does not significantly affect emission levels for an engine 
family (or configuration) or if it is not practical to identify when 
regeneration occurs. If you do not use adjustment factors under this 
section, your locomotives must meet emission standards for all testing, 
without regard to regeneration.
    (2) You may ask us to approve an alternate methodology to account 
for regeneration events. We will generally limit approval to cases in 
which your locomotives use aftertreatment technology with extremely 
infrequent regeneration and you are unable to apply the provisions of 
this section.
    (b) Calculating average emission factors. Calculate the average 
emission factor (EFA) based on the following equation:

EFA = (F)(EFH) + (1-F)(EFL)

Where:


[[Page 61]]


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 1000 MW-hrs of operation, and your locomotive typically 
          accumulates 1 MW-hr per test, F would be (125) / (1000) x (1) 
          = 0.125.
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.

    (c) Applying adjustment factors. Apply adjustment factors based on 
whether regeneration occurs during the test run. You must be able to 
identify regeneration in a way that is readily apparent during all 
testing.
    (1) If regeneration does not occur during a test segment, add an 
upward adjustment factor to the measured emission rate. Determine the 
upward adjustment factor (UAF) using the following equation:

UAF = EFA-EFL

    (2) If regeneration occurs or starts to occur during a test segment, 
subtract a downward adjustment factor from the measured emission rate. 
Determine the downward adjustment factor (DAF) using the following 
equation:

DAF = EFH-EFA

    (d) Sample calculation. If EFL is 0.10 g/bhp-hr, 
EFH is 0.50 g/ bhp-hr, and F is 0.10 (the regeneration occurs 
once for each ten tests), then:

EFA = (0.10)(0.50 g/ bhp-hr) + (1.00-0.10)(0.10 g/ bhp-hr) = 
0.14 g/ bhp-hr.
UAF = 0.14 g/ bhp-hr-0.10 g/ bhp-hr = 0.04 g/ bhp-hr.
DAF = 0.50 g/ bhp-hr-0.14 g/ bhp-hr = 0.36 g/ bhp-hr

    (e) Ramped modal testing. Develop separate adjustment factors for 
each test phase. If a regeneration has started but has not been 
completed when you reach the end of a test phase, use good engineering 
judgment to reduce your downward adjustments to be proportional to the 
emission impact that occurred in the test phases.
    (f) Discrete-mode testing. Develop separate adjustment factors for 
each test mode. If a regeneration has started but has not been completed 
when you reach the end of the sampling time for a test mode extend the 
sampling period for that mode until the regeneration is completed.



                 Subpart G_Special Compliance Provisions



Sec.  1033.601  General compliance provisions.

    Locomotive manufacturer/remanufacturers, as well as owners and 
operators of locomotives subject to the requirements of this part, and 
all other persons, must observe the provisions of this part, the 
requirements and prohibitions in 40 CFR part 1068, and the provisions of 
the Clean Air Act. The provisions of 40 CFR part 1068 apply for 
locomotives as specified in that part, except as otherwise specified in 
this section.
    (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.
    (b) Engine rebuilding. The provisions of 40 CFR 1068.120 do not 
apply when remanufacturing locomotives under a certificate of conformity 
issued under this part.
    (c) Exemptions. (1) The exemption provisions of 40 CFR 1068.240 
(i.e., exemptions for replacement engines) do not apply for domestic or 
imported locomotives. (Note: You may introduce into commerce freshly 
manufactured replacement engines under this part, provided the 
locomotives into which they are installed are covered by a certificate 
of conformity.)
    (2) The exemption provisions of 40 CFR 1068.250 and 1068.255 (i.e., 
exemptions for hardship relief) do not apply for domestic or imported 
locomotives. SeeSec. 1033.620 for provisions related to hardship 
relief.

[[Page 62]]

    (3) The exemption provisions of 40 CFR 1068.261 (i.e., exemptions 
for delegated assembly) do not apply for domestic or imported 
locomotives, except as specified inSec. 1033.630.
    (4) The provisions for importing engines and equipment under the 
identical configuration exemption of 40 CFR 1068.315(i) do not apply for 
locomotives.
    (5) The provisions for importing engines and equipment under the 
ancient engine exemption of 40 CFR 1068.315(j) do not apply for 
locomotives.
    (d) SEAs, defect reporting, and recall. The provisions of 40 CFR 
part 1068, subpart E (i.e., SEA provisions) do not apply for 
locomotives. Except as noted in this paragraph (d), the provisions of 40 
CFR part 1068, subpart F, apply to certificate holders for locomotives 
as specified for manufacturers in that part.
    (1) When there are multiple persons meeting the definition of 
manufacturer or remanufacturer, each person meeting the definition of 
manufacturer or remanufacturer must comply with the requirements of 40 
CFR part 1068, subpart F, as needed so that the certificate holder can 
fulfill its obligations under those subparts.
    (2) The defect investigation requirements of 40 CFR 1068.501(a)(5), 
(b)(1) and (b)(2) do not apply for locomotives. Instead, use good 
engineering judgment to investigate emission-related defects consistent 
with normal locomotive industry practice for investigating defects. You 
are not required to track parts shipments as indicators of possible 
defects.
    (e) Introduction into commerce. The placement of a new locomotive or 
new locomotive engine back into service following remanufacturing is a 
violation of 40 CFR 1068.101(a)(1), unless it has a valid certificate of 
conformity for its model year and the required label.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 
FR 22986, Apr. 30, 2010]



Sec.  1033.610  Small railroad provisions.

    In general, the provisions of this part apply for all locomotives, 
including those owned by Class II and Class III railroads. This section 
describes how these provisions apply for railroads meeting the 
definition of ``small railroad'' inSec. 1033.901. (Note: The term 
``small railroad'' excludes all Class II railroads and some Class III 
railroads, such as those owned by large parent companies.)
    (a) Locomotives become subject to the provisions of this part when 
they become ``new'' as defined inSec. 1033.901. Under that definition, 
a locomotive is ``new'' when first assembled, and generally becomes 
``new'' again when remanufactured. As an exception to this general 
concept, locomotives that are owned and operated by railroads meeting 
the definition of ``small railroad'' inSec. 1033.901 do not become 
``new'' when remanufactured, unless they were previously certified to 
EPA emission standards. Certificate holders may require written 
confirmation from the owner/operator that the locomotive qualifies as a 
locomotive that is owned and operated by a small railroad. Such written 
confirmation to a certificate holder is deemed to also be a submission 
to EPA and is thus subject to the reporting requirements of 40 CFR 
1068.101.
    (b) The provisions of subpart I of this part apply to all owners and 
operators of locomotives subject to this part 1033. However, the 
regulations of that subpart specify some provisions that apply only for 
Class I freight railroads, and others that apply differently to Class I 
freight railroads and other railroads.
    (c) We may exempt new locomotives that are owned or operated by 
small railroads from the prohibition against remanufacturing a 
locomotive without a certificate of conformity as specified in this 
paragraph (c). This exemption is only available in cases where no 
certified remanufacturing system is available for the locomotive. For 
example, it is possible that no remanufacturer will certify a system for 
very old locomotive models that comprise a tiny fraction of the fleet 
and that are remanufactured infrequently. We will grant the exemption in 
all cases in which no remanufacturing system has been certified for the 
applicable engine family and model year. We may also grant an exemption 
where we determine that a certified system is unavailable. We may 
consider the issue of

[[Page 63]]

excessive costs in determining the availability of certified systems. If 
we grant this exemption for a previously certified locomotive, you are 
required to return the locomotive to its previously certified 
configuration. Send your request for such exemptions to the Designated 
Compliance Officer.
    (d) Non-Class I railroads that do not meet the definition of ``small 
railroad'' inSec. 1033.901 may ask that their remanufactured 
locomotives be excluded from the definition of ``new'' inSec. 1033.901 
in cases where no certified remanufacturing system is available for the 
locomotive. We will grant the exemption in all cases in which no 
remanufacturing system has been certified for the applicable engine 
family and model year. If we grant this exemption for a previously 
certified locomotive, you are required to return the locomotive to its 
previously certified configuration. Send your request for such 
exemptions to the Designated Compliance Officer.



Sec.  1033.615  Voluntarily subjecting locomotives to the standards
of this part.

    The provisions of this section specify the cases in which an owner 
or manufacturer of a locomotive or similar piece of equipment can 
subject it to the standards and requirements of this part. Once the 
locomotive or equipment becomes subject to the locomotive standards and 
requirements of this part, it remains subject to the standards and 
requirements of this part for the remainder of its service life.
    (a) Equipment excluded from the definition of ``locomotive''. (1) 
Manufacturers/remanufacturers of equipment that is excluded from the 
definition of ``locomotive'' because of its total power, but would 
otherwise meet the definition of locomotive may ask to have it 
considered to be a locomotive. To do this, submit an application for 
certification as specified in subpart C of this part, explaining why it 
should be considered to be a locomotive. If we approve your request, it 
will be deemed to be a locomotive for the remainder of its service life.
    (2) In unusual circumstances, we may deem other equipment to be 
locomotives (at the request of the owner or manufacturer/remanufacturer) 
where such equipment does not conform completely to the definition of 
locomotive, but is functionally equivalent to a locomotive.
    (b) Locomotives excluded from the definition of ``new''. Owners of 
remanufactured locomotives excluded from the definition of ``new'' in 
Sec.  1033.901 under paragraph (2) of that definition may choose to 
upgrade their locomotives to subject their locomotives to the standards 
and requirements of this part by complying with the specifications of a 
certified remanufacturing system, including the labeling specifications 
ofSec. 1033.135.



Sec.  1033.620  Hardship provisions for manufacturers and 
remanufacturers.

    (a) If you qualify for the economic hardship provisions specified in 
40 CFR 1068.245, we may approve a period of delayed compliance for up to 
one model year total.
    (b) The provisions of this paragraph (b) are intended to address 
problems that could occur near the date on which more stringent emission 
standards become effective, such as the transition from the Tier 2 
standards to the Tier 3 standards for line-haul locomotives on January 
1, 2012.
    (1) In appropriate extreme and unusual circumstances that are 
clearly outside the control of the manufacturer and could not have been 
avoided by the exercise of prudence, diligence, and due care, we may 
permit you, for a brief period, to introduce into commerce locomotives 
which do not comply with the applicable emission standards if all of the 
following conditions apply:
    (i) You cannot reasonably manufacture the locomotives in such a 
manner that they would be able to comply with the applicable standards.
    (ii) The manufacture of the locomotives was substantially completed 
prior to the applicability date of the standards from which you seek the 
relief. For example, you may not request relief for a locomotive that 
has been ordered, but for which you will not begin the assembly process 
prior to the applicability date of the standards. On the other hand, we 
would generally

[[Page 64]]

consider completion of the underframe weldment to be a substantial part 
of the manufacturing process.
    (iii) Manufacture of the locomotives was previously scheduled to be 
completed at such a point in time that locomotives would have been 
included in the previous model year, such that they would have been 
subject to less stringent standards, and that such schedule was feasible 
under normal conditions.
    (iv) You demonstrate that the locomotives comply with the less 
stringent standards that applied to the previous model year's production 
described in paragraph (b)(1)(iii) of this section, as prescribed by 
subpart C of this part (i.e., that the locomotives are identical to 
locomotives certified in the previous model year).
    (v) You exercised prudent planning, were not able to avoid the 
violation, and have taken all reasonable steps to minimize the extent of 
the nonconformity.
    (vi) We approve your request before you introduce the locomotives 
into commerce.
    (2) You must notify us as soon as you become aware of the extreme or 
unusual circumstances.
    (3)(i) Include locomotives for which we grant relief under this 
section in the engine family for which they were originally intended to 
be included.
    (ii) Where the locomotives are to be included in an engine family 
that was certified to an FEL above the applicable standard, you must 
reserve credits to cover the locomotives covered by this allowance and 
include the required information for these locomotives in the end-of-
year report required by subpart H of this part.
    (c) In granting relief under this section, we may also set other 
conditions as appropriate, such as requiring payment of fees to negate 
an economic gain that such relief would otherwise provide.



Sec.  1033.625  Special certification provisions for non-locomotive-
specific engines.

    You may certify freshly manufactured or remanufactured locomotives 
using non-locomotive-specific engines (as defined inSec. 1033.901) 
using the normal certification procedures of this part. Locomotives 
certified in that way are generally treated the same as other 
locomotives, except where specified otherwise. The provisions of this 
section provide for design certification to the locomotive standards in 
this part for locomotives using engines included in engine families 
certified under 40 CFR part 1039 (or part 89) in limited circumstances.
    (a) Remanufactured or freshly manufactured switch locomotives 
powered by non-locomotive-specific engines may be certified by design 
without the test data required bySec. 1033.235 if all of the following 
are true:
    (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.
    (2) The engines were certified to PM, NOX, and 
hydrocarbon standards that are numerically lower than the applicable 
locomotive standards of this part.
    (3) More engines are reasonably projected to be sold and used under 
the certificate for non-locomotive use than for use in locomotives.
    (4) The number of such locomotives certified under this section does 
not exceed 30 in any three-year period. We may waive this sales limit 
for locomotive models that have previously demonstrated compliance with 
the locomotive standards ofSec. 1033.101 in-use.
    (5) We approved the application as specified in paragraph (d) of 
this section.
    (b) To certify your locomotives by design under this section, submit 
your application as specified inSec. 1033.205, with the following 
exceptions:
    (1) Include the following instead of the locomotive test data 
otherwise required bySec. 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.

[[Page 65]]

    (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 ofSec. 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 bySec. 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).
    (d) We will approve or deny the application as specified in subpart 
C of this part. For example, we will deny your application for 
certification by design under this section in any case where we have 
evidence that your locomotives will not conform to the requirements of 
this part throughout their useful lives.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22986, Apr. 30, 2010; 
76 FR 53780, Sept. 15, 2011]



Sec.  1033.630  Staged-assembly and delegated assembly exemptions.

    (a) Staged assembly. You may ask us to provide a temporary exemption 
to allow you to complete production of your engines and locomotives at 
different facilities, as long as you maintain control of the engines 
until they are in their certified configuration. We may require you to 
take specific steps to ensure that such locomotives are in their 
certified configuration before reaching the ultimate purchaser. You may 
request an exemption under this paragraph (a) in your application for 
certification, or in a separate submission. If you include your request 
in your application, your exemption is approved when we grant your 
certificate. Note that no exemption is needed to ship an engine that has 
been assembled in its certified configuration, is properly labeled, and 
will not require an aftertreatment device to be attached when installed 
in the locomotive.
    (b) Delegated assembly. This paragraph (b) applies where the engine 
manufacturer/remanufacturer does not complete assembly of the 
locomotives and the engine is shipped after being manufactured or 
remanufactured (partially or completely). The provisions of this 
paragraph (b) apply differently depending on who holds the certificate 
of conformity and the state of the engine when it is shipped. You may 
request an exemption under this paragraph (b) in your application for 
certification, or in a separate submission. If you include your request 
in your application, your exemption is approved when we grant your 
certificate. A manufacturer/remanufacturer may request an exemption 
under 40 CFR 1068.261 instead of under this section.
    (1) In cases where an engine has been assembled in its certified 
configuration, properly labeled, and will not require an aftertreatment 
device to be attached when installed in the locomotive, no exemption is 
needed to ship the engine. You do not need an exemption to ship engines 
without specific components if they are not emission-related components 
identified in appendix I of 40 CFR part 1068.
    (2) In cases where an engine has been properly labeled by the 
certificate holder and assembled in its certified configuration except 
that it does not yet have a required aftertreatment device, an exemption 
is required to ship the engine. You may ask for this exemption if you do 
all of the following:
    (i) You note on the Engine Emission Control Information label that 
the locomotive must include the aftertreatment device to be covered by 
the certificate.
    (ii) You make clear in your emission-related installation 
instructions that installation of the aftertreatment device is required 
for the locomotive to be covered by the certificate.
    (3) In cases where an engine will be shipped to the certificate 
holder in an uncertified configuration, an exemption is required to ship 
the engine. You

[[Page 66]]

may ask for this exemption under 40 CFR 1068.262.
    (c) Other exemptions. In unusual circumstances, you may ask us to 
provide an exemption for an assembly process that is not covered by the 
provisions of paragraphs (a) and (b) of this section. We will make the 
exemption conditional based on you complying with requirements that we 
determine are necessary to ensure that the locomotives are assembled in 
their certified configuration before being placed (back) into service.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008]



Sec.  1033.640  Provisions for repowered and refurbished locomotives.

    (a) The provisions of this section apply for locomotives that are 
produced from an existing locomotive so that the new locomotive contains 
both previously used parts and parts that have never been used before.
    (1) Repowered locomotives are used locomotives in which a freshly 
manufactured propulsion engine is installed. As described in this 
section, a repowered locomotive is deemed to be either remanufactured or 
freshly manufactured, depending on the total amount of unused parts on 
the locomotive. It may also be deemed to be a refurbished locomotive.
    (2) Refurbished locomotives are locomotives that contain more unused 
parts than previously used parts. As described in this section, a 
locomotive containing more unused parts than previously used parts may 
be deemed to be either remanufactured or freshly manufactured, depending 
on the total amount of unused parts on the locomotive. Note thatSec. 
1033.901 defines refurbishment of a pre-1973 locomotive to be an upgrade 
of the locomotive.
    (b) A single existing locomotive cannot be divided into parts and 
combined with new parts to create more than one remanufactured 
locomotive. However, any number of locomotives can be divided into parts 
and combined with new parts to create more than one remanufactured 
locomotive, provided the number of locomotives created (remanufactured 
and freshly manufactured) does not exceed the number of locomotives that 
were disassembled.
    (c) You may determine the relative amount of previously used parts 
consistent with the specifications of the Federal Railroad 
Administration. Otherwise, determine the relative amount of previously 
used parts as follows:
    (1) Identify the parts in the fully assembled locomotive that have 
been previously used and those that have never been used before.
    (2) Weight the unused parts and previously used parts by the dollar 
value of the parts. For example, a single part valued at $1200 would 
count the same as six parts valued at $200 each. Group parts by system 
where possible (such as counting the engine as one part) if either all 
the parts in that system are used or all the parts in that system are 
unused. Calculate the used part values using dollar values from the same 
year as the new parts.
    (3) Sum the values of the unused parts. Also sum the values of the 
previously used parts. The relative fraction of used parts is the total 
value of previously used parts divided by the combined value of the 
unused parts and previously used parts.
    (c) If the weighted fraction of the locomotive that is comprised of 
previously used parts is greater than or equal to 25 percent, then the 
locomotive is considered to be a remanufactured locomotive and retains 
its original date of manufacture. Note, however, that if the weighted 
fraction of the locomotive that is comprised of previously used parts is 
less than 50 percent, then the locomotive is also considered to be a 
refurbished locomotive.
    (d) If the weighted fraction of the locomotive that is comprised of 
previously used parts is less than 25 percent, then the locomotive is 
deemed to be a freshly manufactured locomotive and the date of original 
manufacture is the most recent date on which the locomotive was 
assembled using less than 25 percent previously used parts. For example:
    (1) If you produce a new locomotive that includes a used frame, but 
all other parts are unused, then the locomotive would likely be 
considered to be a freshly manufactured locomotive because the value of 
the frame would likely be less than 25 percent of the

[[Page 67]]

total value of the locomotive. Its date of original manufacture would be 
the date on which you complete its assembly.
    (2) If you produce a new locomotive by replacing the engine in a 
1990 locomotive with a freshly manufactured engine, but all other parts 
are used, then the locomotive would likely be considered to be a 
remanufactured locomotive and its date of original manufacture is the 
date on which assembly was completed in 1990. (Note: such a locomotive 
would also be considered to be a repowered locomotive.)
    (e) Locomotives containing used parts that are deemed to be freshly 
manufactured locomotives are subject to the same provisions as all other 
freshly manufactured locomotives. Other refurbished locomotives are 
subject to the same provisions as other remanufactured locomotives, with 
the following exceptions:
    (1) Switch locomotives. (i) Prior to January 1, 2015, remanufactured 
Tier 0 switch locomotives that are deemed to be refurbished are subject 
to the Tier 0 line-haul cycle and switch cycle standards. Note that this 
differs from the requirements applicable to other Tier 0 switch 
locomotives, which are not subject to the Tier 0 line-haul cycle 
standards.
    (ii) Beginning January 1, 2015, remanufactured Tier 3 and earlier 
switch locomotives that are deemed to be refurbished are subject to the 
Tier 3 switch standards.
    (2) Line-haul locomotives. Remanufactured line-haul locomotives that 
are deemed to be refurbished are subject to the same standards as 
freshly manufactured line-haul locomotives, except that line-haul 
locomotives with rated power less than 3000 hp that are refurbished 
before January 1, 2015 are subject to the same standards as refurbished 
switch locomotives under paragraph (e)(1)(i) of this section. However, 
line-haul locomotives less than 3000 hp may not generate emission 
credits relative to the standards specified in paragraph (e)(1)(i) of 
this section.
    (3) Labels for switch and line-haul locomotives. Remanufacturers 
that refurbish a locomotive must add a secondary locomotive label that 
includes the following:
    (i) The label heading: ``REFURBISHED LOCOMOTIVE EMISSION CONTROL 
INFORMATION.''
    (ii) The statement identifying when the locomotive was refurbished 
and what standards it is subject to, as follows: ``THIS LOCOMOTIVE WAS 
REFURBISHED IN [year of refurbishment] AND MUST COMPLY WITH THE TIER 
[applicable standard level] EACH TIME THAT IT IS REMANUFACTURED, EXCEPT 
AS ALLOWED BY 40 CFR 1033.750.''.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 8425, Feb. 24, 2009]

    Editorial Note: At 73 FR 37197, June 30, 2008,Sec. 1033.640 was 
added. This amendment included two paragraphs (c) in the original text.



Sec.  1033.645  Non-OEM component certification program.

    This section describes a voluntary program that allows you to get 
EPA approval of components you manufacture for use during 
remanufacturing.
    (a) Applicability. This section applies only for components that are 
commonly replaced during remanufacturing. It does not apply for other 
types of components that are replaced during a locomotive's useful life, 
but not typically replaced during remanufacture. Certified components 
may be used for remanufacturing or other maintenance.
    (1) The following components are eligible for approval under this 
section:
    (i) Cylinder liners.
    (ii) Pistons.
    (iii) Piston rings.
    (iv) Heads
    (v) Fuel injectors.
    (vi) Turbochargers
    (vii) Aftercoolers and intercoolers.
    (2) Catalysts and electronic controls are not eligible for approval 
under this section.
    (3) We may determine that other types of components can be certified 
under this section, consistent with good engineering judgment.
    (b) Approval. To obtain approval, submit your request to the 
Designated Compliance Officer.
    (1) Include all of the following in your request:

[[Page 68]]

    (i) A description of the component(s) for which you are requesting 
approval.
    (ii) A list of all engine/locomotive models and engine families for 
which your component would be used. You may exclude models that are not 
subject to our standards or will otherwise not be remanufactured under a 
certificate of conformity.
    (iii) A copy of the maintenance instructions for engines using your 
component. You may reference the other certificate holder's maintenance 
instructions in your instructions. For example, your instructions may 
specify to follow the other certificate holder's instructions in 
general, but list one or more exceptions to address the specific 
maintenance needs of your component.
    (iv) An engineering analysis (including test data in some cases) 
demonstrating to us that your component will not cause emissions to 
increase. The analysis must address both low-hour and end-of-useful life 
emissions. The amount of information required for this analysis is less 
than is required to obtain a certificate of conformity under subpart C 
of this part and will vary depending on the type of component being 
certified.
    (v) The following statement signed by an authorized representative 
of your company: We submit this request under 40 CFR 1033.645. All the 
information in this report is true and accurate to the best of my 
knowledge. I know of the penalties for violating the Clean Air Act and 
the regulations. (Authorized Company Representative)
    (2) If we determine that there is reasonable technical basis to 
believe that your component is sufficiently equivalent that it will not 
increase emissions, we will approve your request and you will be a 
certificate holder for your components with respect to actual emissions 
performance for all locomotives that use those components (in accordance 
with this section).
    (c) Liability. Being a certificate holder under this section means 
that if in-use testing indicates that a certified locomotive using one 
or more of your approved components does not comply with an applicable 
emission standard, we will presume that you and other certificate 
holders are liable for the noncompliance. However, we will not hold you 
liable in cases where you convince us that your components did not cause 
the noncompliance. Conversely, we will not hold other certificate 
holders liable for noncompliance caused solely by your components. You 
are also subject to the warranty and defect reporting requirements of 
this part for your certified components. Other requirements of this part 
apply as specified inSec. 1033.1.
    (d) In-use testing. Locomotives containing your components must be 
tested according to the provisions of this paragraph (d).
    (1) Except as specified in paragraph (d)(5) of this section, you 
must test at least one locomotive if 250 locomotives use your component 
under this section. You must test one additional locomotive for the next 
additional 500 locomotives that use your component under this section. 
After that, we may require you to test one additional locomotive for 
each additional 1000 locomotives that use your component under this 
section. These numbers apply across model years. For example, if your 
component is used in 125 remanufactures per year under this section, you 
must test one of the first 250 locomotives, one of the next 500 
locomotives, and up to one every eight years after that. Do not count 
locomotives that use your components but are not covered by this 
section.
    (2) Except for the first locomotive you test for a specific 
component under this section, locomotives tested under this paragraph 
(d) must be past the half-way point of the useful life in terms of MW-
hrs. For the first locomotive you test, select a locomotive that has 
operated between 25 and 50 percent of its useful life.
    (3) Unless we approve a different schedule, you must complete 
testing and report the results to us within 180 days of the earliest 
point at which you could complete the testing based on the hours of 
operation accumulated by the locomotives. For example, if 250 or more 
locomotives use your part under this section, and the first of these to 
reach 25 percent of its useful life does so on March 1st of a given 
year, you must complete testing of one of the first 250 locomotives and 
report to us by August 28th of that year.

[[Page 69]]

    (4) Unless we approve different test procedures, you must test the 
locomotive according to the procedures specified in subpart F of this 
part.
    (5) If any locomotives fail to meet all standards, we may require 
you to test one additional locomotive for each locomotive that fails. 
You may choose to accept that your part is causing an emission problem 
rather than continuing testing. You may also test additional locomotives 
at any time. We will consider failure rates, average emission levels and 
the existence of any defects among other factors in determining whether 
to pursue remedial action. We may order a recall pursuant to 40 CFR part 
1068 before you complete testing additional locomotives.
    (6) You may ask us to allow you to rely on testing performed by 
others instead of requiring you to perform testing. For example, if a 
railroad tests a locomotive with your component as part of its testing 
underSec. 1033.810, you may ask to submit those test data as 
fulfillment of your test obligations under this paragraph (d). If a 
given test locomotive uses different components certified under this 
section that were manufactured by different manufacturers (such as rings 
from one manufacturer and cylinder liners from another manufacturer), a 
single test of it may be counted towards both manufacturers' test 
obligations. In unusual circumstances, you may also ask us to grant you 
hardship relief from the testing requirements of this paragraph (d). In 
determining whether to grant you relief, we will consider all relevant 
factors including the extent of the financial hardship to your company 
and whether the test data are available from other sources, such as 
testing performed by a railroad.
    (e) Components certified under this section may be used when 
remanufacturing Category 2 engines under 40 CFR part 1042.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 74 
FR 8425, Feb. 24, 2009]



Sec.  1033.650  Incidental use exemption for Canadian and Mexican
locomotives.

    You may ask us to exempt from the requirements and prohibitions of 
this part locomotives that are operated primarily outside of the United 
States and that enter the United States temporarily from Canada or 
Mexico. We will approve this exemption only where we determine that the 
locomotive's operation within the United States will not be extensive 
and will be incidental to its primary operation. For example, we would 
generally exempt locomotives that will not operate more than 25 miles 
from the border and will operate in the United States less than 5 
percent of their operating time. For existing operations, you must 
request this exemption before January 1, 2011. In your request, identify 
the locomotives for which you are requesting an exemption, and describe 
their projected use in the United States. We may grant the exemption 
broadly or limit the exemption to specific locomotives and/or specific 
geographic areas. However, we will typically approve exemptions for 
specific rail facilities rather than specific locomotives. In unusual 
circumstances, such as cases in which new rail facilities are created, 
we may approve requests submitted after January 1, 2011.



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

[[Page 70]]

family may be exported without restriction. Note thatSec. 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 are considered to be part of the engine 
family and must be included in credit calculations underSec. 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).

[75 FR 22986, Apr. 30, 2010]



Sec.  1033.655  Special provisions for certain Tier 0/Tier 1 
locomotives.

    (a) The provisions of this section apply only for the following 
locomotives (and locomotives in the same engine families as these 
locomotives):
    (1) Locomotives listed in Table 1 of this section originally 
manufactured 1986-1994 by General Electric Company that have never been 
equipped with separate loop aftercooling. The section also applies for 
the equivalent passenger locomotives.

                       Table 1 toSec.  1033.655
------------------------------------------------------------------------
 
------------------------------------------------------------------------
8-40C.....................................  P32ACDM
8-40B.....................................  P42DC
8-32B.....................................  8-40BPH
8-40CW....................................  P40DC
8-40BW....................................  8-32BWH
8-40CM....................................  C39-8
8-41CW....................................  B39-8E
8-44CW                                      ............................
------------------------------------------------------------------------

    (2) SD70MAC and SD70IAC locomotives originally manufactured 1996-
2000 by EMD.
    (b) Any certifying remanufacturer may request relief for the 
locomotives covered by this section.
    (c) You may ask us to allow these locomotives to exceed otherwise 
applicable line-haul cycle NOX standard for high ambient 
temperatures and/or altitude because of limitations of the cooling 
system. However, the NOX emissions may exceed the otherwise 
applicable standard only to the extent necessary. Relief is limited to 
the following conditions:
    (1) For General Electric locomotives, you may ask for relief for 
ambient temperatures above 23 [deg]C and/or barometric pressure below 
97.5 kPa (28.8 in. Hg). NOX emissions may not exceed 9.5 g/
bhp-hr over the line-haul cycle for any temperatures up to 105 [deg]F 
and any altitude up to 7000 feet above sea level.
    (2) For EMD locomotives, you may ask for relief for ambient 
temperatures above 30 [deg]C and/or barometric pressure below 97.5 kPa 
(28.8 in. Hg). NOX emissions may not exceed 8.0 g/bhp-hr over 
the line-haul cycle for any temperatures up to 105 [deg]F and any 
altitude up to 7000 feet above sea level.
    (d) All other standards and requirements in this part apply as 
specified.
    (e) To request this relief, submit to the Designated Compliance 
Officer along with your application for certification an engineering 
analysis showing how your emission controls operate for the following 
conditions:
    (1) Temperatures 23-40 [deg]C at any altitude up to 7000 feet above 
sea level.
    (2) Altitudes 1000-7000 feet above sea level for any temperature 
from 15-40 [deg]C.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1033.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart to show 
compliance with the

[[Page 71]]

standards of this part. Participation in this program is voluntary.
    (b) Section 1033.740 restricts the use of emission credits to 
certain averaging sets.
    (c) The definitions of Subpart J of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Applicable emission standard means an emission standard that is 
specified in subpart B of this part. Note that for other subparts, 
``applicable emission standard'' is defined to also include FELs.
    (3) Averaging set means a set of locomotives in which emission 
credits may be exchanged only with other locomotives in the same 
averaging set.
    (4) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (5) Buyer means the entity that receives emission credits as a 
result of a trade.
    (6) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (7) Seller means the entity that provides emission credits during a 
trade.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (9) Transfer means to convey control of credits generated for an 
individual locomotive to the purchaser, owner, or operator of the 
locomotive at the time of manufacture or remanufacture; or to convey 
control of previously generated credits from the purchaser, owner, or 
operator of an individual locomotive to the manufacturer/remanufacturer 
at the time of manufacture/remanufacture.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from a locomotive exceed an FEL or standard (for example, 
during a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FEL that applies only to 
future production.
    (e) Engine families that use emission credits for one or more 
pollutants may not generate positive emission credits for another 
pollutant.
    (f) Emission credits may be used in the model year they are 
generated or in future model years. Emission credits may not be used for 
past model years.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification underSec. 1033.225. The 
new FEL may apply only to locomotives you have not already introduced 
into commerce. Each locomotive's emission control information label must 
include the applicable FELs. You must conduct production line testing to 
verify that the emission levels are achieved.
    (h) Credits may be generated by any certifying manufacturer/
remanufacturer and may be held by any of the following entities:
    (1) Locomotive or engine manufacturers.
    (2) Locomotive or engine remanufacturers.
    (3) Locomotive owners.
    (4) Locomotive operators.
    (5) Other entities after notification to EPA.
    (i) All locomotives that are certified to an FEL that is different 
from the emission standard that would otherwise apply to the locomotives 
are required to comply with that FEL for the remainder of their service 
lives, except as allowed bySec. 1033.750.
    (1) Manufacturers must notify the purchaser of any locomotive that 
is certified to an FEL that is different from the emission standard that 
would otherwise apply that the locomotive is required to comply with 
that FEL for the remainder of its service life.
    (2) Remanufacturers must notify the owner of any locomotive or 
locomotive engine that is certified to an FEL that is different from the 
emission standard that would otherwise apply that the locomotive (or the 
locomotive in which the engine is used) is required to comply with that 
FEL for the remainder of its service life.
    (j) The FEL to which the locomotive is certified must be included on 
the locomotive label required inSec. 1033.135.

[[Page 72]]

This label must include the notification specified in paragraph (i) of 
this section.



Sec.  1033.705  Calculating emission credits.

    The provisions of this section apply separately for calculating 
emission credits for NOX or PM.
    (a) Calculate positive emission credits for an engine family that 
has an FEL below the otherwise applicable emission standard. Calculate 
negative emission credits for an engine family that has an FEL above the 
otherwise applicable emission standard. Do not round until the end of 
year report.
    (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:

Emission credits = (Std-FEL) x (1.341) x (UL) x (Production) x 
(Fp) x (10-3 kW-Mg/MW-g).

Where:

Std = the applicable NOX or PM emission standard in g/bhp-hr 
          (except that Std = previous FEL in g/bhp-hr for locomotives 
          that were certified under this part to an FEL other than the 
          standard during the previous useful life).
FEL = the family emission limit for the engine family in g/bhp-hr.
UL = the sales-weighted average useful life in megawatt-hours (or the 
          subset of the engine family for which credits are being 
          calculated), as specified in the application for 
          certification.
Production = the number of locomotives participating in the averaging, 
          banking, and trading program within the given engine family 
          during the calendar year (or the number of locomotives in the 
          subset of the engine family for which credits are being 
          calculated). Quarterly production projections are used for 
          initial certification. Actual applicable production/sales 
          volumes are used for end-of-year compliance determination.
Fp = the proration factor as determined in paragraph (d) of 
          this section.

    (c) When useful life is expressed in terms of miles, calculate the 
useful life in terms of megawatt-hours (UL) by dividing the useful life 
in miles by 100,000, and multiplying by the sales-weighted average rated 
power of the engine family. For example, if your useful life is 800,000 
miles for a family with an average rated power of 3,500 hp, then your 
equivalent MW-hr useful life would be 28,000 MW-hrs. Credits are 
calculated using this UL value in the equations of paragraph (b) of this 
section.
    (d) The proration factor is an estimate of the fraction of a 
locomotive's service life that remains as a function of age. The 
proration factor is 1.00 for freshly manufactured locomotives.
    (1) The locomotive's age is the length of time in years from the 
date of original manufacture to the date at which the remanufacture (for 
which credits are being calculated) is completed, rounded to the next 
higher year.
    (2) The proration factors for line-haul locomotives ages 1 through 
20 are specified in Table 1 to this section. For line-haul locomotives 
more than 20 years old, use the proration factor for 20 year old 
locomotives. The proration factors for switch locomotives ages 1 through 
40 are specified in Table 2 to this section. For switch locomotives more 
than 40 years old, use the proration factor for 40 year old locomotives.
    (3) For repower engines, the proration factor is based on the age of 
the locomotive chassis, not the age of the engine, except for 
remanufactured locomotives that qualify as refurbished. The minimum 
proration factor for remanufactured locomotives that meet the definition 
of refurbished but not freshly manufactured is 0.60. (Note: The 
proration factor is 1.00 for all locomotives that meet the definition of 
freshly manufactured.)

 Table 1 toSec.  1033.705--Proration Factors for Line-Haul Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.96
2.......................................................            0.92
3.......................................................            0.88
4.......................................................            0.84
5.......................................................            0.81
6.......................................................            0.77
7.......................................................            0.73

[[Page 73]]

 
8.......................................................            0.69
9.......................................................            0.65
10......................................................            0.61
11......................................................            0.57
12......................................................            0.54
13......................................................            0.50
14......................................................            0.47
15......................................................            0.43
16......................................................            0.40
17......................................................            0.36
18......................................................            0.33
19......................................................            0.30
20......................................................            0.27
------------------------------------------------------------------------


  Table 2 toSec.  1033.705--Proration Factors for Switch Locomotives
------------------------------------------------------------------------
                                                             Proration
                 Locomotive age (years)                     factor (Fp)
------------------------------------------------------------------------
1.......................................................            0.98
2.......................................................            0.96
3.......................................................            0.94
4.......................................................            0.92
5.......................................................            0.90
6.......................................................            0.88
7.......................................................            0.86
8.......................................................            0.84
9.......................................................            0.82
10......................................................            0.80
11......................................................            0.78
12......................................................            0.76
13......................................................            0.74
14......................................................            0.72
15......................................................            0.70
16......................................................            0.68
17......................................................            0.66
18......................................................            0.64
19......................................................            0.62
20......................................................            0.60
21......................................................            0.58
22......................................................            0.56
23......................................................            0.54
24......................................................            0.52
25......................................................            0.50
26......................................................            0.48
27......................................................            0.46
28......................................................            0.44
29......................................................            0.42
30......................................................            0.40
31......................................................            0.38
32......................................................            0.36
33......................................................            0.34
34......................................................            0.32
35......................................................            0.30
36......................................................            0.28
37......................................................            0.26
38......................................................            0.24
39......................................................            0.22
40......................................................            0.20
------------------------------------------------------------------------

    (e) In your application for certification, base your showing of 
compliance on projected production volumes for locomotives that will be 
placed into service in the United States. As described inSec. 
1033.730, compliance with the requirements of this subpart is determined 
at the end of the model year based on actual production volumes for 
locomotives that will be placed into service in the United States. Do 
not include any of the following locomotives to calculate emission 
credits:
    (1) Locomotives permanently exempted under subpart G of this part or 
under 40 CFR part 1068.
    (2) Exported locomotives. You may ask to include locomotives sold to 
Mexican or Canadian railroads if they will likely operate within the 
United States and you include all such locomotives (both credit using 
and credit generating locomotives).
    (3) Locomotives not subject to the requirements of this part, such 
as those excluded underSec. 1033.5.
    (4) Any other locomotives, where we indicate elsewhere in this part 
1033 that they are not to be included in the calculations of this 
subpart.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec.  1033.710  Averaging emission credits.

    (a) Averaging is the exchange of emission credits among your engine 
families. You may average emission credits only as allowed bySec. 
1033.740.
    (b) You may certify one or more engine families to an FEL above the 
applicable emission standard, subject to the FEL caps and other 
provisions in subpart B of this part, if you show in your application 
for certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero.
    (c) If you certify an engine family to an FEL that exceeds the 
otherwise applicable emission standard, you must obtain enough emission 
credits to offset the engine family's deficit by the due date for the 
final report required inSec. 1033.730. The emission credits used to 
address the deficit may come from your other engine families that 
generate emission credits in the same model year, from emission credits 
you have banked, or from emission credits you obtain through trading or 
by transfer.

[[Page 74]]



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 bySec. 1033.740.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit underSec. 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.

[75 FR 22987, Apr. 30, 2010]



Sec.  1033.720  Trading emission credits.

    (a) Trading is the exchange of emission credits between certificate 
holders. You may use traded emission credits for averaging, banking, or 
further trading transactions. Traded emission credits may be used only 
as allowed bySec. 1033.740.
    (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.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. SeeSec. 1033.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer/remanufacturer having a negative 
balance of emission credits. SeeSec. 1033.745.



Sec.  1033.722  Transferring emission credits.

    (a) Credit transfer is the conveying of control over credits, 
either:
    (1) From a certifying manufacturer/remanufacturer to an owner/
operator.
    (2) From an owner/operator to a certifying manufacturer/
remanufacturer.
    (b) Transferred credits can be:
    (1) Used by a certifying manufacturer/remanufacturer in averaging.
    (2) Transferred again within the model year.
    (3) Reserved for later banking. Transferred credits may not be 
traded unless they have been previously banked.
    (c) Owners/operators participating in credit transfers must submit 
the reports specified inSec. 1033.730.



Sec.  1033.725  Requirements for your application for certification.

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs 
you select for the engine family for each pollutant for which you are 
using the ABT program. Your FELs must comply with the specifications of 
subpart B of this part, including the FEL caps. FELs must be expressed 
to the same number of decimal places as the applicable emission 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year.
    (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.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec.  1033.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end

[[Page 75]]

of the model year and a final report within 270 days after the end of 
the model year. We may waive the requirement to send the end-of year 
report, as long as you send the final report on time.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine family designation.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (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.
    (4) The projected and actual production volumes for the model year 
that will be placed into service in the United States as described in 
Sec.  1033.705. If you changed an FEL during the model year, identify 
the actual production volume associated with each FEL.
    (5) Rated power for each locomotive configuration, and the average 
locomotive power weighted by U.S.-directed production volumes for the 
engine family.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded or 
transferred, as described in paragraph (d)(1) or (e) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
engine families in each averaging set in the applicable model year is 
not negative.
    (2) State whether you will retain any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) If you transfer emission credits, you must send us a report 
within 90 days after the first transfer to an owner/operator, as 
follows:
    (1) Include the following information:
    (i) The corporate names of the owner/operator receiving the credits.
    (ii) A copy of any contracts related to the trade.
    (iii) The serial numbers and engine families for the locomotive that 
generated the transferred emission credits and the number of emission 
credits from each family.
    (2) The requirements of this paragraph (e) apply separately for each 
owner/operator.
    (3) We may require you to submit additional 90-day reports under 
this paragraph (e).
    (f) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (g) 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

[[Page 76]]

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 (g)(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.
    (h) We may modify these requirements for owners/operators required 
to submit reports because of their involvement in credit transferring.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec.  1033.735  Required records.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (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.
    (c) Keep a copy of the reports we require inSec. 1033.730.
    (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.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010]



Sec.  1033.740  Credit restrictions.

    Use of emission credits generated under this part 1033 or 40 CFR 
part 92 is restricted depending on the standards against which they were 
generated.
    (a) Credits from 40 CFR part 92. NOX and PM credits 
generated under 40 CFR part 92 may be used under this part in the same 
manner as NOX and PM credits generated under this part.
    (b) General cycle restriction. Locomotives subject to both switch 
cycle standards and line-haul cycle standards (such as Tier 2 
locomotives) may generate both switch and line-haul credits. Except as 
specified in paragraph (c) of this section, such credits may only be 
used to show compliance with standards for the same cycle for which they 
were generated. For example, a Tier 2 locomotive that is certified to a 
switch cycle NOX FEL below the applicable switch cycle 
standard and a line-haul cycle NOX FEL below the applicable 
line-haul cycle standard may generate switch cycle NOX 
credits for use in complying with switch cycle NOX standards 
and a line-haul cycle NOX credits for use in complying with 
line-haul cycle NOX standards.
    (c) Single cycle locomotives. As specified inSec. 1033.101, Tier 0 
switch locomotives, Tier 3 and later switch locomotives, and Tier 4 and 
later line-haul locomotives are not subject to both switch cycle and 
line-haul cycle standards.
    (1) When using credits generated by locomotives covered by paragraph 
(b) of this section for single cycle locomotives covered by this 
paragraph (c), you must use both switch and line-haul credits as 
described in this paragraph (c)(1).
    (i) For locomotives subject only to switch cycle standards, 
calculate the negative switch credits for the credit using locomotive as 
specified inSec. 1033.705. Such locomotives also generate an equal 
number of negative line-haul cycle credits (in Mg).
    (ii) For locomotives subject only to line-haul cycle standards, 
calculate the negative line-haul credits for the credit

[[Page 77]]

using locomotive as specified inSec. 1033.705. Such locomotives also 
generate an equal number of negative switch cycle credits (in Mg).
    (2) Credits generated by Tier 0, Tier 3, or Tier 4 switch 
locomotives may be used to show compliance with any switch cycle or 
line-haul cycle standards.
    (3) Credits generated by any line-haul locomotives may not be used 
by Tier 3 or later switch locomotives.
    (d) Tier 4 credit use. The number of Tier 4 locomotives that can be 
certified using credits in any year may not exceed 50 percent of the 
total number of Tier 4 locomotives you produce in that year for U.S. 
sales.
    (e) Other restrictions. Other sections of this part may specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec.  1033.745  Compliance with the provisions of this subpart.

    The provisions of this section apply to certificate holders.
    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditional upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FEL above an applicable 
emission standard based on a projection that you will have enough 
emission credits to offset the deficit for the engine family. However, 
we may void the certificate of conformity if you cannot show in your 
final report that you have enough actual emission credits to offset a 
deficit for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request.
    (d) You may ask for a hearing if we void your certificate under this 
section (seeSec. 1033.920).



Sec.  1033.750  Changing a locomotive's FEL at remanufacture.

    Locomotives are generally required to be certified to the previously 
applicable emission standard or FEL when remanufactured. This section 
describes provisions that allow a remanufactured locomotive to be 
certified to a different FEL (higher or lower).
    (a) A remanufacturer may choose to certify a remanufacturing system 
to change the FEL of a locomotive from a previously applicable FEL or 
standard. Any locomotives remanufactured using that system are required 
to comply with the revised FEL for the remainder of their service lives, 
unless it is changed again under this section during a later 
remanufacture. Remanufacturers changing an FEL must notify the owner of 
the locomotive that it is required to comply with that FEL for the 
remainder of its service life.
    (b) Calculate the credits needed or generated as specified inSec. 
1033.705, except as specified in this paragraph. If the locomotive was 
previously certified to an FEL for the pollutant, use the previously 
applicable FEL as the standard.



             Subpart I_Requirements for Owners and Operators



Sec.  1033.801  Applicability.

    The requirements of this subpart are applicable to railroads and all 
other owners and operators of locomotives subject to the provisions of 
this part, except as otherwise specified. The prohibitions related to 
maintenance inSec. 1033.815 also applies to anyone performing 
maintenance on a locomotive subject to the provisions of this part.



Sec.  1033.805  Remanufacturing requirements.

    (a) See the definition of ``remanufacture'' inSec. 1033.901 to 
determine if you are remanufacturing your locomotive or engine. (Note: 
Replacing power assemblies one at a time may qualify as remanufacturing, 
depending on the interval between replacement.)
    (b) See the definition of ``new'' inSec. 1033.901 to determine if 
remanufacturing your locomotive makes it subject to the requirements of 
this part. If

[[Page 78]]

the locomotive is considered to be new, it is subject to the 
certification requirements of this part, unless it is exempt under 
subpart G of this part. The standards to which your locomotive is 
subject will depend on factors such as the following:
    (1) Its date of original manufacture.
    (2) The FEL to which it was previously certified, which is listed on 
the ``Locomotive Emission Control Information'' label.
    (3) Its power rating (whether it is above or below 2300 hp).
    (4) The calendar year in which it is being remanufactured.
    (c) You may comply with the certification requirements of this part 
for your remanufactured locomotive by either obtaining your own 
certificate of conformity as specified in subpart C of this part or by 
having a certifying remanufacturer include your locomotive under its 
certificate of conformity. In either case, your remanufactured 
locomotive must be covered by a certificate before it is reintroduced 
into service.
    (d) If you do not obtain your own certificate of conformity from 
EPA, contact a certifying remanufacturer to have your locomotive 
included under its certificate of conformity. Confirm with the 
certificate holder that your locomotive's model, date of original 
manufacture, previous FEL, and power rating allow it to be covered by 
the certificate. You must do all of the following:
    (1) Comply with the certificate holder's emission-related 
installation instructions, which should include the following:
    (i) A description of how to assemble and adjust the locomotive so 
that it will operate according to design specifications in the 
certificate. See paragraph (e) of this section for requirements related 
to the parts you must use.
    (ii) Instructions to remove the Engine Emission Control Information 
label and replace it with the certificate holder's new label. Note: In 
most cases, you must not remove the Locomotive Emission Control 
Information label.
    (2) Provide to the certificate holder the information it identifies 
as necessary to comply with the requirements of this part. For example, 
the certificate holder may require you to provide the information 
specified bySec. 1033.735.
    (e) For parts unrelated to emissions and emission-related parts not 
addressed by the certificate holder in the emission-related installation 
instructions, you may use parts from any source. For emission-related 
parts listed by the certificate holder in the emission-related 
installation instructions, you must either use the specified parts or 
parts certified underSec. 1033.645 for remanufacturing. If you believe 
that the certificate holder has included as emission-related parts, 
parts that are actually unrelated to emissions, you may ask us to 
exclude such parts from the emission-related installation instructions. 
Note: This paragraph (e) does not apply with respect to parts for 
maintenance other than remanufacturing; seeSec. 1033.815 for 
provisions related to general maintenance.
    (f) Failure to comply with this section is a violation of 40 CFR 
1068.101(a)(1).



Sec.  1033.810  In-use testing program.

    (a) Applicability. This section applies to all Class I freight 
railroads. It does not apply to other owner/operators.
    (b) Testing requirements. Annually test a sample of locomotives in 
your fleet. For purposes of this section, your fleet includes both the 
locomotives that you own and the locomotives that you are leasing. Use 
the test procedures in subpart F of this part, unless we approve 
different procedures.
    (1) Except for the cases described in paragraph (b)(2) of this 
section, test at least 0.075 percent of the average number of 
locomotives in your fleet during the previous calendar year (i.e., 
determine the number to be tested by multiplying the number of 
locomotives in the fleet by 0.00075 and rounding up to the next whole 
number).
    (2) We may allow you to test a smaller number of locomotives if we 
determine that the number of tests otherwise required by this section is 
not necessary.
    (c) Test locomotive selection. Unless we specify a different option, 
select test locomotives as specified in paragraph (c)(1) of this section 
(Option 1). In no

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case may you exclude locomotives because of visible smoke, a history of 
durability problems, or other evidence of malmaintenance. You may test 
more locomotives than this section requires.
    (1) Option 1. To the extent possible, select locomotives from each 
manufacturer and remanufacturer, and from each tier level (e.g., Tier 0, 
Tier 1 and Tier 2) in proportion to their numbers in the your fleet. 
Exclude locomotives tested during the previous year. If possible, select 
locomotives that have been operated for at least 100 percent of their 
useful lives. Where there are multiple locomotives meeting the 
requirements of this paragraph (c)(1), randomly select the locomotives 
to be tested from among those locomotives. If the number of certified 
locomotives that have been operated for at least 100 percent of their 
useful lives is not large enough to fulfill the testing requirement, 
test locomotives still within their useful lives as follows:
    (i) Test locomotives in your fleet that are nearest to the end of 
their useful lives. You may identify such locomotives as a range of 
values representing the fraction of the useful life already used up for 
the locomotives.
    (ii) For example, you may determine that 20 percent of your fleet 
has been operated for at least 75 percent of their useful lives. In such 
a case, select locomotives for testing that have been operated for at 
least 75 percent of their useful lives.
    (2) Option 2. If you hold a certificate for some of your 
locomotives, you may ask us to allow you to select up to two locomotives 
as specified in subpart E of this part, and count those locomotives 
toward both your testing obligations of that subpart and this section.
    (3) Option 3. You may ask us to allow you to test locomotives that 
use parts covered underSec. 1033.645. If we do, it does not change the 
number of locomotives that you must test.
    (4) Option 4. We may require that you test specific locomotives, 
including locomotives that do not meet the criteria specified in any of 
the options in this section. If we do, we will specify which locomotives 
to test by January 1 of the calendar year for which testing is required.
    (d) Reporting requirements. Report all testing done in compliance 
with the provisions of this section to us within 45 calendar days after 
the end of each calendar year. At a minimum, include the following:
    (1) Your full corporate name and address.
    (2) For each locomotive tested, all the following:
    (i) Corporate name of the manufacturer and last remanufacturer(s) of 
the locomotive (including both certificate holder and installer, where 
different), and the corporate name of the manufacturer or last 
remanufacturer(s) of the engine if different than that of the 
manufacturer/remanufacturer(s) of the locomotive.
    (ii) Year (and month if known) of original manufacture of the 
locomotive and the engine, and the manufacturer's model designation of 
the locomotive and manufacturer's model designation of the engine, and 
the locomotive identification number.
    (iii) Year (and month if known) that the engine last underwent 
remanufacture, the engine remanufacturer's designation that reflects (or 
most closely reflects) the engine after the last remanufacture, and the 
engine family identification.
    (iv) The number of MW-hrs and miles (where available) the locomotive 
has been operated since its last remanufacture.
    (v) The emission test results for all measured pollutants.
    (e) You do not have to submit a report for any year in which you 
performed no emission testing under this section.
    (f) You may ask us to allow you to submit equivalent emission data 
collected for other purposes instead of some or all of the test data 
required by this section. If we allow it in advance, you may report 
emission data collected using other testing or sampling procedures 
instead of some or all of the data specified by this section.
    (g) Submit all reports to the Designated Compliance Officer.
    (h) Failure to comply fully with this section is a violation of 40 
CFR 1068.101(a)(2).

[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008]

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Sec.  1033.815  Maintenance, operation, and repair.

    All persons who own, operate, or maintain locomotives are subject to 
this section, except where we specify that a requirement applies to the 
owner.
    (a) Unless we allow otherwise, all owners of locomotives subject to 
the provisions of this part must ensure that all emission-related 
maintenance is performed on the locomotives, as specified in the 
maintenance instructions provided by the certifying manufacturer/
remanufacturer in compliance withSec. 1033.125 (or maintenance that is 
equivalent to the maintenance specified by the certifying manufacturer/
remanufacturer in terms of maintaining emissions performance).
    (b) Perform unscheduled maintenance in a timely manner. This 
includes malfunctions identified through the locomotive's emission 
control diagnostics system and malfunctions discovered in components of 
the diagnostics system itself. For most repairs, this paragraph (b) 
requires that the maintenance be performed no later than the 
locomotive's next periodic (92-day) inspection. See paragraph (e) of 
this section, for reductant replenishment requirements in a locomotive 
equipped with an SCR system.
    (c) Use good engineering judgment when performing maintenance of 
locomotives subject to the provisions of this part. You must perform all 
maintenance and repair such that you have a reasonable technical basis 
for believing the locomotive will continue (after the maintenance or 
repair) to meet the applicable emission standards and FELs to which it 
was certified.
    (d) The owner of the locomotive must keep records of all maintenance 
and repairs that could reasonably affect the emission performance of any 
locomotive subject to the provisions of this part. Keep these records 
for eight years.
    (e) For locomotives equipped with emission controls requiring the 
use of specific fuels, lubricants, or other fluids, proper maintenance 
includes complying with the manufacturer/remanufacturer's specifications 
for such fluids when operating the locomotives. This requirement applies 
without regard to whether misfueling permanently disables the emission 
controls. The following additional provisions apply for locomotives 
equipped with SCR systems requiring the use of urea or other reductants:
    (1) You must plan appropriately to ensure that reductant will be 
available to the locomotive during operation.
    (2) If the SCR diagnostic indicates (or you otherwise determine) 
that either reductant supply or reductant quality in the locomotive is 
inadequate, you must replace the reductant as soon as practical.
    (3) If you operate a locomotive without the appropriate urea or 
other reductant, you must report such operation to us within 30 days. 
Note that such operation violates the requirement of this paragraph (e); 
however, we may consider mitigating factors (such as how long the 
locomotive was operated without the appropriate urea or other reductant) 
in determining whether to assess penalties for such violations.
    (f) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(b).



Sec.  1033.820  In-use locomotives.

    (a) We may require you to supply in-use locomotives to us for 
testing. We will specify a reasonable time and place at which you must 
supply the locomotives and a reasonable period during which we will keep 
them for testing. We will make reasonable allowances for you to schedule 
the supply of locomotives to minimize disruption of your operations. The 
number of locomotives that you must supply is limited as follows:
    (1) We will not require a Class I railroad to supply more than five 
locomotives per railroad per calendar year.
    (2) We will not require a non-Class I railroad (or other entity 
subject to the provisions of this subpart) to supply more than two 
locomotives per railroad per calendar year. We will request locomotives 
under this paragraph (a)(2) only for purposes that cannot be 
accomplished using locomotives supplied under paragraph (a)(1) of this 
section.
    (b) You must make reasonable efforts to supply manufacturers/
remanufacturers with the test locomotives needed to

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fulfill the in-use testing requirements in subpart E of this part.
    (c) Failure to fully comply with this section is a violation of 40 
CFR 1068.101(a)(2).



Sec.  1033.825  Refueling requirements.

    (a) If your locomotive operates using a volatile fuel, your 
refueling equipment must be designed and used to minimize the escape of 
fuel vapors. This means you may not use refueling equipment in a way 
that renders any refueling emission controls inoperative or reduces 
their effectiveness.
    (b) If your locomotive operates using a gaseous fuel, the hoses used 
to refuel it may not be designed to be bled or vented to the atmosphere 
under normal operating conditions.
    (c) Failing to fully comply with the requirements of this section is 
a violation of 40 CFR 1068.101(b).



          Subpart J_Definitions and Other Reference Information



Sec.  1033.901  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Clean Air Act gives to them. The definitions follow:
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect emissions or locomotive performance 
during emission testing or normal in-use operation. This includes, but 
is not limited to, parameters related to injection timing and fueling 
rate. You may ask us to exclude a parameter if you show us that it will 
not be adjusted in a way that affects emissions during in-use operation.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
reduce emissions in the locomotive exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) is not aftertreatment.
    Alcohol fuel means a fuel consisting primarily (more than 50 percent 
by weight) of one or more alcohols: e.g., methyl alcohol, ethyl alcohol.
    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.
    Alternator/generator efficiency means the ratio of the electrical 
power output from the alternator/generator to the mechanical power input 
to the alternator/generator at the operating point. Note that the 
alternator/generator efficiency may be different at different operating 
points. For example, the Institute of Electrical and Electronic 
Engineers Standard 115 (``Test Procedures for Synchronous Machines'') is 
an appropriate test procedure for determining alternator/generator 
efficiency. Other methods may also be used consistent with good 
engineering judgment.
    Applicable emission standard or applicable standard means a standard 
to which a locomotive is subject; or, where a locomotive has been or is 
being certified to another standard or FEL, the FEL or other standard to 
which the locomotive has been or is being certified is the applicable 
standard. This definition does not apply to Subpart H of this part.
    Auxiliary emission control device means any element of design that 
senses temperature, locomotive speed, engine RPM, transmission gear, or 
any other parameter for the purpose of activating, modulating, delaying, 
or deactivating the operation of any part of the emission-control 
system.
    Auxiliary engine means a nonroad engine that provides hotel power or 
power during idle, but does not provide power to propel the locomotive.
    Averaging means the exchange of emission credits among engine 
families within a given manufacturer's, or remanufacturer's product 
line.
    Banking means the retention of emission credits by a credit holder 
for use in future calendar year averaging or trading as permitted by the 
regulations in this part.

[[Page 82]]

    Brake power means the sum of the alternator/generator input power 
and the mechanical accessory power, excluding any power required to 
circulate engine coolant, circulate engine lubricant, supply fuel to the 
engine, or operate aftertreatment devices.
    Calibration means the set of specifications, including tolerances, 
specific to a particular design, version, or application of a component, 
or components, or assembly capable of functionally describing its 
operation over its working range.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described inSec. 1033.235(d).
    Certification means the process of obtaining a certificate of 
conformity for an engine family that complies with the emission 
standards and requirements in this part, or relating to that process.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from a given test cycle.
    Class I freight railroad means a Class I railroad that primarily 
transports freight rather than passengers.
    Class I railroad means a railroad that has been classified as a 
Class I railroad by the Surface Transportation Board.
    Class II railroad means a railroad that has been classified as a 
Class II railroad by the Surface Transportation Board.
    Class III railroad means a railroad that has been classified as a 
Class III railroad by the Surface Transportation Board.
    Clean Air Act means the Clean Air Act, as amended, 42 U.S.C. 7401-
7671q.
    Configuration means a unique combination of locomotive hardware and 
calibration within an engine family. Locomotives within a single 
configuration differ only with respect to normal production variability 
(or factors unrelated to engine performance or emissions).
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the locomotive crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Days means calendar days, unless otherwise specified. For example, 
where we specify working days, we mean calendar days excluding weekends 
and U.S. national holidays.
    Design certify or certify by design means to certify a locomotive 
based on inherent design characteristics rather than your test data, 
such as allowed underSec. 1033.625. All other requirements of this 
part apply for such locomotives.
    Designated Compliance Officer means the Manager, Heavy Duty and 
Nonroad Engine Group (6403-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data locomotive.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, 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.
    Discrete-mode means relating to the discrete-mode type of steady-
state test described inSec. 1033.515.
    Emission control system means any device, system, or element of 
design that controls or reduces the regulated emissions from a 
locomotive.
    Emission credits represent the amount of emission reduction or 
exceedance, by a locomotive engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a calendar year waiting 
to be reported to EPA at the end of the calendar year. ``Actual 
credits'' refer to emission

[[Page 83]]

credits based on actual applicable production/sales volume as contained 
in the end-of-year reports submitted to EPA.
    Emission-data locomotive means a locomotive or engine that is tested 
for certification. This includes locomotives tested to establish 
deterioration factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine family has the meaning given inSec. 1033.230.
    Engine used in a locomotive means an engine incorporated into a 
locomotive or intended for incorporation into a locomotive (whether or 
not it is used for propelling the locomotive).
    Engineering analysis means a summary of scientific and/or 
engineering principles and facts that support a conclusion made by a 
manufacturer/remanufacturer, with respect to compliance with the 
provisions of this part.
    EPA Enforcement Officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator or his/her designee.
    Exempted means relating to a locomotive that is not required to meet 
otherwise applicable standards. Exempted locomotives must conform to 
regulatory conditions specified for an exemption in this part 1033 or in 
40 CFR part 1068. Exempted locomotives are deemed to be ``subject to'' 
the standards of this part, even though they are not required to comply 
with the otherwise applicable requirements. Locomotives exempted with 
respect to a certain tier of standards may be required to comply with an 
earlier tier of standards as a condition of the exemption; for example, 
locomotives exempted with respect to Tier 3 standards may be required to 
comply with Tier 2 standards.
    Excluded means relating to a locomotive that either has been 
determined not to be a locomotive (as defined in this section) or 
otherwise excluded under sectionSec. 1033.5. Excluded locomotives are 
not subject to the standards of this part.
    Exhaust emissions means substances (i.e., gases and particles) 
emitted to the atmosphere from any opening downstream from the exhaust 
port or exhaust valve of a locomotive engine.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the locomotive to be mixed with incoming air before 
or during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Freshly manufactured locomotive means a new locomotive that contains 
fewer than 25 percent previously used parts (weighted by the dollar 
value of the parts) as described inSec. 1033.640.
    Freshly manufactured engine means a new engine that has not been 
remanufactured. An engine becomes freshly manufactured when it is 
originally manufactured.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer/remanufacturer to serve in place of an otherwise applicable 
emission standard under the ABT program in subpart H of this part. The 
family emission limit must be expressed to the same number of decimal 
places as the emission standard it replaces. The family emission limit 
serves as the emission standard for the engine family with respect to 
all required testing.
    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.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Gaseous fuel means a fuel which is a gas at standard temperature and 
pressure. This includes both natural gas and liquefied petroleum gas.

[[Page 84]]

    Good engineering judgment means judgments made consistent with 
generally accepted scientific and engineering principles and all 
available relevant information. See 40 CFR 1068.5 for the administrative 
process we use to evaluate good engineering judgment.
    Green Engine Factor means a factor that is applied to emission 
measurements from a locomotive or locomotive engine that has had little 
or no service accumulation. The Green Engine Factor adjusts emission 
measurements to be equivalent to emission measurements from a locomotive 
or locomotive engine that has had approximately 300 hours of use.
    High-altitude means relating to an altitude greater than 4000 feet 
(1220 meters) and less than 7000 feet (2135 meters), or equivalent 
observed barometric test conditions (approximately 79 to 88 kPa).
    High-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, high-sulfur diesel fuel means a diesel fuel 
with a maximum sulfur concentration greater than 500 parts per million.
    (2) For testing, high-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Hotel power means the power provided by an engine on a locomotive to 
operate equipment on passenger cars of a train; e.g., heating and air 
conditioning, lights, etc.
    Hydrocarbon (HC) means the hydrocarbon group (THC, NMHC, or THCE) on 
which the emission standards are based for each fuel type as described 
inSec. 1033.101.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular locomotive from other similar locomotives.
    Idle speed means the speed, expressed as the number of revolutions 
of the crankshaft per unit of time (e.g., rpm), at which the engine is 
set to operate when not under load for purposes of propelling the 
locomotive. There are typically one or two idle speeds on a locomotive 
as follows:
    (1) Normal idle speed means the idle speed for the idle throttle-
notch position for locomotives that have one throttle-notch position, or 
the highest idle speed for locomotives that have two idle throttle-notch 
positions.
    (2) Low idle speed means the lowest idle speed for locomotives that 
have two idle throttle-notch positions.
    Inspect and qualify means to determine that a previously used 
component or system meets all applicable criteria listed for the 
component or system in a certificate of conformity for remanufacturing 
(such as to determine that the component or system is functionally 
equivalent to one that has not been used previously).
    Installer means an individual or entity that assembles 
remanufactured locomotives or locomotive engines.
    Line-haul locomotive means a locomotive that does not meet the 
definition of switch locomotive. Note that this includes both freight 
and passenger locomotives.
    Liquefied petroleum gas means the commercial product marketed as 
propane or liquefied petroleum gas.
    Locomotive means a self-propelled piece of on-track equipment 
designed for moving or propelling cars that are designed to carry 
freight, passengers or other equipment, but which itself is not designed 
or intended to carry freight, passengers (other than those operating the 
locomotive) or other equipment. The following other equipment are not 
locomotives (see 40 CFR parts 86, 89, and 1039 for this diesel-powered 
equipment):
    (1) Equipment designed for operation both on highways and rails is 
not a locomotive.
    (2) Specialized railroad equipment for maintenance, construction, 
post-accident recovery of equipment, and repairs; and other similar 
equipment, are not locomotives.
    (3) Vehicles propelled by engines with total rated power of less 
than 750 kW (1006 hp) are not locomotives, unless the owner (which may 
be a manufacturer) chooses to have the equipment certified to meet the 
requirements of this part (underSec. 1033.615). Where equipment is 
certified as a locomotive pursuant to this paragraph (3), it is subject 
to the requirements of this part for the remainder of its service life. 
For locomotives propelled by two or

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more engines, the total rated power is the sum of the rated power of 
each engine.
    Locomotive engine means an engine that propels a locomotive.
    Low-hour means relating to a locomotive with stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 300 hours of operation.
    Low mileage locomotive means a locomotive during the interval 
between the time that normal assembly operations and adjustments are 
completed and the time that either 10,000 miles of locomotive operation 
or 300 additional operating hours have been accumulated (including 
emission testing if performed). Note that we may deem locomotives with 
additional operation to be low mileage locomotives, consistent with good 
engineering judgment.
    Low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, low-sulfur diesel fuel means a diesel fuel 
market as low-sulfur diesel fuel having a maximum sulfur concentration 
of 500 parts per million.
    (2) For testing, low-sulfur diesel fuel has the meaning given in 40 
CFR part 1065.
    Malfunction means a condition in which the operation of a component 
in a locomotive or locomotive engine occurs in a manner other than that 
specified by the certifying manufacturer/remanufacturer (e.g., as 
specified in the application for certification); or the operation of the 
locomotive or locomotive engine in that condition.
    Manufacture means the physical and engineering process of designing, 
constructing, and assembling a locomotive or locomotive engine.
    Manufacturer has the meaning given in section 216(1) of the Clean 
Air Act with respect to freshly manufactured locomotives or engines. In 
general, this term includes any person who manufactures a locomotive or 
engine for sale in the United States or otherwise introduces a new 
locomotive or engine into commerce in the United States. This includes 
importers who import locomotives or engines for resale.
    Manufacturer/remanufacturer means the manufacturer of a freshly 
manufactured locomotive or engine or the remanufacturer of a 
remanufactured locomotive or engine, as applicable.
    Model year means a calendar year in which a locomotive is 
manufactured or remanufactured.
    New, when relating to a locomotive or locomotive engine, has the 
meaning given in paragraph (1) of this definition, except as specified 
in paragraph (2) of this definition:
    (1) A locomotive or engine is new if its equitable or legal title 
has never been transferred to an ultimate purchaser. Where the equitable 
or legal title to a locomotive or engine is not transferred prior to its 
being placed into service, the locomotive or engine ceases to be new 
when it is placed into service. A locomotive or engine also becomes new 
if it is remanufactured or refurbished (as defined in this section). A 
remanufactured locomotive or engine ceases to be new when placed back 
into service. With respect to imported locomotives or locomotive 
engines, the term ``new locomotive'' or ``new locomotive engine'' also 
means a locomotive or locomotive engine that is not covered by a 
certificate of conformity under this part or 40 CFR part 92 at the time 
of importation, and that was manufactured or remanufactured after the 
effective date of the emission standards in 40 CFR part 92 which would 
have been applicable to such locomotive or engine had it been 
manufactured or remanufactured for importation into the United States. 
Note that replacing an engine in one locomotive with an unremanufactured 
used engine from a different locomotive does not make a locomotive new.
    (2) The provisions of paragraph (1) of this definition do not apply 
for the following cases:
    (i) Locomotives and engines that were originally manufactured before 
January 1, 1973 are not considered to become new when remanufactured 
unless they have been upgraded (as defined in this section). The 
provisions of paragraph (1) of this definition apply for locomotives 
that have been upgraded.
    (ii) Locomotives that are owned and operated by a small railroad and 
that have never been certified (i.e., manufactured or remanufactured 
into a certified configuration) are not considered

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to become new when remanufactured. The provisions of paragraph (1) of 
this definition apply for locomotives that have previously been 
remanufactured into a certified configuration.
    (iii) Locomotives originally certified underSec. 1033.150(e) do 
not become new when remanufactured, except as specified inSec. 
1033.615.
    (iv) Locomotives that operate only on non-standard gauge rails do 
not become new when remanufactured if no certified remanufacturing 
system is available for them.
    Nonconforming means relating to a locomotive that is not covered by 
a certificate of conformity prior to importation or being offered for 
importation (or for which such coverage has not been adequately 
demonstrated to EPA); or a locomotive which was originally covered by a 
certificate of conformity, but which is not in a certified 
configuration, or otherwise does not comply with the conditions of that 
certificate of conformity. (Note: Domestic locomotives and locomotive 
engines not covered by a certificate of conformity prior to their 
introduction into U.S. commerce are considered to be noncomplying 
locomotives and locomotive engines.)
    Non-locomotive-specific engine means an engine that is sold for and 
used in non-locomotive applications much more than for locomotive 
applications.
    Nonmethane hydrocarbon has the meaning given in 40 CFR 1065.1001. 
This generally means the difference between the emitted mass of total 
hydrocarbons and the emitted mass of methane.
    Nonroad means relating to nonroad engines as defined in 40 CFR 
1068.30.
    Official emission result means the measured emission rate for an 
emission-data locomotive on a given duty cycle before the application of 
any deterioration factor, but after the application of regeneration 
adjustment factors, Green Engine Factors, and/or humidity correction 
factors.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke, as measured by the procedure 
specified inSec. 1033.525.
    Original manufacture means the event of freshly manufacturing a 
locomotive or locomotive engine. The date of original manufacture is the 
date of final assembly, except as provided inSec. 1033.640. Where a 
locomotive is manufactured underSec. 1033.620(b), the date of original 
manufacture is the date on which the final assembly of locomotive was 
originally scheduled.
    Original remanufacture means the first remanufacturing of a 
locomotive at which the locomotive is subject to the emission standards 
of this part.
    Owner/operator means the owner and/or operator of a locomotive.
    Owners manual means a written or electronic collection of 
instructions provided to ultimate purchasers to describe the basic 
operation of the locomotive.
    Oxides of nitrogen has the meaning given in 40 CFR part 1065.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    Passenger locomotive means a locomotive designed and constructed for 
the primary purpose of propelling passenger trains, and providing power 
to the passenger cars of the train for such functions as heating, 
lighting and air conditioning.
    Petroleum fuel means gasoline or diesel fuel or another liquid fuel 
primarily derived from crude oil.
    Placed into service means put into initial use for its intended 
purpose after becoming new.
    Power assembly means the components of an engine in which combustion 
of fuel occurs, and consists of the cylinder, piston and piston rings, 
valves and ports for admission of charge air and discharge of exhaust 
gases, fuel injection components and controls, cylinder head and 
associated components.
    Primary fuel means the type of fuel (e.g., diesel fuel) that is 
consumed in the greatest quantity (mass basis) when the locomotive is 
operated in use.
    Produce means to manufacture or remanufacture. Where a certificate 
holder does not actually assemble the locomotives or locomotive engines 
that it manufactures or remanufactures, produce means to allow other 
entities to assemble locomotives under the certificate holder's 
certificate.

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    Railroad means a commercial entity that operates locomotives to 
transport passengers or freight.
    Ramped-modal means relating to the ramped-modal type of testing in 
subpart F of this part.
    Rated power has the meaning given inSec. 1033.140.
    Refurbish has the meaning given inSec. 1033.640.
    Remanufacture means one of the following:
    (1)(i) To replace, or inspect and qualify, each and every power 
assembly of a locomotive or locomotive engine, whether during a single 
maintenance event or cumulatively within a five-year period.
    (ii) To upgrade a locomotive or locomotive engine.
    (iii) To convert a locomotive or locomotive engine to enable it to 
operate using a fuel other than it was originally manufactured to use.
    (iv) To install a remanufactured engine or a freshly manufactured 
engine into a previously used locomotive.
    (v) To repair a locomotive engine that does not contain power 
assemblies to a condition that is equivalent to or better than its 
original condition with respect to reliability and fuel consumption.
    (2) Remanufacture also means the act of remanufacturing.
    Remanufacture system or remanufacturing system means all components 
(or specifications for components) and instructions necessary to 
remanufacture a locomotive or locomotive engine in accordance with 
applicable requirements of this part or 40 CFR part 92.
    Remanufactured locomotive means either a locomotive powered by a 
remanufactured locomotive engine, a repowered locomotive, or a 
refurbished locomotive.
    Remanufactured locomotive engine means a locomotive engine that has 
been remanufactured.
    Remanufacturer has the meaning given to ``manufacturer'' in section 
216(1) of the Clean Air Act with respect to remanufactured locomotives. 
(See Sec.Sec. 1033.1 and 1033.601 for applicability of this term.) 
This term includes:
    (1) Any person that is engaged in the manufacture or assembly of 
remanufactured locomotives or locomotive engines, such as persons who:
    (i) Design or produce the emission-related parts used in 
remanufacturing.
    (ii) Install parts in an existing locomotive or locomotive engine to 
remanufacture it.
    (iii) Own or operate the locomotive or locomotive engine and provide 
specifications as to how an engine is to be remanufactured (i.e., 
specifying who will perform the work, when the work is to be performed, 
what parts are to be used, or how to calibrate the adjustable parameters 
of the engine).
    (2) Any person who imports remanufactured locomotives or 
remanufactured locomotive engines.
    Repower means replacement of the engine in a previously used 
locomotive with a freshly manufactured locomotive engine. SeeSec. 
1033.640.
    Repowered locomotive means a locomotive that has been repowered with 
a freshly manufactured engine.
    Revoke has the meaning given in 40 CFR 1068.30. In general this 
means to terminate the certificate or an exemption for an engine family.
    Round means to round numbers as specified in 40 CFR 1065.1001.
    Service life means the total life of a locomotive. Service life 
begins when the locomotive is originally manufactured and continues 
until the locomotive is permanently removed from service.
    Small manufacturer/remanufacturer means a manufacturer/
remanufacturer with 1,000 or fewer employees. For purposes of this part, 
the number of employees includes all employees of the manufacturer/
remanufacturer's parent company, if applicable.
    Small railroad means a railroad meeting the criterion of paragraph 
(1) of this definition, but not either of the criteria of paragraphs (2) 
and (3) of this definition.
    (1) To be considered a small railroad, a railroad must qualify as a 
small business under the Small Business Administration's regulations in 
13 CFR part 121.
    (2) Class I and Class II railroads (and their subsidiaries) are not 
small railroads.

[[Page 88]]

    (3) Intercity passenger and commuter railroads are excluded from 
this definition of small railroad. Note that this paragraph (3) does not 
exclude tourist railroads.
    Specified adjustable range means the range of allowable settings for 
an adjustable component specified by a certificate of conformity.
    Specified by a certificate of conformity or specified in a 
certificate of conformity means stated or otherwise specified in a 
certificate of conformity or an approved application for certification.
    Sulfur-sensitive technology means an emission-control technology 
that would experience a significant drop in emission control performance 
or emission-system durability when a locomotive is operated on low-
sulfur fuel with a sulfur concentration of 300 to 500 ppm as compared to 
when it is operated on ultra low-sulfur fuel (i.e., fuel with a sulfur 
concentration less than 15 ppm). Exhaust-gas recirculation is not a 
sulfur-sensitive technology.
    Suspend has the meaning given in 40 CFR 1068.30. In general this 
means to temporarily discontinue the certificate or an exemption for an 
engine family.
    Switch locomotive means a locomotive that is powered by an engine 
with a maximum rated power (or a combination of engines having a total 
rated power) of 2300 hp or less. Include auxiliary engines in your 
calculation of total power if the engines are permanently installed on 
the locomotive and can be operated while the main propulsion engine is 
operating. Do not count the power of auxiliary engines that operate only 
to reduce idling time of the propulsion engine.
    Test locomotive means a locomotive or engine in a test sample.
    Test sample means the collection of locomotives or engines selected 
from the population of an engine family for emission testing. This may 
include testing for certification, production-line testing, or in-use 
testing.
    Tier 0 or Tier 0+ means relating to the Tier 0 emission standards, 
as shown inSec. 1033.101.
    Tier 1 or Tier 1+ means relating to the Tier 1 emission standards, 
as shown inSec. 1033.101.
    Tier 2 or Tier 2+ means relating to the Tier 2 emission standards, 
as shown inSec. 1033.101.
    Tier 3 means relating to the Tier 3 emission standards, as shown in 
Sec.  1033.101.
    Tier 4 means relating to the Tier 4 emission standards, as shown in 
Sec.  1033.101.
    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 locomotives. The 
atomic hydrogen-to-carbon mass ratio of the equivalent hydrocarbon is 
1.85:1.
    Ultimate purchaser means the first person who in good faith 
purchases a new locomotive for purposes other than resale.
    Ultra low-sulfur diesel fuel means one of the following:
    (1) For in-use fuels, ultra low-sulfur diesel fuel means a diesel 
fuel marketed as ultra low-sulfur diesel fuel having a maximum sulfur 
concentration of 15 parts per million.
    (2) For testing, ultra low-sulfur diesel fuel has the meaning given 
in 40 CFR part 1065.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    Upgrade means one of the following types of remanufacturing.
    (1) Repowering a locomotive that was originally manufactured prior 
to January 1, 1973.
    (2) Refurbishing a locomotive that was originally manufactured prior 
to January 1, 1973 in a manner that is not freshly manufacturing.
    (3) Modifying a locomotive that was originally manufactured prior to 
January 1, 1973 (or a locomotive that was originally manufactured on or 
after

[[Page 89]]

January 1, 1973, and that is not subject to the emission standards of 
this part), such that it is intended to comply with the Tier 0 
standards. SeeSec. 1033.615.
    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. SeeSec. 1033.101(g).
    Void has the meaning given in 40 CFR 1068.30. In general this means 
to invalidate a certificate or an exemption both retroactively and 
prospectively.
    Volatile fuel means a volatile liquid fuel or any fuel that is a gas 
at atmospheric pressure. Gasoline, natural gas, and LPG are volatile 
fuels.
    Volatile liquid fuel means any liquid fuel other than diesel or 
biodiesel that is a liquid at atmospheric pressure and has a Reid Vapor 
Pressure higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59191, Oct. 8, 2008; 75 
FR 22987, Apr. 30, 2010]



Sec.  1033.905  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

ABT averaging, banking, and trading.
AECD auxiliary emission control device.
AESS automatic engine stop/start
AF adjustment factor (seeSec. 1033.530).
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
EPA Environmental Protection Agency.
FEL Family Emission Limit.
g/bhp-hr grams per brake horsepower-hour.
HC hydrocarbon.
hp horsepower.
LPG liquefied petroleum gas.
LSD low sulfur diesel.
MW megawatt.
N2O nitrous oxide.
NIST National Institute of Standards and Technology.
NMHC nonmethane hydrocarbons.
NOX oxides of nitrogen.
PM particulate matter.
rpm revolutions per minute.
SAE Society of Automotive Engineers.
SCR selective catalytic reduction.
SEA Selective Enforcement Audit.
THC total hydrocarbon.
THCE total hydrocarbon equivalent.
UL useful life.
ULSD ultra low sulfur diesel.
U.S. United States.
U.S.C. United States Code.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22987, Apr. 30, 2010]



Sec.  1033.915  Confidential information.

    (a) Clearly show what you consider confidential by marking, 
circling, bracketing, stamping, or some other method.
    (b) We will store your confidential information as described in 40 
CFR part 2. Also, we will disclose it only as specified in 40 CFR part 
2. This applies both to any information you send us and to any 
information we collect from inspections, audits, or other site visits.
    (c) If you send us a second copy without the confidential 
information, we will assume it contains nothing confidential whenever we 
need to release information from it.
    (d) If you send us information without claiming it is confidential, 
we may make it available to the public without further notice to you, as 
described in 40 CFR 2.204.



Sec.  1033.920  How to request a hearing.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



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

[[Page 90]]

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) InSec. 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) InSec. 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.

[75 FR 22987, Apr. 30, 2010]



PART 1036_CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY
ENGINES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1036.1 Does this part apply for my engines?
1036.2 Who is responsible for compliance?
1036.5 Which engines are excluded from this part's requirements?
1036.10 How is this part organized?
1036.15 Do any other regulation parts apply to me?
1036.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1036.100 Overview of exhaust emission standards.
1036.108 Greenhouse gas emission standards.
1036.115 Other requirements.
1036.130 Installation instructions for vehicle manufacturers.
1036.135 Labeling.
1036.140 Primary intended service class.
1036.150 Interim provisions.

[[Page 91]]

                  Subpart C_Certifying Engine Families

1036.205 What must I include in my application?
1036.210 Preliminary approval before certification.
1036.225 Amending my application for certification.
1036.230 Selecting engine families.
1036.235 Testing requirements for certification.
1036.241 Demonstrating compliance with greenhouse gas pollutant 
          standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-use Testing

1036.401 In-use testing.

                        Subpart F_Test Procedures

1036.501 How do I run a valid emission test?
1036.525 Hybrid engines.
1036.530 Calculating greenhouse gas emission rates.

                 Subpart G_Special Compliance Provisions

1036.601 What compliance provisions apply to these engines?
1036.610 Innovative technology credits and adjustments for reducing 
          greenhouse gas emissions.
1036.615 Engines with Rankine cycle waste heat recovery and hybrid 
          powertrains.
1036.620 Alternate CO2 standards based on model year 2011 
          compression-ignition engines.
1036.625 In-use compliance with family emission limits (FELs).

       Subpart H_Averaging, Banking, and Trading for Certification

1036.701 General provisions.
1036.705 Generating and calculating emission credits.
1036.710 Averaging.
1036.715 Banking.
1036.720 Trading.
1036.725 What must I include in my application for certification?
1036.730 ABT reports.
1036.735 Recordkeeping.
1036.740 Restrictions for using emission credits.
1036.745 End-of-year CO2 credit deficits.
1036.750 What can happen if I do not comply with the provisions of this 
          subpart?
1036.755 Information provided to the Department of Transportation.

          Subpart I_Definitions and Other Reference Information

1036.801 Definitions.
1036.805 Symbols, acronyms, and abbreviations.
1036.810 Incorporation by reference.
1036.815 Confidential information.
1036.820 Requesting a hearing.
1036.825 Reporting and recordkeeping requirements.

    Authority: 42 U.S.C. 7401-7671q.

    Source: 76 FR 57381, Sept. 15, 2011, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1036.1  Does this part apply for my engines?

    (a) Except as specified inSec. 1036.5, the provisions of this part 
apply to all new 2014 model year and later heavy-duty engines. This 
includes engines fueled by conventional and alternative fuels.
    (b) This part does not apply with respect to exhaust emission 
standards for HC, CO, NOX, or PM except that the provisions 
ofSec. 1036.601 apply.



Sec.  1036.2  Who is responsible for compliance?

    The regulations in this part 1036 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, especially for issues 
related to certification.



Sec.  1036.5  Which engines are excluded from this part's 
requirements?

    (a) The provisions of this part do not apply to engines used in 
medium-duty passenger vehicles that are subject to regulation under 40 
CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart 
S, andSec. 1036.108(a)(4). For example, this exclusion applies for 
engines used in vehicles certified to the standards of 40 CFR 1037.104.
    (b) Engines installed in heavy-duty vehicles that do not provide 
motive power are nonroad engines. The provisions of this part therefore 
do not apply to these engines. See 40 CFR

[[Page 92]]

parts 1039, 1048, or 1054 for other requirements that apply for these 
auxiliary engines. See 40 CFR part 1037 for requirements that may apply 
for vehicles using these engines, such as the evaporative emission 
requirements of 40 CFR 1037.103.
    (c) The provisions of this part do not apply to aircraft or aircraft 
engines. Standards apply separately to certain aircraft engines, as 
described in 40 CFR part 87.
    (d) The provisions of this part do not apply to engines that are not 
internal combustion engines. For example, the provisions of this part do 
not apply to fuel cells.
    (e) The provisions of this part do not apply to engines used in 
heavy-duty vehicles that are subject to light-duty greenhouse gas 
standards under 40 CFR part 86, subpart S, except as specified in 40 CFR 
part 86, subpart S, andSec. 1036.108(a)(4).

    Effective Date Note: At 78 FR 36389, June 17, 2013,Sec. 1036.5 was 
amended by revising paragraph (b), effective Aug. 16, 2013. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1036.5  Which engines are excluded from this part's 
requirements?

                                * * * * *

    (b) Engines installed in heavy-duty vehicles that do not provide 
motive power are nonroad engines. The provisions of this part therefore 
do not apply to these engines. See 40 CFR part 1039, 1048, or 1054 for 
other requirements that apply for these auxiliary engines. See 40 CFR 
part 1037 for requirements that may apply for vehicles using these 
engines.

                                * * * * *



Sec.  1036.10  How is this part organized?

    This part 1036 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of this part 
1036 and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note thatSec. 1036.150 describes certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) [Reserved]
    (e) Subpart E of this part describes provisions for testing in-use 
engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part describes requirements, prohibitions, and 
other provisions that apply to engine manufacturers, vehicle 
manufacturers, owners, operators, rebuilders, and all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec.  1036.15  Do any other regulation parts apply to me?

    (a) Part 86 of this chapter describes additional requirements that 
apply to engines that are subject to this part 1036. This part 
extensively references portions of 40 CFR part 86. For example, the 
regulations of part 86 specify emission standards and certification 
procedures related to criteria pollutants.
    (b) Part 1037 of this chapter describes requirements for controlling 
evaporative emissions and greenhouse gas emissions from heavy-duty 
vehicles, whether or not they use engines certified under this part. It 
also includes standards and requirements that apply instead of the 
standards and requirements of this part in some cases.
    (c) Part 1065 of this chapter describes procedures and equipment 
specifications for testing engines to measure exhaust emissions. Subpart 
F of this part 1036 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) Certain provisions of part 1068 of this chapter apply as 
specified inSec. 1036.601 to everyone, including anyone who 
manufactures, imports, installs, owns, operates, or rebuilds any of the 
engines subject to this part 1036, or vehicles containing these engines. 
Part 1068 of this chapter describes general

[[Page 93]]

provisions that apply broadly, but do not necessarily apply for all 
engines or all persons. The issues addressed by these provisions include 
these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, vehicle 
manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Recall.
    (7) Procedures for hearings.
    (e) Other parts of this chapter apply if referenced in this part.



Sec.  1036.30  Submission of information.

    Send all reports and requests for approval to the Designated 
Compliance Officer (seeSec. 1036.801). SeeSec. 1036.825 for 
additional reporting and recordkeeping provisions.



          Subpart B_Emission Standards and Related Requirements



Sec.  1036.100  Overview of exhaust emission standards.

    Engines used in vehicles certified to the applicable chassis 
standards for greenhouse gas pollutants described in 40 CFR 1037.104 are 
not subject to the standards specified in this part. All other engines 
subject to this part must meet the greenhouse gas standards inSec. 
1036.108 in addition to the criteria pollutant standards of 40 CFR part 
86.



Sec.  1036.108  Greenhouse gas emission standards.

    This section contains standards and other regulations applicable to 
the emission of the air pollutant defined as the aggregate group of six 
greenhouse gases: carbon dioxide, nitrous oxide, methane, 
hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. This 
section describes the applicable CO2, N2O, and 
CH4 standards for engines. Except as specified in paragraph 
(a)(4) of this section, these standards do not apply for engines used in 
vehicles subject to (or voluntarily certified to) the CO2, 
N2O, and CH4 standards for vehicles specified in 
40 CFR 1037.104.
    (a) Emission standards. Emission standards apply for engines 
measured using the test procedures specified in subpart F of this part 
as follows:
    (1) CO2 emission standards apply as specified in this 
paragraph (a)(1). The applicable test cycle for measuring CO2 
emissions differs depending on the engine family's primary intended 
service class and the extent to which the engines will be (or were 
designed to be) used in tractors. For medium and heavy heavy-duty 
engines certified as tractor engines, measure CO2 emissions 
using the steady-state duty cycle specified in 40 CFR 86.1362 (referred 
to as the SET cycle). This is intended for engines designed to be used 
primarily in tractors and other line-haul applications. Note that the 
use of some SET-certified tractor engines in vocational applications 
does not affect your certification obligation under this paragraph 
(a)(1); see other provisions of this part and 40 CFR part 1037 for 
limits on using engines certified to only one cycle. For medium and 
heavy heavy-duty engines certified as both tractor and vocational 
engines, measure CO2 emissions using the steady-state duty 
cycle and the transient duty cycle (sometimes referred to as the FTP 
engine cycle), both of which are specified in 40 CFR part 86, subpart N. 
This is intended for engines that are designed for use in both tractor 
and vocational applications. For all other engines (including all spark-
ignition engines), measure CO2 emissions using the transient 
duty cycle specified in 40 CFR part 86, subpart N.
    (i) The CO2 standard for model year 2016 and later spark-
ignition engines is 627 g/hp-hr.
    (ii) The following CO2 standards apply for compression-
ignition engines and all other engines (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                                 Medium                    Medium
                                                 Light heavy- heavy-duty-- Heavy heavy- heavy-duty-- Heavy heavy-
                  Model years                        duty      vocational     duty--       tractor      duty--
                                                                            vocational                 tractor
----------------------------------------------------------------------------------------------------------------
2014-2016......................................          600          600          567          502          475

[[Page 94]]

 
2017 and later.................................          576          576          555          487          460
----------------------------------------------------------------------------------------------------------------

    (2) The CH4 emission standard is 0.10 g/hp-hr when 
measured over the transient duty cycle specified in 40 CFR part 86, 
subpart N. This standard begins in model year 2014 for compression 
ignition engines and in model year 2016 for spark-ignition engines. Note 
that this standard applies for all fuel types just as the other 
standards of this section do.
    (3) The N2O emission standard for all model year 2014 and 
later engines is 0.10 g/hp-hr when measured over the transient duty 
cycle specified in 40 CFR part 86, subpart N. This standard begins in 
model year 2014 for compression ignition engines and in model year 2016 
for spark-ignition engines.
    (4) This paragraph (a)(4) describes alternate emission standards for 
engines certified under 40 CFR 1037.150(m). The standards of paragraphs 
(a)(1) through (3) of this section do not apply for these engines. The 
standards in this paragraph (a)(4) apply for emissions measured with the 
engine installed in a complete vehicle consistent with the provisions of 
40 CFR 1037.150(m)(6). The CO2 standard for the engines 
equals the test result specified in 40 CFR 1037.150(m)(6) multiplied by 
1.10 and rounded to the nearest 0.1 g/mile. The N2O and 
CH4 standards are both 0.05 g/mile (or any alternate 
standards that apply to the corresponding vehicle test group). The only 
requirements of this part that apply to these engines are those in this 
paragraph (a)(4) and those in Sec.Sec. 1036.115 through 1036.135.
    (b) Family certification levels. You must specify a CO2 
Family Certification Level (FCL) for each engine family. The FCL may not 
be less than the certified emission level for the engine family. The 
CO2 Family Emission Limit (FEL) for the engine family is 
equal to the FCL multiplied by 1.03.
    (c) 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 
CO2 emission standards. Credits (positive and negative) are 
calculated from the difference between the FCL and the applicable 
emission standard. As described inSec. 1036.705, you may use 
CO2 credits to certify your engine families to FELs for 
N2O and/or CH4, instead of the N2O/
CH4 standards of this section that otherwise apply. Except as 
specified in Sec.Sec. 1036.150 and 1036.705, you may not generate or 
use credits for N2O or CH4 emissions.
    (d) Useful life. Your engines must meet the exhaust emission 
standards of this section throughout their full useful life, expressed 
in service miles or calendar years, whichever comes first. The useful 
life values applicable to the criteria pollutant standards of 40 CFR 
part 86 apply for the standards of this section.
    (e) Applicability for testing. The emission standards in this 
subpart apply as specified in this paragraph (e) to all duty-cycle 
testing (according to the applicable test cycles) of testable 
configurations, including certification, selective enforcement audits, 
and in-use testing. The CO2 FCLs serve as the CO2 
emission standards for the engine family with respect to certification 
and confirmatory testing instead of the standards specified in paragraph 
(a)(1) of this section. The FELs serve as the emission standards for the 
engine family with respect to all other testing. See Sec.Sec. 1036.235 
and 1036.241 to determine which engine configurations within the engine 
family are subject to testing.
    (f) Multi-fuel engines. For dual-fuel, multi-fuel, and flexible-fuel 
engines, perform exhaust testing on each fuel type (for example, 
gasoline and E85).
    (1) This paragraph (f)(1) applies where you demonstrate the relative 
amount of each fuel type that your engines consume in actual use. Based 
on your demonstration, we will specify a

[[Page 95]]

weighting factor and allow you to submit the weighted average of your 
emission results. For example, if you certify an E85 flexible-fuel 
engine and we determine the engine will produce one-half of its work 
from E85 and one-half of its work from gasoline, you may average your 
E85 and gasoline emission results.
    (2) If you certify your engine family to N2O and/or 
CH4 FELs the FELs apply for testing on all fuel types for 
which your engine is designed, to the same extent as criteria emission 
standards apply.



Sec.  1036.115  Other requirements.

    (a) The warranty and maintenance requirements, adjustable parameter 
provisions, and defeat device prohibition of 40 CFR part 86 apply with 
respect to the standards of this part.
    (b) [Reserved]



Sec.  1036.130  Installation instructions for vehicle manufacturers.

    (a) If you sell an engine for someone else to install in a vehicle, 
give the engine installer instructions for installing it consistent with 
the requirements of this part. Include all information necessary to 
ensure that an engine will be installed in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a heavy-duty motor vehicle violates federal law, 
subject to fines or other penalties as described in the Clean Air Act.''
    (3) Provide all instructions needed to properly install the exhaust 
system and any other components.
    (4) Describe any necessary steps for installing any diagnostic 
system required under 40 CFR part 86.
    (5) Describe how your certification is limited for any type of 
application. For example, if you certify heavy heavy-duty engines to the 
CO2 standards using only steady-state testing, you must make 
clear that the engine may be installed only in tractors.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the vehicle, as 
described in 40 CFR 1068.105.''
    (c) You do not need installation instructions for engines that you 
install in your own vehicles.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available Web site for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.



Sec.  1036.135  Labeling.

    Label your engines as described in 40 CFR 86.007-35(a)(3), with the 
following additional information:
    (a) [Reserved]
    (b) Identify the emission control system. Use terms and 
abbreviations as described in 40 CFR 1068.45 or other applicable 
conventions.
    (c) Identify any limitations on your certification. For example, if 
you certify heavy heavy-duty engines to the CO2 standards 
using only transient cycle testing, include the statement ``VOCATIONAL 
VEHICLES ONLY''.
    (d) You may ask us to approve modified labeling requirements in this 
part 1036 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part. We may also specify modified labeling 
requirement to be consistent with the intent of 40 CFR part 1037.



Sec.  1036.140  Primary intended service class.

    You must identify a single primary intended service class for each 
compression-ignition engine family. Select the class that best describes 
vehicles for which you design and market the engine. The three primary 
intended

[[Page 96]]

service classes are light heavy-duty, medium heavy-duty, and heavy 
heavy-duty. Note that provisions that apply based on primary intended 
service class often treat spark-ignition engines as if they were a 
separate service class.
    (a) Light heavy-duty engines usually are not designed for rebuild 
and do not have cylinder liners. Vehicle body types in this group might 
include any heavy-duty vehicle built for a light-duty truck chassis, van 
trucks, multi-stop vans, motor homes and other recreational vehicles, 
and some straight trucks with a single rear axle. Typical applications 
would include personal transportation, light-load commercial delivery, 
passenger service, agriculture, and construction. The GVWR of these 
vehicles is normally below 19,500 pounds.
    (b) Medium heavy-duty engines may be designed for rebuild and may 
have cylinder liners. Vehicle body types in this group would typically 
include school buses, straight trucks with dual rear axles, city 
tractors, and a variety of special purpose vehicles such as small dump 
trucks, and refuse trucks. Typical applications would include commercial 
short haul and intra-city delivery and pickup. Engines in this group are 
normally used in vehicles whose GVWR ranges from 19,500 to 33,000 
pounds.
    (c) Heavy heavy-duty engines are designed for multiple rebuilds and 
have cylinder liners. Vehicles in this group are normally tractors, 
trucks, and buses used in inter-city, long-haul applications. These 
vehicles normally exceed 33,000 pounds GVWR.



Sec.  1036.150  Interim provisions.

    The provisions in this section apply instead of other provisions in 
this part.
    (a) Early banking of greenhouse gas emissions. You may generate 
CO2 emission credits for engines you certify in model year 
2013 (2015 for spark-ignition engines) to the standards ofSec. 
1036.108.
    (1) Except as specified in paragraph (a)(2) of this section, to 
generate early credits, you must certify your entire U.S.-directed 
production volume within that averaging set to these standards. This 
means that you may not generate early credits while you produce engines 
in the averaging set that are certified to the criteria pollutant 
standards but not to the greenhouse gas standards. Calculate emission 
credits as described in subpart H of this part relative to the standard 
that would apply for model year 2014 (2016 for spark-ignition engines).
    (2) You may generate early credits for an individual compression-
ignition engine family where you demonstrate that you have improved a 
model year 2013 engine model's CO2 emissions relative to its 
2012 baseline level and certify it to an FCL below the applicable 
standard. Calculate emission credits as described in subpart H of this 
part relative to the lesser of the standard that would apply for model 
year 2014 engines or the baseline engine's CO2 emission rate. 
Use the smaller U.S.-directed production volume of the 2013 engine 
family or the 2012 baseline engine family. We will not allow you to 
generate emission credits under this paragraph (a)(2) unless we 
determine that your 2013 engine is the same engine as the 2012 baseline 
or that it replaces it.
    (3) You may bank credits equal to the surplus credits you generate 
under this paragraph (a) multiplied by 1.50. For example, if you have 10 
Mg of surplus credits for model year 2013, you may bank 15 Mg of 
credits. Credit deficits for an averaging set prior to model year 2014 
(2016 for spark-ignition engines) do not carry over to model year 2014 
(2016 for spark-ignition engines). We recommend that you notify us of 
your intent to use this provision before submitting your applications.
    (b) Model year 2014 N2O standards. In model year 2014 and 
earlier, manufacturers may show compliance with the N2O 
standards using an engineering analysis. This allowance also applies for 
later families certified using carryover CO2 data from model 
2014 consistent withSec. 1036.235(d).
    (c) Engine cycle classification. Engines meeting the definition of 
spark-ignition, but regulated as diesel engines under 40 CFR part 86, 
must be certified to the requirements applicable to compression-ignition 
engines under this part. Such engines are deemed to be compression-
ignition engines for purposes of this part. Similarly, engines meeting 
the definition of compression-ignition, but regulated as Otto-cycle

[[Page 97]]

under 40 CFR part 86 must be certified to the requirements applicable to 
spark-ignition engines under this part. Such engines are deemed to be 
spark-ignition engines for purposes of this part.
    (d) Small manufacturers. Manufacturers meeting the small business 
criteria specified for ``Gasoline Engine and Engine Parts 
Manufacturing'' or ``Other Engine Equipment Manufacturers'' in 13 CFR 
121.201 are not subject to the greenhouse gas emission standards in 
Sec.  1036.108. Qualifying manufacturers must notify the Designated 
Compliance Officer before importing or introducing into U.S. commerce 
excluded engines. This notification must include a description of the 
manufacturer's qualification as a small business under 13 CFR 121.201. 
You must label your excluded vehicles with the statement: ``THIS ENGINE 
IS EXCLUDED UNDER 40 CFR 1037.150(c).''
    (e) Alternate phase-in standards. Where a manufacturer certifies all 
of its model year 2013 compression-ignition engines within a given 
primary intended service class to the applicable alternate standards of 
this paragraph (e), its compression-ignition engines within that primary 
intended service class are subject to the standards of this paragraph 
(e) for model years 2013 through 2016. This means that once a 
manufacturer chooses to certify a primary intended service class to the 
standards of this paragraph (e), it is not allowed to opt out of these 
standards. Engines certified to these standards are not eligible for 
early credits under paragraph (a) of this section.

----------------------------------------------------------------------------------------------------------------
               Tractors                      LHD Engines              MHD Engines              HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015................  NA.....................  512 g/hp-hr............  485 g/hp-hr.
Model Years 2016 and later \a\.......  NA.....................  487 g/hp-hr............  460 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
Vocational                                   LHD Engines              MHD Engines              HHD Engines
----------------------------------------------------------------------------------------------------------------
Model Years 2013-2015................  618 g/hp-hr............  618 g/hp-hr............  577 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
Model Years 2016 and later \a\.......  576 g/hp-hr............  576 g/hp-hr............  555 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
\a\ Note: These alternate standards for 2016 and later are the same as the otherwise applicable standards for
  2017 and later.

    (f) Separate OBD families. This paragraph (f) applies where you 
separately certify engines for the purpose of applying OBD requirements 
(for engines used in vehicles under 14,000 pounds GVWR) from non-OBD 
engines that could be certified as a single engine family. You may treat 
the two engine families as a single engine family in certain respects 
for the purpose of this part, as follows:
    (1) This paragraph applies only where the two families are identical 
in all respects except for the engine ratings offered and the inclusion 
of OBD.
    (2) For purposes of this part and 40 CFR part 86, the two families 
remain two separate families except for the following:
    (i) Specify the testable configurations of the non-OBD engine family 
as the testable configurations for the OBD family.
    (ii) Submit the same CO2, N2O, and 
CH4 emission data for both engine families.
    (g) Assigned deterioration factors. You may use assigned 
deterioration factors (DFs) without performing your own durability 
emission tests or engineering analysis as follows:
    (1) You may use an assigned additive DF of 0.0 g/hp-hr for 
CO2 emissions from engines that do not use advanced or 
innovative technologies. If we determine it to be consistent with good 
engineering judgment, we may allow you to use an assigned additive DF of 
0.0 g/hp-hr for CO2 emissions from your engines with advanced 
or innovative technologies.
    (2) You may use an assigned additive DF of 0.02 g/hp-hr for 
N2O emissions from any engine.
    (3) You may use an assigned additive DF of 0.02 g/hp-hr for 
CH4 emissions from any engine.
    (h) Advanced technology credits. If you generate credits from 
engines certified for advanced technology you may multiply these credits 
by 1.5, except that you may not apply this multiplier and the early-
credit multiplier of paragraph (a) of this section.
    (i) CO2 credits for low N2O emissions. If you 
certify your model year 2014, 2015, or 2016 engines to an N2O 
FEL less than 0.04 g/hp-hr (provided you measure N2O

[[Page 98]]

emissions from your emission-data engines), you may generate additional 
CO2 credits under this paragraph (i). Calculate the 
additional CO2 credits from the following equation instead of 
the equation inSec. 1036.705:

CO2 Credits (Mg) = (0.04 - FELN2O) [middot] (CF) 
[middot] (Volume) [middot] (UL) [middot] (10-6) [middot] 
(298)

    Effective Date Note: At 78 FR 36389, June 17, 2013,Sec. 1036.150 
was amended by revising paragraphs (d), (g)(2), and (g)(3), effective 
Aug. 16, 2013. For the convenience of the user, the revised text is set 
forth as follows:



Sec.  1036.150  Interim provisions.

                                * * * * *

    (d) Small manufacturers. Manufacturers meeting the small business 
criteria specified for ``Gasoline Engine and Engine Parts 
Manufacturing'' or ``Other Engine Equipment Manufacturers'' in 13 CFR 
121.201 are not subject to the greenhouse gas emission standards in 
Sec.  1036.108. Qualifying manufacturers must notify the Designated 
Compliance Officer before importing or introducing into U.S. commerce 
excluded engines. This notification must include a description of the 
manufacturer's qualification as a small business under 13 CFR 121.201. 
You must label your excluded engines with the statement: ``THIS ENGINE 
IS EXCLUDED UNDER 40 CFR 1036.150(d).''

                                * * * * *

    (g) * * *
    (2) You may use an assigned additive DF of 0.020 g/hp-hr for 
N2O emissions from any engine.
    (3) You may use an assigned additive DF of 0.020 g/hp-hr for 
CH4 emissions from any engine.

                                * * * * *



                  Subpart C_Certifying Engine Families



Sec.  1036.205  What must I include in my application?

    Submit an application for certification as described in 40 CFR 
86.007-21, with the following additional information:
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls with respect to 
compliance with the requirements of this part. Describe in detail all 
system components for controlling greenhouse gas 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 (a), 
treat as separate AECDs any devices that modulate or activate 
differently from each other.
    (b) Describe any test equipment and procedures that you used if you 
performed any tests that did not also involve measurement of criteria 
pollutants. Describe any special or alternate test procedures you used 
(see 40 CFR 1065.10(c)).
    (c) Include the emission-related installation instructions you will 
provide if someone else installs your engines in their vehicles (see 
Sec.  1036.130).
    (d) Describe the label information specified inSec. 1036.135. We 
may require you to include a copy of the label.
    (e) Identify the FCLs with which you are certifying engines in the 
engine family. The actual U.S.-directed production volume of 
configurations that have emission rates at or below the FCL must be at 
least one percent of your total actual (not projected) U.S.-directed 
production volume for the engine family. Identify configurations within 
the family that have emission rates at or below the FCL and meet the one 
percent requirement. For example, if your total U.S.-directed production 
volume for the engine family is 10,583, and the U.S.-directed production 
volume for the tested rating is 75 engines, then you can comply with 
this provision by setting your FCL so that one more rating with a U.S.-
directed production volume of at least 31 engines meets the FCL. Where 
applicable, also identify other testable configurations required under 
Sec.  1036.230(b)(2).
    (f) Identify the engine family's deterioration factors and describe 
how you developed them (seeSec. 1036.241). Present any test data you 
used for this.
    (g) Present emission data to show that you meet emission standards, 
as follows:
    (1) Present exhaust emission data for CO2, 
CH4, and N2O on an emission-data engine to show 
that your engines meet the applicable emission standards we

[[Page 99]]

specify inSec. 1036.108. Show emission figures before and after 
applying deterioration factors for each engine. In addition to the 
composite results, show individual measurements for cold-start testing 
and hot-start testing over the transient test cycle.
    (2) Note thatSec. 1036.235 allows you to submit an application in 
certain cases without new emission data.
    (h) State whether your certification is limited for certain engines. 
For example, if you certify heavy heavy-duty engines to the 
CO2 standards using only transient testing, the engines may 
be installed only in vocational vehicles.
    (i) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act. Note thatSec. 1036.235 specifies 
which engines to test to show that engines in the entire family comply 
with the requirements of this part.
    (j) Include the information required by other subparts of this part. 
For example, include the information required bySec. 1036.725 if you 
participate in the ABT program.
    (k) Include the warranty statement and maintenance instructions if 
we request them.
    (l) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (m) For imported engines or equipment, identify the following:
    (1) Describe your normal practice for importing engines. For 
example, this may include identifying the names and addresses of any 
agents you have authorized to import your engines. Engines imported by 
nonauthorized agents are not covered by your certificate.
    (2) The location of a test facility in the United States where you 
can test your engines if we select them for testing under a selective 
enforcement audit, as specified in 40 CFR part 1068, subpart E.

    Effective Date Note: At 78 FR 36389 , June 17, 2013,Sec. 1036.205 
was amended by revising paragraph (e), effective Aug. 16, 2013. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1036.205  What must I include in my application?

                                * * * * *

    (e) Identify the CO2 FCLs with which you are certifying 
engines in the engine family; also identify any FELs that apply for 
CH4 and N2O. The actual U.S.-directed production 
volume of configurations that have CO2 emission rates at or 
below the FCL and CH4 and N2O emission rates at or 
below the applicable standards or FELs must be at least one percent of 
your actual (not projected) U.S.-directed production volume for the 
engine family. Identify configurations within the family that have 
emission rates at or below the FCL and meet the one percent requirement. 
For example, if your U.S.-directed production volume for the engine 
family is 10,583 and the U.S.-directed production volume for the tested 
rating is 75 engines, then you can comply with this provision by setting 
your FCL so that one more rating with a U.S.-directed production volume 
of at least 31 engines meets the FCL. Where applicable, also identify 
other testable configurations required underSec. 1036.230(b)(2).

                                * * * * *



Sec.  1036.210  Preliminary approval before certification.

    If you send us information before you finish the application, we may 
review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission 
control devices, adjustable parameters, deterioration factors, testing 
for service accumulation, and maintenance. Decisions made under this 
section are considered to be preliminary approval, subject to final 
review and approval. We will generally not reverse a decision where we 
have given you preliminary approval, unless we find new information 
supporting a different decision. If you request preliminary approval 
related to the upcoming model year or the model year after that, we will 
make best-efforts to make the appropriate determinations as soon as 
practicable. We will generally not provide preliminary approval related 
to a future model year more than two years ahead of time.

[[Page 100]]



Sec.  1036.225  Amending 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, but before the end of the model year, 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.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
inSec. 1036.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL and FCL for an engine family as described in 
paragraph (f) of this section.
    (b) To amend your application for certification, send the relevant 
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (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.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (seeSec. 1036.820).
    (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, but before the end of the model year. If 
you change an FEL for CO2, your FCL for CO2 is 
automatically set to your new FEL divided by 1.03. 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

[[Page 101]]

standards as specified in subparts B and H of this part. Use the 
appropriate FELs/FCLs with corresponding production volumes to calculate 
emission credits for the model year, as described in 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 (or below the proposed FCL for CO2). 
The lower FEL/FCL applies only to engines you produce after we approve 
the new FEL/FCL. Use the appropriate FELs/FCLs with corresponding 
production volumes to calculate emission credits for the model year, as 
described in subpart H of this part.

    Effective Date Note: At 78 FR 36389, June 17, 2013,Sec. 1036.225 
was amended by revising paragraph (f) introductory text, effective Aug. 
16, 2013. For the convenience of the user, the revised text is set forth 
as follows:



Sec.  1036.225  Amending my application for certification.

                                * * * * *

    (f) You may ask us to approve a change to your FEL in certain cases 
after the start of production, but before the end of the model year. If 
you change an FEL for CO2, your FCL for CO2 is 
automatically set to your new FEL divided by 1.03. The changed FEL may 
not apply to engines you have already introduced into U.S. commerce, 
except as described in this paragraph (f). You may ask us to approve a 
change to your FEL in the following cases:

                                * * * * *



Sec.  1036.230  Selecting engine families.

    See 40 CFR 86.001-24 for instructions on how to divide your product 
line into families of engines that are expected to have similar emission 
characteristics throughout the useful life. You must certify your 
engines to the standards ofSec. 1036.108 using the same engine 
families you use for criteria pollutants under 40 CFR part 86. The 
following provisions also apply:
    (a) Engines certified as hybrid engines or power packs may not be 
included in an engine family with engines with conventional powertrains. 
Note that this does not prevent you from including engines in a 
conventional family if they are used in hybrid vehicles, as long as you 
certify them conventionally.
    (b) If you certify engines in the family for use as both vocational 
and tractor engines, you must split your family into two separate 
subfamilies. Indicate in the application for certification that the 
engine family is to be split.
    (1) Calculate emission credits relative to the vocational engine 
standard for the number of engines sold into vocational applications and 
relative to the tractor engine standard for the number of engines sold 
into non-vocational tractor applications. You may assign the numbers and 
configurations of engines within the respective subfamilies at any time 
before submitting the end-of-year report required bySec. 1036.730. If 
the family participates in averaging, banking, or trading, you must 
identify the type of vehicle in which each engine is installed; we may 
alternatively allow you to use statistical methods to determine this for 
a fraction of your engines. Keep records to document this determination.
    (2) If you restrict use of the test configuration for your split 
family to only tractors, or only vocational vehicles, you must identify 
a second testable configuration for the other type of vehicle (or an 
unrestricted configuration). Identify this configuration in your 
application for certification. The FCL for the engine family applies for 
this configuration as well as the primary test configuration.
    (c) If you certify in separate engine families engines that could 
have been certified in vocational and tractor engine subfamilies in the 
same engine family, count the two families as one family for purposes of 
determining your obligations with respect to the OBD requirements and 
in-use testing requirements of 40 CFR part 86. Indicate in the 
applications for certification that the two engine families are covered 
by this paragraph (c).
    (d) Engine configurations within an engine family must use 
equivalent greenhouse gas emission controls. Unless we approve it, you 
may not produce nontested configurations without the same emission 
control hardware included on the tested configuration. We will only 
approve it if you

[[Page 102]]

demonstrate that the exclusion of the hardware does not increase 
greenhouse gas emissions.



Sec.  1036.235  Testing requirements for certification.

    This section describes the emission testing you must perform to show 
compliance with the greenhouse gas emission standards inSec. 1036.108.
    (a) Select a single emission-data engine from each engine family as 
specified in 40 CFR part 86. The standards of this part apply only with 
respect to emissions measured from this tested configuration and other 
configurations identified inSec. 1036.205(e). Note that configurations 
identified inSec. 1036.205(e) are considered to be ``tested 
configurations'' whether or not you actually tested them for 
certification. However, you must apply the same (or equivalent) emission 
controls to all other engine configurations in the engine family.
    (b) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part. In the case of dual-fuel 
and flexible-fuel engines, measure emissions when operating with each 
type of fuel for which you intend to certify the engine. Measure 
CO2, CH4, and N2O emissions using the 
specified duty cycle(s), including cold-start and hot-start testing as 
specified in 40 CFR part 86, subpart N. If you are certifying the engine 
for use in tractors, you must measure CO2 emissions using the 
SET cycle and measure CH4, and N2O emissions using 
the transient cycle. If you are certifying the engine for use in 
vocational applications, you must measure CO2, 
CH4, and N2O emissions using the specified 
transient duty cycle, including cold-start and hot-start testing as 
specified in 40 CFR part 86, subpart N. Engines certified for use in 
tractors may also be used in vocational vehicles; however, you may not 
knowingly circumvent the intent of this part (to reduce in-use emissions 
of CO2) by certifying engines designed for vocational 
vehicles (and rarely used in tractors) to the SET and not the transient 
cycle. For example, we would generally not allow you to certify all your 
engines to the SET without certifying any to the transient cycle. You 
may certify your engine family for both tractor and vocational use by 
submitting CO2 emission data from both SET and transient 
cycle testing and specifying FCLs for both.
    (c) We may measure emissions from any of your emission-data engines.
    (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 your engine, 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.
    (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 inSec. 1036.801) 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:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.

[[Page 103]]

    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (e) We may require you to test a second engine of the same 
configuration in addition to the engine tested under paragraph (a) of 
this section.
    (f) 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 specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.



Sec.  1036.241  Demonstrating compliance with greenhouse gas pollutant
standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards inSec. 1036.108 if all 
emission-data engines representing the tested configuration of that 
engine family have test results showing official emission results and 
deteriorated emission levels at or below the standards. Note that your 
FCLs are considered to be the applicable emission standards with which 
you must comply for certification.
    (b) Your engine family is deemed not to comply if any emission-data 
engine representing the tested configuration of that engine family has 
test results showing an official emission result or a deteriorated 
emission level for any pollutant that is above an applicable emission 
standard (generally the FCL). Note that you may increase your FCL if any 
certification test results exceed your initial FCL.
    (c) Apply deterioration factors to the measured emission levels for 
each pollutant to show compliance with the applicable emission 
standards. Your deterioration factors must take into account any 
available data from in-use testing with similar engines. Apply 
deterioration factors as follows:
    (1) Additive deterioration factor for greenhouse gas 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.
    (2) Multiplicative deterioration factor for greenhouse gas 
emissions. Use a multiplicative deterioration factor for a pollutant if 
good engineering judgment calls for the deterioration factor for that 
pollutant to be the ratio of exhaust emissions at the end of the useful 
life to exhaust emissions at the low-hour test point. Adjust the 
official emission results for each tested engine at the selected test 
point by multiplying the measured emissions by the deterioration factor. 
If the factor is less than one, use one. A multiplicative deterioration 
factor may not be appropriate in cases where testing variability is 
significantly greater than engine-to-engine variability. Multiplicative 
deterioration factors must be specified to one more significant figure 
than the applicable standard.
    (3) Sawtooth deterioration patterns. The deterioration factors 
described in paragraphs (c)(1) and (2) of this section assume that the 
highest useful life emissions occur either at the end of useful life or 
at the low-hour test point. The provisions of this paragraph (c)(3) 
apply where good engineering judgment indicates that the highest useful 
life emissions will occur between these two points. For example, 
emissions may increase with service accumulation until a certain 
maintenance step is performed, then return to the low-hour emission 
levels and begin increasing again. Such a pattern may occur with 
battery-based electric hybrid engines. Base deterioration factors for 
engines with such emission patterns on the difference between (or ratio 
of) the point at which the highest emissions occur and the low-hour test 
point. Note that this applies for maintenance-related deterioration only 
where we allow such critical emission-related maintenance.
    (d) Collect emission data using measurements to one more decimal 
place

[[Page 104]]

than the applicable standard. Apply the deterioration factor to the 
official emission result, as described in paragraph (c) of this section, 
then round the adjusted figure 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.
    (e) If you identify more than one configuration inSec. 
1036.205(e), we may test (or require you to test) any of the identified 
configurations. We may also require you to provide an engineering 
analysis that demonstrates that untested configurations listed inSec. 
1036.205(e) comply with their FCL.



Sec.  1036.250  Reporting and recordkeeping for certification.

    (a) Within 90 days after the end of the model year, send the 
Designated Compliance Officer a report including the total U.S.-directed 
production volume of engines you produced in each engine family during 
the model year (based on information available at the time of the 
report). Report the production by serial number and engine 
configuration. Small manufacturers may omit this requirement. You may 
combine this report with reports required under subpart H of this part.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify inSec. 1036.205 that you 
were not required to include in your application.
    (c) Keep routine data from emission tests required by this part 
(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.
    (d) 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.



Sec.  1036.255  What decisions may EPA make regarding my certificate
of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (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.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent). This includes doing anything 
after submission of your application to render any of the submitted 
information false or incomplete.
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance. However, you may ask us to 
reconsider our decision by showing that your failure under this 
paragraph (c)(4) did not involve engines related to the certificate or 
application in question to a degree that would justify our decision.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part, with respect to your engine family.
    (d) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or

[[Page 105]]

give us information as required under this part or the Act. Note that 
these are also violations of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information. This includes rendering 
submitted information false or incomplete after submission.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (seeSec. 1036.820).

Subpart D [Reserved]



                        Subpart E_In-use Testing



Sec.  1036.401  In-use testing.

    We may perform in-use testing of any engine family subject to the 
standards of this part, consistent with the provisions ofSec. 
1036.235. Note that this provisions does not affect your obligation to 
test your in-use engines as described in 40 CFR part 86, subpart T.



                        Subpart F_Test Procedures



Sec.  1036.501  How do I run a valid emission test?

    (a) Use the equipment and procedures specified in 40 CFR 86.1305 to 
determine whether engines meet the emission standards inSec. 1036.108.
    (b) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (c) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.
    (d) For engines that use aftertreatment technology with infrequent 
regeneration events, invalidate any test interval in which such a 
regeneration event occurs with respect to CO2, 
N2O, and CH4 measurements.
    (e) Test hybrid engines as described in 40 CFR part 1065 andSec. 
1036.525.
    (f) [Reserved]
    (g) If your engine requires special components for proper testing, 
you must provide any such components to us if we ask for them.



Sec.  1036.525  Hybrid engines.

    (a) If your engine system includes features that recover and store 
energy during engine motoring operation test the engine as described in 
paragraph (d) of this section. SeeSec. 1036.615(a)(2) for engine 
systems intended to include features that recover and store energy from 
braking unrelated to engine motoring operation. For purposes of this 
section, features that recover energy between the engine and 
transmission are considered ``related to engine motoring''.
    (b) If you produce a hybrid engine designed with power take-off 
capability and sell the engine coupled with a transmission, you may 
calculate a reduction in CO2 emissions resulting from the 
power take-off operation as described in 40 CFR 1037.525. Use good 
engineering judgment to use the vehicle-based procedures to quantify the 
CO2 reduction for your engines.
    (c) The hardware that must be included in these tests is the engine, 
the hybrid electric motor, the rechargeable energy storage system (RESS) 
and the power electronics between the hybrid electric motor and the 
RESS. You may ask us to modify the provisions of this section to allow 
testing non-electric hybrid vehicles, consistent with good engineering 
judgment.
    (d) Measure emissions using the same procedures that apply for 
testing non-hybrid engines under this part, except as specified 
otherwise in this part and/or 40 CFR part 1065. If you test hybrid 
engines using the SET, deactivate the hybrid features unless we have 
specified otherwise. The five differences that apply under this section 
are related to engine mapping, engine shutdown during the test cycle, 
calculating work, limits on braking energy, and state of charge 
constraints.
    (1) Map the engine as specified in 40 CFR 1065.510. This requires 
separate torque maps for the engine with and without the hybrid features 
active. For transient testing, denormalize the test cycle using the map 
generated with the hybrid feature active. For steady-state testing, 
denormalize the test cycle using the map generated with the hybrid 
feature inactive.
    (2) If the engine will be configured in actual use to shut down 
automatically

[[Page 106]]

during idle operation, you may let the engine shut down during the idle 
portions of the test cycle.
    (3) Follow 40 CFR 1065.650(d) to calculate the work done over the 
cycle except as specified in this paragraph (d)(3). For the positive 
work over the cycle set negative power from hybrid to zero. For the 
negative work over the cycle set the positive power to zero and set the 
non-hybrid power to zero.
    (4)(i) Calculate brake energy fraction, xb, as the 
integrated negative work over the cycle divided by the integrated 
positive work over the cycle according to Equation 1036.525-1. Calculate 
the brake energy limit for the engine, xbl, according to 
Equation 1036.525-2. If xb is less than xbl, use 
the integrated positive work for your emission calculations. If the 
xb is greater than xbl use Equation 1036.525-3 to 
calculate the positive work done over the cycle. Use Wcycle 
as the integrated positive work when calculating brake-specific 
emissions. To avoid the need to delete extra brake work from positive 
work you may set an instantaneous brake target that will prevent 
xb from being larger than xbl.
[GRAPHIC] [TIFF OMITTED] TR15SE11.007

    (ii) The following definitions of terms apply for this paragraph 
(d)(4):
    xb = the brake energy fraction.
    Wneg = the negative work over the cycle.
    Wpos = the positive work over the cycle.
    xbl = the brake energy fraction limit.
    Pmax = the maximum power of the engine with the hybrid 
system engaged (kW).
    Wcycle = the work over the cycle when xb is 
greater than xbl.
    (iii) Note that these calculations are specified with SI units (such 
as kW), consistent with 40 CFR part 1065. Emission results are converted 
to g/hp-hr at the end of the calculations.
    (5) Correct for the net energy change of the energy storage device 
as described in 40 CFR 1066.501.

    Effective Date Note: At 78 FR 36389, June 17, 2013,Sec. 1036.525 
was amended by revising paragraph (a), effective Aug. 16, 2013. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1036.525  Hybrid engines.

    (a) If your engine system includes features that recover and store 
energy during engine motoring operation test the engine as described in 
paragraph (d) of this section. For

[[Page 107]]

purposes of this section, features that recover energy between the 
engine and transmission are considered related to engine motoring.

                                * * * * *



Sec.  1036.530  Calculating greenhouse gas emission rates.

    This section describes how to calculate official emission results 
for CO2, CH4, and N2O.
    (a) Calculate brake-specific emission rates for each applicable duty 
cycle as specified in 40 CFR 1065.650. Do not apply infrequent 
regeneration adjustment factors to your results.
    (b) Adjust CO2 emission rates calculated under paragraph 
(a) of this section for measured test fuel properties as specified in 
this paragraph (b) to obtain the official emission results. You are not 
required to apply this adjustment for fuels containing at least 75 
percent pure alcohol, such as E85. The purpose of this adjustment is to 
make official emission results independent of differences in test fuels 
within a fuel type. Use good engineering judgment to develop and apply 
testing protocols to minimize the impact of variations in test fuels.
    (1) For liquid fuels, determine the net energy content (Btu per 
pound of fuel) according to ASTM D4809 or ASTM D240 (both incorporated 
by reference inSec. 1036.810) and carbon weight fraction 
(dimensionless) of your test fuel according to ASTM D5291 (incorporated 
by reference inSec. 1036.810). (Note that we recommend using ASTM 
D4809.) For gaseous fuels, use good engineering judgment to determine 
the fuel's net energy content and carbon weight fraction. (Note: Net 
energy content is also sometimes known as lower heating value.) 
Calculate the test fuel's carbon-specific net energy content (Btu/lbC) 
by dividing the net energy content by the carbon fraction, expressed to 
at least five significant figures. You may perform these calculations 
using SI units with the following conversion factors: one Btu equals 
1055.06 Joules and one Btu/lb equals 0.0023260 MJ/kg.
    (2) If you control test fuel properties so that variations in the 
actual carbon-specific energy content are the same as or smaller than 
the repeatability of measuring carbon-specific energy content, you may 
use a constant value equal to the average carbon-specific energy content 
of your test fuel. Otherwise, use the measured value for the specific 
test fuel used for a given test. If you use a constant value, you must 
update or verify the value at least once per year, or after changes in 
test fuel suppliers or specifications.
    (3) Calculate the adjustment factor for carbon-specific net energy 
content by dividing the carbon-specific net energy content of your test 
fuel by the reference level in the following table, expressed to at 
least five decimal places. Note that as used in this section, the unit 
lbC means pound of carbon and kgC means kilogram of carbon.

------------------------------------------------------------------------
                                             Reference       Reference
                                              carbon-         carbon-
                Fuel type                  specific net    specific net
                                          energy content  energy content
                                             (Btu/lbC)       (MJ/kgC)
------------------------------------------------------------------------
Diesel fuel.............................          21,200         49.3112
Gasoline................................          21,700         50.4742
Natural Gas.............................          28,500         66.2910
LPG.....................................          24,300         56.5218
------------------------------------------------------------------------

    (4) Your official emission result equals your calculated brake-
specific emission rate multiplied by the adjustment factor specified in 
paragraph (b)(2) of this section. For example, if the net energy content 
and carbon fraction of your diesel test fuel are 18,400 Btu/lb and 
0.870, the carbon-specific net energy content of the test fuel would be 
21,149 Btu/lbC. The adjustment factor in the example above would be 
0.99759 (21,149/21,200). If your brake-specific CO2 emission 
rate was 630.0 g/hp-hr, your official emission result would be 628.5 g/
hp-hr.



                 Subpart G_Special Compliance Provisions



Sec.  1036.601  What compliance provisions apply to these engines?

    (a) Engine and equipment manufacturers, as well as owners, 
operators, and rebuilders of engines subject to the requirements of this 
part, and all other persons, must observe the provisions of this part, 
the provisions of the Clean Air Act, and the following provisions of 40 
CFR part 1068:
    (1) The exemption and importation provisions of 40 CFR part 1068, 
subparts

[[Page 108]]

C and D, apply for engines subject to this part 1036, except that the 
hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 1068.255 
do not apply for motor vehicle engines.
    (2) Manufacturers may comply with the defect reporting requirements 
of 40 CFR 1068.501 instead of the defect reporting requirements of 40 
CFR part 85.
    (b) Engines exempted from the applicable standards of 40 CFR part 86 
are exempt from the standards of this part without request.



Sec.  1036.610  Innovative technology credits and adjustments for
reducing greenhouse gas emissions.

    (a) You may ask us to apply the provisions of this section for 
CO2 emission reductions resulting from powertrain 
technologies that were not in common use with heavy-duty vehicles before 
model year 2010 that are not reflected in the specified test procedure. 
We will apply these provisions only for technologies that will result in 
a measurable, demonstrable, and verifiable real-world CO2 
reduction.
    (b) The provisions of this section may be applied as either an 
improvement factor (used to adjust emission results) or as a separate 
credit, consistent with good engineering judgment. We recommend that you 
base your credit/adjustment on A to B testing of pairs of engines/
vehicles differing only with respect to the technology in question.
    (1) Calculate improvement factors as the ratio of in-use emissions 
with the technology divided by the in-use emissions without the 
technology. Adjust the emission results by multiplying by the 
improvement factor. Use the improvement-factor approach where good 
engineering judgment indicates that the actual benefit will be 
proportional to emissions measured over the test procedures specified in 
this part. For example, the benefits from technologies that reduce 
engine operation would generally be proportional to the engine's 
emission rate.
    (2) Calculate separate credits based on the difference between the 
in-use emission rate (g/ton-mile) with the technology and the in-use 
emission rate without the technology. Multiply this difference by the 
number of engines, standard payload, and useful life. We may also allow 
you to calculate the credits based on g/hp-hr emission rates. Use the 
separate-credit approach where good engineering judgment indicates that 
the actual benefit will not be proportional to emissions measured over 
the test procedures specified in this part.
    (3) We may require you to discount or otherwise adjust your 
improvement factor or credit to account for uncertainty or other 
relevant factors.
    (c) Send your request to the Designated Compliance Officer. Include 
a detailed description of the technology and a recommended test plan. 
Also state whether you recommend applying these provisions using the 
improvement-factor method or the separate-credit method. We recommend 
that you do not begin collecting test data (for submission to EPA) 
before contacting us. For technologies for which the vehicle 
manufacturer could also claim credits (such as transmissions in certain 
circumstances), we may require you to include a letter from the vehicle 
manufacturer stating that it will not seek credits for the same 
technology.
    (d) We may seek public comment on your request, consistent with the 
provisions of 40 CFR 86.1866-12(d)(3). However, we will generally not 
seek public comment on credits/adjustments based on A to B engine 
dynamometer testing, chassis testing, or in-use testing.



Sec.  1036.615  Engines with Rankine cycle waste heat recovery and 
hybrid powertrains.

    This section specifies how to generate advanced technology-specific 
emission credits for hybrid powertrains that include energy storage 
systems and regenerative braking (including regenerative engine braking) 
and for engines that include Rankine-cycle (or other bottoming cycle) 
exhaust energy recovery systems.
    (a) Hybrid powertrains. The following provisions apply for pre-
transmission and post-transmission hybrid powertrains:
    (1) Pre-transmission hybrid powertrains are those engine systems 
that include features that recover and store energy during engine 
motoring operation but not from the vehicle wheels. These powertrains 
are tested

[[Page 109]]

using the hybrid engine test procedures of 40 CFR part 1065 or using the 
post-transmission test procedures in 40 CFR 1037.550.
    (2) Post-transmission hybrid powertrains are those powertrains that 
include features that recover and store energy from braking but that 
cannot function as hybrids without the transmission. These powertrains 
must have a single output shaft to the final drive and are tested by 
simulating the chassis test procedure applicable for hybrid vehicles 
under 40 CFR 1037.550. You need our approval before you begin testing.
    (b) Rankine engines. Test engines that include Rankine-cycle exhaust 
energy recovery systems according to the test procedures specified in 
subpart F of this part unless we approve alternate procedures.
    (c) Calculating credits. Calculate credits as specified in subpart H 
of this part. Credits generated from engines and powertrains certified 
under this section may be used in other averaging sets as described in 
Sec.  1036.740(d). Credits may not be generated under this section and 
40 CFR 1037.615 for the same technology on the same vehicle.
    (d) Innovative technologies. You may certify using both provisions 
of this section and the innovative technology provisions ofSec. 
1036.610, provided you do not double count emission benefits.

    Effective Date Note: At 78 FR 36389, June 17, 2013,Sec. 1036.615 
was amended by revising paragraphs (a) introductory text and (c), 
effective Aug. 16, 2013. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1036.615  Engines with Rankine cycle waste heat recovery and 
          hybrid powertrains.

                                * * * * *

    (a) Pre-transmission hybrid powertrains. Test pre-transmission 
hybrid powertrains with the hybrid engine test procedures of 40 CFR part 
1065 or with the post-transmission test procedures in 40 CFR 1037.550. 
Pre-transmission hybrid powertrains are those engine systems that 
include features to recover and store energy during engine motoring 
operation but not from the vehicle's wheels.

                                * * * * *

    (c) Calculating credits. Calculate credits as specified in subpart H 
of this part. Credits generated from engines and powertrains certified 
under this section may be used in other averaging sets as described in 
Sec.  1036.740(c).

                                * * * * *



Sec.  1036.620  Alternate CO2 standards based on model year 2011
compression-ignition engines.

    For model years 2014 through 2016, you may certify your compression-
ignition engines to the CO2 standards of this section instead 
of the CO2 standards inSec. 1036.108. However, you may not 
certify engines to these alternate standards if they are part of an 
averaging set in which you carry a balance of banked credits. You may 
submit applications for certifications before using up banked credits in 
the averaging set, but such certificates will not become effective until 
you have used up (or retired) your banked credits in the averaging set. 
For purposes of this section, you are deemed to carry credits in an 
averaging set if you carry credits from advanced technology that are 
allowed to be used in that averaging set.
    (a) The standards of this section are determined from the measured 
emission rate of the test engine of the applicable baseline 2011 engine 
family(ies) as described in paragraphs (b) and (c) of this section. 
Calculate the CO2 emission rate of the baseline test engine 
using the same equations used for showing compliance with the otherwise 
applicable standard. The alternate CO2 standard for light and 
medium heavy-duty vocational-certified engines (certified for 
CO2 using the transient cycle) is equal to the baseline 
emission rate multiplied by 0.975. The alternate CO2 standard 
for tractor-certified engines (certified for CO2 using the 
SET cycle) and all other heavy heavy-duty engines is equal to the 
baseline emission rate multiplied by 0.970. The in-use FEL for these 
engines is equal to the alternate standard multiplied by 1.03.
    (b) This paragraph (b) applies if you do not certify all your engine 
families in the averaging set to the alternate standards of this 
section. Identify separate baseline engine families for each engine 
family that you are certifying

[[Page 110]]

to the alternate standards of this section. For an engine family to be 
considered the baseline engine family, it must meet the following 
criteria:
    (1) It must have been certified to all applicable emission standards 
in model year 2011. If the baseline engine was certified to a 
NOX FEL above the standard and incorporated the same emission 
control technologies as the new engine family, you may adjust the 
baseline CO2 emission rate to be equivalent to an engine 
meeting the 0.20 g/hp-hr NOX standard (or your higher FEL as 
specified in this paragraph (b)(1)), using certification results from 
model years 2009 through 2011, consistent with good engineering 
judgment.
    (i) Use the following equation to relate model year 2009-2011 
NOX and CO2 emission rates (g/hp-hr): 
CO2 = a x log(NOX)+b.
    (ii) For model year 2014-2016 engines certified to NOX 
FELs above 0.20 g/hp-hr, correct the baseline CO2 emissions 
to the actual NOX FELs of the 2014-2016 engines.
    (iii) Calculate separate adjustments for transient and SET 
emissions.
    (2) The baseline configuration tested for certification must have 
the same engine displacement as the engines in the engine family being 
certified to the alternate standards, and its rated power must be within 
five percent of the highest rated power in the engine family being 
certified to the alternate standards.
    (3) The model year 2011 U.S.-directed production volume of the 
configuration tested must be at least one percent of the total 2011 
U.S.-directed production volume for the engine family.
    (4) The tested configuration must have cycle-weighted BSFC 
equivalent to or better than all other configurations in the engine 
family.
    (c) This paragraph (c) applies if you certify all your engine 
families in the primary intended service class to the alternate 
standards of this section. For purposes of this section, you may combine 
light heavy-duty and medium heavy-duty engines into a single averaging 
set. Determine your baseline CO2 emission rate as the 
production-weighted emission rate of the certified engine families you 
produced in the 2011 model year. If you produce engines for both 
tractors and vocational vehicles, treat them as separate averaging sets. 
Adjust the CO2 emission rates to be equivalent to an engine 
meeting the average NOX FEL of new engines (assuming engines 
certified to the 0.20 g/hp-hr NOX standard have a 
NOX FEL equal to 0.20 g/hp-hr), as described in paragraph 
(b)(1) of this section.
    (d) Include the following statement on the emission control 
information label: ``THIS ENGINE WAS CERTIFIED TO AN ALTERNATE 
CO2 STANDARD UNDERSec. 1036.620.''
    (e) You may not bank CO2 emission credits for any engine 
family in the same averaging set and model year in which you certify 
engines to the standards of this section. You may not bank any advanced 
technology credits in any averaging set for the model year you certify 
under this section (since such credits would be available for use in 
this averaging set). Note that the provisions ofSec. 1036.745 apply 
for deficits generated with respect to the standards of this section.
    (f) You need our approval before you may certify engines under this 
section, especially with respect to the numerical value of the alternate 
standards. We will not approve your request if we determine that you 
manipulated your engine families or test engine configurations to 
certify to less stringent standards, or that you otherwise have not 
acted in good faith. You must keep and provide to us any information we 
need to determine that your engine families meet the requirements of 
this section. Keep these records for at least five years after you stop 
producing engines certified under this section.



Sec.  1036.625  In-use compliance with family emission limits (FELs).

    You may ask us to apply a higher in-use FEL for certain in-use 
engines, subject to the provisions of this section. Note thatSec. 
1036.225 contains provisions related to changing FELs during a model 
year.
    (a) Purpose. This section is intended to address circumstances in 
which it is in the public interest to apply a higher in-use FEL based on 
forfeiting an appropriate number of emission credits.

[[Page 111]]

    (b) FELs. When applying higher in-use FELs to your engines, we would 
intend to accurately reflect the actual in-use performance of your 
engines, consistent with the specified testing provisions of this part.
    (c) Equivalent families. We may apply the higher FELs to other 
families in other model years if they used equivalent emission controls.
    (d) Credit forfeiture. Where we specify higher in-use FELs under 
this section, you must forfeit CO2 emission credits based on 
the difference between the in-use FEL and the otherwise applicable FEL. 
Calculate the amount of credits to be forfeited using the applicable 
equation inSec. 1036.705, by substituting the otherwise applicable FEL 
for the standard and the in-use FEL for the otherwise applicable FEL.
    (e) Requests. Submit your request to the Designated Compliance 
Officer. Include the following in your request:
    (1) The engine family name and model year of the engines affected.
    (2) A list of other engine families/model years that may be 
affected.
    (3) The otherwise applicable FEL for the engine families along with 
your recommendations for higher in-use FELs.
    (4) Your source of credits for forfeiture.
    (f) Relation to recall. You may not request higher in-use FELs for 
any engine families for which we have made a determination of 
nonconformance and ordered a recall. You may, however, make such 
requests for engine families for which you are performing a voluntary 
emission recall.
    (g) Approval. We may approve your request if we determine that you 
meet the requirements of this section and such approval is in the public 
interest. We may include appropriate conditions with our approval or we 
may approve your request with modifications.



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1036.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart and in subpart B 
of this part to show compliance with the standards ofSec. 1036.108. 
Participation in this program is voluntary. (Note: As described in 
subpart B of this part, you must assign an FCL to all engine families, 
whether or not they participate in the ABT provisions of this subpart.)
    (b) [Reserved]
    (c) The definitions of subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of engines in which emission credits 
may be exchanged. Credits generated by one engine may only be used by 
other engines in the same averaging set. SeeSec. 1036.740.
    (3) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.
    (4) Buyer means the entity that receives emission credits as a 
result of a trade.
    (5) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (6) Seller means the entity that provides emission credits during a 
trade.
    (7) Standard means the emission standard that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (d) Emission credits may be exchanged only within an averaging set 
as specified inSec. 1036.740.
    (e) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FCL or standard. This applies for 
all testing, including certification testing, in-use testing, selective 
enforcement audits, and other production-line testing. However, if 
emissions from an engine exceed an FCL or standard (for example, during 
a selective enforcement audit), you may use emission credits to 
recertify the engine family with a higher FCL that applies only to 
future production.
    (f) Emission credits may be used in the model year they are 
generated. Surplus emission credits may be

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banked for future model years. Surplus emission credits may sometimes be 
used for past model years, as described inSec. 1036.745.
    (g) You may increase or decrease an FCL during the model year by 
amending your application for certification underSec. 1036.225. The 
new FCL may apply only to engines you have not already introduced into 
commerce.
    (h) You may trade emission credits generated from any number of your 
engines to the engine purchasers or other parties to retire the credits. 
Identify any such credits in the reports described inSec. 1036.730. 
Engines must comply with the applicable FELs even if you donate or sell 
the corresponding emission credits under this paragraph (h). Those 
credits may no longer be used by anyone to demonstrate compliance with 
any EPA emission standards.
    (i) SeeSec. 1036.740 for special credit provisions that apply for 
credits generated underSec. 1036.615 or 40 CFR 1037.104(d)(7) or 
1037.615.
    (j) Unless the regulations explicitly allow it, you may not 
calculate credits more than once for any emission reduction. For 
example, if you generate CO2 emission credits for a hybrid 
engine under this part for a given vehicle, no one may generate 
CO2 emission credits for that same hybrid engine and vehicle 
under 40 CFR part 1037. However, credits could be generated for 
identical vehicles using engines that did not generate credits under 
this part.



Sec.  1036.705  Generating and calculating emission credits.

    (a) The provisions of this section apply separately for calculating 
emission credits for each pollutant.
    (b) For each participating family, calculate positive or negative 
emission credits relative to the otherwise applicable emission standard 
based on the engine family's FCL for greenhouse gases. If your engine 
family is certified to both the vocational and tractor engine standards, 
calculate credits separately for the vocational engines and the tractor 
engines (as specified in paragraph (b)(3) of this section). Calculate 
positive emission credits for a family that has an FCL below the 
standard. Calculate negative emission credits for a family that has an 
FCL above the standard.
    Sum your positive and negative credits for the model year before 
rounding. Round the sum of emission credits to the nearest megagram 
(Mg), using consistent units throughout the following equations:
    (1) For vocational engines:
    Emission credits (Mg) = (Std-FCL) [middot] (CF) [middot] (Volume) 
[middot] (UL) [middot] (10-6)

Where:

    Std = the emission standard, in g/hp-hr, that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart (the ``otherwise applicable standard'').
    FCL = the Family Certification Level for the engine family, in g/hp-
hr, measured over the transient duty cycle, rounded to the same number 
of decimal places as the emission standard.
    CF = a transient cycle conversion factor (hp-hr/mile), calculated by 
dividing the total (integrated) horsepower-hour over the duty cycle 
(average of vocational engine configurations weighted by their 
production volumes) by 6.3 miles for spark-ignition engines and 6.5 
miles for compression-ignition engines. This represents the average work 
performed by vocational engines in the family over the mileage 
represented by operation over the duty cycle.
    Volume = the number of vocational engines eligible to participate in 
the averaging, banking, and trading program within the given engine 
family during the model year, as described in paragraph (c) of this 
section.
    UL = the useful life for the given engine family, in miles.

    (2) For tractor engines:
    Emission credits (Mg) = (Std-FCL) [middot] (CF) [middot] (Volume) 
[middot] (UL) [middot] (10-6)

Where:

    Std = the emission standard, in g/hp-hr, that applies under subpart 
B of this part for engines not participating in the ABT program of this 
subpart (the ``otherwise applicable standard'').
    FCL = the Family Certification Level for the engine family, in g/hp-
hr, measured over the SET duty cycle rounded to the same number of 
decimal places as the emission standard.
    CF = a transient cycle conversion factor (hp-hr/mile), calculated by 
dividing the total (integrated) horsepower-hour over the duty cycle 
(average of tractor-engine configurations weighted by their production 
volumes) by 6.3 miles for spark-ignition engines and 6.5 miles for 
compression-ignition engines. This represents the average work performed 
by tractor engines in the family over the

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mileage represented by operation over the duty cycle. Note that this 
calculation requires you to use the transient cycle conversion factor 
even for engines certified to SET-based standards. Volume = the number 
of tractor engines eligible to participate in the averaging, banking, 
and trading program within the given engine family during the model 
year, as described in paragraph (c) of this section.
    UL = the useful life for the given engine family, in miles.

    (3) For engine families certified to both the vocational and tractor 
engine standards, we may allow you to use statistical methods to 
estimate the total production volumes where a small fraction of the 
engines cannot be tracked precisely.
    (4) You may not generate emission credits for tractor engines (i.e., 
engines not certified to the transient cycle for CO2) 
installed in vocational vehicles (including vocational tractors 
certified pursuant to 40 CFR 1037.630 or exempted pursuant to 40 CFR 
1037.631). We will waive this requirement where you demonstrate that 
less than five percent of the engines in your tractor family were 
installed in vocational vehicles. For example, if you know that 96 
percent of your tractor engines were installed in non-vocational 
tractors, but cannot determine the vehicle type for the remaining four 
percent, you may generate credits for all the engines in the family.
    (c) As described inSec. 1036.730, compliance with the requirements 
of this subpart is determined at the end of the model year based on 
actual U.S.-directed production volumes. Keep appropriate records to 
document these production volumes. Do not include any of the following 
engines to calculate emission credits:
    (1) Engines that you do not certify to the CO2 standards 
of this part because they are permanently exempted under subpart G of 
this part or under 40 CFR part 1068.
    (2) Exported engines.
    (3) Engines not subject to the requirements of this part, such as 
those excluded underSec. 1036.5. For example, do not include engines 
used in vehicles certified to the greenhouse gas standards of 40 CFR 
1037.104.
    (4) [Reserved]
    (5) Any other engines if we indicate elsewhere in this part 1036 
that they are not to be included in the calculations of this subpart.
    (d) You may use CO2 emission credits to show compliance 
with CH4 and/or N2O FELs instead of the otherwise 
applicable emission standards. To do this, calculate the CH4 
and/or N2O emission credits needed (negative credits) using 
the equation in paragraph (b) of this section, using the FEL(s) you 
specify for your engines during certification instead of the FCL. You 
must use 25 Mg of positive CO2 credits to offset 1 Mg of 
negative CH4 credits. You must use 298 Mg of positive 
CO2 credits to offset 1 Mg of negative N2O 
credits.



Sec.  1036.710  Averaging.

    (a) Averaging is the exchange of emission credits among your engine 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more engine families to an FCL above the 
applicable standard, subject to any applicable FEL caps and other the 
provisions in subpart B of this part, if you show in your application 
for certification that your projected balance of all emission-credit 
transactions in that model year is greater than or equal to zero, or 
that a negative balance is allowed underSec. 1036.745.
    (c) If you certify an engine family to an FCL that exceeds the 
otherwise applicable standard, you must obtain enough emission credits 
to offset the engine family's deficit by the due date for the final 
report required inSec. 1036.730. The emission credits used to address 
the deficit may come from your other engine families that generate 
emission credits in the same model year (or from later model years as 
specified inSec. 1036.745), from emission credits you have banked, or 
from emission credits you obtain through trading.



Sec.  1036.715  Banking.

    (a) Banking is the retention of surplus emission credits by the 
manufacturer generating the emission credits for use in future model 
years for averaging or trading.

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    (b) You may designate any emission credits you plan to bank in the 
reports you submit underSec. 1036.730 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.
    (d) Banked credits retain the designation of the averaging set in 
which they were generated.



Sec.  1036.720  Trading.

    (a) Trading is the exchange of emission credits between 
manufacturers, or the transfer of credits to another party to retire 
them. You may use traded emission credits for averaging, banking, or 
further trading transactions. Traded emission credits remain subject to 
the averaging-set restrictions based on the averaging set in which they 
were generated.
    (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.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. SeeSec. 1036.255(e) for cases involving fraud. 
We may void the certificates of all engine families participating in a 
trade that results in a manufacturer having a negative balance of 
emission credits. SeeSec. 1036.745.



Sec.  1036.725  What must I include in my application for
certification?

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each engine family that 
will be certified using the ABT program. You must also declare the FELs/
FCL you select for the engine family for each pollutant for which you 
are using the ABT program. Your FELs must comply with the specifications 
of subpart B of this part, including the FEL caps. FELs/FCL must be 
expressed to the same number of decimal places as the applicable 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year; or a statement 
that you will have a negative balance of emission credits for one or 
more averaging sets, but that it is allowed underSec. 1036.745.
    (2) Detailed calculations of projected emission credits (positive or 
negative) based on projected U.S.-directed production volumes. We may 
require you to include similar calculations from your other engine 
families to project your net credit balances 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.



Sec.  1036.730  ABT reports.

    (a) If any of your engine families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year.
    (b) Your end-of-year and final reports must include the following 
information for each engine family participating in the ABT program:
    (1) Engine-family designation and averaging set.
    (2) The emission standards that would otherwise apply to the engine 
family.
    (3) The FCL for each pollutant. If you change the FCL after the 
start of production, identify the date that you started using the new 
FCL and/or give the engine identification number for the first engine 
covered by the new FCL. In this case, identify each applicable FCL and 
calculate the positive or negative emission credits as specified in 
Sec.  1036.225.
    (4) The projected and actual U.S.-directed production volumes for 
the

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model year. If you changed an FCL during the model year, identify the 
actual production volume associated with each FCL.
    (5) The transient cycle conversion factor for each engine 
configuration as described inSec. 1036.705.
    (6) Useful life.
    (7) Calculated positive or negative emission credits for the whole 
engine family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating engine families in each averaging set in the applicable 
model year is not negative, except as allowed underSec. 1036.745.
    (2) State whether you will reserve any emission credits for banking.
    (3) State that the report's contents are accurate.
    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The engine families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each engine family (if 
known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (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.



Sec.  1036.735  Recordkeeping.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (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.
    (c) Keep a copy of the reports we require in Sec.Sec. 1036.725 and 
1036.730.
    (d) Keep records of the engine identification number (usually the 
serial 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 FCL and the range of engine 
identification numbers associated with each FCL. You must also identify 
the purchaser and destination for each engine you produce to the extent 
this information is available.

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    (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.



Sec.  1036.740  Restrictions for using emission credits.

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Except as specified in paragraph (c) of this 
section, emission credits may be exchanged only within an following 
averaging sets There are four principal averaging sets for engines 
subject to this subpart:
    (1) Spark-ignition engines.
    (2) Compression-ignition light heavy-duty engines.
    (3) Compression-ignition medium heavy-duty engines.
    (4) Compression-ignition heavy heavy-duty engines.
    (b) Applying credits to prior year deficits. Where your credit 
balance for the previous year is negative, you may apply credits to that 
credit deficit only after meeting your credit obligations for the 
current year.
    (c) Credits from hybrid engines and other advanced technologies. The 
averaging set restrictions of paragraph (a) of this section do not apply 
for credits generated underSec. 1036.615 or 40 CFR 1037.104(d)(7) or 
1037.615 from hybrid power systems with regenerative braking, or from 
other advanced technologies. Such credits may also be used under 40 CFR 
part 1037.
    (1) The maximum amount of credits you may bring into the following 
service class groups is 60,000 Mg per model year:
    (i) Spark-ignition engines, light heavy-duty compression-ignition 
engines, and light heavy-duty vehicles. This group comprises the 
averaging sets listed in paragraphs (a)(1) and (2) of this section and 
the averaging set listed in 40 CFR 1037.740(a)(1).
    (ii) Medium heavy-duty compression-ignition engines and medium 
heavy-duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(3) of this section and 40 CFR 1037.740(a)(2).
    (iii) Heavy heavy-duty compression-ignition engines and heavy heavy-
duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(4) of this section and 40 CFR 1037.740(a)(3).
    (2) The limit specified in paragraph (c)(1) of this section does not 
limit the amount of advanced technology credits that can be used within 
a service class group if they were generated in that same service class 
group.
    (d) Credit life. Credits expire after five years.
    (e) Other restrictions. Other sections of this part specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec.  1036.745  End-of-year CO2 credit deficits.

    Except as allowed by this section, we may void the certificate of 
any engine family certified to an FCL above the applicable standard for 
which you do not have sufficient credits by the deadline for submitting 
the final report.
    (a) Your certificate for an engine family for which you do not have 
sufficient CO2 credits will not be void if you remedy the 
deficit with surplus credits within three model years. For example, if 
you have a credit deficit of 500 Mg for an engine family at the end of 
model year 2015, you must generate (or otherwise obtain) a surplus of at 
least 500 Mg in that same averaging set by the end of model year 2018.
    (b) You may not bank or trade away CO2 credits in the 
averaging set in any model year in which you have a deficit.
    (c) You may apply only surplus credits to your deficit. You may not 
apply credits to a deficit from an earlier model year if they were 
generated in a model year for which any of your engine families for that 
averaging set had an end-of-year credit deficit.
    (d) If you do not remedy the deficit with surplus credits within 
three model years, we may void your certificate for that engine family. 
We may void the certificate based on your end-of-year report. Note that 
voiding a certificate applies ab initio. Where the net deficit is less 
than the total amount of negative credits originally generated by the 
family, we will void the certificate only with respect to the number of 
engines needed to reach the amount of the net deficit. For example, if 
the original engine family generated 500

[[Page 117]]

Mg of negative credits, and the manufacturer's net deficit after three 
years was 250 Mg, we would void the certificate with respect to half of 
the engines in the family.



Sec.  1036.750  What can happen if I do not comply with the provisions
of this subpart?

    (a) For each engine family participating in the ABT program, the 
certificate of conformity is conditioned upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for 
an engine family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your engine family to an FCL above an applicable 
standard based on a projection that you will have enough emission 
credits to offset the deficit for the engine family. SeeSec. 1036.745 
for provisions specifying what happens if you cannot show in your final 
report that you have enough actual emission credits to offset a deficit 
for any pollutant in an engine family.
    (c) We may void the certificate of conformity for an engine family 
if you fail to keep records, send reports, or give us information we 
request. Note that failing to keep records, send reports, or give us 
information we request is also a violation of 42 U.S.C. 7522(a)(2).
    (d) You may ask for a hearing if we void your certificate under this 
section (seeSec. 1036.820).



Sec.  1036.755  Information provided to the Department of Transportation.

    After receipt of each manufacturer's final report as specified in 
Sec.  1036.730 and completion of any verification testing required to 
validate the manufacturer's submitted final data, we will issue a report 
to the Department of Transportation with CO2 emission 
information and will verify the accuracy of each manufacturer's 
equivalent fuel consumption data that required by NHTSA under 49 CFR 
535.8. We will send a report to DOT for each engine manufacturer based 
on each regulatory category and subcategory, including sufficient 
information for NHTSA to determine fuel consumption and associated 
credit values. See 49 CFR 535.8 to determine if NHTSA deems submission 
of this information to EPA to also be a submission to NHTSA.



          Subpart I_Definitions and Other Reference Information



Sec.  1036.801  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter has the meaning given in 40 CFR part 86.
    Advanced technology means technology certified underSec. 1036.615, 
40 CFR 1037.104(d)(7) or 1037.615.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the engine exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Alcohol-fueled engine mean 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.
    Auxiliary emission control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.
    Averaging set has the meaning given inSec. 1036.740.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.

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    Carryover means relating to certification based on emission data 
generated from an earlier model year as described inSec. 1036.235(d).
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in an engine family for a given pollutant from the applicable 
transient and/or steady-state testing, rounded to the same number of 
decimal places as the applicable standard. Note that you may have two 
certified emission levels for CO2 if you certify a family for 
both vocational and tractor use.
    Complete vehicle means a vehicle meeting the definition of complete 
vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For 
example, where a vehicle manufacturer sells an incomplete vehicle to a 
secondary manufacturer, the vehicle is not a complete vehicle under this 
part, even after its final assembly.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any part of the engine crankcase's ventilation or 
lubrication systems. The crankcase is the housing for the crankshaft and 
other related internal parts.
    Criteria pollutants means emissions of NOX, HC, PM, and 
CO. Note that these pollutants are also sometimes described collectively 
as ``non-greenhouse gas pollutants'', although they do not necessarily 
have negligible global warming potentials.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data engine. Note that where no 
deterioration factor applies, references in this part to the 
deteriorated emission level mean the official emission result.
    Deterioration factor means the relationship between emissions at the 
end of useful life (or point of highest emissions if it occurs before 
the end of useful life) and emissions at the low-hour/low-mileage test 
point, expressed in one of the following ways:
    (1) For multiplicative deterioration factors, the ratio of emissions 
at the end of useful life (or point of highest emissions) to emissions 
at the low-hour test point.
    (2) For additive deterioration factors, the difference between 
emissions at the end of useful life (or point of highest emissions) and 
emissions at the low-hour test point.
    Dual-fuel means relating to an engine designed for operation on two 
different types of fuel but not on a continuous mixture of those fuels.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from an engine.
    Emission-data engine means an engine that is tested for 
certification. This includes engines tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Engine configuration means a unique combination of engine hardware 
and calibration (related to the emission standards) within an engine 
family. Engines within a single engine configuration differ only with 
respect to normal production variability or factors unrelated to 
compliance with emission standards.
    Engine family has the meaning given inSec. 1036.230.
    Excluded means relating to engines that are not subject to some or 
all of the requirements of this part as follows:
    (1) An engine that has been determined not to be a heavy-duty engine 
is excluded from this part.

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    (2) Certain heavy-duty engines are excluded from the requirements of 
this part underSec. 1036.5.
    (3) Specific regulatory provisions of this part may exclude a heavy-
duty engine generally subject to this part from one or more specific 
standards or requirements of this part.
    Exempted has the meaning given in 40 CFR 1068.30.
    Exhaust-gas recirculation means a technology that reduces emissions 
by routing exhaust gases that had been exhausted from the combustion 
chamber(s) back into the engine to be mixed with incoming air before or 
during combustion. The use of valve timing to increase the amount of 
residual exhaust gas in the combustion chamber(s) that is mixed with 
incoming air before or during combustion is not considered exhaust-gas 
recirculation for the purposes of this part.
    Family certification level (FCL) means a CO2 emission 
level declared by the manufacturer that is at or above emission test 
results for all emission-data engines. The FCL serves as the emission 
standard for the engine family with respect to certification testing if 
it is different than the otherwise applicable standard. The FCL must be 
expressed to the same number of decimal places as the emission standard 
it replaces.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard (other than CO2 standards) under the ABT program in 
subpart H of this part. The FEL must be expressed to the same number of 
decimal places as the emission standard it replaces. The FEL serves as 
the emission standard for the engine family with respect to all required 
testing except certification testing for CO2. The 
CO2 FEL is equal to the CO2 FCL multiplied by 1.03 
and rounded to the same number of decimal places as the standard (e.g., 
the nearest whole g/hp-hr for the 2016 CO2 standards).
    Flexible-fuel means relating to an engine designed for operation on 
any mixture of two or more different types of fuels.
    Fuel type means a general category of fuels such as diesel fuel, 
gasoline, or natural gas. There can be multiple grades within a single 
fuel type, such as premium gasoline, regular gasoline, or gasoline with 
10 percent ethanol.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    Greenhouse gas pollutants and greenhouse gases means compounds 
regulated under this part based primarily on their impact on the 
climate. This includes CO2, CH4, and 
N2O.
    Gross vehicle weight rating (GVWR) means the value specified by the 
vehicle manufacturer as the maximum design loaded weight of a single 
vehicle, consistent with good engineering judgment.
    Heavy-duty engine means any engine which the engine manufacturer 
could reasonably expect to be used for motive power in a heavy-duty 
vehicle. For purposes of this definition in this part, the term 
``engine'' includes internal combustion engines and other devices that 
convert chemical fuel into motive power. For example, a fuel cell used 
in a heavy-duty vehicle is a heavy-duty engine.
    Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR 
or that has a vehicle curb weight above 6,000 pounds or that has a basic 
vehicle frontal area greater than 45 square feet. Curb weight has the 
meaning given in 40 CFR 86.1803, consistent with the provisions of 40 
CFR 1037.140. Basic vehicle frontal area has the meaning given in 40 CFR 
86.1803.
    Hybrid engine or hybrid powertrain means an engine or powertrain 
that includes energy storage features other than a conventional battery 
system or conventional flywheel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems. 
Note that certain provisions in this part treat hybrid engines and 
powertrains intended for vehicles that include regenerative braking 
differently than those intended for vehicles that do not include 
regenerative braking.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled engines, HC 
means

[[Page 120]]

nonmethane hydrocarbon equivalent (NMHCE). For all other engines, HC 
means nonmethane hydrocarbon (NMHC).
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular engine from other similar engines.
    Incomplete vehicle means a vehicle meeting the definition of 
incomplete vehicle in 40 CFR 1037.801 when it is first sold as a 
vehicle.
    Innovative technology means technology certified underSec. 
1036.610.
    Liquefied petroleum gas (LPG) means a liquid hydrocarbon fuel that 
is stored under pressure and is composed primarily of nonmethane 
compounds that are gases at atmospheric conditions.
    Low-hour means relating to an engine that has stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve less than 125 hours of operation.
    Manufacture means the physical and engineering process of designing, 
constructing, and/or assembling a heavy-duty engine or a heavy-duty 
vehicle.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures an engine, 
vehicle, or piece of equipment for sale in the United States or 
otherwise introduces a new engine into commerce in the United States. 
This includes importers who import engines or vehicles for resale.
    Medium-duty passenger vehicle has the meaning given in 40 CFR 
86.1803.
    Model year means the manufacturer's annual new model production 
period, except as restricted under this definition. It must include 
January 1 of the calendar year for which the model year is named, may 
not begin before January 2 of the previous calendar year, and it must 
end by December 31 of the named calendar year. Manufacturers may not 
adjust model years to circumvent or delay compliance with emission 
standards or to avoid the obligation to certify annually.
    Motor vehicle has the meaning given in 40 CFR 85.1703.
    Natural gas means a fuel whose primary constituent is methane.
    New motor vehicle engine means a motor vehicle engine meeting the 
criteria of either paragraph (1) or (2) of this definition.
    (1) A motor vehicle engine for which the ultimate purchaser has 
never received the equitable or legal title is a new motor vehicle 
engine. This kind of engine might commonly be thought of as ``brand 
new'' although a new motor vehicle engine may include previously used 
parts. Under this definition, the engine is new from the time it is 
produced until the ultimate purchaser receives the title or places it 
into service, whichever comes first.
    (2) An imported motor vehicle engine is a new motor vehicle engine 
if it was originally built on or after January 1, 1970.
    Noncompliant engine means an engine that was originally covered by a 
certificate of conformity, but is not in the certified configuration or 
otherwise does not comply with the conditions of the certificate.
    Nonconforming engine means an engine not covered by a certificate of 
conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane, as measured according to 40 CFR part 1065.
    Official emission result means the measured emission rate for an 
emission-data engine on a given duty cycle before the application of any 
deterioration factor, but after the applicability of any required 
regeneration adjustment factors.
    Owner's manual means a document or collection of documents prepared 
by the engine or vehicle manufacturer for the owner or operator to 
describe appropriate engine maintenance, applicable warranties, and any 
other information related to operating or keeping the engine. The 
owner's manual is typically provided to the ultimate purchaser at the 
time of sale.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Percent has the meaning given in 40 CFR 1065.1001. Note that this 
means percentages identified in this part are assumed to be infinitely 
precise without regard to the number of significant

[[Page 121]]

figures. For example, one percent of 1,493 is 14.93.
    Petroleum means gasoline or diesel fuel or other fuels normally 
derived from crude oil. This does not include methane or LPG.
    Placed into service means put into initial use for its intended 
purpose.
    Primary intended service class has the meaning given inSec. 
1036.140.
    Rated power has the meaning given in 40 CFR part 86.
    Rechargeable Energy Storage System (RESS) means the component(s) of 
a hybrid engine or vehicle that store recovered energy for later use, 
such as the battery system in an electric hybrid vehicle.
    Revoke has the meaning given in 40 CFR 1068.30.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Small manufacturer means a manufacturer meeting the criteria 
specified in 13 CFR 121.201. For manufacturers owned by a parent 
company, the employee and revenue limits apply to the total number of 
employees and total revenue of the parent company and all its 
subsidiaries.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Steady-state has the meaning given in 40 CFR 1065.1001.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Tractor means a vehicle meeting the definition of ``tractor'' in 40 
CFR 1037.801, but not classified as a ``vocational tractor'' under 40 
CFR 1037.630, or relating to such a vehicle.
    Tractor engine means an engine certified for use in tractors. Where 
an engine family is certified for use in both tractors and vocational 
vehicles, ``tractor engine'' means an engine that the engine 
manufacturer reasonably believes will be (or has been) installed in a 
tractor. Note that the provisions of this part may require a 
manufacturer to document how it determines that an engine is a tractor 
engine.
    Ultimate purchaser means, with respect to any new engine or vehicle, 
the first person who in good faith purchases such new engine or vehicle 
for purposes other than resale.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for an engine family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of engines, subject 
to the requirements of this part, produced by a manufacturer for which 
the manufacturer has a reasonable assurance that sale was or will be 
made to ultimate purchasers in the United States. This does not include 
engines certified to state emission standards that are different than 
the emission standards in this part.
    Vehicle has the meaning given in 40 CFR 1037.801.
    Vocational engine means an engine certified for use in vocational 
vehicles. Where an engine family is certified for use in both tractors 
and vocational vehicles, ``vocational engine'' means an engine that the 
engine manufacturer reasonably believes will be (or has been) installed 
in a vocational vehicle. Note that the provisions of this part may 
require a manufacturer to document how it determines that an engine is a 
vocational engine.
    Vocational vehicle means a vehicle meeting the definition of 
``vocational'' vehicle in 40 CFR 1037.801.

[[Page 122]]

    Void has the meaning given in 40 CFR 1068.30.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

    Effective Date Note: At 78 FR 36390, June 17, 2013,Sec. 1036.801 
was amended by adding a definition for ``Preliminary approval'' in 
alphabetical order, effective Aug. 16, 2013. For the convenience of the 
user, the added text is set forth as follows:



Sec.  1036.801  Definitions.

                                * * * * *

    Preliminary approval means approval granted by an authorized EPA 
representative prior to submission of an application for certification, 
consistent with the provisions ofSec. 1036.210.

                                * * * * *



Sec.  1036.805  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:
    ABT averaging, banking, and trading.
    AECD auxiliary emission control device.
    ASTM American Society for Testing and Materials.
    BTU British thermal units.
    CFR Code of Federal Regulations.
    CH4 methane.
    CO carbon monoxide.
    CO2 carbon dioxide.
    DF deterioration factor.
    DOT Department of Transportation.
    E85 gasoline blend including nominally 85 percent ethanol.
    EPA Environmental Protection Agency.
    FCL Family Certification Level.
    FEL Family Emission Limit.
    g/hp-hr grams per brake horsepower-hour.
    GVWR gross vehicle weight rating.
    HC hydrocarbon.
    kg kilogram.
    kgC kilogram carbon.
    kW kilowatts.
    lb pound.
    lbC pound carbon.
    LPG liquefied petroleum gas.
    Mg megagrams (10 \6\ grams, or one metric ton).
    MJ megajoules.
    N2O nitrous oxide.
    NARA National Archives and Records Administration.
    NHTSA National Highway Traffic Safety Administration.
    NOx oxides of nitrogen (NO and NO2).
    NTE not-to-exceed.
    PM particulate matter.
    RESS rechargeable energy storage system.
    RPM revolutions per minute.
    SET Supplemental Emission Test (see 40 CFR 86.1362).
    U.S. United States.
    U.S.C. United States Code.



Sec.  1036.810  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a notice of the change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, 
DC 20460, (202) 202-1744, and is available from the sources listed 
below. It is also available for inspection 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.
    (b) American Society for Testing and Materials, 100 Barr Harbor 
Drive, P.O. Box C700, West Conshohocken, PA, 19428-2959, (610) 832-9585, 
http://www.astm.org/.
    (1) ASTM D 240-09 Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter, approved July 1, 2009, IBR 
approved forSec. 1036.530(b).
    (2) ASTM D4809-09a Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), 
approved September 1, 2009, IBR approved forSec. 1036.530(b).

[[Page 123]]

    (3) ASTM D5291-10 Standard Test Methods for Instrumental 
Determination of Carbon, Hydrogen, and Nitrogen in Petroleum Products 
and Lubricants, approved May 1, 2010, IBR approved forSec. 
1036.530(b).



Sec.  1036.815  Confidential information.

    The provisions of 40 CFR 1068.10 apply for information you consider 
confidential.



Sec.  1036.820  Requesting a hearing.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec.  1036.825  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record 
data or other information. Unless we specify otherwise, store required 
records in any format and on any media and keep them readily available 
for eight years after you send an associated application for 
certification, or eight years after you generate the data if they do not 
support an application for certification. You may not rely on anyone 
else to meet recordkeeping requirements on your behalf unless we 
specifically authorize it. We may review these records at any time. You 
must promptly send us organized, written records in English if we ask 
for them. We may require you to submit written records in an electronic 
format.
    (b) The regulations inSec. 1036.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
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.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (seeSec. 1036.801).
    (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. Keep 
these records for eight years unless the regulations specify a different 
period. We may require you to send us these records whether or not you 
are a certificate holder.
    (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq.), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for engines and 
equipment regulated under this part:
    (1) We specify the following requirements related to engine 
certification in this part 1036:
    (i) InSec. 1036.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to equipment 
manufacturers.
    (ii) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (iii) 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.
    (iv) In Sec.Sec. 1036.725, 1036.730, and 1036.735 we specify 
certain records related to averaging, banking, and trading.
    (2) We specify the following requirements related to testing in 40 
CFR part 1066:
    (i) In 40 CFR 1066.2 we give an overview of principles for reporting 
information.
    (ii) [Reserved]



PART 1037_CONTROL OF EMISSIONS FROM NEW HEAVY DUTY MOTOR VEHICLES--
Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1037.1 Applicability
1037.5 Excluded vehicles.
1037.10 How is this part organized?

[[Page 124]]

1037.15 Do any other regulation parts apply to me?
1037.30 Submission of information.

          Subpart B_Emission Standards and Related Requirements

1037.101 Overview of emission standards for heavy-duty vehicles.
1037.102 Exhaust emission standards for NOX, HC, PM, and CO.
1037.104 Exhaust emission standards for CO2, CH4, 
          and N2O for heavy-duty vehicles at or below 14,000 
          pounds GVWR.
1037.105 Exhaust emission standards for CO2 for vocational 
          vehicles.
1037.106 Exhaust emission standards for CO2 for tractors 
          above 26,000 pounds GVWR.
1037.115 Other requirements.
1037.120 Emission-related warranty requirements.
1037.125 Maintenance instructions and allowable maintenance.
1037.135 Labeling.
1037.140 Curb weight and roof height.
1037.150 Interim provisions.

                  Subpart C_Certifying Vehicle families

1037.201 General requirements for obtaining a certificate of conformity.
1037.205 What must I include in my application?
1037.210 Preliminary approval before certification.
1037.220 Amending maintenance instructions.
1037.225 Amending applications for certification.
1037.230 Vehicle families, sub-families, and configurations.
1037.241 Demonstrating compliance with exhaust emission standards for 
          greenhouse gas pollutants.
1037.250 Reporting and recordkeeping.
1037.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-Use Testing

1037.401 General provisions.

                 Subpart F_Test and Modeling Procedures

1037.501 General testing and modeling provisions.
1037.510 Duty-cycle exhaust testing.
1037.520 Modeling CO2 emissions to show compliance.
1037.521 Aerodynamic measurements.
1037.525 Special procedures for testing hybrid vehicles with power take-
          off.
1037.550 Special procedures for testing post-transmission hybrid 
          systems.

                 Subpart G_Special Compliance Provisions

1037.601 What compliance provisions apply to these vehicles?
1037.610 Vehicles with innovative technologies.
1037.615 Hybrid vehicles and other advanced technologies.
1037.620 Shipment of incomplete vehicles to secondary vehicle 
          manufacturers.
1037.630 Special purpose tractors.
1037.631 Exemption for vocational vehicles intended for off-road use.
1037.640 Variable vehicle speed limiters.
1037.645 In-use compliance with family emission limits (FELs).
1037.650 Tire manufacturers.
1037.655 Post-useful life vehicle modifications.
1037.660 Automatic engine shutdown systems.

       Subpart H_Averaging, Banking, and Trading for Certification

1037.701 General provisions.
1037.705 Generating and calculating emission credits.
1037.710 Averaging.
1037.715 Banking.
1037.720 Trading.
1037.725 What must I include in my application for certification?
1037.730 ABT reports.
1037.735 Recordkeeping.
1037.740 Restrictions for using emission credits.
1037.745 End-of-year CO2 credit deficits.
1037.750 What can happen if I do not comply with the provisions of this 
          subpart?
1037.755 Information provided to the Department of Transportation.

          Subpart I_Definitions and Other Reference Information

1037.801 Definitions.
1037.805 Symbols, acronyms, and abbreviations.
1037.810 Incorporation by reference.
1037.815 Confidential information.
1037.820 Requesting a hearing.
1037.825 Reporting and recordkeeping requirements.

Appendix I to Part 1037--Heavy-duty Transient Chassis Test Cycle
Appendix II to Part 1037--Power Take-Off Test Cycle
Appendix III to Part 1037--Emission Control Identifiers

    Authority: 42 U.S.C. 7401--7671q.

    Source: 76 FR 57398, Sept. 15, 2011, unless otherwise noted.

[[Page 125]]



                  Subpart A_Overview and Applicability



Sec.  1037.1  Applicability

    This part contains standards and other regulations applicable to the 
emission of the air pollutant defined as the aggregate group of six 
greenhouse gases: carbon dioxide, nitrous oxide, methane, 
hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride. The 
regulations in this part 1037 apply for all new heavy-duty vehicles, 
except as provided inSec. 1037.5. This includes electric vehicles and 
vehicles fueled by conventional and alternative fuels.



Sec.  1037.5  Excluded vehicles.

    Except for the definitions specified inSec. 1037.801, this part 
does not apply to the following vehicles:
    (a) Vehicles not meeting the definition of ``motor vehicle''.
    (b) Vehicles excluded from the definition of ``heavy-duty vehicle'' 
inSec. 1037.801 because of vehicle weight, weight rating, and frontal 
area (such as light-duty vehicles and light-duty trucks).
    (c) Medium-duty passenger vehicles.
    (d) Vehicles produced in model years before 2014, unless they are 
certified underSec. 1037.150.
    (e) Vehicles subject to the light-duty greenhouse gas standards of 
40 CFR part 86. See 40 CFR 86.1818 for greenhouse gas standards that 
apply for these vehicles. An example of such a vehicle would be a 
vehicle meeting the definition of ``heavy-duty vehicle'' inSec. 
1037.801 and 40 CFR 86.1803, but also meeting the definition of ``light 
truck'' in 40 CFR 86.1818-12(b)(2).



Sec.  1037.10  How is this part organized?

    This part 1037 is divided into subparts as described in this 
section. Note that only subparts A, B, and I of this part apply for 
vehicles subject to the standards ofSec. 1037.104, as described in 
that section.
    (a) Subpart A of this part defines the applicability of part 1037 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify vehicles under this part. 
Note thatSec. 1037.150 discusses certain interim requirements and 
compliance provisions that apply only for a limited time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity for vehicles subject to the standards ofSec. 1037.105 or 
Sec.  1037.106.
    (d) [Reserved]
    (e) Subpart E of this part addresses testing of in-use vehicles.
    (f) Subpart F of this part describes how to test your vehicles and 
perform emission modeling (including references to other parts of the 
Code of Federal Regulations) for vehicles subject to the standards of 
Sec.  1037.105 orSec. 1037.106.
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to 
manufacturers, owners, operators, rebuilders, and all others. Section 
1037.601 describes how 40 CFR part 1068 applies for heavy-duty vehicles.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify vehicles that are subject to the standards 
ofSec. 1037.105 orSec. 1037.106.
    (i) Subpart I of this part contains definitions and other reference 
information.



Sec.  1037.15  Do any other regulation parts apply to me?

    (a) Parts 1065 and 1066 of this chapter describe procedures and 
equipment specifications for testing engines and vehicles to measure 
exhaust emissions. Subpart F of this part 1037 describes how to apply 
the provisions of part 1065 and part 1066 of this chapter to determine 
whether vehicles meet the exhaust emission standards in this part.
    (b) As described inSec. 1037.601, certain 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 vehicles subject to this part 1037. Part 1068 of this chapter 
describes general provisions that apply broadly, but do not necessarily 
apply for all vehicles or all persons. The issues addressed by these 
provisions include these seven areas:
    (1) Prohibited acts and penalties for manufacturers and others.

[[Page 126]]

    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain vehicles.
    (4) Importing vehicles.
    (5) Selective enforcement audits of your production.
    (6) Recall.
    (7) Procedures for hearings.
    (c) Part 86 of this chapter applies for certain vehicles as 
specified in this part. For example, the test procedures and most of 
part 86, subpart S, applies for vehicles subject toSec. 1037.104.
    (d) Other parts of this chapter apply if referenced in this part.

    Effective Date Note: At 78 FR 36390, June 17, 2013,Sec. 1037.15 
was amended by revising paragraph (c), effective Aug. 16, 2013. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1037.15  Do any other regulation parts apply to me?

                                * * * * *

    (c) Part 86 of this chapter applies for certain vehicles as 
specified in this part. For example, the test procedures and most of 
part 86, subpart S, apply for vehicles subject toSec. 1037.104; 
including the following paragraphs of 40 CFR 86.1865-12 apply: (a), 
(h)(1), (h)(3), (j)(1), (j)(4), (k)(1) through (4), (k)(7)(ii), (k)(8), 
(k)(9), (l)(1), (l)(2)(i), (l)(2)(ii), (l)(2)(vi) through (viii), and 
(l)(3).

                                * * * * *



Sec.  1037.30  Submission of information.

    Send all reports and requests for approval to the Designated 
Compliance Officer (seeSec. 1037.801). SeeSec. 1037.825 for 
additional reporting and recordkeeping provisions.



          Subpart B_Emission Standards and Related Requirements



Sec.  1037.101  Overview of emission standards for heavy-duty vehicles.

    (a) This part specifies emission standards for certain vehicles and 
for certain pollutants. It also summarizes other standards that apply 
under 40 CFR part 86. This part contains standards and other regulations 
applicable to the emission of the air pollutant defined as the aggregate 
group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, 
hydrofluorocarbons, perflurocarbons, and sulfur hexafluoride.
    (b) The regulated emissions are addressed in four groups:
    (1) Exhaust emissions of NOX, HC, PM, and CO. These 
pollutants are sometimes described collectively as ``criteria 
pollutants'' because they are either criteria pollutants under the Clean 
Air Act or precursors to the criteria pollutant ozone. These pollutants 
are also sometimes described collectively as ``non-greenhouse gas 
pollutants'', although they do not necessarily have negligible global 
warming potential. As described inSec. 1037.102, standards for these 
pollutants are provided in 40 CFR part 86.
    (2) Exhaust emissions of CO2, CH4, and 
N2O. These pollutants are described collectively in this part 
as ``greenhouse gas pollutants'' because they are regulated primarily 
based on their impact on the climate. These standards are provided in 
Sec.Sec. 1037.104 through 1037.106.
    (3) Hydrofluorocarbons. These pollutants are also ``greenhouse gas 
pollutants'' but are treated separately from exhaust greenhouse gas 
pollutants listed in paragraph (b)(2) of this section. These standards 
are provided inSec. 1037.115.
    (4) Fuel evaporative emissions. These requirements are described in 
40 CFR part 86.
    (c) The regulated heavy-duty vehicles are addressed in different 
groups as follows:
    (1) For criteria pollutants, vehicles are regulated based on gross 
vehicle weight rating (GVWR), whether they are considered ``spark-
ignition'' or ``compression-ignition,'' and whether they are first sold 
as complete or incomplete vehicles. These groupings apply as described 
in 40 CFR part 86.
    (2) For greenhouse gas pollutants, vehicles are regulated in the 
following groups:
    (i) Complete and certain incomplete vehicles at or below 14,000 
pounds GVWR (seeSec. 1037.104 for further specification). Certain 
provisions of 40 CFR part 86 apply for these vehicles; seeSec. 
1037.104(h) for a list of provisions in this part 1037 that also apply 
for these vehicles. These provisions may also be

[[Page 127]]

optionally applied to certain other vehicles, as described inSec. 
1037.104.
    (ii) Tractors above 26,000 pounds GVWR.
    (iii) All other vehicles subject to standards under this part. These 
other vehicles are referred to as ``vocational'' vehicles.



Sec.  1037.102  Exhaust emission standards for NOX, HC, PM, and CO.

    See 40 CFR part 86 for the exhaust emission standards for 
NOX, HC, PM, and CO that apply for heavy-duty vehicles.



Sec.  1037.104  Exhaust emission standards for CO2, CH4, and N2O for
heavy-duty vehicles at or below 14,000 pounds GVWR.

    This section applies for heavy-duty vehicles at or below 14,000 
pounds GVWR. See paragraph (f) of this section andSec. 1037.150 of 
this section for provisions excluding certain vehicles from this 
section, and allowing other vehicles to be certified under this section.
    (a) Fleet-average CO2 emission standards. Fleet-average 
CO2 emission standards apply for each manufacturer as 
follows:
    (1) Calculate a work factor, WF, for each vehicle subconfiguration 
(or group of subconfigurations allowed under paragraph (a)(4) of this 
section), rounded to the nearest pound, using the following equation:

WF = 0.75 x (GVWR - Curb Weight + xwd) + 0.25 x (GCWR - GVWR)
Where:

xwd = 500 pounds if the vehicle has four-wheel drive or all-wheel drive; 
          xwd = 0 pounds for all other vehicles.

    (2) Using the appropriate work factor, calculate a target value for 
each vehicle subconfiguration (or group of subconfigurations allowed 
under paragraph (a)(4) of this section) you produce using one of the 
following equations, rounding to the nearest 0.1 g/mile:
    (i) For spark-ignition vehicles: CO2 Target (g/mile) = 
0.0440 x WF + 339
    (ii) For compression-ignition vehicles and vehicles that operate 
without engines (such as electric vehicles and fuel cell vehicles): 
CO2 Target (g/mile) = 0.0416 x WF + 320
    (3) Calculate a production-weighted average of the target values and 
round it to the nearest 0.1 g/mile. This is your fleet-average standard. 
All vehicles subject to the standards of this section form a single 
averaging set. Use the following equation to calculate your fleet-
average standard from the target value for each vehicle subconfiguration 
(Targeti) and U.S.-directed production volume of each vehicle 
subconfiguration for the given model year (Volumei):
[GRAPHIC] [TIFF OMITTED] TR15SE11.008

    (4) You may group subconfigurations within a configuration together 
for purposes of calculating your fleet-average standard as follows:
    (i) You may group together subconfigurations that have the same 
equivalent test weight (ETW), GVWR, and GCWR. Calculate your work factor 
and target value assuming a curb weight equal to two times ETW minus 
GVWR.
    (ii) You may group together other subconfigurations if you use the 
lowest target value calculated for any of the subconfigurations.
    (b) Production and in-use CO2 standards. Each vehicle you produce 
that is subject to the standards of this section has an ``in-use'' 
CO2 standard that is calculated from your test result and 
that applies for selective enforcement audits and in-use testing. This 
in-use CO2 standard for each vehicle is equal to the 
applicable deteriorated emission level multiplied by 1.10 and rounded to 
the nearest 0.1 g/mile.

[[Page 128]]

    (c) N2O and CH4 standards. Except as allowed under this paragraph 
(c), all vehicles subject to the standards of this section must comply 
with an N2O standard of 0.05 g/mile and a CH4 
standard of 0.05 g/mile. You may specify CH4 and/or 
N2O alternate standards using CO2 emission credits 
instead of these otherwise applicable emission standards for one or more 
test groups, consistent with the provisions of 40 CFR 86.1818. To do 
this, calculate the CH4 and/or N2O emission 
credits needed (negative credits) using the equation in this paragraph 
(c) based on the FEL(s) you specify for your vehicles during 
certification. You must adjust the calculated emissions by the global 
warming potential (GWP): GWP equals 25 for CH4 and 298 for 
N2O. This means you must use 25 Mg of positive CO2 
credits to offset 1 Mg of negative CH4 credits and 298 Mg of 
positive CO2 credits to offset 1 Mg of negative 
N2O credits. Note that 40 CFR 86.1818-12(f) does not apply 
for vehicles subject to the standards of this section. Calculate credits 
using the following equation:

CO2 Credits Needed (Mg) = [(FEL--Std) x (U.S.-directed 
production volume) x (Useful Life)] x (GWP) / 1,000,000

    (d) Compliance provisions. Except as specified in this paragraph (d) 
or elsewhere in this section, the provisions of 40 CFR part 86, 
describing compliance with the greenhouse gas standards of 40 CFR part 
86, subpart S, apply with respect to the standards of paragraphs (a) 
through (c) of this section.
    (1) The CO2 standards of this section apply with respect 
to CO2 emissions, not with respect to carbon-related exhaust 
emissions (CREE).
    (2) Vehicles subject to the standards of this section are included 
in a single greenhouse gas averaging set separate from any averaging 
sets otherwise included in 40 CFR part 86.
    (3) Special credit and incentive provisions related to flexible fuel 
vehicles and air conditioning in 40 CFR part 86 do not apply for 
vehicles subject to the standards of this section.
    (4) The CO2, N2O, and CH4 standards 
apply for a weighted average of the city (55%) and highway (45%) test 
cycle results as specified for light-duty vehicles in 40 CFR part 86, 
subpart S. Note that this differs from the way the criteria pollutant 
standards apply for heavy-duty vehicles.
    (5) Apply an additive deterioration factor of zero to measured 
CO2 emissions unless good engineering judgment indicates that 
emissions are likely to deteriorate in use. Use good engineering 
judgment to develop separate deterioration factors for N2O 
and CH4.
    (6) Credits are calculated using the useful life value (in miles) in 
place of the ``vehicle lifetime miles'' specified in 40 CFR part 86, 
subpart S.
    (7) Credits generated from hybrid vehicles with regenerative braking 
or from vehicles with other advanced technologies may be used to show 
compliance with any standards of this part or 40 CFR part 1036, subject 
to the service class restrictions inSec. 1037.740. Include these 
vehicles in a separate fleet-average calculation (and exclude them from 
your conventional fleet-average calculation). You must first apply these 
advanced technology vehicle credits to any deficits for other vehicles 
in the averaging set before applying them to other averaging sets.
    (8) The provisions of 40 CFR 86.1818 do not apply.
    (9) Calculate your fleet-average emission rate consistent with good 
engineering judgment and the provisions of 40 CFR 86.1865. The following 
additional provisions apply:
    (i) Unless we approve a lower number, you must test at least ten 
subconfigurations. If you produce more than 100 subconfigurations in a 
given model year, you must test at least ten percent of your 
subconfigurations. For purposes of this paragraph (d)(9)(i), count 
carryover tests, but do not include analytically derived CO2 
emission rates, data substitutions, or other untested allowances. We may 
approve a lower number of tests for manufacturers that have limited 
product offerings, or low sales volumes. Note that good engineering 
judgment and other provisions of this part may require you to test more 
subconfigurations than these minimum values.
    (ii) The provisions of paragraph (g) of this section specify how you 
may use analytically derived CO2 emission rates.
    (iii) At least 90 percent of final production volume at the 
configuration

[[Page 129]]

level must be represented by test data (real, data substituted, or 
analytical).
    (10) For dual fuel, multi-fuel, and flexible fuel vehicles, perform 
exhaust testing on each fuel type (for example, gasoline and E85).
    (i) For your fleet-average calculations, use either the 
conventional-fueled CO2 emission rate or a weighted average 
of your emission results as specified in 40 CFR 600.510-12(k) for light-
duty trucks.
    (ii) If you certify to an alternate standard for N2O or 
CH4 emissions, you may not exceed the alternate standard when 
tested on either fuel.
    (11) Test your vehicles with an equivalent test weight based on its 
Adjusted Loaded Vehicle Weight (ALVW). Determine equivalent test weight 
from the ALVW as specified in 40 CFR 86.129, except that you may round 
values to the nearest 500 pound increment for ALVW above 14,000 pounds).
    (12) The following definitions apply for purposes of this section:
    (i) Configuration means a subclassification within a test group 
which is based on engine code, transmission type and gear ratios, final 
drive ratio, and other parameters which we designate. Note that this 
differs from the definition in 40 CFR 86.1803 because it excludes 
inertia weight class as a criterion.
    (ii) Subconfiguration means a unique combination within a vehicle 
configuration (as defined in this paragraph (d)(12)) of equivalent test 
weight, road-load horsepower, and any other operational characteristics 
or parameters that we determine may significantly affect CO2 
emissions within a vehicle configuration.
    (iii) The terms ``complete vehicle'' and ``incomplete vehicle'' have 
the meanings given for ``complete heavy-duty vehicle'' and ``incomplete 
heavy-duty vehicle'' in 40 CFR 86.1803.
    (13) This paragraph (d)(13) applies for CO2 reductions 
resulting from technologies that were not in common use before 2010 that 
are not reflected in the specified test procedures. We may allow you to 
generate emission credits consistent with the provisions of 40 CFR 
86.1866-12(d). You do not need to provide justification for not using 
the 5-cycle methodology option.
    (14) You must submit pre-model year reports before you submit your 
applications for certification for a given model year. Unless we specify 
otherwise, include the information specified for pre-model year reports 
in 49 CFR 535.8.
    (e) Useful life. Your vehicles must meet the exhaust emission 
standards of this section throughout their full useful life, expressed 
in service miles or calendar years, whichever comes first. The useful 
life values for the standards of this section are those that apply for 
criteria pollutants under 40 CFR part 86.
    (f) Exclusion of vehicles not certified as complete vehicles. The 
standards of this section apply for each vehicle that is chassis-
certified with respect to criteria pollutants under 40 CFR part 86, 
subpart S. The standards of this section do not apply for other 
vehicles, except as noted inSec. 1037.150. Note that vehicles excluded 
under this paragraph (f) are not considered to be ``subject to the 
standards of this section.'' The vehicle standards and requirements of 
Sec.  1037.105 apply for the excluded vehicles. The GHG standards of 40 
CFR part 1036 also apply for engines used in these excluded vehicles. If 
you are not the engine manufacturer, you must notify the engine 
manufacturer that its engines are subject to 40 CFR part 1036 because 
you intend to use their engines in your excluded vehicles.
    (g) Analytically derived CO2 emission rates (ADCs). This 
paragraph (g) describes an allowance to use estimated (i.e., 
analytically derived) CO2 emission rates based on baseline 
test data instead of measured emission rates for calculating fleet-
average emissions. Note that these ADCs are similar to ADFEs used for 
light-duty vehicles. Note also that F terms used in this paragraph (g) 
represent coefficients from the following road load equation:

[[Page 130]]

[GRAPHIC] [TIFF OMITTED] TR15SE11.009

    (1) Except as specified in paragraph (g)(2) of this section, use the 
following equation to calculate the ADC of a new vehicle from road load 
force coefficients (F0, F1, F2), axle ratio, and test weight:
[GRAPHIC] [TIFF OMITTED] TR15SE11.010

Where:

ADC = Analytically derived combined city/highway CO2 emission 
          rate (g/mile) for a new vehicle.
CO2base = Combined city/highway CO2 emission rate 
          (g/mile) of a baseline vehicle.
[Delta]F0 = F0 of the new vehicle--F0 of the baseline vehicle.
[Delta]F1 = F1 of the new vehicle--F1 of the baseline vehicle.
[Delta]F2 = F2 of the new vehicle--F2 of the baseline vehicle.
[Delta]AR = Axle ratio of the new vehicle--axle ratio of the baseline 
          vehicle.

[Delta]ETW = ETW of the new vehicle--ETW of the baseline vehicle.

    (2) The purpose of this section is to accurately estimate 
CO2 emission rates. You must apply the provisions of this 
section consistent with good engineering judgment. For example, do not 
use the equation in paragraph (g)(1) of this section where good 
engineering judgment indicates that it will not accurately estimate 
emissions. You may ask us to approve alternate equations that allow you 
to estimate emissions more accurately.
    (3) You may select, without our prior approval, baseline test data 
that meet all the following criteria:
    (i) Vehicles considered for selection for the baseline test must 
comply with all applicable emission standards in the model year 
associated with the ADC.
    (ii) You must include in the pool of tests which will be considered 
for baseline selection all official tests of the same or equivalent 
basic engine, transmission class, engine code, transmission code, engine 
horsepower, dynamometer drive wheels, and compression ratio as the ADC 
subconfiguration. Do not include tests in which emissions exceed any 
applicable standards.
    (iii) Where necessary to minimize the CO2 adjustment, you 
may supplement the pool with tests associated with worst-case engine or 
transmission codes and carryover or carry-across engine families. If you 
do, all the data that qualify for inclusion using the elected worst-case 
substitution (or carryover or carry-across) must be included in the pool 
as supplemental data (i.e., individual test vehicles may not be selected 
for inclusion). You must also include the supplemental data in all 
subsequent pools, where applicable.
    (iv) Tests previously used during the subject model year as baseline 
tests in ten other ADC subconfigurations must be eliminated from the 
pool. (v) Select the tested subconfiguration with the smallest absolute 
difference between the ADC and the test CO2 emission rate for 
combined emissions. Use this as the baseline test for the target ADC 
subconfiguration.
    (4) You may ask us to allow you use baseline test data not fully 
meeting the provisions of paragraph (g)(3) of this section.
    (5) Calculate the ADC rounded to the nearest 0.1 g/mile. The 
downward adjustment of ADC from the baseline is limited to ADC values 20 
percent below the baseline emission rate (i.e., baseline emission rate x 
0.80). The upward adjustment is not limited.
    (6) You may not submit an ADC if an actual test has been run on the 
target subconfiguration during the certification process or on a 
development vehicle that is eligible to be declared as an emission-data 
vehicle.
    (7) No more than 40 percent of the subconfigurations tested in your 
final CO2 submission may be represented by ADCs.
    (8) You must retain for five years the pool of tests, the vehicle 
description

[[Page 131]]

and tests chosen as the baseline and the basis for its selection, the 
target ADC subconfiguration, and the calculated emission rates. We may 
ask to see these records at any time.
    (9) We may perform or order a confirmatory test of any 
subconfiguration covered by an ADC.
    (10) Where we determine that you did not fully comply with the 
provisions of this paragraph (g), we may rescind the use of ADC data, 
require generation of actual test data, and require recalculation of 
your fleet-average emission rate.
    (h) Applicability of part 1037 provisions. Except as specified in 
this section, the requirements of this part do not apply to vehicles 
certified to the standards of this section. The following provisions are 
the only provisions of this part that apply to vehicles certified under 
this section:
    (1) The provisions of this section.
    (2) [Reserved]
    (3) The air conditioning standards inSec. 1037.115.
    (4) The interim provisions ofSec. 1037.150(a), (b), (c), (e)-(i), 
(l), and (m).
    (5) The definitions ofSec. 1037.801, to the extent such terms are 
used relative to vehicles subject to standards under this section.

    Effective Date Note: At 78 FR 36390, June 17, 2013,Sec. 1037.104 
was amended by revising paragraphs (a)(2) introductory text, (d)(2), 
(d)(4), (d)(6), (d)(9), (d) (12), (d)(13), and (g), and adding paragraph 
(d)(15), effective Aug. 16, 2013. For the convenience of the user, the 
added and revised text is set forth as follows:



Sec.  1037.104  Exhaust emission standards for CO2, 
          CH4, and N2O for heavy-duty vehicles at 
          or below 14,000 pounds GVWR.

                                * * * * *

    (a) * * *
    (2) Using the appropriate work factor, calculate a target value for 
each vehicle subconfiguration (or group of subconfigurations allowed 
under paragraph (a)(4) of this section) you produce using one of the 
following equations, or the phase-in provisions inSec. 1037.150(b), 
rounding to the nearest 0.1 g/mile:

                                * * * * *

    (d) * * *
    (2) The following general credit provisions apply:
    (i) Credits you generate under this section may be used only to 
offset credit deficits under this section. You may bank credits for use 
in a future model year in which your average CO2 level 
exceeds the standard. You may trade credits to another manufacturer 
according to 40 CFR 86.1865-12(k)(8). Before you bank or trade credits, 
you must apply any available credits to offset a deficit if the deadline 
to offset that credit deficit has not yet passed.
    (ii) Vehicles subject to the standards of this section are included 
in a single greenhouse gas averaging set separate from any averaging set 
otherwise included in 40 CFR part 86.
    (iii) Banked CO2 credits keep their full value for five 
model years after the year in which they were generated. Unused credits 
expire at the end of this fifth model year.

                                * * * * *

    (4) The CO2, N2O, and CH4 standards 
apply for a weighted average of the city (55%) and highway (45%) test 
cycle results. Note that this differs from the way the criteria 
pollutant standards apply for heavy-duty vehicles.

                                * * * * *

    (6) Credits are calculated using the useful life value (in miles) in 
place of ``vehicle lifetime miles'' specified in 40 CFR part 86, subpart 
S. Calculate a total credit or debit balance in a model year by adding 
credits and debits from 40 CFR 86.1865-12(k)(4), subtracting any 
CO2-equivalent debits for N2O or CH4 
calculated according toSec. 1037.104(c), and adding any of the 
following credits:
    (i) Advanced technology credits according to paragraph (d)(7) of 
this section andSec. 1037.150(i).
    (ii) Innovative technology credits according to paragraph (d)(13) of 
this section.
    (iii) Early credits according toSec. 1037.150(a)(2).

                                * * * * *

    (9) Calculate your fleet-average emission rate consistent with good 
engineering judgment and the provisions of 40 CFR 86.1865. The following 
additional provisions apply:
    (i) Unless we approve a lower number, you must test at least ten 
subconfigurations. If you produce more than 100 subconfigurations in a 
given model year, you must test at least 25 subconfigurations or ten 
percent of your subconfigurations (whichever is less). For purposes of 
this paragraph (d)(9)(i), count carryover tests, but do not include 
analytically derived CO2 emission rates, data substitutions, 
or other untested allowances. We may approve a lower number of tests for 
manufacturers that have limited product offerings or low sales volumes. 
Note that good

[[Page 132]]

engineering judgment and other provisions of this part may require you 
to test more subconfigurations than these minimum values.
    (ii) The provisions of paragraph (g) of this section specify how you 
may use analytically derived CO2 emission rates.
    (iii) All final production volume at the subconfiguration level must 
be represented by test data (real, data substituted, or analytical).
    (iv) Perform fleet-average CO2 calculations as described 
in 40 CFR 86.1865 and 40 CFR part 600, with the following exceptions:
    (A) Use CO2 emissions values for all test results, 
intermediate calculations, and fleet average calculations instead of the 
carbon-related exhaust emission (CREE) values specified in 40 CFR parts 
86 and 600.
    (B) Perform intermediate CO2 calculations for 
subconfigurations within each configuration using the subconfiguration 
and configuration definitions in paragraph (d)(12) of this section.
    (C) Perform intermediate CO2 calculations for 
configurations within each test group and transmission type (instead of 
configurations within each base level and base levels within each model 
type). Use the configuration definition in paragraph (d)(12)(i) of this 
section.
    (D) Do not perform intermediate CO2 calculations for each 
base level or for each model type. Base level and model type 
CO2 calculations are not applicable to heavy-duty vehicles 
subject to standards in this section.
    (E) Determine fleet average CO2 emissions for heavy-duty 
vehicles subject to standards in this section as described in 40 CFR 
600.510-12(j), except that the calculations must be performed on the 
basis of test group and transmission type (instead of the model-type 
basis specified in the light-duty vehicle regulations), and the 
calculations for dual fuel, multi-fuel, and flexible fuel vehicles must 
be consistent with the provisions of paragraph (d)(10)(i) of this 
section.

                                * * * * *

    (12) The following definitions apply for the purposes of this 
section:
    (i) Configuration means a subclassification within a test group 
based on engine code, transmission type and gear ratios, final drive 
ratio, and other parameters we designate. Transmission type means the 
basic type of the transmission (e.g., automatic, manual, automated 
manual, semi-automatic, or continuously variable) and does not include 
the drive system of the vehicle (e.g., front-wheel drive, rear-wheel 
drive, or four-wheel drive). Engine code means the combination of both 
``engine code'' and ``basic engine'' as defined in 40 CFR 600.002. Note 
that this definition differs from the one in 40 CFR 86.1803.
    (ii) Subconfiguration means a unique combination within a vehicle 
configuration (as defined in this paragraph (d)(12)) of equivalent test 
weight, road-load horsepower, and any other operational characteristics 
or parameters that we determine may significantly affect CO2 
emissions within a vehicle configuration. Note that for vehicles subject 
to standards of this section, equivalent test weight (ETW) is based on 
the ALVW of the vehicle as outlined in paragraph (d)(11) of this 
section.
    (iii) The terms ``complete vehicle'' and ``incomplete vehicle'' have 
the meanings given for ``complete heavy-duty vehicle'' and ``incomplete 
heavy-duty vehicle'', respectively, in 40 CFR 86.1803.
    (13) This paragraph (d)(13) applies for CO2 reductions 
resulting from technologies that were not in common use before 2010 that 
are not reflected in the specified test procedures. We may allow you to 
generate emission credits consistent with the provisions of 40 CFR 
86.1869-12(c) and (d). You do not need to provide justification for not 
using the 5-cycle methodology.

                                * * * * *

    (15) You must submit a final report within 90 days after the end of 
the model year. Unless we specify otherwise, include applicable 
information identified in 40 CFR 86.1865-12(l), 40 CFR 600.512, and 49 
CFR 535.8(e). The final report must include at least the following 
information:
    (i) Model year.
    (ii) Applicable fleet-average CO2 standard.
    (iii) Calculated fleet-average CO2 value and all the 
values required to calculate the CO2 value.
    (iv) Number of credits or debits incurred and all values required to 
calculate those values.
    (v) Resulting balance of credits or debits.
    (vi) N2O emissions.
    (vii) CH4 emissions.
    (viii) HFC leakage score.

                                * * * * *

    (g) Analytically derived CO2 emission rates (ADCs). This 
paragraph (g) describes an allowance to use estimated (i.e., 
analytically derived) CO2 emission rates based on baseline 
test data instead of measured emission rates for calculating fleet-
average emissions. Note that these ADCs are similar to ADFEs used for 
light-duty vehicles. Note also that F terms used in this paragraph (g) 
represent coefficients from the following road load equation:

Force - (mass)(acceleration) = F0 + F1 [middot] (velocity) + F2 [middot] 
(velocity)\2\

    (1) Except as specified in paragraph (g)(2) of this section, use the 
following equation to

[[Page 133]]

calculate the ADC of a new vehicle from road load force coefficients 
(F0, F1, F2), axle ratio, and test weight:

ADC = CO2base + 2.18 [middot] [Delta]F0 + 37.4 [middot] 
          [Delta]F1 + 2257 [middot] [Delta]F2 + 189 [middot] [Delta]AR + 
          0.0222 [middot] [Delta]ETW

Where:

ADC = Analytically derived combined city/highway CO2 emission 
          rate (g/mile) for a new vehicle.
CO2base = Combined city/highway CO2 emission rate 
          (g/mile) of a baseline vehicle.
[Delta]F0 = F0 of the new vehicle--F0 of the baseline vehicle.
[Delta]F1 = F1 of the new vehicle--F1 of the baseline vehicle.
[Delta]F2 = F2 of the new vehicle--F2 of the baseline vehicle.
[Delta]AR = Axle ratio of the new vehicle--axle ratio of the baseline 
          vehicle.
[Delta]ETW = ETW of the new vehicle--ETW of the baseline vehicle.

    (2) The purpose of this section is to accurately estimate 
CO2 emission rates.
    (i) You must apply the provisions of this section consistent with 
good engineering judgment. For example, do not use the equation in 
paragraph (g)(1) of this section where good engineering judgment 
indicates that it will not accurately estimate emissions. You may ask us 
to approve alternate equations that allow you to estimate emissions more 
accurately.
    (ii) The analytically derived CO2 equation in paragraph 
(g)(1) of this section may be periodically updated through publication 
of an EPA guidance document to more accurately characterize 
CO2 emission levels' for example, changes may be appropriate 
based on new test data, future technology changes, or to changes in 
future CO2 emission levels. Any EPA guidance document will 
determine the model year that the updated equation takes effect. We will 
issue guidance no later than eight months before the effective model 
year. For example, for 2014 models, the model year may start January 2, 
2013, so guidance would be issued by May 1, 2012 for model year 2014.
    (3) You may select, without our advance approval, baseline test data 
if they meet all the following criteria:
    (i) Vehicles considered for the baseline test must comply with all 
applicable emission standards in the model year associated with the ADC.
    (ii) You must include in the pool of tests considered for baseline 
selection all official tests of the same or equivalent basic engine, 
transmission class, engine code, transmission code, engine horsepower, 
dynamometer drive wheels, and compression ratio as the ADC 
subconfiguration. Do not include tests in which emissions exceed any 
applicable standard.
    (iii) Where necessary to minimize the CO2 adjustment, you 
may supplement the pool with tests associated with worst-case engine or 
transmission codes and carryover or carry-across engine families. If you 
do, all the data that qualify for inclusion using the elected worst-case 
substitution (or carryover or carry-across) must be included in the pool 
as supplemental data (i.e., individual test vehicles may not be selected 
for inclusion). You must also include the supplemental data in all 
subsequent pools, where applicable.
    (iv) Except with our advance approval, tests previously used during 
the subject model year as baseline tests in 20 other ADC 
subconfigurations must be eliminated from the pool.
    (v) Select the tested subconfiguration with the smallest absolute 
difference between the ADC and the test CO2 emission rate for 
combined emissions. Use this as the baseline test for the target ADC 
subconfiguration.
    (4) You may ask us to allow you to use baseline test data not fully 
meeting the provisions of paragraph (g)(3) of this section.
    (5) Calculate the ADC rounded to the nearest 0.1 g/mile. Except with 
our advance approval, the downward adjustment of ADC from the baseline 
is limited to ADC values 20 percent below the baseline emission rate. 
The upward adjustment is not limited.
    (6) You may not submit an ADC if an actual test has been run on the 
target subconfiguration during the certification process or on a 
development vehicle that is eligible to be declared as an emission-data 
vehicle.
    (7) [Reserved]
    (8) Keep the following records for at least five years, and show 
them to us if we ask to see them:
    (i) The pool of tests.
    (ii) The vehicle description and tests chosen as the baseline and 
the basis for the selection.
    (iii) The target ADC subconfiguration.
    (iv) The calculated emission rates.
    (9) We may perform or order a confirmatory test of any 
subconfiguration covered by an ADC.
    (10) Where we determine that you did not fully comply with the 
provisions of this paragraph (g), we may require that you comply based 
on actual test data and that you recalculate your fleet-average emission 
rate.

                                * * * * *



Sec.  1037.105  Exhaust emission standards for CO2 for vocational
vehicles.

    (a) The standards of this section apply for the following vehicles:
    (1) Vehicles above 14,000 pounds GVWR and at or below 26,000 pounds

[[Page 134]]

GVWR, but not certified to the vehicle standardsSec. 1037.104.
    (2) Vehicles above 26,000 pounds GVWR that are not tractors.
    (3) Vocational tractors.
    (4) Vehicles at or below 14,000 pounds GVWR that are excluded from 
the standards inSec. 1037.104 underSec. 1037.104 (f) or use engines 
certified underSec. 1037.150(m).
    (b) The CO2 standards of this section are given in Table 
1 to this section. The provisions ofSec. 1037.241 specify how to 
comply with these standards.

    Table 1 toSec.  1037.105--CO2 Standards for Vocational Vehicles
------------------------------------------------------------------------
                                           CO2 standard
                                           (g/ton-mile)    CO2 standard
              GVWR (pounds)                  for model     (g/ton-mile)
                                            years 2014-   for model year
                                               2016       2017 and later
------------------------------------------------------------------------
GVWR <= 19,500..........................             388             373
19,500 < GVWR <= 33,000.................             234             225
33,000 < GVWR...........................             226             222
------------------------------------------------------------------------

    (c) No CH4 or N2O standards apply under this 
section. See 40 CFR part 1036 for CH4 or N2O 
standards that apply to engines used in these vehicles.
    (d) You may generate or use emission credits under the ABT program 
as described in subpart H of this part. This requires that you specify a 
Family Emission Limit (FEL) for CO2 for each vehicle 
subfamily. The FEL may not be less than the result of emission modeling 
fromSec. 1037.520. These FELs serve as the emission standards for the 
vehicle subfamily instead of the standards specified in paragraph (b) of 
this section.
    (e) Your vehicles must meet the exhaust emission standards of this 
section throughout their full useful life, expressed in service miles or 
calendar years, whichever comes first. The following useful life values 
apply for the standards of this section:
    (1) 110,000 miles or 10 years, whichever comes first, for vehicles 
at or below 19,500 pounds GVWR.
    (2) 185,000 miles or 10 years, whichever comes first, for vehicles 
above 19,500 pounds GVWR and at or below 33,000 pounds GVWR.
    (3) 435,000 miles or 10 years, whichever comes first, for vehicles 
above 33,000 pounds GVWR.
    (f) SeeSec. 1037.631 for provisions that exempt certain vehicles 
used in off-road operation from the standards of this section.
    (g) You may optionally certify a vocational vehicle to the standards 
and useful life applicable to a higher vehicle service class (such as 
medium heavy-duty instead of light heavy-duty), provided you do not 
generate credits with the vehicle. If you include smaller vehicles in a 
credit-generating subfamily (with an FEL below the standard), exclude 
its production volume from the credit calculation.



Sec.  1037.106  Exhaust emission standards for CO2 for tractors
above 26,000 pounds GVWR.

    (a) The CO2 standards of this section apply for tractors 
above 26,000 pounds GVWR. Note that the standards of this section do not 
apply for vehicles classified as ``vocational tractors'' underSec. 
1037.630,
    (b) The CO2 standards for tractors above 26,000 pounds 
GVWR are given in Table 1 to this section. The provisions ofSec. 
1037.241 specify how to comply with these standards.

                 Table 1 toSec.  1037.106--CO2 Standards for Tractors Above 26,000 Pounds GVWR
----------------------------------------------------------------------------------------------------------------
                                                                                   CO2 standard
                                                                                   (g/ton-mile)    CO2 standard
                 GVWR (pounds)                            Sub-category               for model     (g/ton-mile)
                                                                                    years 2014-   for model year
                                                                                       2016       2017 and later
----------------------------------------------------------------------------------------------------------------
26,000 < GVWR <= 33,000.......................  Low-Roof (all cab styles).......             107             104
                                                Mid-Roof (all cab styles).......             119             115
                                                High-Roof (all cab styles)......             124             120
GVWR  33,000.......................  Low-Roof Day Cab................              81              80
                                                Low-Roof Sleeper Cab............              68              66
                                                Mid-Roof Day Cab................              88              86
                                                Mid-Roof Sleeper Cab............              76              73
                                                High-Roof Day Cab...............              92              89
                                                High-Roof Sleeper Cab...........              75              72
----------------------------------------------------------------------------------------------------------------


[[Page 135]]

    (c) No CH4 or N2O standards apply under this 
section. See 40 CFR part 1036 for CH4 or N2O 
standards that apply to engines used in these vehicles.
    (d) You may generate or use emission credits under the ABT program, 
as described in subpart H of this part. This requires that you specify a 
Family Emission Limit (FEL) for each pollutant you include in the ABT 
program for each vehicle subfamily. The FEL may not be less than the 
result of emission modeling fromSec. 1037.520. These FELs serve as the 
emission standards for the specific vehicle subfamily instead of the 
standards specified in paragraph (a) of this section.
    (e) Your vehicles must meet the exhaust emission standards of this 
section throughout their full useful life, expressed in service miles or 
calendar years, whichever comes first. The following useful life values 
apply for the standards of this section:
    (1) 185,000 miles or 10 years, whichever comes first, for vehicles 
at or below 33,000 pounds GVWR.
    (2) 435,000 miles or 10 years, whichever comes first, for vehicles 
above 33,000 pounds GVWR.
    (f) You may optionally certify a tractor to the standards and useful 
life applicable to a higher vehicle service class (such as heavy heavy-
duty instead of medium heavy-duty), provided you do not generate credits 
with the vehicle. If you include smaller vehicles in a credit-generating 
subfamily (with an FEL below the standard), exclude its production 
volume from the credit calculation.



Sec.  1037.115  Other requirements.

    Vehicles required to meet the emission standards of this part must 
meet the following additional requirements, except as noted elsewhere in 
this part:
    (a) Adjustable parameters. Vehicles that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing. See 40 CFR part 86 for information related to determining 
whether or not an operating parameter is considered adjustable. You must 
ensure safe vehicle operation throughout the physically adjustable range 
of each adjustable parameter, including consideration of production 
tolerances. Note that adjustable roof fairings are deemed not to be 
adjustable parameters.
    (b) Prohibited controls. You may not design your vehicles with 
emission control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the vehicle emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (c) Air conditioning leakage. Loss of refrigerant from your air 
conditioning systems may not exceed 1.50 percent per year, except as 
allowed by paragraphs (c)(2) and (3) of this section. Calculate the 
total leakage rate in g/year as specified in 40 CFR 86.166. Calculate 
the percent leakage rate as: [total leakage rate (g/yr)] / [total 
refrigerant capacity (g)] x 100. Round your leakage rate to the nearest 
one-hundredth of a percent. SeeSec. 1037.150 for vocational vehicles.
    (1) For purpose of this requirement, ``refrigerant capacity'' is the 
total mass of refrigerant recommended by the vehicle manufacturer as 
representing a full charge. Where full charge is specified as a 
pressure, use good engineering judgment to convert the pressure and 
system volume to a mass.
    (2) If your system uses a refrigerant other than HFC-134a, adjust 
your leakage rate by multiplying it by the global warming potential of 
your refrigerant and dividing the product by 1430 (which is the global 
warming potential of HFC-134a). Apply this adjustment before comparing 
your leakage rate to the standard. Determine global warming potentials 
consistent with 40 CFR 86.1866. Note that global warming potentials 
represent the equivalent grams of CO2 that would have the 
same global warming impact (over 100 years) as one gram of the 
refrigerant.
    (3) If your total refrigerant capacity is less than 734 grams, your 
leakage rate may exceed 1.50 percent, as long as the total leakage rate 
does not exceed 11.0 g/yr. If your system uses a refrigerant other than 
HFC-134a, you may

[[Page 136]]

adjust your leakage rate as specified in paragraph (c)(2) of this 
section.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.115 
was amended by revising paragraph (c) introductory text and removing and 
reserving paragraph (c)(2), effective Aug. 16, 2013. For the convenience 
of the user, the revised text is set forth as follows:



Sec.  1037.115  Other requirements.

                                * * * * *

    (c) Air conditioning leakage. Loss of refrigerant from your air 
conditioning systems may not exceed 1.50 percent per year, except as 
allowed by paragraph (c)(3) of this section. Calculate the total leakage 
rate in g/year as specified in 40 CFR 86.1867-12(a). Calculate the 
percent leakage rate as: [total leakage rate (g/yr)] / [total 
refrigerant capacity (g)] x 100. Round your leakage rate to the nearest 
one-hundredth of a percent. SeeSec. 1037.150 for vocational vehicles.

                                * * * * *



Sec.  1037.120  Emission-related warranty requirements.

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new vehicle, including all parts 
of its emission control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that cause 
the vehicle to fail to conform to the requirements of this part during 
the applicable warranty period.
    (b) Warranty period. (1) Your emission-related warranty must be 
valid for at least:
    (i) 5 years or 50,000 miles for spark-ignition vehicles and light 
heavy-duty vehicles.
    (ii) 5 years or 100,000 miles for medium and heavy heavy-duty 
vehicles.
    (iii) 2 years or 24,000 miles for tires.
    (2) You may offer an emission-related warranty more generous than we 
require. The emission-related warranty for the vehicle may not be 
shorter than any basic mechanical warranty you provide to that owner 
without charge for the vehicle. Similarly, the emission-related warranty 
for any component may not be shorter than any warranty you provide to 
that owner without charge for that component. This means that your 
warranty for a given vehicle may not treat emission-related and non-
emission-related defects differently for any component. The warranty 
period begins when the vehicle is placed into service.
    (c) Components covered. The emission-related warranty covers vehicle 
speed limiters, idle shutdown systems, fairings, and hybrid system 
components, to the extent such emission-related components are included 
in the certified emission controls. The emission-related warranty covers 
all components whose failure would increase a vehicle's emissions of air 
conditioning refrigerants for vehicles subject to air conditioning 
leakage standards. The emission-related warranty covers tires and all 
components whose failure would increase a vehicle's evaporative 
emissions (for vehicles subject to evaporative emission standards). 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 a vehicle's 
emissions of any regulated pollutant.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owner's manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the vehicle.



Sec.  1037.125  Maintenance instructions and allowable maintenance.

    Give the ultimate purchaser of each new vehicle written instructions 
for properly maintaining and using the vehicle, including the emission 
control system. The maintenance instructions also apply to service 
accumulation on any of your emission-data vehicles. See paragraph (i) of 
this section for requirements related to tire replacement.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of

[[Page 137]]

critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you demonstrate that the maintenance 
is reasonably likely to be done at the recommended intervals on in-use 
vehicles. We will accept scheduled maintenance as reasonably likely to 
occur if you satisfy any of the following conditions:
    (1) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the vehicle's 
performance.
    (2) You present survey data showing that at least 80 percent of 
vehicles in the field get the maintenance you specify at the recommended 
intervals.
    (3) You provide the maintenance free of charge and clearly say so in 
your maintenance instructions.
    (4) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those vehicles from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data vehicles.
    (c) Special maintenance. You may specify more frequent maintenance 
to address problems related to special situations, such as atypical 
vehicle 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 vehicle 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 vehicles from in-use testing or deny a 
warranty claim. Do not take these inspection or maintenance steps during 
service accumulation on your emission-data vehicles.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
vehicles, as long as they are reasonable and technologically necessary. 
You may perform this non-emission-related maintenance on emission-data 
vehicles at the least frequent intervals that you recommend to the 
ultimate purchaser (but not the intervals recommended for severe 
service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
vehicle be serviced by your franchised dealers or any other service 
establishments with which you have a

[[Page 138]]

commercial relationship. You may disregard the requirements in this 
paragraph (f) if you do one of two things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the vehicle will work properly only with the identified 
component or service.
    (g) [Reserved]
    (h) Owner's manual. Explain the owner's responsibility for proper 
maintenance in the owner's manual.
    (i) Tire maintenance and replacement. Include instructions that will 
enable the owner to replace tires so that the vehicle conforms to the 
original certified vehicle configuration.



Sec.  1037.135  Labeling.

    (a) Assign each vehicle a unique identification number and 
permanently affix, engrave, or stamp it on the vehicle in a legible way. 
The vehicle identification number (VIN) serves this purpose.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each vehicle. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced.
    (2) Secured to a part of the vehicle needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the vehicle's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``VEHICLE EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the branding provisions of 40 CFR 1068.45.
    (3) Include EPA's standardized designation for the vehicle family.
    (4) State the regulatory sub-category that determines the applicable 
emission standards for the vehicle family (see definition inSec. 
1037.801).
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]. 
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.
    (6) Identify the emission control system. Use terms and 
abbreviations as described in appendix III to this part or other 
applicable conventions.
    (7) Identify any requirements for fuel and lubricants that do not 
involve fuel-sulfur levels.
    (8) State: ``THIS VEHICLE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[MODEL YEAR] HEAVY-DUTY VEHICLES.''
    (9) Include the following statement, if applicable: ``THIS VEHICLE 
IS DESIGNED TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x 
GALLONS OF FUEL TANK CAPACITY.'' Complete this statement by identifying 
the maximum specified fuel tank capacity associated with your 
certification.
    (d) You may add information to the emission control information 
label to identify other emission standards that the vehicle meets or 
does not meet (such as European standards). You may also add other 
information to ensure that the vehicle will be properly maintained and 
used.
    (e) You may ask us to approve modified labeling requirements in this 
part 1037 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.135 
was amended by revising paragraphs (c)(5) and (c)(9), effective Aug. 16, 
2013. For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1037.135  Labeling.

                                * * * * *

    (c) * * *
    (5) State the date of manufacture [DAY (optional), MONTH, and YEAR]. 
You may omit this from the label if you stamp, engrave, or otherwise 
permanently identify it elsewhere on the vehicle, in which case you must 
also describe in your application for certification where you will 
identify the date on the vehicle.

                                * * * * *

[[Page 139]]

    (9) Include the following statement for vehicles with an evaporative 
canister for controlling diurnal emissions: ``THIS VEHICLE IS DESIGNED 
TO COMPLY WITH EVAPORATIVE EMISSION STANDARDS WITH UP TO x GALLONS OF 
FUEL TANK CAPACITY.'' Complete this statement by identifying the maximum 
specified fuel tank capacity associated with your certification.

                                * * * * *



Sec.  1037.140  Curb weight and roof height.

    (a) Where applicable, a vehicle's curb weight and roof height are 
determined from nominal design specifications, as provided in this 
section. Round the weight to the nearest pound and height to the nearest 
inch. Base roof height on fully inflated tires having a static loaded 
radius equal to the arithmetic mean of the largest and smallest static 
loaded radius of tires you offer or a standard tire we approve.
    (b) The nominal design specifications must be within the range of 
the actual weights and roof heights of production vehicles considering 
normal production variability. If after production begins it is 
determined that your nominal design specifications do not represent 
production vehicles, we may require you to amend your application for 
certification underSec. 1037.225.
    (c) If your vehicle is equipped with an adjustable roof fairing, 
measure the roof height with the fairing in its lowest setting.



Sec.  1037.150  Interim provisions.

    The provisions in this section apply instead of other provisions in 
this part.
    (a) Incentives for early introduction. The provisions of this 
paragraph (a) apply with respect to vehicles produced in model years 
before 2014. Manufacturers may voluntarily certify in model year 2013 
(or earlier model years for electric vehicles) to the greenhouse gas 
standards of this part.
    (1) This paragraph (a)(1) applies for regulatory sub-categories 
subject to the standards ofSec. 1037.105 orSec. 1037.106. Except as 
specified in paragraph (a)(3) of this section, to generate early credits 
under this paragraph for any vehicles other than electric vehicles, you 
must certify your entire U.S.-directed production volume within the 
regulatory sub-category to these standards. Except as specified in 
paragraph (a)(4) of this section, if some vehicle families within a 
regulatory sub-category are certified after the start of the model year, 
you may generate credits only for production that occurs after all 
families are certified. For example, if you produce three vehicle 
families in an averaging set and you receive your certificates for those 
families on January 4, 2013, March 15, 2013, and April 24, 2013, you may 
not generate credits for model year 2013 production in any of the 
families that occurs before April 24, 2013. Calculate credits relative 
to the standard that would apply in model year 2014 using the equations 
in subpart H of this part. You may bank credits equal to the surplus 
credits you generate under this paragraph (a) multiplied by 1.50. For 
example, if you have 1.0 Mg of surplus credits for model year 2013, you 
may bank 1.5 Mg of credits. Credit deficits for an averaging set prior 
to model year 2014 do not carry over to model year 2014. These credits 
may be used to show compliance with the standards of this part for 2014 
and later model years. We recommend that you notify EPA of your intent 
to use this provision before submitting your applications.
    (2) This paragraph (a)(2) applies for regulatory sub-categories 
subject to the standards ofSec. 1037.104. To generate early credits 
under this paragraph (a)(2) for any vehicles other than electric 
vehicles, you must certify your entire U.S.-directed production volume 
within the regulatory sub-category to these standards. If you calculate 
a separate fleet average for advanced-technology vehicles underSec. 
1037.104(c)(7), you must certify your entire U.S.-directed production 
volume of both advanced and conventional vehicles within the regulatory 
sub-category. Except as specified in paragraph (a)(4) of this section, 
if some test groups are certified after the start of the model year, you 
may generate credits only for production that occurs after all test 
groups are certified. For example, if you produce three test groups in 
an averaging set and you receive your certificates for those test groups 
on January 4, 2013, March 15, 2013, and April 24, 2013, you may not 
generate credits for

[[Page 140]]

model year 2013 production in any of the test groups that occurs before 
April 24, 2013. Calculate credits relative to the standard that would 
apply in model year 2014 using the applicable equations in 40 CFR part 
86 and your model year 2013 U.S.-directed production volumes. These 
credits may be used to show compliance with the standards of this part 
for 2014 and later model years. We recommend that you notify EPA of your 
intent to use this provision before submitting your applications.
    (3) You may generate emission credits for the number of additional 
SmartWay designated tractors (relative to your 2012 production), 
provided you do not generate credits for those vehicles under paragraph 
(a)(1) of this section. Calculate credits for each regulatory sub-
category relative to the standard that would apply in model year 2014 
using the equations in subpart H of this part. Use a production volume 
equal to the number of designated model year 2013 SmartWay tractors 
minus the number of designated model year 2012 SmartWay tractors. You 
may bank credits equal to the surplus credits you generate under this 
paragraph (a)(3) multiplied by 1.50. Your 2012 and 2013 model years must 
be equivalent in length.
    (4) This paragraph (a)(4) applies where you do not receive your 
final certificate in a regulatory sub-category within 30 days of 
submitting your final application for that sub-category. Calculate your 
credits for all production that occurs 30 days or more after you submit 
your final application for the sub-category.
    (b) Phase-in provisions. Each manufacturer must choose one of the 
following options for phasing in the standards ofSec. 1037.104:
    (1) To implement the phase-in under this paragraph (b)(1), the 
standards inSec. 1037.104 apply as specified for model year 2018, with 
compliance for vehicles in model years 2014 through 2017 based on the 
CO2 target values specified in the following table:

                       Table 1 toSec.  1037.150
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2014 Spark-Ignition................  [0.0482 x (WF)] + 371
2015 Spark-Ignition................  [0.0479 x (WF)] + 369
2016 Spark-Ignition................  [0.0469 x (WF)] + 362
2017 Spark-Ignition................  [0.0460 x (WF)] + 354
2014 Compression-Ignition..........  [0.0478 x (WF)] + 368
2015 Compression-Ignition..........  [0.0474 x (WF)] + 366
2016 Compression-Ignition..........  [0.0460 x (WF)] + 354
2017 Compression-Ignition..........  [0.0445 x (WF)] + 343
------------------------------------------------------------------------

    (2) To implement the phase-in under this paragraph (b)(2), the 
standards inSec. 1037.104 apply as specified for model year 2019, with 
compliance for vehicles in model years 2014 through 2018 based on the 
CO2 target values specified in the following table:

                       Table 2 toSec.  1037.150
------------------------------------------------------------------------
    Model year and engine cycle         Alternate CO2 target (g/mile)
------------------------------------------------------------------------
2014 Spark-Ignition................  [0.0482 x (WF)] + 371
2015 Spark-Ignition................  [0.0479 x (WF)] + 369
2016-2018 Spark-Ignition...........  [0.0456 x (WF)] + 352
2014 Compression-Ignition..........  [0.0478 x (WF)] + 368
2015 Compression-Ignition..........  [0.0474 x (WF)] + 366
2016-2018 Compression-Ignition.....  [0.0440 x (WF)] + 339
------------------------------------------------------------------------

    (c) Provisions for small manufacturers. Manufacturers meeting the 
small business criteria specified in 13 CFR 121.201 for ``Heavy Duty 
Truck Manufacturing'' are not subject to the greenhouse gas standards of 
Sec.Sec. 1037.104 through 1037.106, as specified in this

[[Page 141]]

paragraph (c). Qualifying manufacturers must notify the Designated 
Compliance Officer each model year before introducing these excluded 
vehicles into U.S. commerce. This notification must include a 
description of the manufacturer's qualification as a small business 
under 13 CFR 121.201. You must label your excluded vehicles with the 
following statement: ``THIS VEHICLE IS EXCLUDED UNDER 40 CFR 
1037.150(c).''.
    (d) Air conditioning leakage for vocational vehicles. The air 
conditioning leakage standard ofSec. 1037.115 does not apply for 
vocational vehicles.
    (e) Model year 2014 N2O standards. In model year 2014 and 
earlier, manufacturers may show compliance with the N2O 
standards using an engineering analysis. This allowance also applies for 
later test groups families carried over from model 2014 consistent with 
the provisions of 40 CFR 86.1839. You may not certify to an 
N2O FEL different than the standard without measuring 
N2O emissions.
    (f) Electric vehicles. All electric vehicles are deemed to have zero 
emissions of CO2, CH4, and N2O. No 
emission testing is required for electric vehicles.
    (g) Compliance date. Compliance with the standards of this part is 
optional prior to January 1, 2014. This means that if your 2014 model 
year begins before January 1, 2014, you may certify for a partial model 
year that begins on January 1, 2014 and ends on the day your model year 
would normally end. You must label model year 2014 vehicles excluded 
under this paragraph (g) with the following statement: ``THIS VEHICLE IS 
EXCLUDED UNDER 40 CFR 1037.150(g).''
    (h) Off-road vehicle exemption. In unusual circumstances, vehicle 
manufacturers may ask us to exempt vehicles underSec. 1037.631 based 
on other criteria that are equivalent to those specified inSec. 
1037.631(a). For example, we would normally not grant relief in cases 
where the vehicle manufacturer had credits or other compliant tires were 
available.
    (i) Credit multiplier for advanced technology. If you generate 
credits from vehicles certified with advanced technology, you may 
multiply these credits by 1.50, except that you may not apply this 
multiplier in addition to the early-credit multiplier of paragraph (a) 
of this section.
    (j) Limited prohibition related to early model year engines. The 
prohibition inSec. 1037.601 against introducing into U.S. commerce a 
vehicle containing an engine not certified to the standards of this part 
does not apply for vehicles using model year 2014 or 2015 spark-ignition 
engines, or any model year 2013 or earlier engines.
    (k) Verifying drag areas from in-use vehicles. We may measure the 
drag area of your vehicles after they have been placed into service. 
Your vehicle conforms to the regulations of this part with respect to 
aerodynamic performance if we measure its drag area to be at or below 
the maximum drag area allowed for the bin to which that configuration 
was certified. To account for measurement variability, your vehicle is 
also deemed to conform to the regulations of this part with respect to 
aerodynamic performance if we measure its drag area to at or below the 
maximum drag area allowed for the bin above the bin to which you 
certified (for example, Bin II if you certified the vehicle to Bin III), 
unless we determine that you knowingly produced the vehicle to have a 
higher drag area than is allowed for the bin to which it was certified.
    (l) Optional certification underSec. 1037.104. You may certify 
certain complete or cab-complete vehicles to the standards ofSec. 
1037.104. All vehicles optionally certified under this paragraph (l) are 
deemed to be subject to the standards ofSec. 1037.104. Note that 
certification under this paragraph (l) does not affect how you may or 
may not certify with respect to criteria pollutants. For example, 
certifying a Class 4 vehicle under this paragraph does not allow you to 
chassis-certify these vehicles with respect to criteria emissions.
    (1) You may certify complete or cab-complete spark-ignition vehicles 
to the standards ofSec. 1037.104.
    (2) You may apply the provisions ofSec. 1037.104 to cab-complete 
vehicles based on a complete sister vehicle. In unusual circumstances, 
you may ask us to apply these provisions to Class 2b or 3 incomplete 
vehicles that do not meet the definition of cab-complete.

[[Page 142]]

Except as specified in paragraph (l)(3) of this section, for purposes of 
Sec.  1037.104, a complete sister vehicle is a complete vehicle of the 
same vehicle configuration (as defined inSec. 1037.104) as the cab-
complete vehicle. Calculate the target value underSec. 1037.104(a) 
based on the same work factor value that applies for the complete sister 
vehicle. Test these cab-complete vehicles using the same equivalent test 
weight and other dynamometer settings that apply for the complete 
vehicle from which you used the work factor value. For certification, 
you may submit the test data from that complete sister vehicle instead 
of performing the test on the cab-complete vehicle. You are not required 
to produce the complete sister vehicle for sale to use the provisions of 
this paragraph (l)(2). This means the complete sister vehicle may be a 
carryover vehicle from a prior model year or a vehicle created solely 
for the purpose of testing.
    (3) You may use as complete sister vehicle a complete vehicle that 
is not of the same vehicle configuration as the cab-complete vehicle as 
specified in this paragraph (l)(3). This allowance applies where the 
complete vehicle is not of the same vehicle configuration as the cab-
complete vehicle only because of factors unrelated to coastdown 
performance. If your complete sister vehicle is covered by this 
paragraph (l)(3), you may not submit the test data from that complete 
sister vehicle and must perform the test on the cab-complete vehicle.
    (m) Loose engine sales. This paragraph (m) applies for spark-
ignition engines identical to engines used in vehicles certified to the 
standards ofSec. 1037.104, where you sell such engines as loose 
engines or as engines installed in incomplete vehicles that are not cab-
complete vehicles. For purposes of this paragraph (m), engines would not 
be considered to be identical if they used different engine hardware. 
You may include such engines in a test group certified to the standards 
ofSec. 1037.104, subject to the following provisions:
    (1) Engines certified under this paragraph (m) are deemed to be 
certified to the standards of 40 CFR 1036.108 as specified in 40 CFR 
1036.108(a)(4).
    (2) The U.S.-directed production volume of engines you sell as loose 
engines or installed in incomplete heavy-duty vehicles that are not cab-
complete vehicles in any given model year may not exceed ten percent of 
the total U.S.-directed production volume of engines of that design that 
you produce for heavy-duty applications for that model year, including 
engines you produce for complete vehicles, cab-complete vehicles, and 
other incomplete vehicles. The total number of engines you may certify 
under this paragraph (m), of all engine designs, may not exceed 15,000 
in any model year. Engines produced in excess of either of these limits 
are not covered by your certificate. For example, if you produce 80,000 
complete model year 2017 Class 2b pickup trucks with a certain engine 
and 10,000 incomplete model year 2017 Class 3 vehicles with that same 
engine, and you do not apply the provisions of this paragraph (m) to any 
other engine designs, you may produce up to 10,000 engines of that 
design for sale as loose engines under this paragraph (m). If you 
produced 11,000 engines of that design for sale as loose engines, the 
last 1,000 of them that you produced in that model year 2017 would be 
considered uncertified.
    (3) This paragraph (m) does not apply for engines certified to the 
standards of 40 CFR 1036.108(a)(1).
    (4) Label the engines as specified in 40 CFR 1036.135 including the 
following compliance statement: ``THIS ENGINE WAS CERTIFIED TO THE 
ALTERNATE GREENHOUSE GAS EMISSION STANDARDS OF 40 CFR 1036.108(a)(4).'' 
List the test group name instead of an engine family name.
    (5) Vehicles using engines certified under this paragraph (m) are 
subject to the emission standards ofSec. 1037.105.
    (6) For certification purposes, your engines are deemed to have a 
CO2 target value and test result equal to the CO2 
target value and test result for the complete vehicle in the applicable 
test group with the highest equivalent test weight, except as specified 
in paragraph (m)(6)(ii) of this section. Use these values to calculate 
your target value, fleet-average emission rate, and in-use emission 
standard. Where there are multiple complete vehicles with

[[Page 143]]

the same highest equivalent test weight, select the CO2 
target value and test result as specified in paragraphs (m)(6)(i) and 
(ii) of this section:
    (i) If one or more of the CO2 test results exceed the 
applicable target value, use the CO2 target value and test 
result of the vehicle that exceeds its target value by the greatest 
amount.
    (ii) If none of the CO2 test results exceed the 
applicable target value, select the highest target value and set the 
test result equal to it. This means that you may not generate emission 
credits from vehicles certified under this paragraph (m).
    (7) State in your applications for certification that your test 
group and engine family will include engines certified under this 
paragraph (m). This applies for your greenhouse gas vehicle test group 
and your criteria pollutant engine family. List in each application the 
name of the corresponding test group/engine family.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.150 
was amended by revising paragraphs (a)(2), (l) introductory text, and 
(l)(1), effective Aug. 16, 2013. For the convenience of the user, the 
revised text is set forth as follows:



Sec.  1037.150  Interim provisions.

                                * * * * *

    (a) * * *
    (2) This paragraph (a)(2) applies for regulatory sub-categories 
subject to the standards ofSec. 1037.104. To generate early credits 
under this paragraph (a)(2) for any vehicles other than electric 
vehicles, you must certify your entire U.S.-directed fleet to these 
standards. If you calculate a separate fleet average for advanced-
technology vehicles underSec. 1037.104(c)(7), you must certify your 
entire U.S.-directed production volume of both advanced and conventional 
vehicles within the fleet. Except as specified in paragraph (a)(4) of 
this section, if some test groups are certified after the start of the 
model year, you may generate credits only for production that occurs 
after all test groups are certified. For example, if you produce three 
test groups in an averaging set and you receive your certificates for 
those test groups on January 4, 2013, March 15, 2013, and April 24, 
2013, you may not generate credits for model year 2013 for vehicles from 
any of the test groups produced before April 24, 2013. Calculate credits 
relative to the standard that would apply in model year 2014 using the 
applicable equations in 40 CFR part 86 and your model year 2013 U.S.-
directed production volumes. These credits may be used to show 
compliance with the standards of this part for 2014 and later model 
years. We recommend that you notify us of your intent to use this 
provision before submitting your applications.

                                * * * * *

    (l) Optional certification underSec. 1037.104. You may certify 
certain complete or cab-complete vehicles to the standards ofSec. 
1037.104. All vehicles optionally certified under this paragraph (l) are 
deemed to be subject to the standards ofSec. 1037.104. Note that for 
vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR, 
certification under this paragraph (l) does not affect how you may or 
may not certify with respect to criteria pollutants. For example, 
certifying a Class 4 vehicle under this paragraph (l) does not allow you 
to chassis-certify these vehicles with respect to criteria pollutants.
    (1) You may certify any complete or cab-complete spark-ignition 
vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR to 
the standards ofSec. 1037.104 even thoughSec. 1037.104 specifies 
that you may certify vehicles to the standards of that section only if 
they are chassis-certified for criteria pollutants.

                                * * * * *



                  Subpart C_Certifying Vehicle families



Sec.  1037.201  General requirements for obtaining a certificate
of conformity.

    (a) You must send us a separate application for a certificate of 
conformity for each vehicle family. A certificate of conformity is valid 
from the indicated effective date until the end of the model year for 
which it is issued, which may not extend beyond December 31 of that 
year. You must renew your certification annually for any vehicles you 
continue to produce.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (seeSec. 1037.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1037.250.

[[Page 144]]

    (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) SeeSec. 1037.255 for provisions describing how we will process 
your application.
    (g) We may perform confirmatory testing on your vehicles; for 
example, we may test vehicles to verify drag areas or other GEM inputs. 
We may require you to deliver your test vehicles to a facility we 
designate for our testing. Alternatively, you may choose to deliver 
another vehicle that is identical in all material respects to the test 
vehicle. Where certification is based on testing components such as 
tires, we may require you to deliver test components to a facility we 
designate for our testing.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.201 
was amended by revising paragraph (g), effective Aug. 16, 2013. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1037.201  General requirements for obtaining a certificate of 
          conformity.

                                * * * * *

    (g) We may perform confirmatory testing on your vehicles; for 
example, we may test vehicles to verify drag areas or other GEM inputs. 
This includes vehicles used to determine Falt-aero under 
Sec.  1037.521. We may require you to deliver your test vehicles to a 
facility we designate for our testing. Alternatively, you may choose to 
deliver another vehicle that is identical in all material respects to 
the test vehicle. Where certification is based on testing components 
such as tires, we may require you to deliver test components to a 
facility we designate for our testing.



Sec.  1037.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information underSec. 
1037.201(c). We may require you to provide additional information to 
evaluate your application. Note that references to testing and emission-
data vehicles refer to testing vehicles to measure aerodynamic drag, 
assess hybrid vehicle performance, and/or measure evaporative emissions.
    (a) Describe the vehicle family's specifications and other basic 
parameters of the vehicle's design and emission controls. List the fuel 
type on which your vehicles are designed to operate (for example, ultra 
low-sulfur diesel fuel).
    (b) Explain how the emission control system operates. As applicable, 
describe in detail all system components for controlling greenhouse gas 
and evaporative emissions, including all auxiliary emission control 
devices (AECDs) and all fuel-system components you will install on any 
production vehicle. 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.
    (c) For vehicles subject to air conditioning standards, include:
    (1) The refrigerant leakage rates (leak scores).
    (2) The refrigerant capacity of the air conditioning systems.
    (3) The corporate name of the final installer of the air 
conditioning system.
    (d) Describe any vehicles you selected for testing and the reasons 
for selecting them.
    (e) Describe any test equipment and procedures that you used, 
including any special or alternate test procedures you used (seeSec. 
1037.501).
    (f) Describe how you operated any emission-data vehicle before 
testing, including the duty cycle and the number of vehicle operating 
miles used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of any test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the vehicle family's useful life.
    (i) Include the maintenance instructions and warranty statement you 
will give to the ultimate purchaser of each new vehicle (see Sec.Sec. 
1037.120 and 1037.125).
    (j) Describe your emission control information label (seeSec. 
1037.135).

[[Page 145]]

    (k) Identify the emission standards or FELs to which you are 
certifying vehicles in the vehicle family. For families containing 
multiple subfamilies, this means that you must identify multiple 
CO2 FELs. For example, you may identify the highest and 
lowest FELs to which any of your subfamilies will be certified and also 
list all possible FELs in between (which will be in 1 g/ton-mile 
increments).
    (l) Where applicable, identify the vehicle family's deterioration 
factors and describe how you developed them. Present any emission test 
data you used for this (seeSec. 1037.241(c)).
    (m) Where applicable, state that you operated your emission-data 
vehicles as described in the application (including the test procedures, 
test parameters, and test fuels) to show you meet the requirements of 
this part.
    (n) Present evaporative test data to show your vehicles meet the 
evaporative emission standards we specify in subpart B of this part, if 
applicable. Report all valid test results from emission-data vehicles 
and indicate whether there are test results from invalid tests or from 
any other tests of the emission-data vehicle, whether or not they were 
conducted according to the test procedures of subpart F of this part. We 
may require you to report these additional test results. We may ask you 
to send other information to confirm that your tests were valid under 
the requirements of this part and 40 CFR part 86.
    (o) Report modeling results for ten configurations. Include modeling 
inputs and detailed descriptions of how they were derived. Unless we 
specify otherwise, include the configuration with the highest modeling 
result, the lowest modeling result, and the configurations with the 
highest projected sales.
    (p) Describe all adjustable operating parameters (seeSec. 
1037.115), including production tolerances. You do not need to include 
parameters that do not affect emissions covered by your application. 
Include the following in your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) Information showing why the limits, stops, or other means of 
inhibiting adjustment are effective in preventing adjustment of 
parameters on in-use vehicles to settings outside your intended 
physically adjustable ranges.
    (q) [Reserved]
    (r) Unconditionally certify that all the vehicles in the vehicle 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (s) Include good-faith estimates of U.S.-directed production volumes 
by subfamily. We may require you to describe the basis of your 
estimates.
    (t) Include the information required by other subparts of this part. 
For example, include the information required bySec. 1037.725 if you 
participate in the ABT program.
    (u) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (v) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.



Sec.  1037.210  Preliminary approval before certification.

    If you send us information before you finish the application, we may 
review it and make any appropriate determinations. Decisions made under 
this section are considered to be preliminary approval, subject to final 
review and approval. We will generally not reverse a decision where we 
have given you preliminary approval, unless we find new information 
supporting a different decision. If you request preliminary approval 
related to the upcoming model year or the model year after that, we will 
make best-efforts to make the appropriate determinations as soon as 
practicable. We will generally not provide preliminary approval related 
to a future model year more than two years ahead of time.

[[Page 146]]



Sec.  1037.220  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 ofSec. 1037.125. 
You must send the Designated Compliance Officer a written request to 
amend your application for certification for a vehicle 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 vehicles 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 
vehicles 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).



Sec.  1037.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified vehicle 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 vehicle 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.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add a vehicle configuration to a vehicle family. In this case, 
the vehicle configuration added must be consistent with other vehicle 
configurations in the vehicle family with respect to the criteria listed 
inSec. 1037.230.
    (2) Change a vehicle configuration already included in a vehicle 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the vehicle's lifetime.
    (3) Modify an FEL for a vehicle family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the relevant 
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the vehicle model 
or configuration you intend to make.
    (2) Include engineering evaluations or data showing that the amended 
vehicle family complies with all applicable requirements. You may do 
this by showing that the original emission-data vehicle is still 
appropriate for showing that the amended family complies with all 
applicable requirements.
    (3) If the original emission-data vehicle or emission modeling for 
the vehicle family is not appropriate to show compliance for the new or 
modified vehicle configuration, include new test data or emission 
modeling showing that the new or modified vehicle configuration meets 
the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.

[[Page 147]]

    (d) For vehicle families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified vehicle. You may ask for 
a hearing if we deny your request (seeSec. 1037.820).
    (e) For vehicle families already covered by a certificate of 
conformity, you may start producing the new or modified vehicle 
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 vehicles do not meet applicable 
requirements, we will notify you to cease production of the vehicles and 
may require you to recall the vehicles at no expense to the owner. 
Choosing to produce vehicles under this paragraph (e) is deemed to be 
consent to recall all vehicles 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 vehicles.
    (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 vehicles 
you have already introduced into U.S. commerce, except as described in 
this paragraph (f). 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 vehicle subfamily 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. 
Use the appropriate FELs with corresponding production volumes to 
calculate emission credits for the model year, as described in subpart H 
of this part.
    (2) Where testing applies, you may ask to lower the FEL for your 
vehicle subfamily only if you have test data from production vehicles 
showing that emissions are below the proposed lower FEL. Otherwise, you 
may ask to lower your FEL for your vehicle subfamily at any time. The 
lower FEL applies only to vehicles 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.
    (3) You may ask to add an FEL for your vehicle family at any time.



Sec.  1037.230  Vehicle families, sub-families, and configurations.

    (a) For purposes of certifying your vehicles to greenhouse gas 
standards, divide your product line into families of vehicles as 
specified in this section. Your vehicle family is limited to a single 
model year. Group vehicles in the same vehicle family if they are the 
same in all the following aspects:
    (1) The regulatory sub-category (or equivalent in the case of 
vocational tractors), as follows:
    (i) Vocational vehicles at or below 19,500 pounds GVWR.
    (ii) Vocational vehicles (other than vocational tractors) above 
19,500 pounds GVWR and at or below 33,000 pounds GVWR.
    (iii) Vocational vehicles (other than vocational tractors) above 
33,000 pounds GVWR.
    (iv) Low-roof tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR.
    (v) Mid-roof tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR.
    (vi) High-roof tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR.
    (vii) Low-roof day cab tractors above 33,000 pounds GVWR.
    (viii) Low-roof sleeper cab tractors above 33,000 pounds GVWR.
    (ix) Mid-roof day cab tractors above 33,000 pounds GVWR.
    (x) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.
    (xi) High-roof day cab tractors above 33,000 pounds GVWR.
    (xii) High-roof sleeper cab tractors above 33,000 pounds GVWR.
    (xiii) Vocational tractors.
    (2) Vehicle technology as follows:
    (i) Group together vehicles that do not contain advanced or 
innovative technologies.
    (ii) Group together vehicles that contain the same advanced/
innovative technologies.

[[Page 148]]

    (b) If the vehicles in your family are being certified to more than 
one FEL, subdivide your greenhouse gas vehicle families into subfamilies 
that include vehicles with identical FELs. Note that you may add 
subfamilies at any time during the model year.
    (c) Group vehicles into configurations consistent with the 
definition of ``vehicle configuration'' inSec. 1037.801. Note that 
vehicles with hardware or software differences that are related to 
measured or modeled emissions are considered to be different vehicle 
configurations even if they have the same GEM inputs and FEL. Note also, 
that you are not required to separately identify all configurations for 
certification. See paragraph (g) of this section for provisions allowing 
you to group certain hardware differences into the same configuration. 
Note that you are not required to identify all possible configurations 
for certification; also, you are required to include in your end-of year 
report only those configurations you produced.
    (d) For a vehicle model that straddles a roof-height, cab type, or 
GVWR division, you may include all the vehicles in the same vehicle 
family if you certify the vehicle family to the more stringent 
standards. For roof height, this means you must certify to the taller 
roof standards. For cab-type and GVWR, this means you must certify to 
the numerically lower standards.
    (e) [Reserved]
    (f) You may divide your families into more families than specified 
in this section.
    (g) You may ask us to allow you to group into the same configuration 
vehicles that have very small body hardware differences that do not 
significantly affect drag areas. Note that this allowance does not apply 
for substantial differences, even if the vehicles have the same measured 
drag areas.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.230 
was amended by revising paragraph (a)(1)(xiii) and adding paragraph 
(a)(1)(xiv), effective Aug. 16, 2013. For the convenience of the user, 
the added and revised text is set forth as follows:



Sec.  1037.230  Vehicle families, sub-families, and configurations.

    (a) * * *
    (1) * * *
    (xiii) Vocational tractors above 26,000 pounds GVWR and at or below 
33,000 pounds GVWR. Note that vocational tractor provisions do not apply 
for vehicles at or below 26,000 pounds GVWR.
    (xiv) Vocational tractors above 33,000 pounds GVWR.

                                * * * * *



Sec.  1037.241  Demonstrating compliance with exhaust emission standards
for greenhouse gas pollutants.

    (a) For purposes of certification, your vehicle family is considered 
in compliance with the emission standards inSec. 1037.105 orSec. 
1037.106 if all vehicle configurations in that family have modeled 
CO2 emission rates (as specified in subpart F of this part) 
at or below the applicable standards. See 40 CFR part 86, subpart S, for 
showing compliance with the standards ofSec. 1037.104. 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 vehicle family is deemed not to comply if any vehicle 
configuration in that family has a modeled CO2 emission rate 
that is above its FEL.
    (c) We may require you to provide an engineering analysis showing 
that the performance of your emission controls will not deteriorate 
during the useful life with proper maintenance. If we determine that 
your emission controls are likely to deteriorate during the useful life, 
we may require you to develop and apply deterioration factors consistent 
with good engineering judgment. For example, you may need to apply a 
deterioration factor to address deterioration of battery performance for 
an electric hybrid vehicle. Where the highest useful life emissions 
occur between the end of useful life and at the low-hour test point, 
base deterioration factors for the vehicles on the difference between 
(or ratio of) the point at which the highest emissions occur and the 
low-hour test point.



Sec.  1037.250  Reporting and recordkeeping.

    (a) Within 90 days after the end of the model year, send the 
Designated Compliance Officer a report including the total U.S.-directed 
production volume

[[Page 149]]

of vehicles you produced in each vehicle family during the model 
year(based on information available at the time of the report). Report 
by vehicle identification number and vehicle configuration and identify 
the subfamily identifier. Report uncertified vehicles sold to secondary 
vehicle manufacturers. Small manufacturers may omit the reporting 
requirements of this paragraph (a).
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify inSec. 1037.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle, if applicable.
    (4) Production figures for each vehicle family divided by assembly 
plant.
    (5) Keep a list of vehicle identification numbers for all the 
vehicles you produce under each certificate of conformity.
    (c) Keep routine data from emission tests required by this part 
(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.
    (d) 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.



Sec.  1037.255  What decisions may EPA make regarding my certificate
of conformity?

    (a) If we determine your application is complete and shows that the 
vehicle family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your vehicle family for that 
model year. We may make the approval subject to additional conditions.
    (b) We may deny your application for certification if we determine 
that your vehicle 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.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent). This includes doing anything 
after submission of your application to render any of the submitted 
information false or incomplete.
    (3) Render any test data inaccurate.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce vehicles for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all vehicles being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part, with respect to your engine family.
    (d) We may void the certificate of conformity for a vehicle family 
if you fail to keep records, send reports, or give us information as 
required under this part or the Act. Note that these are also violations 
of 40 CFR 1068.101(a)(2).
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information. This includes rendering 
submitted information false or incomplete after submission.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (seeSec. 1037.820).

Subpart D [Reserved]



                        Subpart E_In-Use Testing



Sec.  1037.401  General provisions.

    We may perform in-use testing of any vehicle subject to the 
standards of this

[[Page 150]]

part. For example, we may test vehicles to verify drag areas or other 
GEM inputs.



                 Subpart F_Test and Modeling Procedures



Sec.  1037.501  General testing and modeling provisions.

    This subpart specifies how to perform emission testing and emission 
modeling required elsewhere in this part.
    (a) [Reserved]
    (b) Where exhaust emission testing is required, use the equipment 
and procedures in 40 CFR part 1066 to determine whether your vehicles 
meet the duty-cycle emission standards in subpart B of this part. 
Measure the emissions of all the exhaust constituents subject to 
emission standards as specified in 40 CFR part 1066. Use the applicable 
duty cycles specified inSec. 1037.510.
    (c) [Reserved]
    (d) Use the applicable fuels specified 40 CFR part 1065 to perform 
valid tests.
    (1) For service accumulation, use the test fuel or any commercially 
available fuel that is representative of the fuel that in-use vehicles 
will use.
    (2) For diesel-fueled vehicles, use the appropriate diesel fuel 
specified for emission testing. Unless we specify otherwise, the 
appropriate diesel test fuel is ultra low-sulfur diesel fuel.
    (3) For gasoline-fueled vehicles, use the gasoline specified for 
``General Testing''.
    (e) You may use special or alternate procedures as specified in 40 
CFR 1065.10.
    (f) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your vehicles meet emission standards.
    (g) Apply this paragraph (g) whenever we specify use of standard 
trailers. Unless otherwise specified, a tolerance of 2 inches applies for all nominal trailer dimensions.
    (1) The standard trailer for high-roof tractors must meet the 
following criteria:
    (i) It is an unloaded two-axle dry van box trailer 53.0 feet long, 
102 inches wide, and 162 inches high (measured from the ground with the 
trailer level).
    (ii) It has a king pin located with its center 360.5 inches from the front of the trailer and a minimized 
trailer gap (no greater than 45 inches).
    (iii) It has a smooth surface with nominally flush rivets and does 
not include any aerodynamic features such as side fairings, boat tails, 
or gap reducers. It may have a scuff band of no more than 0.13 inches in 
thickness.
    (iv) It includes dual 22.5 inch wheels, standard mudflaps, and 
standard landing gear. The centerline of the rear-most axle must be 146 
inches from the rear of the trailer.
    (2) The standard trailer for mid-roof tractors is an empty two-axle 
tanker trailer 421 feet long by 140 inches high.
    (i) It has a 401 feet long cylindrical tank 
with a 70007 gallon capacity, smooth surface, and 
rounded ends.
    (ii) The standard tanker trailer does not include any aerodynamic 
features such as side fairings, but does include a centered 20 inch 
manhole, side-centered ladder, and lengthwise walkway. It includes dual 
24.5 inch wheels.
    (3) The standard trailer for low-roof tractors is an unloaded two-
axle flat bed trailer 531 feet long and 102 inches 
wide.
    (i) The deck height is 60.00.5 inches in the 
front and 55.00.5 inches in the rear. The standard 
trailer does not include any aerodynamic features such as side fairings.
    (ii) It includes an air suspension and dual 22.5 inch wheels on 
tandem axles spread up to 122 inches apart between axle centerlines, 
measured along the length of the trailer.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.501 
was amended by revising paragraph (g)(1)(iv), effective Aug. 16, 2013. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1037.501  General testing and modeling provisions.

                                * * * * *

    (g) * * *
    (1) * * *
    (iv) It includes dual 22.5 inch wheels, standard mudflaps, and 
standard landing gear. The centerline of the rear tandem axle must be 
146  4 inches from the rear of the trailer.

                                * * * * *

[[Page 151]]



Sec.  1037.510  Duty-cycle exhaust testing.

    This section applies where exhaust emission testing is required, 
such as when applying the provisions ofSec. 1037.615. Note that for 
most vehicles, testing under this section is not required.
    (a) Where applicable, measure emissions by testing the vehicle on a 
chassis dynamometer with the applicable test cycles. Each test cycle 
consists of a series of speed commands over time: variable speeds for 
the transient test and constant speeds for the cruise tests. None of 
these cycles include vehicle starting or warmup; each test cycle begins 
with a running, warmed-up vehicle. Start sampling emissions at the start 
of each cycle. The transient cycle is specified in appendix I to this 
part. For the 55 mph and 65 mph cruise cycles, sample emissions for 300 
second cycles with constant vehicle speeds of 55.0 mph and 65.0 mph, 
respectively. The tolerance around these speed setpoints is 1.0 mph.
    (b) Calculate the official emission result from the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.011

Where:

payload = the standard payload, in tons, as specified inSec. 1037.705.
w = weighting factor for the appropriate test cycle, as described in 
          paragraph (c) of this section.
m = grams of CO2 emitted over the appropriate test cycle.
D = miles driven over the appropriate test cycle.

    (c) Apply weighting factors specific to each type of vehicle and for 
each duty cycle as described in the following table:

                          Table 1 toSec.  1037.510--Weighting Factors for Duty Cycles
----------------------------------------------------------------------------------------------------------------
                                                                                55 mph cruise     65 mph cruise
                                                              Transient (%)          (%)               (%)
----------------------------------------------------------------------------------------------------------------
Vocational................................................                42                21                37
Vocational Hybrid Vehicles................................                75                 9                16
Day Cabs..................................................                19                17                64
Sleeper Cabs..............................................                 5                 9                86
----------------------------------------------------------------------------------------------------------------

    (d) For transient testing, compare actual second-by-second vehicle 
speed with the speed specified in the test cycle and ensure any 
differences are consistent with the criteria as specified in 40 CFR part 
1066. If the speeds do not conform to these criteria, the test is not 
valid and must be repeated.
    (e) Run test cycles as specified in 40 CFR part 86. For cruise cycle 
testing of vehicles equipped with cruise control, use the vehicle's 
cruise control to control the vehicle speed. For vehicles equipped with 
adjustable VSLs, test the vehicle with the VSL at its highest setting.
    (f) Test the vehicle using its adjusted loaded vehicle weight, 
unless we determine this would be unrepresentative of in-use operation 
as specified in 40 CFR 1065.10(c)(1).
    (g) For hybrid vehicles, correct for the net energy change of the 
energy storage device as described in 40 CFR 1066.501.



Sec.  1037.520  Modeling CO2 emissions to show compliance.

    This section describes how to use the GEM simulation tool 
(incorporated by reference inSec. 1037.810) to show compliance with 
the CO2 standards of Sec.Sec. 1037.105 and 1037.106. Use 
good engineering judgment when demonstrating compliance using the GEM.
    (a) General modeling provisions. To run the GEM, enter all 
applicable inputs as specified by the model. All seven of the

[[Page 152]]

following inputs apply for sleeper cab tractors, while some do not apply 
for other regulatory subcategories:
    (1) Regulatory subcategory (such as ``Class 8 Combination--Sleeper 
Cab--High Roof'').
    (2) Coefficient of aerodynamic drag, as described in paragraph (b) 
of this section. Leave this field blank for vocational vehicles.
    (3) Steer tire rolling resistance, as described in paragraph (c) of 
this section.
    (4) Drive tire rolling resistance, as described in paragraph (c) of 
this section.
    (5) Vehicle speed limit, as described in paragraph (d) of this 
section. Leave this field blank for vocational vehicles.
    (6) Vehicle weight reduction, as described in paragraph (e) of this 
section. Leave this field blank for vocational vehicles.
    (7) Extended idle reduction credit, as described in paragraph (f) of 
this section. Leave this field blank for vehicles other than Class 8 
sleeper cabs.
    (b) Coefficient of aerodynamic drag and drag area. Determine the 
appropriate drag area as follows:
    (1) Use the recommended method or an alternate method to establish a 
value for the vehicle's drag area, expressed in m\2\ and rounded to two 
decimal places. Where we allow you to group multiple configurations 
together, measure the drag area of the worst-case configuration. Measure 
drag areas specified inSec. 1037.521.
    (2) Determine the bin level for your vehicle based on the drag area 
from paragraph (b)(1) of this section as shown in the following tables:

                           Table 1 toSec.  1037.520--High-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
                                                               If your measured CDA    Then your CD input is . .
                         Bin level                               (m\2\) is . . .                   .
----------------------------------------------------------------------------------------------------------------
                                               High-Roof Day Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................           = 8.0                       0.79
Bin II....................................................                    7.1-7.9                       0.72
Bin III...................................................                    6.2-7.0                       0.63
Bin IV....................................................                    5.6-6.1                       0.56
Bin V.....................................................                     <= 5.5                       0.51
----------------------------------------------------------------------------------------------------------------
                                             High-Roof Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................           = 7.6                       0.75
Bin II....................................................                    6.7-7.5                       0.68
Bin III...................................................                    5.8-6.6                       0.60
Bin IV....................................................                    5.2-5.7                       0.52
Bin V.....................................................                     <= 5.1                       0.47
----------------------------------------------------------------------------------------------------------------


                           Table 2 toSec.  1037.520-- Low-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
                                                               If your measured CDA    Then your CD input is . .
                         Bin level                               (m\2\) is . . .                   .
----------------------------------------------------------------------------------------------------------------
                                          Low-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................           = 5.1                       0.77
Bin II....................................................                     <= 5.0                       0.71
----------------------------------------------------------------------------------------------------------------
                                          Mid-Roof Day and Sleeper Cabs
----------------------------------------------------------------------------------------------------------------
Bin I.....................................................           = 5.6                       0.87
Bin II....................................................                     <= 5.5                       0.82
----------------------------------------------------------------------------------------------------------------

    (3) For low- and mid-roof tractors, you may determine your drag area 
bin based on the drag area bin of an equivalent high-roof tractor. If 
the high-roof tractor is in Bin I or Bin II, then you may assume your 
equivalent low- and mid-roof tractors are in Bin I. If the high-roof 
tractor is in Bin III, Bin IV, or Bin V, then you may assume your 
equivalent low- and mid-roof tractors are in Bin II.

[[Page 153]]

    (c) Steer and drive tire rolling resistance. You must have a tire 
rolling resistance level (TRRL) for each tire configuration. For 
purposes of this section, you may consider tires with the same SKU 
number to be the same configuration.
    (1) Measure tire rolling resistance in kg per metric ton as 
specified in ISO 28580 (incorporated by reference inSec. 1037.810), 
except as specified in this paragraph (c). Use good engineering judgment 
to ensure that your test results are not biased low. You may ask us to 
identify a reference test laboratory to which you may correlate your 
test results. Prior to beginning the test procedure in Section 7 of ISO 
28580 for a new bias-ply tire, perform a break-in procedure by running 
the tire at the specified test speed, load, and pressure for 602 minutes.
    (2) For each tire design tested, measure rolling resistance of at 
least three different tires of that specific design and size. Perform 
the test at least once for each tire. Use the arithmetic mean of these 
results as your test result. You may use this value as your GEM input or 
select a higher TRRL. You must test at least one tire size for each tire 
model, and may use engineering analysis to determine the rolling 
resistance of other tire sizes of that model. Note that for tire sizes 
that you do not test, we will treat your analytically derived rolling 
resistances the same as test results, and we may perform our own testing 
to verify your values. We may require you to test a small sub-sample of 
untested tire sizes that we select.
    (3) If you obtain your test results from the tire manufacturer or 
another third party, you must obtain a signed statement from them 
verifying the tests were conducted according to the requirements of this 
part. Such statements are deemed to be submissions to EPA.
    (4) For tires marketed as light truck tires and that have load 
ranges C, D, or E, use as the GEM input TRRL at or above the measured 
rolling resistance multiplied by 0.87.
    (d) Vehicle speed limit. If the vehicles will be equipped with a 
vehicle speed limiter, input the maximum vehicle speed to which the 
vehicle will be limited (in miles per hour rounded to the nearest 0.1 
mile per hour) as specified inSec. 1037.640. Otherwise leave this 
field blank. Use good engineering judgment to ensure the limiter is 
tamper resistant. We may require you to obtain preliminary approval for 
your designs.
    (e) Vehicle weight reduction. For purposes of this paragraph (e), 
high-strength steel is steel with tensile strength at or above 350 MPa.
    (1) Vehicle weight reduction inputs for wheels are specified 
relative to dual-wide tires with conventional steel wheels. For purposes 
of this paragraph (e)(1), a light-weight aluminum wheel is one that 
weighs at least 21 lb less than a comparable conventional steel wheel. 
The inputs are listed in Table 4 to this section. For example, a tractor 
with aluminum steel wheels and eight (4x2) dual-wide aluminum drive 
wheels would have an input of 210 lb (2x21 + 8x21).

       Table 3 toSec.  1037.520--Wheel-Related Weight Reductions
------------------------------------------------------------------------
                                                              Weight
                                                           reduction (lb
               Weight reduction technology                  per tire or
                                                              wheel)
------------------------------------------------------------------------
Single-Wide Drive Tire with
    Steel Wheel.........................................              84
    Aluminum Wheel......................................             139
    Light-Weight Aluminum Wheel.........................             147
Steer Tire or Dual-wide Drive Tire with . . .
    High-Strength Steel Wheel...........................               8
    Aluminum Wheel......................................              21
    Light-Weight Aluminum Wheel.........................              30
------------------------------------------------------------------------

    (2) Vehicle weight reduction inputs for components other than wheels 
are specified relative to mild steel components as specified in the 
following table:

     Table 4 toSec.  1037.520--Nonwheel-Related Weight Reductions
------------------------------------------------------------------------
                                                         High-strength
  Weight reduction technologies     Aluminum weight      steel weight
                                    reduction (lb)      reduction (lb)
------------------------------------------------------------------------
Door............................                  20                   6
Roof............................                  60                  18
Cab rear wall...................                  49                  16
Cab floor.......................                  56                  18

[[Page 154]]

 
Hood Support Structure System...                  15                   3
Fairing Support Structure System                  35                   6
Instrument Panel Support                           5                   1
 Structure......................
Brake Drums--Drive (4)..........                 140                  11
Brake Drums--Non Drive (2)......                  60                   8
Frame Rails.....................                 440                  87
Crossmember--Cab................                  15                   5
Crossmember--Suspension.........                  25                   6
Crossmember--Non Suspension (3).                  15                   5
Fifth Wheel.....................                 100                  25
Radiator Support................                  20                   6
Fuel Tank Support Structure.....                  40                  12
Steps...........................                  35                   6
Bumper..........................                  33                  10
Shackles........................                  10                   3
Front Axle......................                  60                  15
Suspension Brackets, Hangers....                 100                  30
Transmission Case...............                  50                  12
Clutch Housing..................                  40                  10
Drive Axle Hubs (8).............                 160                   4
Non Drive Front Hubs (2)........                  40                   5
Driveshaft......................                  20                   5
Transmission/Clutch Shift Levers                  20                   4
------------------------------------------------------------------------

    (3) You may ask to apply the innovative technology provisions of 
Sec.  1037.610 for weight reductions not covered by this paragraph (e).
    (f) Extended idle reduction credit. If your tractor is equipped with 
idle reduction technology meeting the requirements ofSec. 1037.660 
that will automatically shut off the main engine after 300 seconds or 
less, use 5.0 g/ton-mile as the input (or a lesser value specified in 
Sec.  1037.660). Otherwise leave this field blank.

    Effective Date Note: At 78 FR 36392, June 17, 2013,Sec. 1037.520 
was amended by revising the section heading, the introductory text, 
Table 1 in paragraph (b)(2), and paragraph (e)(1) before the table, 
effective Aug. 16, 2013. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1037.520  Modeling CO[bdi2] emissions to show compliance.

    This section describes how to use the Greenhouse gas Emissions Model 
(GEM) simulation tool (incorporated by reference inSec. 1037.810) to 
show compliance with the CO2 standards of Sec.Sec. 1037.105 
and 1037.106. Use good engineering judgment when demonstrating 
compliance using the GEM.

                                * * * * *

    (b) * * *
    (2) * * *

       Table 1 toSec.  1037.520--High-Roof Day and Sleeper Cabs
------------------------------------------------------------------------
                                              If your
                                           measured CDA    Then your  CD
                Bin level                  (m\2\) is . .  input is . . .
                                                 .
------------------------------------------------------------------------
                           High-Roof Day Cabs
------------------------------------------------------------------------
Bin I...................................    =            0.79
                                                     8.0
Bin II..................................         7.1-7.9            0.72
Bin III.................................         6.2-7.0            0.63
Bin IV..................................         5.6-6.1            0.56
Bin V...................................          <= 5.5            0.51
------------------------------------------------------------------------
                         High-Roof Sleeper Cabs
------------------------------------------------------------------------
Bin I...................................    =            0.75
                                                     7.6
Bin II..................................         6.8-7.5            0.68
Bin III.................................         6.3-6.7            0.60
Bin IV..................................         5.6-6.2            0.52
Bin V...................................           <=5.5            0.47
------------------------------------------------------------------------

                                * * * * *

    (e) * * *
    (1) Vehicle weight reduction inputs for wheels are specified 
relative to dual-wide tires with conventional steel wheels. For purposes 
of this paragraph (e)(1), a light-weight aluminum wheel is one that 
weighs at least 21 pounds less than a comparable conventional steel 
wheel. The inputs are listed in Table 3 to this section. For example, a 
tractor with aluminum steer wheels and eight (4 x 2) dual-wide aluminum 
drive wheels would have an input of 210 pounds (2 x 21 + 8 x 21).

                                * * * * *

[[Page 155]]



Sec.  1037.521  Aerodynamic measurements.

    This section describes how to determine the aerodynamic drag area 
(CDA) of your vehicle using the coastdown procedure in 40 CFR 
part 1066 or an alternative method correlated to it.
    (a) General. The primary method for measuring the aerodynamic drag 
area of vehicles is specified in paragraph (b) of this section. You may 
determine the drag area using an alternate method, consistent with the 
provisions of this section and good engineering judgment, based on wind 
tunnel testing, computational fluid dynamic modeling, or constant-speed 
road load testing. See 40 CFR 1068.5 for provisions describing how we 
may evaluate your engineering judgment. All drag areas measured using an 
alternative method (CDAalt) must be adjusted to be 
equivalent to the corresponding drag areas that would have been measured 
using the coastdown procedure as follows:
    (1) Unless good engineering judgment requires otherwise, assume that 
coastdown drag areas are proportional to drag areas measured using 
alternative methods. This means you may apply a single constant 
adjustment factor (Falt-aero) for a given alternate drag area 
method using the following equation:

CDA = CDAalt x Falt-aero

    (2) Determine Falt-aero by performing coastdown testing 
and applying your alternate method on the same vehicle. Unless we 
approve another vehicle, the vehicle must be a Class 8, high-roof, 
sleeper cab with a full aerodynamics package, pulling a standards 
trailer. Where you have more than one model meeting these criteria, use 
the model with the highest projected sales. If you do not have such a 
model you may use your most comparable model with prior approval. If 
good engineering judgment allows the use of a single, constant value of 
Falt-aero, calculate it from this coastdown drag area 
(CDAcoast) divided by alternative drag area 
(CDAalt):

Falt-aero = CDAcoast / 
CDAalt

    (3) Calculate Falt-aero to at least three decimal places. 
For example, if your coastdown testing results in a drag area of 6.430, 
but your wind tunnel method results in a drag area of 6.200, 
Falt-aero would be 1.037.
    (b) Recommended method. Perform coastdown testing as described in 40 
CFR part 1066, subpart D, subject to the following additional 
provisions:
    (1) The specifications of this paragraph (b)(1) apply when measuring 
drag areas for tractors. Test high-roof tractors with a standard box 
trailer. Test low- and mid-roof tractors without a trailer (sometimes 
referred to as in a ``bobtail configuration''). You may test low- and 
mid-roof tractors with a trailer to evaluate innovative technologies.
    (2) The specifications of this paragraph (b)(2) apply for tractors 
and standard trailers. Use tires mounted on steel rims in a dual 
configuration (except for steer tires). The tires must--
    (i) Be SmartWay-Verified tires or have a rolling resistance below 
5.1 kg/ton.
    (ii) Have accumulated at least 2,175 miles of prior use but have no 
less than 50 percent of their original tread depth (as specified for 
truck cabs in SAE J1263).
    (iii) Not be retreads or have any apparent signs of chunking or 
uneven wear.
    (iv) Be size 295/75R22.5 or 275/80R22.5.
    (3) Calculate the drag area (CDA) in m\2\ from the 
coastdown procedure specified in 40 CFR part 1066.
    (c) Approval. You must obtain preliminary approval before using any 
methods other than coastdown testing to determine drag coefficients. 
Send your request for approval to the Designated Compliance Officer. 
Keep records of the information specified in this paragraph (c). Unless 
we specify otherwise, include this information with your request. You 
must provide any information we require to evaluate whether you are 
apply the provisions of this section consistent with good engineering 
judgment.
    (1) Include all of the following for your coastdown results:
    (i) The name, location, and description of your test facilities, 
including background/history, equipment and capability, and track and 
facility elevation, along with the grade and size/length of the track.
    (ii) Test conditions for each test result, including date and time, 
wind

[[Page 156]]

speed and direction, ambient temperature and humidity, vehicle speed, 
driving distance, manufacturer name, test vehicle/model type, model 
year, applicable model engine family, tire type and rolling resistance, 
weight of tractor-trailer (as tested), and driver identifier(s).
    (iii) Average drag area result as calculated in 40 CFR 1066, subpart 
D) and all of the individual run results (including voided or invalid 
runs).
    (2) Identify the name and location of the test facilities for your 
wind tunnel method (if applicable). Also include the following things to 
describe the test facility:
    (i) Background/history.
    (ii) The layout (with diagram), type, and construction (structural 
and material) of the wind tunnel.
    (iii) Wind tunnel design details: corner turning vane type and 
material, air settling, mesh screen specification, air straightening 
method, tunnel volume, surface area, average duct area, and circuit 
length.
    (iv) Wind tunnel flow quality: temperature control and uniformity, 
airflow quality, minimum airflow velocity, flow uniformity, angularity 
and stability, static pressure variation, turbulence intensity, airflow 
acceleration and deceleration times, test duration flow quality, and 
overall airflow quality achievement.
    (v) Test/working section information: test section type (e.g., open, 
closed, adaptive wall) and shape (e.g., circular, square, oval), length, 
contraction ratio, maximum air velocity, maximum dynamic pressure, 
nozzle width and height, plenum dimensions and net volume, maximum 
allowed model scale, maximum model height above road, strut movement 
rate (if applicable), model support, primary boundary layer slot, 
boundary layer elimination method, and photos and diagrams of the test 
section.
    (vi) Fan section description: fan type, diameter, power, maximum 
rotational speed, maximum top speed, support type, mechanical drive, and 
sectional total weight.
    (vii) Data acquisition and control (where applicable): acquisition 
type, motor control, tunnel control, model balance, model pressure 
measurement, wheel drag balances, wing/body panel balances, and model 
exhaust simulation.
    (viii) Moving ground plane or rolling road (if applicable): 
construction and material, yaw table and range, moving ground length and 
width, belt type, maximum belt speed, belt suction mechanism, platen 
instrumentation, temperature control, and steering.
    (ix) Facility correction factors and purpose.
    (3) Include all of the following for your computational fluid 
dynamics (CFD) method (if applicable):
    (i) Official name/title of the software product.
    (ii) Date and version number for the software product.
    (iii) Manufacturer/company name, address, phone number and Web 
address for software product.
    (iv) Identify if the software code is Navier-Stokes or Lattice-
Boltzmann based.
    (4) Include all of the following for any other method (if 
applicable):
    (i) Official name/title of the procedure(s).
    (ii) Description of the procedure.
    (iii) Cited sources for any standardized procedures that the method 
is based on.
    (iv) Modifications/deviations from the standardized procedures for 
the method and rational for modifications/deviations.
    (v) Data comparing this requested procedure to the coastdown 
reference procedure.
    (vi) Information above from the other methods as applicable to this 
method (e.g., source location/address, background/history).
    (d) Wind tunnel methods. (1) You may measure drag areas consistent 
with the modified SAE procedures described in this paragraph (d) using 
any wind tunnel recognized by the Subsonic Aerodynamic Testing 
Association. If your wind tunnel is not capable of testing in accordance 
with these modified SAE procedures, you may ask us to approve your 
alternate test procedures if you demonstrate that your procedures 
produce equivalent data. For purposes of this paragraph (d), data are 
equivalent if they are the same or better with respect to repeatability 
and unbiased

[[Page 157]]

correlation with coastdown testing. Note that, for wind tunnels not 
capable of these modified SAE procedures, good engineering judgment may 
require you to base your alternate method adjustment factor on more than 
one vehicle. You may not develop your correction factor until we have 
approved your alternate method. The applicable SAE procedures are SAE 
J1252, SAE J1594, and SAE J2071 (incorporated by reference inSec. 
1037.810). The following modifications apply for SAE J1252:
    (i) The minimum Reynold's number (Remin) is 1.0 x 10\6\ 
instead of the value specified in section 5.2 of the SAE procedure. Your 
model frontal area at zero yaw angle may exceed the recommended 5 
percent of the active test section area, provided it does not exceed 25 
percent.
    (ii) For full-scale wind tunnel testing, use good engineering 
judgment to select a test article (tractor and trailer) that is a 
reasonable representation of the test article used for the reference 
method testing. For example, where your wind tunnel is not long enough 
to test the tractor with a standard 53 foot trailer, it may be 
appropriate to use shorter box trailer. In such a case, the correlation 
developed using the shorter trailer would only be valid for testing with 
the shorter trailer.
    (iii) For reduced-scale wind tunnel testing, a one-eighth (1/8th) or 
larger scale model of a heavy-duty tractor and trailer must be used, and 
the model must be of sufficient design to simulate airflow through the 
radiator inlet grill and across an engine geometry representative of 
those commonly used in your test vehicle.
    (2) You must perform wind tunnel testing and the coastdown procedure 
on the same tractor model and provide the results for both methods. 
Conduct the wind tunnel tests at a zero yaw angle and, if so equipped, 
utilizing the moving/rolling floor (i.e., the moving/rolling floor 
should be on during the test, as opposed to static) for comparison to 
the coastdown procedure, which corrects to a zero yaw angle for the 
oncoming wind.
    (e) Computational fluid dynamics (CFD). You may determine drag areas 
using a CFD method, consistent with good engineering judgment and the 
requirements of this paragraph (e) using commercially available CFD 
software code. Conduct the analysis assuming zero yaw angle, and ambient 
conditions consistent with coastdown procedures. For simulating a wind 
tunnel test, the analysis should accurately model the particular wind 
tunnel and assume a wind tunnel blockage ratio consistent with SAE J1252 
(incorporated by reference inSec. 1037.810) or one that matches the 
selected wind tunnel, whichever is lower. For simulation of open road 
conditions similar to that experienced during coastdown test procedures, 
the CFD analysis should assume a blockage ratio at or below 0.2 percent.
    (1) Take the following steps for CFD code with a Navier-Stokes 
formula solver:
    (i) Perform an unstructured, time-accurate, analysis using a mesh 
grid size with total volume element count of at least 50 million cells 
of hexahedral and/or polyhedral mesh cell shape, surface elements 
representing the geometry consisting of no less than 6 million elements, 
and a near-wall cell size corresponding to a y+ value of less than 300, 
with the smallest cell sizes applied to local regions of the tractor and 
trailer in areas of high flow gradients and smaller geometry features.
    (ii) Perform the analysis with a turbulence model and mesh 
deformation enabled (if applicable) with boundary layer resolution of 
95 percent. Once result convergence is achieved, 
demonstrate the convergence by supplying multiple, successive 
convergence values for the analysis. The turbulence model may use k-
epsilon (k-[epsi]), shear stress transport k-omega (SST k-[omega]), or 
other commercially accepted methods.
    (2) For Lattice-Boltzman based CFD code, perform an unstructured, 
time-accurate analysis using a mesh grid size with total surface 
elements of at least 50 million cells using cubic volume elements and 
triangular and/or quadrilateral surface elements with a near wall cell 
size of no greater than 6 mm on local regions of the tractor and trailer 
in areas of high flow gradients and smaller geometry features, with cell 
sizes in other areas of the mesh grid starting at twelve millimeters and 
increasing in size from this value as

[[Page 158]]

the distance from the tractor-trailer model increases.
    (3) All CFD analysis should be conducted using the following 
conditions:
    (i) A tractor-trailer combination using the manufacturer's tractor 
and the standard trailer, as applicable.
    (ii) An environment with a blockage ratio at or below 0.2 percent to 
simulate open road conditions, a zero degree yaw angle between the 
oncoming wind and the tractor-trailer combination.
    (iii) Ambient conditions consistent with the coastdown test 
procedures specified in this part.
    (iv) Open grill with representative back pressures based on data 
from the tractor model,
    (v) Turbulence model and mesh deformation enabled (if applicable).
    (vi) Tires and ground plane in motion consistent with and simulating 
a vehicle moving in the forward direction of travel.
    (vii) The smallest cell size should be applied to local regions on 
the tractor and trailer in areas of high flow gradients and smaller 
geometry features (e.g., the a-pillar, mirror, visor, grille and 
accessories, trailer leading and trailing edges, rear bogey, tires, and 
tractor-trailer gap).
    (viii) Simulate a speed of 55 mph.
    (4) You may ask us to allow you to perform CFD analysis using 
parameters and criteria other than those specified in this paragraph 
(e), consistent with good engineering judgment, if you can demonstrate 
that the specified conditions are not feasible (e.g., insufficient 
computing power to conduct such analysis, inordinate length of time to 
conduct analysis, equivalent flow characteristics with more feasible 
criteria/parameters) or improved criteria may yield better results 
(e.g., different mesh cell shape and size). To support this request, we 
may require that you supply data demonstrating that your selected 
parameters/criteria will provide a sufficient level of detail to yield 
an accurate analysis, including comparison of key characteristics 
between your criteria/parameters and the criteria specified in 
paragraphs (e)(1) and (2) of this section (e.g., pressure profiles, drag 
build-up, and/or turbulent/laminar flow at key points on the front of 
the tractor and/or over the length of the tractor-trailer combination).
    (f) Yaw sweep corrections. You may optionally apply this paragraph 
(f) for vehicles with aerodynamic features that are more effective at 
reducing wind-averaged drag than is predicted by zero-yaw drag. You may 
correct your zero-yaw drag area as follows if the ratio of the zero-yaw 
drag area divided by yaw sweep drag area for your vehicle is greater 
than 0.8065 (which represents the ratio expected for a typical 
aerodynamic Class 8 high-roof sleeper cab tractor):
    (1) Determine the zero-yaw drag area and the yaw sweep drag area for 
your vehicle using the same alternate method as specified in this 
subpart. Measure drag area for 0[deg], -6[deg], and +6[deg]. Use the 
arithmetic mean of the -6[deg] and +6[deg] drag areas as the 6[deg] drag area.
    (2) Calculate your yaw sweep correction factor (CFys) 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.012

    (3) Calculate your corrected drag area for determining the 
aerodynamic bin by multiplying the measured zero-yaw drag area by 
CFys. The correction factor may be applied to drag areas 
measured using other procedures. For example, we would apply 
CFys to drag areas measured using the recommended coastdown 
method. If you use an alternative method, you would also need to apply 
an alternative correction (Falt-aero) and calculate the final 
drag area using the following equation:

    CDA = Falt-aero [middot] CFys 
[middot] (CDA)zero-alt

    (4) You may ask us to apply CFys to similar vehicles 
incorporating the same design features.

[[Page 159]]

    (5) As an alternative, you may choose to calculate the wind-averaged 
drag area according to SAE J1252 (incorporated by reference inSec. 
1037.810) and substitute this value into the equation in paragraph 
(f)(2) of this section for the 6[deg] yaw-averaged 
drag area.



Sec.  1037.525  Special procedures for testing hybrid vehicles with 
power take-off.

    This section describes the procedure for quantifying the reduction 
in greenhouse gas emissions as a result of running power take-off (PTO) 
devices with a hybrid powertrain. The procedures are written to test the 
PTO so that all the energy is produced with the engine. The full test 
for the hybrid vehicle is from a fully charged renewable energy storage 
system (RESS) to a depleted RESS and then back to a fully charged RESS. 
These procedures may be used for whole vehicles or with a post-
transmission hybrid system. When testing just the post-transmission 
hybrid system, you must include all hardware for the PTO system. You may 
ask us to modify the provisions of this section to allow testing hybrid 
vehicles other than electric-battery hybrids, consistent with good 
engineering judgment.
    (a) Select two vehicles for testing as follows:
    (1) Select a vehicle with a hybrid powertrain to represent the 
vehicle family. If your vehicle family includes more than one vehicle 
model, use good engineering judgment to select the vehicle type with the 
maximum number of PTO circuits that has the smallest potential reduction 
in greenhouse gas emissions.
    (2) Select an equivalent conventional vehicle as specified inSec. 
1037.615.
    (b) Measure PTO emissions from the fully warmed-up conventional 
vehicle as follows:
    (1) Without adding any additional restrictions, instrument the 
vehicle with pressure transducers at the outlet of the hydraulic pump 
for each circuit.
    (2) Operate the PTO system with no load for at least 15 seconds. 
Measure the pressure and record the average value over the last 10 
seconds (pmin). Apply maximum operator demand to the PTO 
system until the pressure relief valve opens and pressure stabilizes; 
measure the pressure and record the average value over the last 10 
seconds (pmax).
    (3) Denormalize the PTO duty cycle in appendix II of this part using 
the following equation:

prefi = NPi [middot] (pmax-
min) + pmin

Where:

    prefi = the reference pressure at each point i in the PTO 
cycle.
    NPi= the normalized pressure at each point i in the PTO 
cycle.
    pmax= the maximum pressure measured in paragraph (b)(2) 
of this section.
    pmin= the minimum pressure measured in paragraph (b)(2) 
of this section.

    (4) If the PTO system has two circuits, repeat paragraph (b)(2) and 
(3) of this section for the second PTO circuit.
    (5) Install a system to control pressures in the PTO system during 
the cycle.
    (6) Start the engine.
    (7) Operate the vehicle over one or both of the denormalized PTO 
duty cycles, as applicable. Collect CO2 emissions during 
operation over each duty cycle.
    (8) Use the provisions of 40 CFR part 1066 to collect and measure 
emissions. Calculate emission rates in grams per test without rounding.
    (9) For each test, validate the pressure in each circuit with the 
pressure specified from the cycle according to 40 CFR 1065.514. Measured 
pressures must meet the specifications in the following table for a 
valid test:

                   Table 1 ofSec.  1037.525--Statistical Criteria for Validating Duty Cycles
----------------------------------------------------------------------------------------------------------------
                  Parameter                                                Pressure
----------------------------------------------------------------------------------------------------------------
Slope, [verbar]a1[verbar]...................  0.950 <= a1 <= 1.030.
Absolute value of intercept, [bond]a0[bond].  <= 2.0% of maximum mapped pressure.
Standard error of estimate, SEE.............  <= 10% of maximum mapped pressure.
Coefficient of determination, r\2\..........  = 0.970.
----------------------------------------------------------------------------------------------------------------


[[Page 160]]

    (10) Continue testing over the three vehicle drive cycles, as 
otherwise required by this part.
    (11) Calculate combined cycle-weighted emissions of the four cycles 
as specified in paragraph (d) of this section.
    (c) Measure PTO emissions from the fully warmed-up hybrid vehicle as 
follows:
    (1) Perform the steps in paragraphs (b)(1) through (5) of this 
section.
    (2) Prepare the vehicle for testing by operating it as needed to 
stabilize the battery at a full state of charge. For electric hybrid 
vehicles, we recommend running back-to-back PTO tests until engine 
operation is initiated to charge the battery. The battery should be 
fully charged once engine operation stops. The ignition should remain in 
the ``on'' position.
    (3) Turn the vehicle and PTO system off while the sampling system is 
being prepared.
    (4) Turn the vehicle and PTO system on such that the PTO system is 
functional, whether it draws power from the engine or a battery.
    (5) Operate the vehicle over the PTO cycle(s) without turning the 
vehicle off, until the engine starts and then shuts down. The test cycle 
is completed once the engine shuts down. Measure emissions as described 
in paragraphs (b)(2) and (3) of this section. Use good engineering 
judgment to minimize the variability in testing between the two types of 
vehicles.
    (6) Refer to paragraph (b)(9) of this section for cycle validation.
    (7) Continue testing over the three vehicle drive cycles, as 
otherwise required by this part.
    (8) Calculate combined cycle-weighted emissions of the four cycles 
as specified in paragraph (d) of this section.
    (d) Calculate combined cycle-weighted emissions of the four cycles 
for vocational vehicles as follows:
    (1) Calculate the g/ton-mile emission rate for the driving portion 
of the test specified inSec. 1037.510.
    (2) Calculate the g/hr emission rate for the PTO portion of the test 
by dividing the total mass emitted over the cycle (grams) by the time of 
the test (hours). For testing where fractions of a cycle were run (for 
example, where three cycles are completed and the halfway point of a 
fourth PTO cycle is reached before the engine starts and shuts down 
again), use the following procedures to calculate the time of the test:
    (i) Add up the time run for all complete tests.
    (ii) For fractions of a test, use the following equation to 
calculate the time:
[GRAPHIC] [TIFF OMITTED] TR15SE11.013

Where:
ttest = time of the incomplete test.
i = the number of each measurement interval.
N = the total number of measurement intervals.
NPcircuit--1 = Normalized pressure command from circuit 1 of 
          the PTO cycle.
NPcircuit--2 = Normalized pressure command from circuit 2 of 
          the PTO cycle. Let NPcircuit--2 = 1 if there is 
          only one circuit.
tcycle = time of a complete cycle.

    (iii) Sum the time from complete cycles (paragraph (d)(2)(i) of this 
section) and from partial cycles (paragraph (d)(2)(ii) of this section).
    (3) Convert the g/hr PTO result to an equivalent g/mi value based on 
the assumed fraction of engine operating time during which the PTO is 
operating (28 percent) and an assumed average vehicle speed while 
driving (27.1 mph). The conversion factor is: Factor = (0.280)/(1.000-
0.280)/(27.1 mph) = 0.0144 hr/mi. Multiply the g/hr emission rate by 
0.0144 hr/mi.

[[Page 161]]

    (4) Divide the g/mi PTO emission rate by the standard payload and 
add this value to the g/ton-mile emission rate for the driving portion 
of the test.
    (e) Follow the provisions ofSec. 1037.615 to calculate improvement 
factors and benefits for advanced technologies.

    Effective Date Note: At 78 FR 36393, June 17, 2013,Sec. 1037.525 
was amended by revising the introductory text, effective Aug. 16, 2013. 
For the convenience of the user, the revised text is set forth as 
follows:



Sec.  1037.525  Special procedures for testing hybrid vehicles with 
          power take-off.

    This section describes the procedure for quantifying the reduction 
in greenhouse gas emissions as a result of running power take-off (PTO) 
devices with a hybrid powertrain. The procedures are written to test the 
PTO by ensuring that the engine produces all of the energy with no net 
change in stored energy. The full test for the hybrid vehicle is from a 
fully charged renewable energy storage system (RESS) to a depleted RESS 
and then back to a fully charged RESS. These procedures may be used for 
testing any hybrid architecture for which you are requesting a vehicle 
certificate using either chassis testing or powertrain testing. You must 
include all hardware for the PTO system. You may ask us to modify the 
provisions of this section to allow testing hybrid vehicles other than 
electric-battery hybrids, consistent with good engineering judgment.

                                * * * * *



Sec.  1037.550  Special procedures for testing post-transmission
hybrid systems.

    This section describes the procedure for simulating a chassis test 
with a post-transmission hybrid system for A to B testing. The hardware 
that must be included in these tests is the engine, the transmission, 
the hybrid electric motor, the power electronics between the hybrid 
electric motor and the RESS, and the RESS. You may ask us to modify the 
provisions of this section to allow testing non-electric hybrid 
vehicles, consistent with good engineering judgment.
    (a) Set up the engine according to 40 CFR 1065.110 to account for 
work inputs and outputs and accessory work.
    (b) Collect CO2 emissions while operating the system over 
the test cycles specified inSec. 1037.510.
    (c) Collect and measure emissions as described in 40 CFR part 1066. 
Calculate emission rates in grams per ton-mile without rounding. 
Determine values for A, B, C, and M for the vehicle being simulated as 
specified in 40 CFR part 1066. If you will apply an improvement factor 
or test results to multiple vehicle configurations, use values of A, B, 
C, M, kd, and r that represent the vehicle configuration with 
the smallest potential reduction in greenhouse gas emissions as a result 
of the hybrid capability.
    (d) Calculate the transmission output shaft's angular speed target 
for the driver model, fnref,driver, from the linear speed 
associated with the vehicle cycle using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.014

Where:
Scyclei = vehicle speed of the test cycle for each point i.
kd = final drive ratio (the angular speed of the transmission 
          output shaft divided by the angular speed of the drive axle), 
          as declared by the manufacturer.
r = radius of the loaded tires, as declared by the manufacturer.

    (e) Use either speed control or torque control to program the 
dynamometer to follow the test cycle, as follows:
    (1) Speed control. Program dynamometers using speed control as 
described in this paragraph (e)(1). We recommend speed control for 
automated manual transmissions or other designs where there is a power 
interrupt during shifts. Calculate the transmission output shaft's 
angular speed target for the dynamometer, fnref,dyno, from 
the measured linear speed at the

[[Page 162]]

dynamometer rolls using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.015

Where:
[GRAPHIC] [TIFF OMITTED] TR15SE11.016

t = elapsed time in the driving schedule as measured by the dynamometer, 
          in seconds.
Let ti-1 = 0.
[GRAPHIC] [TIFF OMITTED] TR15SE11.017

Where:
Ti = instantaneous measured torque at the transmission output 
          shaft.
fn,i = instantaneous measured angular speed of the 
          transmission output shaft.

    (2) Torque control. Program dynamometers using torque control as 
described in this paragraph (e)(2).
    (i) Calculate the transmission output shaft's torque 
target,Trefi, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR15SE11.018

Where:
FRi = total road load force at the surface of the roll, 
          calculated using the equation in 40 CFR 1066.210(d)(4), as 
          specified in paragraph (e)(2)(ii) of this section.

    (ii) Calculate the total road load force based on instantaneous 
speed values, Si, calculated from the equation in paragraph 
(e)(1) of this section.
    (3) For each test, validate the measured transmission output shaft's 
speed or torque with the corresponding reference values according to 40 
CFR 1065.514(e). You may delete points when the vehicle is braking or 
stopped. Perform the validation based on speed and torque values at the 
transmission output shaft. For steady-state tests (55 mph and 65 mph 
cruise), apply cycle-validation criteria by treating the sampling 
periods from the two tests as a continuous sampling period. Perform

[[Page 163]]

this validation based on the following parameters for either speed-
control or torque-control, as applicable:

  Table 1 ofSec.  1037.550--Statistical Criteria for Validating Duty
                                 Cycles
------------------------------------------------------------------------
          Parameter               Speed control        Torque control
------------------------------------------------------------------------
Slope, a1...................  0.950 <= a1 <= 1.030  0.950 <= a1 <=
                                                     1.030.
Absolute value of intercept,  <=2.0% of maximum     <=2.0% of maximum
 a0.                           test speed.           torque.
Standard error of estimate,   <=5% of maximum test  <=10% of maximum
 SEE.                          speed.                torque.
Coefficient of                =0.970...  =0.850.
 determination, r \2\.
------------------------------------------------------------------------

    (f) Send a brake signal when throttle position is equal to zero and 
vehicle speed is greater than the reference vehicle speed from the test 
cycle. The brake signal should be turned off when the torque measured at 
the transmission output shaft is less than the reference torque. Set a 
delay before changing the brake state using good engineering judgment to 
prevent the brake signal from dithering.
    (g) The driver model should be designed to follow the cycle as 
closely as possible and must meet the requirements of 40 CFR 1066.430(e) 
for transient testing andSec. 1037.510 for steady-state testing.
    (h) Correct for the net energy change of the energy storage device 
as described in 40 CFR 1066.501.
    (i) Follow the provisions ofSec. 1037.510 to weight the cycle 
results andSec. 1037.615 to calculate improvement factors and benefits 
for advanced technologies.

    Effective Date Note: At 78 FR 36393, June 17, 2013,Sec. 1037.550 
was amended by revising the section heading, the introductory text and 
paragraphs (d) through (g), effective Aug. 16, 2013. For the convenience 
of the user, the revised text is set forth as follows:



Sec.  1037.550  Special procedures for testing hybrid systems.

    This section describes the procedure for simulating a chassis test 
with a pre-transmission or post-transmission hybrid system for A to B 
testing. These procedures may also be used to perform A to B testing 
with non-hybrid systems.

                                * * * * *

    (d) Calculate the transmission output shaft's angular speed target 
for the driver model, fnref,driver, from the linear speed associated 
with the vehicle cycle using the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN13.001

Where:

vcyclei = vehicle speed of the test cycle for each point, i, starting 
          from i=1.
kd = final drive ratio (the angular speed of the transmission output 
          shaft divided by the angular speed of the drive axle), as 
          declared by the manufacturer.
r = radius of the loaded tires, as declared by the manufacturer.

    (e) Use speed control with a loop rate of at least 100 Hz to program 
the dynamometer to follow the test cycle, as follows:
    (1) Calculate the transmission output shaft's angular speed target 
for the dynamometer, fnref,dyno, from the measured linear speed at the 
dynamometer rolls using the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN13.002


[[Page 164]]


Where:

[GRAPHIC] [TIFF OMITTED] TR17JN13.003

T = instantaneous measured torque at the transmission output shaft.
Fbrake = instantaneous brake force applied by the driver model to add 
          force to slow down the vehicle.
t = elapsed time in the driving schedule as measured by the dynamometer, 
          in seconds.

    (2) For each test, validate the measured transmission output shaft's 
speed with the corresponding reference values according to 40 CFR 
1065.514(e). You may delete points when the vehicle is stopped. Perform 
the validation based on speed values at the transmission output shaft. 
For steady-state tests (55 mph and 65 mph cruise), apply cycle-
validation criteria by treating the sampling periods from the two tests 
as a continuous sampling period. Perform this validation based on the 
following parameters:

  Table 1 ofSec.  1037.550--Statistical Criteria for Validating Duty
                                 Cycles
------------------------------------------------------------------------
                 Parameter                          Speed control
------------------------------------------------------------------------
Slope, a1.................................  0.950 <= a1 <= 1.030.
Absolute value of intercept,                <= 2.0% of maximum test
 [verbarlm]a0[verbarlm].                     speed.
Standard error of estimate, SEE...........  <= 5% of maximum test speed.
Coefficient of determination, r\2\........  = 0.970.
------------------------------------------------------------------------

    (f) Send a brake signal when throttle position is equal to zero and 
vehicle speed is greater than the reference vehicle speed from the test 
cycle. Set a delay before changing the brake state to prevent the brake 
signal from dithering, consistent with good engineering judgment.
    (g) The driver model should be designed to follow the cycle as 
closely as possible and must meet the requirements ofSec. 1037.510 for 
steady-state testing and 40 CFR 1066.430(e) for transient testing. The 
driver model should be designed so that the brake and throttle are not 
applied at the same time.



                 Subpart G_Special Compliance Provisions



Sec.  1037.601  What compliance provisions apply to these vehicles?

    (a) Engine and vehicle manufacturers, as well as owners and 
operators of vehicles subject to the requirements of this part, and all 
other persons, must observe the provisions of this part, the provisions 
of the Clean Air Act, and the following provisions of 40 CFR part 1068:
    (1) The exemption and importation provisions of 40 CFR part 1068, 
subparts C and D, apply for vehicles subject to this part 1037, except 
that the hardship exemption provisions of 40 CFR 1068.245, 1068.250, and 
1068.255 do not apply for motor vehicles.
    (2) Manufacturers may comply with the defect reporting requirements 
of 40 CFR 1068.501 instead of the defect reporting requirements of 40 
CFR part 85.
    (b) Vehicles exempted from the applicable standards of 40 CFR part 
86 are exempt from the standards of this part without request. 
Similarly, vehicles are exempt without request if the installed engine 
is exempted from the applicable standards in 40 CFR part 86.
    (c) The prohibitions of 40 CFR 86.1854 apply for vehicles subject to 
the requirements of this part. The actions prohibited under this 
provision include the introduction into U.S. commerce of a complete or 
incomplete vehicle subject to the standards of this part where the 
vehicle is not covered by a valid certificate of conformity or 
exemption.
    (d) Except as specifically allowed by this part, it is a violation 
of section 203(a)(1) of the Clean Air Act (42 U.S.C. 7522(a)(1)) to 
introduce into U.S. commerce a tractor containing an engine not 
certified for use in tractors; or to introduce into U.S. commerce a 
vocational vehicle containing a light heavy-duty or medium heavy-duty 
engine not certified for use in vocational vehicles. This prohibition 
applies especially to the vehicle manufacturer.
    (e) A vehicle manufacturer that completes assembly of a vehicle at 
two or more facilities may ask to use as the date of manufacture for 
that vehicle the date on which manufacturing is

[[Page 165]]

completed at the place of main assembly, consistent with provisions of 
49 CFR 567.4. Note that such staged assembly is subject to the 
provisions of 40 CFR 1068.260(c). Include your request in your 
application for certification, along with a summary of your staged-
assembly process. You may ask to apply this allowance to some or all of 
the vehicles in your vehicle family. Our approval is effective when we 
grant your certificate. We will not approve your request if we determine 
that you intend to use this allowance to circumvent the intent of this 
part.



Sec.  1037.610  Vehicles with innovative technologies.

    (a) You may ask us to apply the provisions of this section for 
CO2 emission reductions resulting from vehicle technologies 
that were not in common use with heavy-duty vehicles before model year 
2010 that are not reflected in the GEM simulation tool. These provisions 
may be applied for CO2 emission reductions reflected using 
the specified test procedures, provided they are not reflected in the 
GEM. We will apply these provisions only for technologies that will 
result in measurable, demonstrable, and verifiable real-world 
CO2 emission reductions.
    (b) The provisions of this section may be applied as either an 
improvement factor or as a separate credit, consistent with good 
engineering judgment. We recommend that you base your credit/adjustment 
on A to B testing of pairs of vehicles differing only with respect to 
the technology in question.
    (1) Calculate improvement factors as the ratio of in-use emissions 
with the technology divided by the in-use emissions without the 
technology. Use the improvement-factor approach where good engineering 
judgment indicates that the actual benefit will be proportional to 
emissions measured over the test procedures specified in this part.
    (2) Calculate separate credits (g/ton-mile) based on the difference 
between the in-use emission rate with the technology and the in-use 
emission rate without the technology. Multiply this difference by the 
number of vehicles, standard payload, and useful life. Use the separate-
credit approach where good engineering judgment indicates that the 
actual benefit will be not be proportional to emissions measured over 
the test procedures specified in this part.
    (3) We may require you to discount or otherwise adjust your 
improvement factor or credit to account for uncertainty or other 
relevant factors.
    (c) You may perform A to B testing by measuring emissions from the 
vehicles during chassis testing or from in-use on-road testing. We 
recommend that you perform on-road testing according to SAE J1321 Joint 
TMC/SAE Fuel Consumption Test Procedure Type II Reaffirmed 1986-10 or 
SAE J1526 Joint TMC/SAE Fuel Consumption In-Service Test Procedure Type 
III Issued 1987-06 (seeSec. 1037.810 for information availability of 
SAE standards), subject to the following provisions:
    (1) The minimum route distance is 100 miles.
    (2) The route selected must be representative in terms of grade. We 
will take into account published and relevant research in determining 
whether the grade is representative.
    (3) The vehicle speed over the route must be representative of the 
drive-cycle weighting adopted for each regulatory subcategory. For 
example, if the route selected for an evaluation of a combination 
tractor with a sleeper cab contains only interstate driving, the 
improvement factor would apply only to 86 percent of the weighted 
result.
    (4) The ambient air temperature must be between 5 and 35 [deg]C, 
unless the technology requires other temperatures for demonstration.
    (5) We may allow you to use a Portable Emissions Measurement System 
(PEMS) device for measuring CO2 emissions during the on-road 
testing.
    (d) Send your request to the Designated Compliance Officer. Include 
a detailed description of the technology and a recommended test plan. 
Also state whether you recommend applying these provisions using the 
improvement-factor method or the separate-credit method. We recommend 
that you do not begin collecting test data (for submission to EPA) 
before contacting us. For technologies for which the engine manufacturer 
could also claim

[[Page 166]]

credits (such as transmissions in certain circumstances), we may require 
you to include a letter from the engine manufacturer stating that it 
will not seek credits for the same technology.
    (e) We may seek public comment on your request, consistent with the 
provisions of 40 CFR 86.1866. However, we will generally not seek public 
comment on credits or adjustments based on A to B chassis testing 
performed according to the duty-cycle testing requirements of this part 
or in-use testing performed according to paragraph (c) of this section.



Sec.  1037.615  Hybrid vehicles and other advanced technologies.

    (a) This section applies for hybrid vehicles with regenerative 
braking, vehicles equipped with Rankine-cycle engines, electric 
vehicles, and fuel cell vehicles. You may not generate credits for 
engine features for which the engines generate credits under 40 CFR part 
1036.
    (b) Generate advanced technology emission credits for hybrid 
vehicles that include regenerative braking (or the equivalent) and 
energy storage systems, fuel cell vehicles, and vehicles equipped with 
Rankine-cycle engines as follows:
    (1) Measure the effectiveness of the advanced system by chassis 
testing a vehicle equipped with the advanced system and an equivalent 
conventional vehicle. Test the vehicles as specified in subpart F of 
this part. For purposes of this paragraph (b), a conventional vehicle is 
considered to be equivalent if it has the same footprint (as defined in 
40 CFR 86.1803), vehicle service class, aerodynamic drag, and other 
relevant factors not directly related to the hybrid powertrain. If you 
useSec. 1037.525 to quantify the benefits of a hybrid system for PTO 
operation, the conventional vehicle must have same number of PTO 
circuits and have equivalent PTO power. If you do not produce an 
equivalent vehicle, you may create and test a prototype equivalent 
vehicle. The conventional vehicle is considered Vehicle A and the 
advanced vehicle is considered Vehicle B. We may specify an alternate 
cycle if your vehicle includes a power take-off.
    (2) Calculate an improvement factor and g/ton-mile benefit using the 
following equations and parameters:
    (i) Improvement Factor = [(Emission Rate A) - (Emission Rate B)] / 
(Emission Rate A)
    (ii) g/ton-mile benefit = Improvement Factor x (GEM Result B)
    (iii) Emission Rates A and B are the g/ton-mile CO2 
emission rates of the conventional and advanced vehicles, respectively, 
as measured under the test procedures specified in this section. GEM 
Result B is the g/ton-mile CO2 emission rate resulting from 
emission modeling of the advanced vehicle as specified inSec. 
1037.520.
    (3) Use the equations ofSec. 1037.705 to convert the g/ton-mile 
benefit to emission credits (in Mg). Use the g/ton-mile benefit in place 
of the (Std-FEL) term.
    (c) SeeSec. 1037.525 for special testing provisions related to 
hybrid vehicles equipped with power take-off units.
    (d) You may use an engineering analysis to calculate an improvement 
factor for fuel cell vehicles based on measured emissions from the fuel 
cell vehicle.
    (e) For electric vehicles, calculate CO2 credits using an 
FEL of 0 g/ton-mile.
    (f) As specified in subpart H of this part, credits generated under 
this section may be used under this part 1037 outside of the averaging 
set in which they were generated or used under 40 CFR part 1036.
    (g) You may certify using both provisions of this section and the 
innovative technology provisions ofSec. 1037.610, provided you do not 
double count emission benefits.

    Effective Date Note: At 78 FR 36393, June 17, 2013,Sec. 1037.615 
was amended by revising paragraph (b)(1), redesignating paragraph (b)(3) 
as (b)(4), and adding a new paragraph (b)(3), effective Aug. 16, 2013. 
For the convenience of the user, the added and revised text is set forth 
as follows:



Sec.  1037.615  Hybrid vehicles and other advanced technologies.

                                * * * * *

    (b) * * *
    (1) Measure the effectiveness of the advanced system by chassis 
testing a vehicle equipped with the advanced system and an

[[Page 167]]

equivalent conventional vehicle, or by testing the hybrid systems and 
the equivalent non-hybrid systems as described inSec. 1037.550. Test 
the vehicles as specified in subpart F of this part. For purposes of 
this paragraph (b), a conventional vehicle is considered to be 
equivalent if it has the same footprint (as defined in 40 CFR 86.1803), 
vehicle service class, aerodynamic drag, and other relevant factors not 
directly related to the hybrid powertrain. If you useSec. 1037.525 to 
quantify the benefits of a hybrid system for PTO operation, the 
conventional vehicle must have the same number of PTO circuits and have 
equivalent PTO power. If you do not produce an equivalent vehicle, you 
may create and test a prototype equivalent vehicle. The conventional 
vehicle is considered Vehicle A and the advanced vehicle is considered 
Vehicle B. We may specify an alternate cycle if your vehicle includes a 
power take-off.

                                * * * * *

    (3) If you apply an improvement factor to multiple vehicle 
configurations using the same advanced technology, use the vehicle 
configuration with the smallest potential reduction in greenhouse gas 
emissions resulting from the hybrid capability.

                                * * * * *



Sec.  1037.620  Shipment of incomplete vehicles to secondary vehicle
manufacturers.

    This section specifies how manufacturers may introduce partially 
complete vehicles into U.S. commerce.
    (a) The provisions of this section allow manufacturers to ship 
partially complete vehicles to secondary vehicle manufacturers or 
otherwise introduce them into U.S. commerce in the following 
circumstances:
    (1) Tractors. Manufacturers may introduce partially complete 
tractors into U.S. commerce if they are covered by a certificate of 
conformity for tractors and will be in their certified tractor 
configuration before they reach the ultimate purchasers. For example, 
this would apply for sleepers initially shipped without the sleeper 
compartments attached. Note that delegated assembly provisions may apply 
(see 40 CFR 1068.261).
    (2) Vocational vehicles. Manufacturers may introduce partially 
complete vocational vehicles into U.S. commerce if they are covered by a 
certificate of conformity for vocational vehicles and will be in their 
certified vocational configuration before they reach the ultimate 
purchasers. Note that delegated assembly provisions may apply (see 40 
CFR 1068.261).
    (3) Uncertified vehicles that will be certified by secondary vehicle 
manufacturers. Manufacturers may introduce into U.S. commerce partially 
complete vehicles for which they do not hold a certificate of conformity 
only as allowed by paragraph (b) of this section.
    (b) The provisions of this paragraph (b) generally apply where the 
secondary vehicle manufacturer has substantial control over the design 
and assembly of emission controls. In determining whether a manufacturer 
has substantial control over the design and assembly of emission 
controls, we would consider the degree to which the secondary 
manufacturer would be able to ensure that the engine and vehicle will 
conform to the regulations in their final configurations.
    (1) A secondary manufacturer may finish assembly of partially 
complete vehicles in the following cases:
    (i) It obtains a vehicle that is not fully assembled with the intent 
to manufacture a complete vehicle in a certified configuration.
    (ii) It obtains a vehicle with the intent to modify it to a 
certified configuration before it reaches the ultimate purchaser. For 
example, this may apply for converting a gasoline-fueled vehicle to 
operate on natural gas under the terms of a valid certificate.
    (2) Manufacturers may introduce partially complete vehicles into 
U.S. commerce as described in this paragraph (b) if they have a written 
request for such vehicles from a secondary vehicle manufacturer that 
will finish the vehicle assembly and has certified the vehicle (or the 
vehicle has been exempted or excluded from the requirements of this 
part). The written request must include a statement that the secondary 
manufacturer has a certificate of conformity (or exemption/exclusion) 
for the vehicle and identify a valid vehicle family name associated with 
each vehicle model ordered (or the basis for an exemption/exclusion). 
The original vehicle manufacturer must apply a removable label meeting 
the requirements of 40 CFR 1068.45 that identifies

[[Page 168]]

the corporate name of the original manufacturer and states that the 
vehicle is exempt under the provisions ofSec. 1037.620. The name of 
the certifying manufacturer must also be on the label or, alternatively, 
on the bill of lading that accompanies the vehicles during shipment. The 
original manufacturer may not apply a permanent emission control 
information label identifying the vehicle's eventual status as a 
certified vehicle.
    (3) If you are the secondary manufacturer and you will hold the 
certificate, you must include the following information in your 
application for certification:
    (i) Identify the original manufacturer of the partially complete 
vehicle or of the complete vehicle you will modify.
    (ii) Describe briefly how and where final assembly will be 
completed. Specify how you have the ability to ensure that the vehicles 
will conform to the regulations in their final configuration. (Note: 
This section prohibits using the provisions of this paragraph (b) unless 
you have substantial control over the design and assembly of emission 
controls.)
    (iii) State unconditionally that you will not distribute the 
vehicles without conforming to all applicable regulations.
    (4) If you are a secondary manufacturer and you are already a 
certificate holder for other families, you may receive shipment of 
partially complete vehicles after you apply for a certificate of 
conformity but before the certificate's effective date. This exemption 
allows the original manufacturer to ship vehicles after you have applied 
for a certificate of conformity. Manufacturers may introduce partially 
complete vehicles into U.S. commerce as described in this paragraph 
(b)(4) if they have a written request for such vehicles from a secondary 
manufacturer stating that the application for certification has been 
submitted (instead of the information we specify in paragraph (b)(2) of 
this section). We may set additional conditions under this paragraph 
(b)(4) to prevent circumvention of regulatory requirements.
    (5) Both original and secondary manufacturers must keep the records 
described in this section for at least five years, including the written 
request for exempted vehicles and the bill of lading for each shipment 
(if applicable). The written request is deemed to be a submission to 
EPA.
    (6) These provisions are intended only to allow secondary 
manufacturers to obtain or transport vehicles in the specific 
circumstances identified in this section so any exemption under this 
section expires when the vehicle reaches the point of final assembly 
identified in paragraph (b)(3)(ii) of this section.
    (7) For purposes of this section, an allowance to introduce 
partially complete vehicles into U.S. commerce includes a conditional 
allowance to sell, introduce, or deliver such vehicles into commerce in 
the United States or import them into the United States. It does not 
include a general allowance to offer such vehicles for sale because this 
exemption is intended to apply only for cases in which the certificate 
holder already has an arrangement to purchase the vehicles from the 
original manufacturer. This exemption does not allow the original 
manufacturer to subsequently offer the vehicles for sale to a different 
manufacturer who will hold the certificate unless that second 
manufacturer has also complied with the requirements of this part. The 
exemption does not apply for any individual vehicles that are not 
labeled as specified in this section or which are shipped to someone who 
is not a certificate holder.
    (8) We may suspend, revoke, or void an exemption under this section, 
as follows:
    (i) We may suspend or revoke your exemption if you fail to meet the 
requirements of this section. We may suspend or revoke an exemption 
related to a specific secondary manufacturer if that manufacturer sells 
vehicles that are in not in a certified configuration in violation of 
the regulations. We may disallow this exemption for future shipments to 
the affected secondary manufacturer or set additional conditions to 
ensure that vehicles will be assembled in the certified configuration.

[[Page 169]]

    (ii) We may void an exemption for all the affected vehicles if you 
intentionally submit false or incomplete information or fail to keep and 
provide to EPA the records required by this section.
    (iii) The exemption is void for a vehicle that is shipped to a 
company that is not a certificate holder or for a vehicle that is 
shipped to a secondary manufacturer that is not in compliance with the 
requirements of this section.
    (iv) The secondary manufacturer may be liable for penalties for 
causing a prohibited act where the exemption is voided due to actions on 
the part of the secondary manufacturer.
    (c) Provide instructions along with partially complete vehicles 
including all information necessary to ensure that an engine will be 
installed in its certified configuration.

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1037.620 
was amended by revising paragraph (a)(3), effective Aug. 16, 2013. For 
the convenience of the user, the revised text is set forth as follows:



Sec.  1037.620  Shipment of incomplete vehicles to secondary vehicle 
          manufacturers.

                                * * * * *

    (a) * * *
    (3) Uncertified vehicles that will be certified by secondary vehicle 
manufacturers. Manufacturers may introduce into U.S. commerce partially 
complete vehicles for which they do not hold a certificate of conformity 
only as allowed by paragraph (b) of this section; however, the 
requirements of this section do not apply if vehicles produced by a 
secondary vehicle manufacturer are excluded from the standards of this 
part underSec. 1037.150(c).

                                * * * * *



Sec.  1037.630  Special purpose tractors.

    (a) General provisions. This section allows a vehicle manufacturer 
to reclassify certain tractors as vocational tractors. Vocational 
tractors are treated as vocational vehicles and are exempt from the 
standards ofSec. 1037.106. Note that references to ``tractors'' 
outside of this section mean non-vocational tractors.
    (1) This allowance is intended only for vehicles that do not 
typically operate at highway speeds, or would otherwise not benefit from 
efficiency improvements designed for line-haul tractors. This allowance 
is limited to the following vehicle and application types:
    (i) Low-roof tractors intended for intra-city pickup and delivery, 
such as those that deliver bottled beverages to retail stores.
    (ii) Tractors intended for off-road operation (including mixed 
service operation), such as those with reinforced frames and increased 
ground clearance.
    (iii) Tractors with a GCWR over 120,000 pounds.
    (2) Where we determine that a manufacturer is not applying this 
allowance in good faith, we may require the manufacturer to obtain 
preliminary approval before using this allowance.
    (b) Requirements. The following requirements apply with respect to 
tractors reclassified under this section:
    (1) The vehicle must fully conform to all requirements applicable to 
vocational vehicles under this part.
    (2) Vehicles reclassified under this section must be certified as a 
separate vehicle family. However, they remain part of the vocational 
regulatory sub-category and averaging set that applies for their weight 
class.
    (3) You must include the following additional statement on the 
vehicle's emission control information label underSec. 1037.135: 
``THIS VEHICLE WAS CERTIFIED AS A VOCATIONAL TRACTOR UNDER 40 CFR 
1037.630.''.
    (4) You must keep records for three years to document your basis for 
believing the vehicles will be used as described in paragraph (a)(1) of 
this section. Include in your application for certification a brief 
description of your basis.
    (c) Production limit. No manufacturer may produce more than 21,000 
vehicles under this section in any consecutive three model year period. 
This means you may not exceed 6,000 in a given model year if the 
combined total for the previous two years was 15,000. The production 
limit applies with respect to all Class 7 and Class 8 tractors certified 
or exempted as vocational tractors. Note that in most cases, the 
provisions of paragraph (a) of this section will limit the allowable 
number of vehicles to be a number lower than the production limit of 
this paragraph (c).

[[Page 170]]

    (d) Off-road exemption. All the provisions of this section apply for 
vocational tractors exempted underSec. 1037.631, except as follows:
    (1) The vehicles are required to comply with the requirements of 
Sec.  1037.631 instead of the requirements that would otherwise apply to 
vocational vehicles. Vehicles complying with the requirements ofSec. 
1037.631 and using an engine certified to the standards of 40 CFR part 
1036 are deemed to fully conform to all requirements applicable to 
vocational vehicles under this part.
    (2) The vehicles must be labeled as specified underSec. 1037.631 
instead of as specified in paragraph (b)(3) of this section.



Sec.  1037.631  Exemption for vocational vehicles intended for off-
road use.

    This section provides an exemption from the greenhouse gas standards 
of this part for certain vocational vehicles intended to be used 
extensively in off-road environments such as forests, oil fields, and 
construction sites. This section does not exempt the engine used in the 
vehicle from the standards of 40 CFR part 86 or part 1036. Note that you 
may not include these exempted vehicles in any credit calculations under 
this part.
    (a) Qualifying criteria. Vocational vehicles intended for off-road 
use meeting either the criteria of paragraph (a)(1) or (a)(2) of this 
section are exempt without request, subject to the provisions of this 
section.
    (1) Vehicles are exempt if the tires installed on the vehicle have a 
maximum speed rating at or below 55 mph.
    (2) Vehicles are exempt if they were primarily designed to perform 
work off-road (such as in oil fields, forests, or construction sites), 
and they meet at least one of the criteria of paragraph (a)(2)(i) of 
this section and at least one of the criteria of paragraph (a)(2)(ii) of 
this section.
    (i) The vehicle must have affixed components designed to work in an 
off-road environment (i.e., hazardous material equipment or off-road 
drill equipment) or be designed to operate at low speeds such that it is 
unsuitable for normal highway operation.
    (ii) The vehicle must meet one of the following criteria:
    (A) Have an axle that has a gross axle weight rating (GAWR) of 
29,000 pounds.
    (B) Have a speed attainable in 2 miles of not more than 33 mph.
    (C) Have a speed attainable in 2 miles of not more than 45 mph, an 
unloaded vehicle weight that is not less than 95 percent of its gross 
vehicle weight rating (GVWR), and no capacity to carry occupants other 
than the driver and operating crew.
    (b) Tractors. The provisions of this section may apply for tractors 
only if each tractor qualifies as a vocational tractor underSec. 
1037.630.
    (c) Recordkeeping and reporting. (1) You must keep records to 
document that your exempted vehicle configurations meet all applicable 
requirements of this section. Keep these records for at least eight 
years after you stop producing the exempted vehicle model. We may review 
these records at any time.
    (2) You must also keep records of the individual exempted vehicles 
you produce, including the vehicle identification number and a 
description of the vehicle configuration.
    (3) Within 90 days after the end of each model year, you must send 
to the Designated Compliance Officer a report with the following 
information:
    (i) A description of each exempted vehicle configuration, including 
an explanation of why it qualifies for this exemption.
    (ii) The number of vehicles exempted for each vehicle configuration.
    (d) Labeling. You must include the following additional statement on 
the vehicle's emission control information label underSec. 1037.135: 
``THIS VEHICLE WAS EXEMPTED UNDER 40 CFR 1037.631.''.



Sec.  1037.640  Variable vehicle speed limiters.

    This section specifies provisions that apply for vehicle speed 
limiters (VSLs) that you model underSec. 1037.520. This does not apply 
for VSLs that you do not model underSec. 1037.520.
    (a) General. The regulations of this part do not constrain how you 
may design VSLs for your vehicles. For example, you may design your VSL 
to have a single fixed speed limit or a soft-top speed limit. You may 
also design your VSL to expire after accumulation of a

[[Page 171]]

predetermined number of miles. However, designs with soft tops or 
expiration features are subject to proration provisions under this 
section that do not apply to fixed VSLs that do not expire.
    (b) Definitions. The following definitions apply for purposes of 
this section:
    (1) Default speed limit means the speed limit that normally applies 
for the vehicle, except as follows:
    (i) The default speed limit for adjustable VSLs must represent the 
speed limit that applies when the VSL is adjusted to its highest setting 
under paragraph (c) of this section.
    (ii) For VSLs with soft tops, the default speed does not include 
speeds possible only during soft-top operation.
    (iii) For expiring VSLs, the default does not include speeds that 
are possible only after expiration.
    (2) Soft-top speed limit means the highest speed limit that applies 
during soft-top operation.
    (3) Maximum soft-top duration means the maximum amount of time that 
a vehicle could operate above the default speed limit.
    (4) Certified VSL means a VSL configuration that applies when a 
vehicle is new and until it expires.
    (5) Expiration point means the mileage at which a vehicle's 
certified VSL expires (or the point at which tamper protections expire).
    (6) Effective speed limit has the meaning given in paragraph (d) of 
this section.
    (c) Adjustments. You may design your VSL to be adjustable; however, 
this may affect the value you use in the GEM.
    (1) Except as specified in paragraph (c)(2) of this section, any 
adjustments that can be made to the engine, vehicle, or their controls 
that change the VSL's actual speed limit are considered to be adjustable 
operating parameters. Compliance is based on the vehicle being adjusted 
to the highest speed limit within this range.
    (2) The following adjustments are not adjustable parameters:
    (i) Adjustments made only to account for changing tire size or final 
drive ratio.
    (ii) Adjustments protected by encrypted controls or passwords.
    (iii) Adjustments possible only after the VSL's expiration point.
    (d) Effective speed limit. (1) For VSLs without soft tops or 
expiration points that expire before 1,259,000 miles, the effective 
speed limit is the highest speed limit that results by adjusting the VSL 
or other vehicle parameters consistent with the provisions of paragraph 
(c) of this section.
    (2) For VSLs with soft tops and/or expiration points, the effective 
speed limit is calculated as specified in this paragraph (d)(2), which 
is based on 10 hours of operation per day (394 miles per day for day 
cabs and 551 miles per day for sleeper cabs). Note that this calculation 
assumes that a fraction of this operation is speed limited (3.9 hours 
and 252 miles for day cabs, and 7.3 hours and 474 miles for sleeper 
cabs). Use the following equation to calculate the effective speed 
limit, rounded to the nearest 0.1 mph:

Effective speed = ExF * [STF* STSL + (1-STF) * DSL] + (1-ExF)*65 mph

Where:

ExF = expiration point miles/1,259,000 miles
STF = maximum number of allowable soft top operation hours per day/3.9 
          hours for day cabs (or maximum miles per day/252)
STF = maximum number of allowable soft top operation hours per day/7.3 
          hours for sleeper cabs (or maximum miles per day/474)
STSL = the soft top speed limit
DSL = the default speed limit



Sec.  1037.645  In-use compliance with family emission limits (FELs).

    You may ask us to apply a higher in-use FEL for certain in-use 
vehicles, subject to the provisions of this section. Note thatSec. 
1037.225 contains provisions related to changing FELs during a model 
year.
    (a) Purpose. This section is intended to address circumstances in 
which it is in the public interest to apply a higher in-use FEL based on 
forfeiting an appropriate number of emission credits.
    (b) FELs. We may apply higher in-use FELs to your vehicles as 
follows:
    (1) Where your vehicle family includes more than one sub-family with 
different FELs, we may apply a higher FEL within the family than was 
applied to the vehicle's configuration in your final ABT report. For 
example, if your vehicle family included three sub-

[[Page 172]]

families with FELs of 200 g/ton-mile, 210 g/ton-mile, and 220 g/ton-
mile, we may apply a 220 g/ton-mile in-use FEL to vehicles that were 
originally designated as part of the 200 g/ton-mile or 210 g/ton-mile 
sub-families.
    (2) Without regard to the number of sub-families in your certified 
vehicle family, we may specify new sub-families with higher FELs than 
were included in your final ABT report. We may apply these higher FELs 
as in-use FELs for your vehicles. For example, if your vehicle family 
included three sub-families with FELs of 200 g/ton-mile, 210 g/ton-mile, 
and 220 g/ton-mile, we may specify a new 230 g/ton-mile sub-family.
    (3) In specifying sub-families and in-use FELs, we would intend to 
accurately reflect the actual in-use performance of your vehicles, 
consistent with the specified testing and modeling provisions of this 
part.
    (c) Equivalent families. We may apply the higher FELs to other 
families in other model years if they used equivalent emission controls.
    (d) Credit forfeiture. Where we specify higher in-use FELs under 
this section, you must forfeit CO2 emission credits based on 
the difference between the in-use FEL and the otherwise applicable FEL. 
Calculate the amount of credits to be forfeited using the applicable 
equation inSec. 1037.705, by substituting the otherwise applicable FEL 
for the standard and the in-use FEL for the otherwise applicable FEL.
    (e) Requests. Submit your request to the Designated Compliance 
Officer. Include the following in your request:
    (1) The vehicle family name, model year, and name/description of the 
configuration(s) affected.
    (2) A list of other vehicle families/configurations/model years that 
may be affected.
    (3) The otherwise applicable FEL for each configuration along with 
your recommendations for higher in-use FELs.
    (4) Your source of credits for forfeiture.
    (f) Relation to recall. You may not request higher in-use FELs for 
any vehicle families for which we have made a determination of 
nonconformance and ordered a recall. You may, however, make such 
requests for vehicle families for which you are performing a voluntary 
emission recall.
    (g) Approval. We may approve your request if we determine that you 
meet the requirements of this section and such approval is in the public 
interest. We may include appropriate conditions with our approval or we 
may approve your request with modifications.



Sec.  1037.650  Tire manufacturers.

    This section describes how the requirements of this part apply with 
respect to tire manufacturers that choose to provide test data or 
emission warranties for purposes of this part.
    (a) Testing. You are responsible as follows for test tires and 
emission test results that you provide to vehicle manufacturers for the 
purpose of the manufacturer submitting them to EPA for certification 
under this part:
    (1) Such test results are deemed underSec. 1037.825 to be 
submissions to EPA. This means that you may be subject to criminal 
penalties under 18 U.S.C. 1001 if you knowingly submit false test 
results to the manufacturer.
    (2) You may not cause a vehicle manufacturer to violate the 
regulations by rendering inaccurate emission test results you provide 
(or emission test results from testing of test tires you provide) to the 
vehicle manufacturer.
    (3) Your provision of test tires and emission test results to 
vehicle manufacturers for the purpose of certifying under this part is 
deemed to be an agreement to provide tires to EPA for confirmatory 
testing underSec. 1037.201.
    (b) Warranty. You may contractually agree to process emission 
warranty claims on behalf of the manufacturer certifying the vehicle 
with respect to tires you produce.
    (1) Your fulfillment of the warranty requirements of this part is 
deemed to fulfill the vehicle manufacturer's warranty obligations under 
this part with respect to tires you warrant.
    (2) You may not cause a vehicle manufacturer to violate the 
regulations by failing to fulfill the emission warranty requirements 
that you contractually agreed to fulfill.

[[Page 173]]



Sec.  1037.655  Post-useful life vehicle modifications.

    This section specifies vehicle modifications that may occur after a 
vehicle reaches the end of its regulatory useful life. It does not apply 
with respect to modifications that occur within the useful life period. 
It also does not apply with respect to engine modifications or 
recalibrations. Note that many such modifications to the vehicle during 
the useful life and to the engine at any time are presumed to violate 42 
U.S.C. 7522(a)(3)(A).
    (a) General. Except as allowed by this section, it is prohibited for 
any person to remove or render inoperative any emission control device 
installed to comply with the requirements of this part 1037.
    (b) Allowable modifications. You may modify a vehicle for the 
purpose of reducing emissions, provided you have a reasonable technical 
basis for knowing that such modification will not increase emissions of 
any other pollutant. Reasonable technical basis has the meaning given in 
40 CFR 1068.30. This generally requires you to have information that 
would lead an engineer or other person familiar with engine and vehicle 
design and function to reasonably believe that the modifications will 
not increase emissions of any regulated pollutant.
    (c) Examples of allowable modifications. The following are examples 
of allowable modifications:
    (1) It is generally allowable to remove tractor roof fairings after 
the end of the vehicle's useful life if the vehicle will no longer be 
used primarily to pull box trailers.
    (2) Other fairings may be removed after the end of the vehicle's 
useful life if the vehicle will no longer be used significantly on 
highways with vehicle speed of 55 miles per hour or higher.
    (d) Examples of prohibited modifications. The following are examples 
of modifications that are not allowable:
    (1) No person may disable a vehicle speed limiter prior to its 
expiration point.
    (2) No person may remove aerodynamic fairings from tractors that are 
used primarily to pull box trailers on highways.



Sec.  1037.660  Automatic engine shutdown systems.

    This section specifies requirements that apply for certified 
automatic engine shutdown systems (AES) that are modeled underSec. 
1037.520. It does not apply for AES systems that you do not model under 
Sec.  1037.520.
    (a) Minimum requirements. Your AES system must meet all of the 
requirements of this paragraph (a) to be modeled underSec. 1037.520. 
The system must shut down the engine within 300 seconds when all the 
following conditions are met:
    (1) The transmission is set in neutral with the parking brake 
engaged (or the transmission is set to park if so equipped).
    (2) The operator has not reset the system timer within the 300 
seconds by changing the position of the accelerator, brake, or clutch 
pedal; or by some other mechanism we approve.
    (3) None of the override conditions of paragraph (b) of this section 
are met.
    (b) Override conditions. The system may delay shutting the engine 
down while any of the conditions of this paragraph (b) apply. Engines 
equipped with auto restart may restart during override conditions. Note 
that these conditions allow the system to delay shutdown or restart, but 
do not allow it to reset the timer. The system may delay shutdown--
    (1) While an exhaust emission control device is regenerating. The 
period considered to be regeneration for purposes of this allowance must 
be consistent with good engineering judgment and may differ in length 
from the period considered to be regeneration for other purposes. For 
example, in some cases it may be appropriate to include a cool down 
period for this purpose but not for infrequent regeneration adjustment 
factors.
    (2) If necessary while servicing the vehicle, provided the 
deactivation of the AES system is accomplished using a diagnostic scan 
tool. The system must be automatically reactivated when the engine is 
shutdown for more than 60 minutes.
    (3) If the vehicle's main battery state-of-charge is not sufficient 
to allow the main engine to be restarted.

[[Page 174]]

    (4) If the external ambient temperature reaches a level below which 
or above which the cabin temperature cannot be maintained within 
reasonable heat or cold exposure threshold limit values for the health 
and safety of the operator (not merely comfort).
    (5) If the vehicle's engine coolant temperature is too low according 
to the manufacturer's engine protection guidance. This may also apply 
for fuel or oil temperatures. This allows the engine to continue 
operating until it reaches a predefined temperature at which the 
shutdown sequence of paragraph (a) of this section would resume.
    (6) The system may delay shutdown while the vehicle's main engine is 
operating in power take-off (PTO) mode. For purposes of this paragraph 
(b)(6), an engine is considered to be in PTO mode when a switch or 
setting designating PTO mode is enabled.
    (c) Expiration of AES systems. The AES system may include an 
expiration point (in miles) after which the AES system may be disabled. 
If your vehicle is equipped with an expiring AES system that expires 
before 1,259,000 miles adjust the model input as follows:

Input = 5 g CO2/ton-mile x (miles at expiration/1,259,000 
miles)

    (d) Adjustable parameters. Provisions that apply generally with 
respect to adjustable parameters also apply to the AES system operating 
parameters, except the following are not considered to be adjustable 
parameters:
    (1) Accelerator, brake, and clutch pedals, with respect to resetting 
the idle timer. Parameters associated with other timer reset mechanisms 
we approve are also not adjustable parameters.
    (2) Bypass parameters allowed for vehicle service under paragraph 
(b)(2) of this section.
    (3) Parameters that are adjustable only after the expiration point.

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1037.660 
was amended by revising the introductory text and paragraph (c), 
effective Aug. 16, 2013. For the convenience of the user, the revised 
text is set forth as follows:



Sec.  1037.660  Automatic engine shutdown systems.

    This section specifies requirements that apply for certified 
automatic engine shutdown (AES) systems modeled underSec. 1037.520. It 
does not apply for AES systems you do not model underSec. 1037.520.

                                * * * * *

    (c) Adjustments to AES systems. (1) The AES system may include an 
expiration point (in miles) after which the AES system may be disabled. 
If your vehicle is equipped with an AES system that expires before 
1,259,000 miles, adjust the model input as follows, rounded to the 
nearest 0.1 g/ton-mile: AES Input = 5 g CO2/ton-mile x (miles 
at expiration/1,259,000 miles)
    (2) For AES systems designed to limit idling to a specific number of 
hours less than 1,800 hours over any 12-month period, calculate an 
adjusted AES input using the following equation, rounded to the nearest 
0.1 g/ton-mile: AES Input = 5 g CO2/ton-mile x (1-(maximum 
allowable number of idling hours per year/1,800 hours)). This is an 
annual allowance that starts when the vehicle is new and resets every 12 
months after that. Manufacturers may propose an alternative method based 
on operating hours or miles instead of years.

                                * * * * *



       Subpart H_Averaging, Banking, and Trading for Certification



Sec.  1037.701  General provisions.

    (a) You may average, bank, and trade (ABT) emission credits for 
purposes of certification as described in this subpart and in subpart B 
of this part to show compliance with the standards of Sec.Sec. 
1037.105 and 1037.106. Participation in this program is voluntary.
    (b) The definitions of Subpart I of this part apply to this subpart. 
The following definitions also apply:
    (1) Actual emission credits means emission credits you have 
generated that we have verified by reviewing your final report.
    (2) Averaging set means a set of vehicles in which emission credits 
may be exchanged. Credits generated by one vehicle may only be used by 
other vehicles in the same averaging set. Note that an averaging set may 
comprise more than one regulatory subcategory. SeeSec. 1037.740.
    (3) Broker means any entity that facilitates a trade of emission 
credits between a buyer and seller.

[[Page 175]]

    (4) Buyer means the entity that receives emission credits as a 
result of a trade.
    (5) Reserved emission credits means emission credits you have 
generated that we have not yet verified by reviewing your final report.
    (6) Seller means `the entity that provides emission credits during a 
trade.
    (7) Standard means the emission standard that applies under subpart 
B of this part for vehicles not participating in the ABT program of this 
subpart.
    (8) Trade means to exchange emission credits, either as a buyer or 
seller.
    (c) Emission credits may be exchanged only within an averaging set 
as specified inSec. 1037.740.
    (d) You may not use emission credits generated under this subpart to 
offset any emissions that exceed an FEL or standard, except as allowed 
bySec. 1037.645.
    (e) You may trade emission credits generated from any number of your 
vehicles to the vehicle purchasers or other parties to retire the 
credits. Identify any such credits in the reports described inSec. 
1037.730. Vehicles must comply with the applicable FELs even if you 
donate or sell the corresponding emission credits under this paragraph 
(e). Those credits may no longer be used by anyone to demonstrate 
compliance with any EPA emission standards.
    (f) Emission credits may be used in the model year they are 
generated. Surplus emission credits may be banked for future model 
years. Surplus emission credits may sometimes be used for past model 
years, as described inSec. 1037.745.
    (g) You may increase or decrease an FEL during the model year by 
amending your application for certification underSec. 1037.225. The 
new FEL may apply only to vehicles you have not already introduced into 
commerce.
    (h) SeeSec. 1037.740 for special credit provisions that apply for 
credits generated underSec. 1037.104(d)(7),Sec. 1037.615 or 40 CFR 
1036.615.
    (i) Unless the regulations explicitly allow it, you may not 
calculate credits more than once for any emission reduction. For 
example, if you generate CO2 emission credits for a given 
hybrid vehicle under this part, no one may generate CO2 
emission credits for the hybrid engine under 40 CFR part 1036. However, 
credits could be generated for identical engine used in vehicles that 
did not generate credits under this part.



Sec.  1037.705  Generating and calculating emission credits.

    (a) The provisions of this section apply separately for calculating 
emission credits for each pollutant.
    (b) For each participating family or subfamily, calculate positive 
or negative emission credits relative to the otherwise applicable 
emission standard. Calculate positive emission credits for a family or 
subfamily that has an FEL below the standard. Calculate negative 
emission credits for a family or subfamily 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 
megagram (Mg), using consistent units throughout the following 
equations:
    (1) For vocational vehicles:

Emission credits (Mg) = (Std-FEL) x (Payload Tons) x (Volume) x (UL) x 
(10-6)

Where:

Std = the emission standard associated with the specific tractor 
          regulatory subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-mile).
Payload tons = the prescribed payload for each class in tons (2.85 tons 
          for light heavy-duty vehicles, 5.6 tons for medium heavy-duty 
          vehicles, and 7.5 tons for heavy heavy-duty vehicles).
Volume = U.S.-directed production volume of the vehicle subfamily. For 
          example, if you produce three configurations with the same 
          FEL, the subfamily production volume would be the sum of the 
          production volumes for these three configurations.
UL = useful life of the vehicle (110,000 miles for light heavy-duty 
          vehicles, 185,000 miles for medium heavy-duty vehicles, and 
          435,000 miles for heavy heavy-duty vehicles).

    (2) For tractors:

Emission credits (Mg) = (Std-FEL) x (Payload tons) x (Volume) x (UL) x 
(10-6)

Where:


[[Page 176]]


Std = the emission standard associated with the specific tractor 
          regulatory subcategory (g/ton-mile).
FEL = the family emission limit for the vehicle subfamily (g/ton-mile).
Payload tons = the prescribed payload for each class in tons (12.5 tons 
          for Class 7 and 19 tons for Class 8).
Volume = U.S.-directed production volume of the vehicle subfamily.
UL = useful life of the tractor (435,000 miles for Class 8 and 185,000 
          miles for Class 7).

    (c) As described inSec. 1037.730, compliance with the requirements 
of this subpart is determined at the end of the model year based on 
actual U.S.-directed production volumes. Keep appropriate records to 
document these production volumes. Do not include any of the following 
vehicles to calculate emission credits:
    (1) Vehicles that you do not certify to the CO2 standards 
of this part because they are permanently exempted under subpart G of 
this part or under 40 CFR part 1068.
    (2) Exported vehicles.
    (3) Vehicles not subject to the requirements of this part, such as 
those excluded underSec. 1037.5.
    (4) Any other vehicles, where we indicate elsewhere in this part 
1037 that they are not to be included in the calculations of this 
subpart.



Sec.  1037.710  Averaging.

    (a) Averaging is the exchange of emission credits among your vehicle 
families. You may average emission credits only within the same 
averaging set.
    (b) You may certify one or more vehicle families (or subfamilies) to 
an FEL above the applicable standard, subject to any applicable FEL caps 
and other provisions in subpart B of this part, if you show in your 
application for certification that your projected balance of all 
emission-credit transactions in that model year is greater than or equal 
to zero or that a negative balance is allowed underSec. 1037.745.
    (c) If you certify a vehicle family to an FEL that exceeds the 
otherwise applicable standard, you must obtain enough emission credits 
to offset the vehicle family's deficit by the due date for the final 
report required inSec. 1037.730. The emission credits used to address 
the deficit may come from your other vehicle families that generate 
emission credits in the same model year (or from later model years as 
specified inSec. 1037.745), from emission credits you have banked, or 
from emission credits you obtain through trading.



Sec.  1037.715  Banking.

    (a) Banking is the retention of surplus 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 underSec. 1037.730 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.
    (d) Banked credits retain the designation of the averaging set in 
which they were generated.



Sec.  1037.720  Trading.

    (a) Trading is the exchange of emission credits between 
manufacturers, or the transfer of credits to another party to retire 
them. You may use traded emission credits for averaging, banking, or 
further trading transactions. Traded emission credits remain subject to 
the averaging-set restrictions based on the averaging set in which they 
were generated.
    (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.
    (c) If a negative emission credit balance results from a 
transaction, both the buyer and seller are liable, except in cases we 
deem to involve fraud. SeeSec. 1037.255(e) for cases involving fraud. 
We may void the certificates of all vehicle families participating in a 
trade

[[Page 177]]

that results in a manufacturer having a negative balance of emission 
credits. SeeSec. 1037.745.



Sec.  1037.725  What must I include in my application for
certification?

    (a) You must declare in your application for certification your 
intent to use the provisions of this subpart for each vehicle family 
that will be certified using the ABT program. You must also declare the 
FELs you select for the vehicle family or subfamily for each pollutant 
for which you are using the ABT program. Your FELs must comply with the 
specifications of subpart B of this part, including the FEL caps. FELs 
must be expressed to the same number of decimal places as the applicable 
standards.
    (b) Include the following in your application for certification:
    (1) A statement that, to the best of your belief, you will not have 
a negative balance of emission credits for any averaging set when all 
emission credits are calculated at the end of the year; or a statement 
that you will have a negative balance of emission credits for one or 
more averaging sets but that it is allowed underSec. 1037.745.
    (2) Calculations of projected emission credits (positive or 
negative) based on projected U.S.-directed production volumes. We may 
require you to include similar calculations from your other vehicle 
families to project your net credit balances for the model year. If you 
project negative emission credits for a family or subfamily, state the 
source of positive emission credits you expect to use to offset the 
negative emission credits.



Sec.  1037.730  ABT reports.

    (a) If any of your vehicle families are certified using the ABT 
provisions of this subpart, you must send an end-of-year report within 
90 days after the end of the model year and a final report within 270 
days after the end of the model year.
    (b) Your end-of-year and final reports must include the following 
information for each vehicle family participating in the ABT program:
    (1) Vehicle-family and subfamily designations.
    (2) The regulatory subcategory and emission standards that would 
otherwise apply to the vehicle family.
    (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 vehicle identification number for the first vehicle 
covered by the new FEL. In this case, identify each applicable FEL and 
calculate the positive or negative emission credits as specified in 
Sec.  1037.225.
    (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) Useful life.
    (6) Calculated positive or negative emission credits for the whole 
vehicle family. Identify any emission credits that you traded, as 
described in paragraph (d)(1) of this section.
    (7) If you have a negative credit balance for the averaging set in 
the given model year, specify whether the vehicle family (or certain 
subfamilies with the vehicle family) have a credit deficit for the year. 
Consider for example, a manufacturer with three vehicle families (``A'', 
``B'', and ``C'') in a given averaging set. If family A generates enough 
credits to offset the negative credits of family B but not enough to 
also offset the negative credits of family C (and the manufacturer has 
no banked credits in the averaging set), the manufacturer may designate 
families A and B as having no deficit for the model year, provided it 
designates family C as having a deficit for the model year.
    (c) Your end-of-year and final reports must include the following 
additional information:
    (1) Show that your net balance of emission credits from all your 
participating vehicle families in each averaging set in the applicable 
model year is not negative, except as allowed underSec. 1037.745.
    (2) State whether you will reserve any emission credits for banking.
    (3) State that the report's contents are accurate.

[[Page 178]]

    (d) If you trade emission credits, you must send us a report within 
90 days after the transaction, as follows:
    (1) As the seller, you must include the following information in 
your report:
    (i) The corporate names of the buyer and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) The vehicle families that generated emission credits for the 
trade, including the number of emission credits from each family.
    (2) As the buyer, you must include the following information in your 
report:
    (i) The corporate names of the seller and any brokers.
    (ii) A copy of any contracts related to the trade.
    (iii) How you intend to use the emission credits, including the 
number of emission credits you intend to apply to each vehicle family 
(if known).
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format, send us a written request with justification for a 
waiver.
    (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.



Sec.  1037.735  Recordkeeping.

    (a) You must organize and maintain your records as described in this 
section. We may review your records at any time.
    (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 vehicles 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.
    (c) Keep a copy of the reports we require in Sec.Sec. 1037.725 and 
1037.730.
    (d) Keep records of the vehicle identification number for each 
vehicle 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 vehicle identification numbers 
associated with each FEL. You must also identify the purchaser and 
destination for each vehicle 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.



Sec.  1037.740  Restrictions for using emission credits.

    The following restrictions apply for using emission credits:
    (a) Averaging sets. Except as specified in paragraph (b) of this 
section, emission credits may be exchanged only within an averaging set. 
There are three principal averaging sets for vehicles subject to this 
subpart.
    (1) Vehicles at or below 19,500 pounds GVWR that are subject to the 
standards ofSec. 1037.105.
    (2) Vehicles above 19,500 pounds GVWR but at or below 33,000 pounds 
GVWR.
    (3) Vehicles over 33,000 pounds GVWR.
    (4) Note that other separate averaging sets also apply for emission 
credits not related to this subpart. For example, underSec. 1037.104, 
an additional

[[Page 179]]

averaging set comprises all vehicles subject to the standards of that 
section. Separate averaging sets also apply for engines under 40 CFR 
part 1036, including engines used in vehicles subject to this subpart.
    (b) Credits from hybrid vehicles and other advanced technologies. 
The averaging set restrictions of paragraph (a) of this section do not 
apply for credits generated underSec. 1037.104(d)(7),Sec. 1037.615 
or 40 CFR 1036.615 from hybrid vehicles with regenerative braking, or 
from other advanced technologies.
    (1) The maximum amount of credits you may bring into the following 
service class groups is 60,000 Mg per model year:
    (i) Spark-ignition engines, light heavy-duty compression-ignition 
engines, and light heavy-duty vehicles. This group comprises the 
averaging set listed in paragraphs (a)(1) of this section and the 
averaging set listed in 40 CFR 1036.740(a)(1) and (2).
    (ii) Medium heavy-duty compression-ignition engines and medium 
heavy-duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(2) of this section and 40 CFR 1036.740(a)(3).
    (iii) Heavy heavy-duty compression-ignition engines and heavy heavy-
duty vehicles. This group comprises the averaging sets listed in 
paragraph (a)(3) of this section and 40 CFR 1036.740(a)(4).
    (2) The limit specified in paragraph (b)(1) of this section does not 
limit the amount of advanced technology credits that can be used within 
a service class group if they were generated in that same service class 
group.
    (c) Credit life. Credits expire after five years.
    (d) Other restrictions. Other sections of this part specify 
additional restrictions for using emission credits under certain special 
provisions.



Sec.  1037.745  End-of-year CO2 credit deficits.

    Except as allowed by this section, we may void the certificate of 
any vehicle family certified to an FEL above the applicable standard for 
which you do not have sufficient credits by the deadline for submitting 
the final report.
    (a) Your certificate for a vehicle family for which you do not have 
sufficient CO2 credits will not be void if you remedy the 
deficit with surplus credits within three model years. For example, if 
you have a credit deficit of 500 Mg for a vehicle family at the end of 
model year 2015, you must generate (or otherwise obtain) a surplus of at 
least 500 Mg in that same averaging set by the end of model year 2018.
    (b) You may apply only surplus credits to your deficit. You may not 
apply credits to a deficit from an earlier model year if they were 
generated in a model year for which any of your vehicle families for 
that averaging set had an end-of-year credit deficit.
    (c) If you do not remedy the deficit with surplus credits within 
three model years, we may void your certificate for that vehicle family. 
Note that voiding a certificate applies ab initio. Where the net deficit 
is less than the total amount of negative credits originally generated 
by the family, we will void the certificate only with respect to the 
number of vehicles needed to reach the amount of the net deficit. For 
example, if the original vehicle family generated 500 Mg of negative 
credits, and the manufacturer's net deficit after three years was 250 
Mg, we would void the certificate with respect to half of the vehicles 
in the family.

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1037.745 
was amended by revising the section heading and adding paragraph (d), 
effective Aug. 16, 2013. For the convenience of the user, the added and 
revised text is set forth as follows:



Sec.  1037.745  End-of-year CO2 credit deficits.

                                * * * * *

    (d) For purposes of calculating the statute of limitations, the 
following actions are all considered to occur at the expiration of the 
deadline for offsetting debits as specified in paragraph (a) of this 
section:
    (1) Failing to meet the requirements of paragraph (a) of this 
section.
    (2) Failing to satisfy the conditions upon which a certificate was 
issued relative to offsetting debits.
    (3) Selling, offering for sale, introducing or delivering into U.S. 
commerce, or importing vehicles that are found not to be covered by a 
certificate as a result of failing to offset debits.

[[Page 180]]



Sec.  1037.750  What can happen if I do not comply with the provisions
of this subpart?

    (a) For each vehicle family participating in the ABT program, the 
certificate of conformity is conditioned upon full compliance with the 
provisions of this subpart during and after the model year. You are 
responsible to establish to our satisfaction that you fully comply with 
applicable requirements. We may void the certificate of conformity for a 
vehicle family if you fail to comply with any provisions of this 
subpart.
    (b) You may certify your vehicle family or subfamily to an FEL above 
an applicable standard based on a projection that you will have enough 
emission credits to offset the deficit for the vehicle family. SeeSec. 
1037.745 for provisions specifying what happens if you cannot show in 
your final report that you have enough actual emission credits to offset 
a deficit for any pollutant in a vehicle family.
    (c) We may void the certificate of conformity for a vehicle family 
if you fail to keep records, send reports, or give us information we 
request. Note that failing to keep records, send reports, or give us 
information we request is also a violation of 42 U.S.C. 7522(a)(2).
    (d) You may ask for a hearing if we void your certificate under this 
section (seeSec. 1037.820).



Sec.  1037.755  Information provided to the Department
of Transportation.

    After receipt of each manufacturer's final report as specified in 
Sec.  1037.730 and completion of any verification testing required to 
validate the manufacturer's submitted final data, we will issue a report 
to the Department of Transportation with CO2 emission 
information and will verify the accuracy of each manufacturer's 
equivalent fuel consumption data required by NHTSA under 49 CFR 535.8. 
We will send a report to DOT for each vehicle manufacturer based on each 
regulatory category and subcategory, including sufficient information 
for NHTSA to determine fuel consumption and associated credit values. 
See 49 CFR 535.8 to determine if NHTSA deems submission of this 
information to EPA to also be a submission to NHTSA.



          Subpart I_Definitions and Other Reference Information



Sec.  1037.801  Definitions.

    The following definitions apply to this part. The definitions apply 
to all subparts unless we note otherwise. All undefined terms have the 
meaning the Act gives to them. The definitions follow:
    A to B testing means testing performed in pairs to allow comparison 
of vehicle A to vehicle B.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
    Adjustable parameter means any device, system, or element of design 
that someone can adjust (including those which are difficult to access) 
and that, if adjusted, may affect measured or modeled emissions (as 
applicable). You may ask us to exclude a parameter that is difficult to 
access if it cannot be adjusted to affect emissions without 
significantly degrading vehicle performance, or if you otherwise show us 
that it will not be adjusted in a way that affects emissions during in-
use operation.
    Adjusted Loaded Vehicle Weight means the numerical average of 
vehicle curb weight and GVWR.
    Advanced technology means vehicle technology certified underSec. 
1037.615,Sec. 1037.104(d)(7), or 40 CFR 1036.615.
    Aftertreatment means relating to a catalytic converter, particulate 
filter, or any other system, component, or technology mounted downstream 
of the exhaust valve (or exhaust port) whose design function is to 
decrease emissions in the vehicle exhaust before it is exhausted to the 
environment. Exhaust-gas recirculation (EGR) and turbochargers are not 
aftertreatment.
    Alcohol-fueled vehicle means a vehicle 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.
    Auxiliary emission control device means any element of design that 
senses temperature, motive speed, engine RPM, transmission gear, or any 
other parameter for the purpose of activating, modulating, delaying, or 
deactivating the operation of any part of the emission control system.

[[Page 181]]

    Averaging set has the meaning given inSec. 1037.701.
    Cab-complete vehicle means a vehicle that is first sold as an 
incomplete vehicle that substantially includes its cab. Vehicles known 
commercially as chassis-cabs, cab-chassis, box-deletes, bed-deletes, 
cut-away vans are considered cab-complete vehicles. For purposes of this 
definition, a cab includes a steering column and passenger compartment. 
Note a vehicle lacking some components of the cab is a cab-complete 
vehicle if it substantially includes the cab.
    Calibration means the set of specifications and tolerances specific 
to a particular design, version, or application of a component or 
assembly capable of functionally describing its operation over its 
working range.
    Carbon-related exhaust emissions (CREE) has the meaning given in 40 
CFR 600.002. Note that CREE represents the combined mass of carbon 
emitted as HC, CO, and CO2, expressed as having a molecular 
weight equal to that of CO2.
    Carryover means relating to certification based on emission data 
generated from an earlier model year.
    Certification means relating to the process of obtaining a 
certificate of conformity for a vehicle family that complies with the 
emission standards and requirements in this part.
    Certified emission level means the highest deteriorated emission 
level in a vehicle family for a given pollutant from either transient or 
steady-state testing.
    Class means relating to GVWR classes, as follows:
    (1) Class 2b means heavy-duty motor vehicles at or below 10,000 
pounds GVWR.
    (2) Class 3 means heavy-duty motor vehicles above 10,000 pounds GVWR 
but at or below 14,000 pounds GVWR.
    (3) Class 4 means heavy-duty motor vehicles above 14,000 pounds GVWR 
but at or below 16,000 pounds GVWR.
    (4) Class 5 means heavy-duty motor vehicles above 16,000 pounds GVWR 
but at or below 19,500 pounds GVWR.
    (5) Class 6 means heavy-duty motor vehicles above 19,500 pounds GVWR 
but at or below 26,000 pounds GVWR.
    (6) Class 7 means heavy-duty motor vehicles above 26,000 pounds GVWR 
but at or below 33,000 pounds GVWR.
    (7) Class 8 means heavy-duty motor vehicles above 33,000 pounds 
GVWR.
    Complete vehicle has the meaning given in the definition of vehicle 
in this section.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Curb weight has the meaning given in 40 CFR 86.1803, consistent with 
the provisions ofSec. 1037.140.
    Date of manufacture means the date on which the certifying vehicle 
manufacturer completes its manufacturing operations, except as follows:
    (1) Where the certificate holder is an engine manufacturer that does 
not manufacture the chassis, the date of manufacture of the vehicle is 
based on the date assembly of the vehicle is completed.
    (2) We may approve an alternate date of manufacture based on the 
date on which the certifying (or primary) manufacturer completes 
assembly at the place of main assembly, consistent with the provisions 
ofSec. 1037.601 and 49 CFR 567.4.
    Day cab means a type of tractor cab that is not a sleeper cab.
    Designated Compliance Officer means the Manager, Heavy-Duty and 
Nonroad Engine Group (6405-J), U.S. Environmental Protection Agency, 
1200 Pennsylvania Ave., NW., Washington, DC 20460.
    Designated Enforcement Officer means the Director, Air Enforcement 
Division (2242A), U.S. Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    Deteriorated emission level means the emission level that results 
from applying the appropriate deterioration factor to the official 
emission result of the emission-data vehicle. Note that where no 
deterioration factor applies, references in this part to the 
deteriorated emission level mean the official emission result.
    Deterioration factor means the relationship between emissions at the 
end of useful life and emissions at the low-hour test point, expressed 
in one of the following ways:

[[Page 182]]

    (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.
    Driver model means an automated controller that simulates a person 
driving a vehicle.
    Electric vehicle means a vehicle that does not include an engine, 
and is powered solely by an external source of electricity and/or solar 
power. Note that this does not include electric hybrid or fuel-cell 
vehicles that use a chemical fuel such as gasoline, diesel fuel, or 
hydrogen. Electric vehicles may also be referred to as all-electric 
vehicles to distinguish them from hybrid vehicles.
    Emission control system means any device, system, or element of 
design that controls or reduces the emissions of regulated pollutants 
from a vehicle.
    Emission-data vehicle means a vehicle that is tested for 
certification. This includes vehicle tested to establish deterioration 
factors.
    Emission-related maintenance means maintenance that substantially 
affects emissions or is likely to substantially affect emission 
deterioration.
    Excluded means relating to vehicles that are not subject to some or 
all of the requirements of this part as follows:
    (1) A vehicle that has been determined not to be a motor vehicle is 
excluded from this part.
    (2) Certain vehicles are excluded from the requirements of this part 
underSec. 1037.5.
    (3) Specific regulatory provisions of this part may exclude a 
vehicle generally subject to this part from one or more specific 
standards or requirements of this part.
    Exempted has the meaning given in 40 CFR 1068.30.
    Family emission limit (FEL) means an emission level declared by the 
manufacturer to serve in place of an otherwise applicable emission 
standard under the ABT program in subpart H of this part. The family 
emission limit must be expressed to the same number of decimal places as 
the emission standard it replaces. Note that an FEL may apply as a 
``subfamily'' emission limit.
    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 pump, fuel filters, fuel lines, carburetor 
or fuel-injection components, and all fuel-system vents. It also 
includes components for controlling evaporative emissions, such as fuel 
caps, purge valves, and carbon canisters.
    Fuel type means a general category of fuels such as diesel fuel or 
natural gas. There can be multiple grades within a single fuel type, 
such as high-sulfur or low-sulfur diesel fuel.
    Good engineering judgment has the meaning given in 40 CFR 1068.30. 
See 40 CFR 1068.5 for the administrative process we use to evaluate good 
engineering judgment.
    Gross combination weight rating (GCWR) means the value specified by 
the vehicle manufacturer as the maximum weight of a loaded vehicle and 
trailer, consistent with good engineering judgment. For example, 
compliance with SAE J2807 is generally considered to be consistent with 
good engineering judgment, especially for Class 3 and smaller vehicles.
    Gross vehicle weight rating (GVWR) means the value specified by the 
vehicle manufacturer as the maximum design loaded weight of a single 
vehicle, consistent with good engineering judgment.
    Heavy-duty engine means any engine used for (or for which the engine 
manufacturer could reasonably expect to be used for) motive power in a 
heavy-duty vehicle.
    Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR 
or that has a vehicle curb weight above 6,000 pounds or that has a basic 
vehicle frontal area greater than 45 square feet.
    Hybrid engine or hybrid powertrain means an engine or powertrain 
that includes energy storage features other than a conventional battery 
system or conventional flywheel. Supplemental

[[Page 183]]

electrical batteries and hydraulic accumulators are examples of hybrid 
energy storage systems. Note that certain provisions in this part treat 
hybrid engines and powertrains intended for vehicles that include 
regenerative braking different than those intended for vehicles that do 
not include regenerative braking.
    Hybrid vehicle means a vehicle that includes energy storage features 
(other than a conventional battery system or conventional flywheel) in 
addition to an internal combustion engine or other engine using 
consumable chemical fuel. Supplemental electrical batteries and 
hydraulic accumulators are examples of hybrid energy storage systems. 
Note that certain provisions in this part treat hybrid vehicles that 
include regenerative braking different than those that do not include 
regenerative braking.
    Hydrocarbon (HC) means the hydrocarbon group on which the emission 
standards are based for each fuel type. For alcohol-fueled vehicles, HC 
means nonmethane hydrocarbon equivalent (NMHCE) for exhaust emissions 
and total hydrocarbon equivalent (THCE) for evaporative emissions. For 
all other vehicles, HC means nonmethane hydrocarbon (NMHC) for exhaust 
emissions and total hydrocarbon (THC) for evaporative emissions.
    Identification number means a unique specification (for example, a 
model number/serial number combination) that allows someone to 
distinguish a particular vehicle from other similar vehicles.
    Incomplete vehicle has the meaning given in the definition of 
vehicle in this section.
    Innovative technology means technology certified underSec. 
1037.610.
    Light-duty truck means any motor vehicle rated at or below 8,500 
pounds GVWR with a curb weight at or below 6,000 pounds and basic 
vehicle frontal area at or below 45 square feet, which is:
    (1) Designed primarily for purposes of transportation of property or 
is a derivation of such a vehicle; or
    (2) Designed primarily for transportation of persons and has a 
capacity of more than 12 persons; or
    (3) Available with special features enabling off-street or off-
highway operation and use.
    Light-duty vehicle means a passenger car or passenger car derivative 
capable of seating 12 or fewer passengers.
    Low-mileage means relating to a vehicle with stabilized emissions 
and represents the undeteriorated emission level. This would generally 
involve approximately 4000 miles of operation.
    Low rolling resistance tire means a tire on a vocational vehicle 
with a TRRL at or below of 7.7 kg/metric ton, a steer tire on a tractor 
with a TRRL at or below 7.7 kg/metric ton, or a drive tire on a tractor 
with a TRRL at or below 8.1 kg/metric ton.
    Manufacture means the physical and engineering process of designing, 
constructing, and/or assembling a vehicle.
    Manufacturer has the meaning given in section 216(1) of the Act. In 
general, this term includes any person who manufactures a vehicle or 
vehicle for sale in the United States or otherwise introduces a new 
motor vehicle into commerce in the United States. This includes 
importers who import vehicles or vehicles for resale.
    Medium-duty passenger vehicle (MDPV) has the meaning given in 40 CFR 
86.1803.
    Model year means the manufacturer's annual new model production 
period, except as restricted under this definition and 40 CFR part 85, 
subpart X. It must include January 1 of the calendar year for which the 
model year is named, may not begin before January 2 of the previous 
calendar year, and it must end by December 31 of the named calendar 
year.
    (1) The manufacturer who holds the certificate of conformity for the 
vehicle must assign the model year based on the date when its 
manufacturing operations are completed relative to its annual model year 
period. In unusual circumstances where completion of your assembly is 
delayed, we may allow you to assign a model year one year earlier, 
provided it does not affect which regulatory requirements will apply.
    (2) Unless a vehicle is being shipped to a secondary manufacturer 
that will hold the certificate of conformity, the model year must be 
assigned prior to

[[Page 184]]

introduction of the vehicle into U.S. commerce. The certifying 
manufacturer must redesignate the model year if it does not complete its 
manufacturing operations within the originally identified model year. A 
vehicle introduced into U.S. commerce without a model year is deemed to 
have a model year equal to the calendar year of its introduction into 
U.S. commerce unless the certifying manufacturer assigns a later date.
    Motor vehicle has the meaning given in 40 CFR 85.1703.
    New motor vehicle means a motor vehicle meeting the criteria of 
either paragraph (1) or (2) of this definition. New motor vehicles may 
be complete or incomplete.
    (1) A motor vehicle for which the ultimate purchaser has never 
received the equitable or legal title is a new motor vehicle. This kind 
of vehicle might commonly be thought of as ``brand new'' although a new 
motor vehicle may include previously used parts. Under this definition, 
the vehicle is new from the time it is produced until the ultimate 
purchaser receives the title or places it into service, whichever comes 
first.
    (2) An imported heavy-duty motor vehicle originally produced after 
the 1969 model year is a new motor vehicle.
    Noncompliant vehicle means a vehicle that was originally covered by 
a certificate of conformity, but is not in the certified configuration 
or otherwise does not comply with the conditions of the certificate.
    Nonconforming vehicle means a vehicle not covered by a certificate 
of conformity that would otherwise be subject to emission standards.
    Nonmethane hydrocarbons (NMHC) means the sum of all hydrocarbon 
species except methane, as measured according to 40 CFR part 1065.
    Official emission result means the measured emission rate for an 
emission-data vehicle on a given duty cycle before the application of 
any required deterioration factor, but after the applicability of 
regeneration adjustment factors.
    Owners manual means a document or collection of documents prepared 
by the vehicle manufacturer for the owners or operators to describe 
appropriate vehicle maintenance, applicable warranties, and any other 
information related to operating or keeping the vehicle. The owners 
manual is typically provided to the ultimate purchaser at the time of 
sale.
    Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
    Particulate trap means a filtering device that is designed to 
physically trap all particulate matter above a certain size.
    Percent has the meaning given in 40 CFR 1065.1001. Note that this 
means percentages identified in this part are assumed to be infinitely 
precise without regard to the number of significant figures. For 
example, one percent of 1,493 is 14.93.
    Placed into service means put into initial use for its intended 
purpose.
    Power take-off (PTO) means a secondary engine shaft (or equivalent) 
that provides substantial auxiliary power for purposes unrelated to 
vehicle propulsion or normal vehicle accessories such as air 
conditioning, power steering, and basic electrical accessories. A 
typical PTO uses a secondary shaft on the engine to transmit power to a 
hydraulic pump that powers auxiliary equipment, such as a boom on a 
bucket truck. You may ask us to consider other equivalent auxiliary 
power configurations (such as those with hybrid vehicles) as power take-
off systems.
    Rechargeable Energy Storage System (RESS) means the component(s) of 
a hybrid engine or vehicle that store recovered energy for later use, 
such as the battery system in an electric hybrid vehicle.
    Regulatory sub-category means one of following groups:
    (1) Spark-ignition vehicles subject to the standards ofSec. 
1037.104. Note that this category includes most gasoline-fueled heavy-
duty pickup trucks and vans.
    (2) All other vehicles subject to the standards ofSec. 1037.104. 
Note that this category includes most diesel-fueled heavy-duty pickup 
trucks and van.
    (3) Vocational vehicles at or below 19,500 pounds GVWR.
    (4) Vocational vehicles at or above 19,500 pounds GVWR but below 
33,000 pounds GVWR.

[[Page 185]]

    (5) Vocational vehicles over 33,000 pounds GVWR.
    (6) Low-roof tractors at or above 26,000 pounds GVWR but below 
33,000 pounds GVWR.
    (7) Mid-roof tractors at or above 26,000 pounds GVWR but below 
33,000 pounds GVWR.
    (8) High-roof tractors at or above 26,000 pounds GVWR but below 
33,000 pounds GVWR.
    (9) Low-roof day cab tractors at or above 33,000 pounds GVWR.
    (10) Low-roof sleeper cab tractors at or above 33,000 pounds GVWR.
    (11) Mid-roof day cab tractors at or above 33,000 pounds GVWR.
    (12) Mid-roof sleeper cab tractors at or above 33,000 pounds GVWR.
    (13) High-roof day cab tractors at or above 33,000 pounds GVWR.
    (14) High-roof sleeper cab tractors at or above 33,000 pounds GVWR.
    Relating to as used in this section means relating to something in a 
specific, direct manner. This expression is used in this section only to 
define terms as adjectives and not to broaden the meaning of the terms.
    Revoke has the meaning given in 40 CFR 1068.30.
    Roof height means the maximum height of a vehicle (rounded to the 
nearest inch), excluding narrow accessories such as exhaust pipes and 
antennas, but including any wide accessories such as roof fairings. 
Measure roof height of the vehicle configured to have its maximum height 
that will occur during actual use, with properly inflated tires and no 
driver, passengers, or cargo onboard. Roof height may also refer to the 
following categories:
    (1) Low-roof means relating to a vehicle with a roof height of 120 
inches or less.
    (2) Mid-roof means relating to a vehicle with a roof height of 121 
to 147 inches.
    (3) High-roof means relating to a vehicle with a roof height of 148 
inches or more.
    Round has the meaning given in 40 CFR 1065.1001.
    Scheduled maintenance means adjusting, repairing, removing, 
disassembling, cleaning, or replacing components or systems periodically 
to keep a part or system from failing, malfunctioning, or wearing 
prematurely. It also may mean actions you expect are necessary to 
correct an overt indication of failure or malfunction for which periodic 
maintenance is not appropriate.
    Sleeper cab means a type of tractor cab that has a compartment 
behind the driver's seat intended to be used by the driver for sleeping. 
This includes cabs accessible from the driver's compartment and those 
accessible from outside the vehicle.
    Small manufacturer means a manufacturer meeting the criteria 
specified in 13 CFR 121.201. For manufacturers owned by a parent 
company, the employee and revenue limits apply to the total number 
employees and total revenue of the parent company and all its 
subsidiaries.
    Spark-ignition means relating to a gasoline-fueled engine or any 
other type of engine with a spark plug (or other sparking device) and 
with operating characteristics significantly similar to the theoretical 
Otto combustion cycle. Spark-ignition engines usually use a throttle to 
regulate intake air flow to control power during normal operation.
    Standard payload means the vehicle payload assumed for each class in 
tons for modeling and calculating emission credits. There are three 
standard payloads:
    (1) 2.85 tons for light heavy-duty vehicles.
    (2) 5.6 tons for medium heavy-duty vehicles.
    (3) 7.5 tons for heavy heavy-duty vehicles.
    Standard trailer has the meaning given inSec. 1037.501.
    Suspend has the meaning given in 40 CFR 1068.30.
    Test sample means the collection of vehicles selected from the 
population of a vehicle family for emission testing. This may include 
testing for certification, production-line testing, or in-use testing.
    Test vehicle means a vehicle in a test sample.
    Test weight means the vehicle weight used or represented during 
testing.
    Tire rolling resistance level (TRRL) means a value with units of kg/
metric

[[Page 186]]

ton that represents that rolling resistance of a tire configuration. 
TRRLs are used as inputs to the GEM model underSec. 1037.520. Note 
that a manufacturer may assign a value higher than the measured rolling 
resistance of a tire configuration.
    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 vehicles. The 
atomic hydrogen-to-carbon ratio of the equivalent hydrocarbon is 1.85:1.
    Tractor has the meaning given for ``truck tractor'' in 49 CFR 571.3. 
This includes most heavy-duty vehicles specifically designed for the 
primary purpose of pulling trailers, but does not include vehicles 
designed to carry other loads. For purposes of this definition ``other 
loads'' would not include loads carried in the cab, sleeper compartment, 
or toolboxes. Examples of vehicles that are similar to tractors but that 
are not tractors under this part include dromedary tractors, automobile 
haulers, straight trucks with trailers hitches, and tow trucks. Note 
that the provisions of this part that apply for tractors do not apply 
for tractors that are classified as vocational tractors underSec. 
1037.630.
    Ultimate purchaser means, with respect to any new vehicle, the first 
person who in good faith purchases such new vehicle for purposes other 
than resale.
    United States has the meaning given in 40 CFR 1068.30.
    Upcoming model year means for a vehicle family the model year after 
the one currently in production.
    U.S.-directed production volume means the number of vehicle units, 
subject to the requirements of this part, produced by a manufacturer for 
which the manufacturer has a reasonable assurance that sale was or will 
be made to ultimate purchasers in the United States. This does not 
include vehicles certified to state emission standards that are 
different than the emission standards in this part.
    Useful life means the period during which a vehicle is required to 
comply with all applicable emission standards.
    Vehicle means equipment intended for use on highways that meets the 
criteria of paragraph (1)(i) or (1)(ii) of this definition, as follows:
    (1) The following equipment are vehicles:
    (i) A piece of equipment that is intended for self-propelled use on 
highways becomes a vehicle when it includes at least an engine, a 
transmission, and a frame. (Note: For purposes of this definition, any 
electrical, mechanical, and/or hydraulic devices attached to engines for 
the purpose of powering wheels are considered to be transmissions.)
    (ii) A piece of equipment that is intended for self-propelled use on 
highways becomes a vehicle when it includes a passenger compartment 
attached to a frame with axles.
    (2) Vehicles may be complete or incomplete vehicles as follows:
    (i) A complete vehicle is a functioning vehicle that has the primary 
load carrying device or container (or equivalent equipment) attached. 
Examples of equivalent equipment would include fifth wheel trailer 
hitches, firefighting equipment, and utility booms.
    (ii) An incomplete vehicle is a vehicle that is not a complete 
vehicle. Incomplete vehicles may also be cab-complete vehicles. This may 
include vehicles sold to secondary vehicle manufacturers.
    (iii) The primary use of the terms ``complete vehicle'' and 
``incomplete vehicle'' are to distinguish whether a vehicle is complete 
when it is first sold as a vehicle.
    (iv) You may ask us to allow you to certify a vehicle as incomplete 
if you manufacture the engines and sell the unassembled chassis 
components, as long as you do not produce and sell the body components 
necessary to complete the vehicle.

[[Page 187]]

    (3) Equipment such as trailers that are not self-propelled are not 
``vehicles'' under this part 1037.
    Vehicle configuration means a unique combination of vehicle hardware 
and calibration (related to measured or modeled emissions) within a 
vehicle family. Vehicles with hardware or software differences, but that 
have no hardware or software differences related to measured or modeled 
emissions may be included in the same vehicle configuration. Note that 
vehicles with hardware or software differences related to measured or 
modeled emissions are considered to be different configurations even if 
they have the same GEM inputs and FEL. Vehicles within a vehicle 
configuration differ only with respect to normal production variability 
or factors unrelated to measured or modeled emissions.
    Vehicle family has the meaning given inSec. 1037.230.
    Vehicle service class means a vehicle's weight class as specified in 
this definition. Note that, while vehicle service class is similar to 
primary intended service class for engines, they are not necessarily the 
same. For example, a medium heavy-duty vehicle may include a light 
heavy-duty engine. Note also that while spark-ignition engines do not 
have a primary intended service class, vehicles using spark-ignition 
engines have a vehicle service class.
    (1) Light heavy-duty vehicles are those vehicles with GVWR below 
19,500 pounds.
    Vehicles In this class include heavy-duty pickup trucks and vans, 
motor homes and other recreational vehicles, and some straight trucks 
with a single rear axle. Typical applications would include personal 
transportation, light-load commercial delivery, passenger service, 
agriculture, and construction.
    (2) Medium heavy-duty vehicles are those vehicles with GVWR from 
19,500 to 33,000 pounds. Vehicles in this class include school buses, 
straight trucks with a single rear axle, city tractors, and a variety of 
special purpose vehicles such as small dump trucks, and refuse trucks. 
Typical applications would include commercial short haul and intra-city 
delivery and pickup.
    (3) Heavy heavy-duty vehicles are those vehicles with GVWR above 
33,000 pounds. Vehicles in this class include tractors, urban buses, and 
other heavy trucks.
    Vehicle subfamily or subfamily means a subset of a vehicle family 
including vehicles subject to the same FEL(s).
    Vocational tractor means a vehicle classified as a vocational 
tractor underSec. 1037.630.
    Vocational vehicle means relating to a vehicle subject to the 
standards ofSec. 1037.105 (including vocational tractors).
    Void has the meaning given in 40 CFR 1068.30.
    Volatile liquid fuel means any fuel other than diesel or biodiesel 
that is a liquid at atmospheric pressure and has a Reid Vapor Pressure 
higher than 2.0 pounds per square inch.
    We (us, our) means the Administrator of the Environmental Protection 
Agency and any authorized representatives.

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1037.801 
was amended by adding a definition for ``Preliminary approval'' in 
alphabetical order and revising the definition for ``Regulatory sub-
category'', effective Aug. 16, 2013. For the convenience of the user, 
the added and revised text is set forth as follows:



Sec.  1037.801  Definitions.

                                * * * * *

    Preliminary approval means approval granted by an authorized EPA 
representative prior to submission of an application for certification, 
consistent with the provisions ofSec. 1037.210.

                                * * * * *

    Regulatory sub-category means one of the following groups:
    (1) All vehicles subject to the standards ofSec. 1037.104. Note 
that this category includes most gasoline-fueled and diesel-fueled 
heavy-duty pickup trucks and vans.
    (2) [Reserved]
    (3) Vocational vehicles at or below 19,500 pounds GVWR.
    (4) Vocational vehicles above 19,500 pounds GVWR but at or below 
33,000 pounds GVWR.
    (5) Vocational vehicles over 33,000 pounds GVWR.
    (6) Low-roof tractors above 26,000 pounds GVWR but at or below 
33,000 pounds GVWR.
    (7) Mid-roof tractors above 26,000 pounds GVWR but at or below 
33,000 pounds GVWR.
    (8) High-roof tractors above 26,000 pounds GVWR but at or below 
33,000 pounds GVWR.

[[Page 188]]

    (9) Low-roof day cab tractors above 33,000 pounds GVWR.
    (10) Low-roof sleeper cab tractors above 33,000 pounds GVWR.
    (11) Mid-roof day cab tractors above 33,000 pounds GVWR.
    (12) Mid-roof sleeper cab tractors above 33,000 pounds GVWR.
    (13) High-roof day cab tractors above 33,000 pounds GVWR.
    (14) High-roof sleeper cab tractors above 33,000 pounds GVWR.

                                * * * * *



Sec.  1037.805  Symbols, acronyms, and abbreviations.

    The following symbols, acronyms, and abbreviations apply to this 
part:

ABT Averaging, banking, and trading.
AECD auxiliary emission control device.
CD drag coefficient.
CDA drag area.
CFD computational fluid dynamics.
CFR Code of Federal Regulations.
CH4 methane.
CO carbon monoxide.
CO2 carbon dioxide.
CREE carbon-related exhaust emissions.
DOT Department of Transportation.
EPA Environmental Protection Agency.
ETW equivalent test weight.
FEL Family Emission Limit.
g grams.
GAWR gross axle weight rating.
GCWR gross combination weight rating.
GVWR gross vehicle weight rating.
GWP global-warming potential.
HC hydrocarbon.
ISO International Organization for Standardization.
kg kilograms.
m meter.
mm millimeter
mph miles per hour.
N2O nitrous oxide.
NARA National Archives and Records Administration.
NHTSA National Highway Transportation Safety Administration.
NOX oxides of nitrogen (NO and NO2).
PM particulate matter.
PTO power take-off.
RESS rechargeable energy storage system.
RPM revolutions per minute.
SAE Society of Automotive Engineers.
SKU Stock-keeping unit.
TRRL Tire rolling resistance level.
U.S.C. United States Code.
VSL vehicle speed limiter.
WF work factor.

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1037.805 
was amended by adding an entry for ``AES'' in alphabetical order, 
effective Aug. 16, 2013. For the convenience of the user, the added text 
is set forth as follows:



Sec.  1037.805  Symbols, acronyms, and abbreviations.

                                * * * * *

AES Automatic engine shutdown.

                                * * * * *



Sec.  1037.810  Incorporation by reference.

    (a) Certain material is incorporated by reference into this part 
with the approval of the Director of the Federal Register under 5 U.S.C. 
552(a) and 1 CFR part 51. To enforce any edition other than that 
specified in this section, the Environmental Protection Agency must 
publish a notice of the change in the Federal Register and the material 
must be available to the public. All approved material is available for 
inspection at U.S. EPA, Air and Radiation Docket and Information Center, 
1301 Constitution Ave., NW., Room B102, EPA West Building, Washington, 
DC 20460, (202) 202-1744, and is available from the sources listed 
below. It is also available for inspection 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.
    (b) International Organization for Standardization, Case Postale 56, 
CH-1211 Geneva 20, Switzerland, (41) 22749 0111, http://www.iso.org, or 
[email protected]
    (1) ISO 28580:2009(E) ``Passenger car, truck and bus tyres--Methods 
of measuring rolling resistance--Single point test and correlation of 
measurement results'', First Edition, July 1, 2009; IBR approved for 
Sec.  1037.520(c).
    (2) [Reserved]
    (c) U.S. EPA, Office of Air and Radiation, 2565 Plymouth Road, Ann 
Arbor, MI 48105, http://www.epa.gov:
    (1) GEM simulation tool, Version 2.0, August 2011; IBR approved for 
Sec.  1037.520. The computer code for this model is available as noted 
in paragraph (a) of this section. A working version of this software is 
also available for download

[[Page 189]]

at http://www.epa.gov/otaq/climate/gem.htm.
    (2) [Reserved]
    (d) Society of Automotive Engineers, 400 Commonwealth Dr., 
Warrendale, PA 15096-0001, (877) 606-7323 (U.S. and Canada) or (724) 
776-4970 (outside the U.S. and Canada), http://www.sae.org.
    (1) SAE J1252, SAE Wind Tunnel Test Procedure for Trucks and Buses, 
Revised July 1981, IBR approved forSec. 1037.521(d), (e), and (f).
    (2) SAE J1594, Vehicle Aerodynamics Terminology, Revised July 2010, 
IBR approved forSec. 1037.521(d).
    (3) SAE J2071, Aerodynamic Testing of Road Vehicles--Open Throat 
Wind Tunnel Adjustment, Revised June 1994, IBR approved forSec. 
1037.521(d).

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1037.810 
was amended by revising paragraph (c)(1), effective Aug. 16, 2013. For 
the convenience of the user, the revised text is set forth as follows:



Sec.  1037.810  Incorporation by reference.

                                * * * * *

    (c) * * *
    (1) Greenhouse gas Emissions Model (GEM) simulation tool, Version 
2.0.1, September 2012; IBR approved forSec. 1037.520. The computer 
code for this model is available as noted in paragraph (a) of this 
section. A working version of this software is also available for 
download at http://www.epa.gov/otaq/climate/gem.htm.

                                * * * * *



Sec.  1037.815  Confidential information.

    The provisions of 40 CFR 1068.10 apply for information you consider 
confidential.



Sec.  1037.820  Requesting a hearing.

    (a) You may request a hearing under certain circumstances, as 
described elsewhere in this part. To do this, you must file a written 
request, including a description of your objection and any supporting 
data, within 30 days after we make a decision.
    (b) For a hearing you request under the provisions of this part, we 
will approve your request if we find that your request raises a 
substantial factual issue.
    (c) If we agree to hold a hearing, we will use the procedures 
specified in 40 CFR part 1068, subpart G.



Sec.  1037.825  Reporting and recordkeeping requirements.

    (a) This part includes various requirements to submit and record 
data or other information. Unless we specify otherwise, store required 
records in any format and on any media and keep them readily available 
for eight years after you send an associated application for 
certification, or eight years after you generate the data if they do not 
support an application for certification. You may not rely on anyone 
else to meet recordkeeping requirements on your behalf unless we 
specifically authorize it. We may review these records at any time. You 
must promptly send us organized, written records in English if we ask 
for them. We may require you to submit written records in an electronic 
format.
    (b) The regulations inSec. 1037.255 and 40 CFR 1068.25 and 
1068.101 describe your obligation to report truthful and complete 
information. This includes information not related to certification. 
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.
    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (seeSec. 1037.801).
    (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. Keep 
these records for eight years unless the regulations specify a different 
period. We may require you to send us these records whether or not you 
are a certificate holder.
    (e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq), the 
Office of Management and Budget approves the reporting and recordkeeping 
specified in the applicable regulations. The following items illustrate 
the kind of reporting and recordkeeping we require for vehicles 
regulated under this part:
    (1) We specify the following requirements related to vehicle 
certification in this part 1037:

[[Page 190]]

    (i) In subpart C of this part we identify a wide range of 
information required to certify vehicles.
    (ii) 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.
    (iii) InSec. 1037.725, 1037.730, and 1037.735 we specify certain 
records related to averaging, banking, and trading.
    (2) We specify the following requirements related to testing in 40 
CFR part 1066:
    (i) In 40 CFR 1065.2 we give an overview of principles for reporting 
information.
    (ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for 
establishing various changes to published test procedures.
    (iii) In 40 CFR 1065.25 we establish basic guidelines for storing 
test information.
    (iv) In 40 CFR 1065.695 we identify data that may be appropriate for 
collecting during testing of in-use vehicles using portable analyzers.



  Sec. Appendix I to Part 1037--Heavy-Duty Transient Chassis Test Cycle

------------------------------------------------------------------------
                                                           Speed   Speed
                        TimeSec.                          mph     m/s
------------------------------------------------------------------------
1.......................................................    0.00    0.00
2.......................................................    0.00    0.00
3.......................................................    0.00    0.00
4.......................................................    0.00    0.00
5.......................................................    0.00    0.00
6.......................................................    0.00    0.00
7.......................................................    0.41    0.18
8.......................................................    1.18    0.53
9.......................................................    2.26    1.01
10......................................................    3.19    1.43
11......................................................    3.97    1.77
12......................................................    4.66    2.08
13......................................................    5.32    2.38
14......................................................    5.94    2.66
15......................................................    6.48    2.90
16......................................................    6.91    3.09
17......................................................    7.28    3.25
18......................................................    7.64    3.42
19......................................................    8.02    3.59
20......................................................    8.36    3.74
21......................................................    8.60    3.84
22......................................................    8.74    3.91
23......................................................    8.82    3.94
24......................................................    8.82    3.94
25......................................................    8.76    3.92
26......................................................    8.66    3.87
27......................................................    8.58    3.84
28......................................................    8.52    3.81
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49......................................................    1.57    0.70
50......................................................    2.31    1.03
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55......................................................    7.09    3.17
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66......................................................    8.84    3.95
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70......................................................    6.65    2.97
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172.....................................................    1.11    0.50
173.....................................................    2.65    1.18
174.....................................................    4.45    1.99
175.....................................................    5.68    2.54
176.....................................................    6.75    3.02
177.....................................................    7.59    3.39
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181.....................................................    8.70    3.89
182.....................................................   10.20    4.56
183.....................................................   11.92    5.33
184.....................................................   12.84    5.74
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190.....................................................   16.49    7.37
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192.....................................................   20.36    9.10
193.....................................................   21.47    9.60
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199.....................................................   24.99   11.17
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213.....................................................   22.16    9.91
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218.....................................................   17.98    8.04
219.....................................................   13.15    5.88
220.....................................................    7.71    3.45
221.....................................................    3.30    1.48
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261.....................................................    3.07    1.37
262.....................................................    4.57    2.04
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264.....................................................    6.95    3.11
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266.....................................................    9.13    4.08
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277.....................................................   20.09    8.98
278.....................................................   21.89    9.79
279.....................................................   24.15   10.80
280.....................................................   26.26   11.74
281.....................................................   26.95   12.05
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283.....................................................   27.30   12.20
284.....................................................   28.10   12.56
285.....................................................   29.44   13.16
286.....................................................   30.78   13.76
287.....................................................   32.09   14.35
288.....................................................   33.24   14.86
289.....................................................   34.46   15.40
290.....................................................   35.42   15.83
291.....................................................   35.88   16.04
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293.....................................................   35.84   16.02
294.....................................................   35.65   15.94
295.....................................................   35.31   15.78
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318.....................................................   33.39   14.93
319.....................................................   32.20   14.39
320.....................................................   30.32   13.55
321.....................................................   28.48   12.73
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324.....................................................   25.38   11.35
325.....................................................   24.77   11.07
326.....................................................   23.46   10.49
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328.....................................................   20.97    9.37
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331.....................................................   18.17    8.12
332.....................................................   16.48    7.37
333.....................................................   15.07    6.74
334.....................................................   12.23    5.47
335.....................................................   10.08    4.51
336.....................................................    7.71    3.45
337.....................................................    7.32    3.27
338.....................................................    8.63    3.86
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341.....................................................   13.88    6.20
342.....................................................   15.03    6.72
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345.....................................................   17.98    8.04
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367.....................................................   24.23   10.83
368.....................................................   24.69   11.04
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370.....................................................   25.53   11.41
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372.....................................................   24.58   10.99
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377.....................................................   24.30   10.86
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381.....................................................   21.93    9.80
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394.....................................................   24.38   10.90
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399.....................................................   19.90    8.90
400.....................................................   18.86    8.43
401.....................................................   17.79    7.95
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418.....................................................   13.69    6.12
419.....................................................   12.00    5.36
420.....................................................   10.43    4.66
421.....................................................    8.71    3.89
422.....................................................    7.44    3.33
423.....................................................    5.71    2.55
424.....................................................    4.22    1.89
425.....................................................    2.30    1.03
426.....................................................    1.00    0.45
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429.....................................................    1.19    0.53
430.....................................................    1.61    0.72
431.....................................................    1.53    0.68
432.....................................................    2.34    1.05
433.....................................................    4.29    1.92
434.....................................................    7.25    3.24
435.....................................................   10.20    4.56
436.....................................................   12.46    5.57
437.....................................................   14.53    6.50
438.....................................................   16.22    7.25
439.....................................................   17.87    7.99
440.....................................................   19.74    8.82
441.....................................................   21.01    9.39
442.....................................................   22.23    9.94
443.....................................................   22.62   10.11
444.....................................................   23.61   10.55
445.....................................................   24.88   11.12
446.....................................................   26.15   11.69
447.....................................................   26.99   12.07
448.....................................................   27.56   12.32
449.....................................................   28.18   12.60
450.....................................................   28.94   12.94
451.....................................................   29.83   13.34
452.....................................................   30.78   13.76
453.....................................................   31.82   14.22
454.....................................................   32.78   14.65
455.....................................................   33.24   14.86
456.....................................................   33.47   14.96
457.....................................................   33.31   14.89
458.....................................................   33.08   14.79
459.....................................................   32.78   14.65
460.....................................................   32.39   14.48
461.....................................................   32.13   14.36
462.....................................................   31.82   14.22
463.....................................................   31.55   14.10
464.....................................................   31.25   13.97
465.....................................................   30.94   13.83
466.....................................................   30.71   13.73
467.....................................................   30.56   13.66
468.....................................................   30.79   13.76
469.....................................................   31.13   13.92
470.....................................................   31.55   14.10
471.....................................................   31.51   14.09
472.....................................................   31.47   14.07
473.....................................................   31.44   14.05
474.....................................................   31.51   14.09
475.....................................................   31.59   14.12
476.....................................................   31.67   14.16
477.....................................................   32.01   14.31
478.....................................................   32.63   14.59
479.....................................................   33.39   14.93
480.....................................................   34.31   15.34
481.....................................................   34.81   15.56
482.....................................................   34.20   15.29
483.....................................................   32.39   14.48
484.....................................................   30.29   13.54
485.....................................................   28.56   12.77
486.....................................................   26.45   11.82
487.....................................................   24.79   11.08
488.....................................................   23.12   10.34
489.....................................................   20.73    9.27
490.....................................................   18.33    8.19
491.....................................................   15.72    7.03
492.....................................................   13.11    5.86
493.....................................................   10.47    4.68
494.....................................................    7.82    3.50
495.....................................................    5.70    2.55
496.....................................................    3.57    1.60
497.....................................................    0.92    0.41
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523.....................................................    1.50    0.67
524.....................................................    3.00    1.34
525.....................................................    4.50    2.01
526.....................................................    5.80    2.59
527.....................................................    6.52    2.91
528.....................................................    6.75    3.02
529.....................................................    6.44    2.88
530.....................................................    6.17    2.76
531.....................................................    6.33    2.83
532.....................................................    6.71    3.00
533.....................................................    7.40    3.31
534.....................................................    7.67    3.43
535.....................................................    7.33    3.28
536.....................................................    6.71    3.00
537.....................................................    6.41    2.87
538.....................................................    6.60    2.95
539.....................................................    6.56    2.93
540.....................................................    5.94    2.66
541.....................................................    5.45    2.44
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545.....................................................    7.59    3.39
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564.....................................................    8.55    3.82
565.....................................................    9.09    4.06
566.....................................................   10.04    4.49
567.....................................................   11.12    4.97
568.....................................................   12.46    5.57
569.....................................................   13.00    5.81
570.....................................................   14.26    6.37
571.....................................................   15.37    6.87
572.....................................................   17.02    7.61
573.....................................................   18.17    8.12
574.....................................................   19.21    8.59
575.....................................................   20.17    9.02
576.....................................................   20.66    9.24
577.....................................................   21.12    9.44
578.....................................................   21.43    9.58
579.....................................................   22.66   10.13
580.....................................................   23.92   10.69
581.....................................................   25.42   11.36
582.....................................................   25.53   11.41
583.....................................................   26.68   11.93
584.....................................................   28.14   12.58
585.....................................................   30.06   13.44
586.....................................................   30.94   13.83
587.....................................................   31.63   14.14
588.....................................................   32.36   14.47
589.....................................................   33.24   14.86
590.....................................................   33.66   15.05
591.....................................................   34.12   15.25
592.....................................................   35.92   16.06
593.....................................................   37.72   16.86
594.....................................................   39.26   17.55
595.....................................................   39.45   17.64
596.....................................................   39.83   17.81
597.....................................................   40.18   17.96
598.....................................................   40.48   18.10
599.....................................................   40.75   18.22
600.....................................................   41.02   18.34
601.....................................................   41.36   18.49
602.....................................................   41.79   18.68
603.....................................................   42.40   18.95
604.....................................................   42.82   19.14
605.....................................................   43.05   19.25
606.....................................................   43.09   19.26
607.....................................................   43.24   19.33
608.....................................................   43.59   19.49
609.....................................................   44.01   19.67
610.....................................................   44.35   19.83
611.....................................................   44.55   19.92
612.....................................................   44.82   20.04
613.....................................................   45.05   20.14
614.....................................................   45.31   20.26
615.....................................................   45.58   20.38
616.....................................................   46.00   20.56
617.....................................................   46.31   20.70
618.....................................................   46.54   20.81
619.....................................................   46.61   20.84
620.....................................................   46.92   20.98
621.....................................................   47.19   21.10
622.....................................................   47.46   21.22
623.....................................................   47.54   21.25
624.....................................................   47.54   21.25
625.....................................................   47.54   21.25
626.....................................................   47.50   21.23
627.....................................................   47.50   21.23
628.....................................................   47.50   21.23
629.....................................................   47.31   21.15
630.....................................................   47.04   21.03
631.....................................................   46.77   20.91
632.....................................................   45.54   20.36
633.....................................................   43.24   19.33
634.....................................................   41.52   18.56
635.....................................................   39.79   17.79
636.....................................................   38.07   17.02
637.....................................................   36.34   16.25
638.....................................................   34.04   15.22
639.....................................................   32.45   14.51
640.....................................................   30.86   13.80
641.....................................................   28.83   12.89
642.....................................................   26.45   11.82
643.....................................................   24.27   10.85
644.....................................................   22.04    9.85
645.....................................................   19.82    8.86
646.....................................................   17.04    7.62
647.....................................................   14.26    6.37
648.....................................................   11.52    5.15
649.....................................................    8.78    3.93
650.....................................................    7.17    3.21
651.....................................................    5.56    2.49
652.....................................................    3.72    1.66
653.....................................................    3.38    1.51
654.....................................................    3.11    1.39
655.....................................................    2.58    1.15
656.....................................................    1.66    0.74
657.....................................................    0.67    0.30
658.....................................................    0.00    0.00
659.....................................................    0.00    0.00
660.....................................................    0.00    0.00
661.....................................................    0.00    0.00
662.....................................................    0.00    0.00
663.....................................................    0.00    0.00
664.....................................................    0.00    0.00
665.....................................................    0.00    0.00
666.....................................................    0.00    0.00
667.....................................................    0.00    0.00
668.....................................................    0.00    0.00
------------------------------------------------------------------------



        Sec. Appendix II to Part 1037--Power Take-Off Test Cycle

----------------------------------------------------------------------------------------------------------------
                                                                          Start     Normalized      Normalized
                       Cycle simulation                           Mode   time of     pressure,       pressure,
                                                                           mode    circuit 1 (%)   circuit 2 (%)
----------------------------------------------------------------------------------------------------------------
Utility.......................................................        0        0             0.0             0.0
Utility.......................................................        1       33            80.5             0.0
Utility.......................................................        2       40             0.0             0.0

[[Page 195]]

 
Utility.......................................................        3      145            83.5             0.0
Utility.......................................................        4      289             0.0             0.0
Refuse........................................................        5      361             0.0            13.0
Refuse........................................................        6      363             0.0            38.0
Refuse........................................................        7      373             0.0            53.0
Refuse........................................................        8      384             0.0            73.0
Refuse........................................................        9      388             0.0             0.0
Refuse........................................................       10      401             0.0            13.0
Refuse........................................................       11      403             0.0            38.0
Refuse........................................................       12      413             0.0            53.0
Refuse........................................................       13      424             0.0            73.0
Refuse........................................................       14      442            11.2             0.0
Refuse........................................................       15      468            29.3             0.0
Refuse........................................................       16      473             0.0             0.0
Refuse........................................................       17      486            11.2             0.0
Refuse........................................................       18      512            29.3             0.0
Refuse........................................................       19      517             0.0             0.0
Refuse........................................................       20      530            12.8            11.1
Refuse........................................................       21      532            12.8            38.2
Refuse........................................................       22      541            12.8            53.4
Refuse........................................................       23      550            12.8            73.5
Refuse........................................................       24      553             0.0             0.0
Refuse........................................................       25      566            12.8            11.1
Refuse........................................................       26      568            12.8            38.2
Refuse........................................................       27      577            12.8            53.4
Refuse........................................................       28      586            12.8            73.5
Refuse........................................................       29      589             0.0             0.0
Refuse........................................................       30      600             0.0             0.0
----------------------------------------------------------------------------------------------------------------



      Sec. Appendix III to Part 1037--Emission Control Identifiers

    This appendix identifies abbreviations for emission control 
information labels, as required underSec. 1037.135.

                         Vehicle Speed Limiters

-VSL--Vehicle speed limiter
-VSLS--``Soft-top'' vehicle speed limiter
-VSLE--Expiring vehicle speed limiter
-VSLD--Vehicle speed limiter with both ``soft-top'' and expiration

                        Idle Reduction Technology

-IRT5--Engine shutoff after 5 minutes or less of idling
-IRTE--Expiring engine shutoff

                                  Tires

-LRRA--Low rolling resistance tires (all)
-LRRD--Low rolling resistance tires (drive)
-LRRS--Low rolling resistance tires (steer)

                         Aerodynamic Components

-ATS--Aerodynamic side skirt and/or fuel tank fairing
-ARF--Aerodynamic roof fairing
-ARFR--Adjustable height aerodynamic roof fairing
-TGR--Gap reducing fairing (tractor to trailer gap)

                            Other Components

-ADVH--Vehicle includes advanced hybrid technology components
-ADVO--Vehicle includes other advanced technology components (i.e., non-
hybrid system)
-INV--Vehicle includes innovative technology components



PART 1039_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 
COMPRESSION-IGNITION ENGINES--Table of Contents



                  Subpart A_Overview and Applicability

Sec.
1039.1 Does this part apply for my engines?
1039.2 Who is responsible for compliance?
1039.5 Which engines are excluded from this part's requirements?
1039.10 How is this part organized?
1039.15 Do any other regulation parts apply to me?
1039.20 What requirements from this part apply to excluded stationary 
          engines?
1039.30 Submission of information.

[[Page 196]]

          Subpart B_Emission Standards and Related Requirements

1039.101 What exhaust emission standards must my engines meet after the 
          2014 model year?
1039.102 What exhaust emission standards and phase-in allowances apply 
          for my engines in model year 2014 and earlier?
1039.104 Are there interim provisions that apply only for a limited 
          time?
1039.105 What smoke standards must my engines meet?
1039.107 What evaporative emission standards and requirements apply?
1039.110 [Reserved]
1039.115 What other requirements apply?
1039.120 What emission-related warranty requirements apply to me?
1039.125 What maintenance instructions must I give to buyers?
1039.130 What installation instructions must I give to equipment 
          manufacturers?
1039.135 How must I label and identify the engines I produce?
1039.140 What is my engine's maximum engine power?

                  Subpart C_Certifying Engine Families

1039.201 What are the general requirements for obtaining a certificate 
          of conformity?
1039.205 What must I include in my application?
1039.210 May I get preliminary approval before I complete my 
          application?
1039.220 How do I amend the maintenance instructions in my application?
1039.225 How do I amend my application for certification?
1039.230 How do I select engine families?
1039.235 What testing requirements apply for certification?
1039.240 How do I demonstrate that my engine family complies with 
          exhaust emission standards?
1039.245 How do I determine deterioration factors from exhaust 
          durability testing?
1039.250 What records must I keep and what reports must I send to EPA?
1039.255 What decisions may EPA make regarding my certificate of 
          conformity?

Subpart D [Reserved]

                        Subpart E_In-use Testing

1039.401 General provisions.

                        Subpart F_Test Procedures

1039.501 How do I run a valid emission test?
1039.505 How do I test engines using steady-state duty cycles, including 
          ramped-modal testing?
1039.510 Which duty cycles do I use for transient testing?
1039.515 What are the test procedures related to not-to-exceed 
          standards?
1039.520 What testing must I perform to establish deterioration factors?
1039.525 How do I adjust emission levels to account for infrequently 
          regenerating aftertreatment devices?

                 Subpart G_Special Compliance Provisions

1039.601 What compliance provisions apply to these engines?
1039.605 What provisions apply to engines certified under the motor-
          vehicle program?
1039.610 What provisions apply to vehicles certified under the motor-
          vehicle program?
1039.615 What special provisions apply to engines using noncommercial 
          fuels?
1039.620 What are the provisions for exempting engines used solely for 
          competition?
1039.625 What requirements apply under the program for equipment-
          manufacturer flexibility?
1039.626 What special provisions apply to equipment imported under the 
          equipment-manufacturer flexibility program?
1039.627 What are the incentives for equipment manufacturers to use 
          cleaner engines?
1039.630 What are the economic hardship provisions for equipment 
          manufacturers?
1039.635 What are the hardship provisions for engine manufacturers?
1039.640 What special provisions apply to branded engines?
1039.645 What special provisions apply to engines used for 
          transportation refrigeration units?
1039.650 [Reserved]
1039.655 What special provisions apply to engines sold in Guam, American 
          Samoa, or the Commonwealth of the Northern Mariana Islands?
1039.660 What special provisions apply to Independent Commercial 
          Importers?
1039.670 Approval of an emergency equipment field modification (EEFM).

       Subpart H_Averaging, Banking, and Trading for Certification

1039.701 General provisions.
1039.705 How do I generate and calculate emission credits?
1039.710 How do I average emission credits?
1039.715 How do I bank emission credits?
1039.720 How do I trade emission credits?
1039.725 What must I include in my application for certification?
1039.730 What ABT reports must I send to EPA?
1039.735 What records must I keep?
1039.740 What restrictions apply for using emission credits?

[[Page 197]]

1039.745 What can happen if I do not comply with the provisions of this 
          subpart?

          Subpart I_Definitions and Other Reference Information

1039.801 What definitions apply to this part?
1039.805 What symbols, acronyms, and abbreviations does this part use?
1039.815 What provisions apply to confidential information?
1039.820 How do I request a hearing?
1039.825 What reporting and recordkeeping requirements apply under this 
          part?

Appendix I to Part 1039 [Reserved]
Appendix II to Part 1039--Steady-state Duty Cycles
Appendix III to Part 1039 [Reserved]
Appendix IV to Part 1039 [Reserved]
Appendix V to Part 1039 [Reserved]
Appendix VI to Part 1039--Nonroad Compression-ignition Composite 
          Transient Cycle

    Authority: 42 U.S.C. 7401-7671q.

    Source: 69 FR 39213, June 29, 2004, unless otherwise noted.



                  Subpart A_Overview and Applicability



Sec.  1039.1  Does this part apply for my engines?

    (a) The regulations in this part 1039 apply for all new, 
compression-ignition nonroad engines (defined inSec. 1039.801), except 
as provided inSec. 1039.5.
    (b) This part 1039 applies as follows:
    (1) This part 1039 applies for all engines subject to the emission 
standards specified in subpart B of this part starting with the model 
years noted in the following table:

     Table 1 ofSec.  1039.1--Part 1039 Applicability by Model Year
------------------------------------------------------------------------
                       Power category                         Model year
------------------------------------------------------------------------
kW < 19....................................................     \1\ 2008
19 <= kW < 56..............................................     \2\ 2008
56 <= kW < 130.............................................         2012
130 <= kW <= 560...........................................         2011
kW  560.........................................        2011
------------------------------------------------------------------------
\1\ As described inSec.  1039.102, some engines below 19 kW may not be
  subject to the emission standards in this part until the 2010 model
  year.
\2\ As described inSec.  1039.102, some engines in the 19-56 kW power
  category may not be subject to the emission standards in this part
  until the 2012 model year.

    (2) If you use the provisions ofSec. 1039.104(a) to certify an 
engine to the emission standards of this part before the model years 
shown in Table 1 of this section, all the requirements of this part 
apply for those engines.
    (3) See 40 CFR part 89 for requirements that apply to engines not 
yet subject to the requirements of this part 1039.
    (4) This part 1039 applies for other compression-ignition engines as 
follows:
    (i) The provisions of paragraph (c) of this section andSec. 
1039.801 apply for stationary engines beginning January 1, 2006.
    (ii) The provisions ofSec. 1039.620 andSec. 1039.801 apply for 
engines used solely for competition beginning January 1, 2006.
    (c) The definition of nonroad engine in 40 CFR 1068.30 excludes 
certain engines used in stationary applications. These engines may be 
required by subpart IIII of 40 CFR part 60 to comply with some of the 
provisions of this part 1039; otherwise, these engines are only required 
to comply with the requirements inSec. 1039.20. In addition, the 
prohibitions in 40 CFR 1068.101 restrict the use of stationary engines 
for nonstationary purposes unless they are certified under this part 
1039, or under the provisions of 40 CFR part 89 or 40 CFR part 94, to 
the same standards that would apply to nonroad engines for the same 
model year.
    (d) In certain cases, the regulations in this part 1039 apply to 
engines at or above 250 kW that would otherwise be covered by 40 CFR 
part 1048. See 40 CFR 1048.620 for provisions related to this allowance.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
71 FR 39184, July 11, 2006]



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 inSec. 
1039.801, especially for issues related to certification.

[75 FR 22988, Apr. 30, 2010]

[[Page 198]]



Sec.  1039.5  Which engines are excluded from this part's requirements?

    This part does not apply to the following nonroad engines:
    (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.
    (b) Marine engines. (1) The following marine engines are not subject 
to the provisions of this part 1039:
    (i) Engines subject to the standards of 40 CFR part 94.
    (ii) Engines not subject to the standards of 40 CFR part 94 only 
because they were produced before the standards of 40 CFR part 94 
started to apply.
    (iii) Engines that are exempt from the standards of 40 CFR part 94 
pursuant to the provisions of 40 CFR part 94 (except for the provisions 
of 40 CFR 94.907 or 94.912). For example, an engine that is exempt under 
40 CFR 94.906 because it is a manufacturer-owned engine is not subject 
to the provisions of this part 1039.
    (iv) Engines with rated power below 37 kW.
    (v) Engines on foreign vessels.
    (2) Marine engines are subject to the provisions of this part 1039 
if they are exempt from 40 CFR part 94 based on the engine-dressing 
provisions of 40 CFR 94.907 or the common-family provisions of 40 CFR 
94.912.
    (c) Mining engines. Engines used in underground mining or in 
underground mining equipment and regulated by the Mining Safety and 
Health Administration in 30 CFR parts 7, 31, 32, 36, 56, 57, 70, and 75 
are not subject to the provisions of this part 1039.
    (d) Hobby engines. Engines installed in reduced-scale models of 
vehicles that are not capable of transporting a person are not subject 
to the provisions of this part 1039.
    (e) Engines used in recreational vehicles. Engines certified to meet 
the requirements of 40 CFR part 1051 or are otherwise subject to 40 CFR 
part 1051 (for example, engines used in snowmobiles and all-terrain 
vehicles) are not subject to the provisions of this part 1039.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
73 FR 59191, Oct. 8, 2008; 75 FR 22988, Apr. 30, 2010]



Sec.  1039.10  How is this part organized?

    This part 1039 is divided into the following subparts:
    (a) Subpart A of this part defines the applicability of part 1039 
and gives an overview of regulatory requirements.
    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note thatSec. 1039.102 andSec. 1039.104 discuss certain interim 
requirements and compliance provisions that apply only for a limited 
time.
    (c) Subpart C of this part describes how to apply for a certificate 
of conformity.
    (d) [Reserved]
    (e) Subpart E of this part describes general provisions for testing 
in-use engines.
    (f) Subpart F of this part describes how to test your engines 
(including references to other parts of the Code of Federal 
Regulations).
    (g) Subpart G of this part and 40 CFR part 1068 describe 
requirements, prohibitions, and other provisions that apply to engine 
manufacturers, equipment manufacturers, owners, operators, rebuilders, 
and all others.
    (h) Subpart H of this part describes how you may generate and use 
emission credits to certify your engines.
    (i) Subpart I of this part contains definitions and other reference 
information.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
72 FR 53129, Sept. 18, 2007]

[[Page 199]]



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.
    (b) 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 
1039, or equipment containing these engines. Part 1068 of this chapter 
describes general provisions, including these seven areas:
    (1) Prohibited acts and penalties for engine manufacturers, 
equipment manufacturers, and others.
    (2) Rebuilding and other aftermarket changes.
    (3) Exclusions and exemptions for certain engines.
    (4) Importing engines.
    (5) Selective enforcement audits of your production.
    (6) Defect reporting and recall.
    (7) Procedures for hearings.
    (c) Other parts of this chapter apply if referenced in this part.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22988, Apr. 30, 2010]



Sec.  1039.20  What requirements from this part apply to excluded 
stationary engines?

    The provisions of this section apply for engines built on or after 
January 1, 2006.
    (a) You must add a permanent label or tag to each new engine you 
produce or import that is excluded underSec. 1039.1(c) as a stationary 
engine and is not required by 40 CFR part 60, subpart IIII, to meet the 
requirements of this part 1039, or the requirements of 40 CFR parts 89, 
94 or 1042, that are equivalent to the requirements applicable to marine 
or land-based nonroad engines for the same model year. To meet labeling 
requirements, you must do the following things:
    (1) Attach the label or tag in one piece so no one can remove it 
without destroying or defacing it.
    (2) Secure it to a part of the engine needed for normal operation 
and not normally requiring replacement.
    (3) Make sure it is durable and readable for the engine's entire 
life.
    (4) Write it in English.
    (5) Follow the requirements inSec. 1039.135(g) regarding duplicate 
labels if the engine label is obscured in the final installation.
    (b) Engine labels or tags required under this section must have the 
following information:
    (1) Include the heading ``EMISSION CONTROL INFORMATION.''
    (2) Include your full corporate name and trademark. You may instead 
include the fill corporate name and trademark of another company you 
choose to designate.
    (3) State the engine displacement (in liters) and maximum engine 
power (or in the case of fire pumps, NFPA nameplate engine power).
    (4) State: ``THIS ENGINE IS EXEMPTED FROM THE REQUIREMENTS OF 40 CFR 
PARTS 89 AND 1039 AS A ``STATIONARY ENGINE.'' INSTALLING OR USING THIS 
ENGINE IN ANY OTHER APPLICATION MAY BE A VIOLATION OF FEDERAL LAW 
SUBJECT TO CIVIL PENALTY.''
    (c) Stationary engines required by 40 CFR part 60, subpart IIII, to 
meet the requirements of this part 1039, or part 89, 94 or 1042, must 
meet the labeling requirements of 40 CFR 60.4210.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
76 FR 37977, June 28, 2011]



Sec.  1039.30  Submission of information.

    (a) This part includes various requirements to record data or other 
information. Refer toSec. 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 inSec. 1039.255 and 40 CFR 1068.101 describe 
your obligation

[[Page 200]]

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 (seeSec. 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.

[75 FR 22988, Apr. 30, 2010]



          Subpart B_Emission Standards and Related Requirements



Sec.  1039.101  What exhaust emission standards must my engines meet 
after the 2014 model year?

    The exhaust emission standards of this section apply after the 2014 
model year. Certain of these standards also apply for model year 2014 
and earlier. This section presents the full set of emission standards 
that apply after all the transition and phase-in provisions ofSec. 
1039.102 andSec. 1039.104 expire. SeeSec. 1039.102 and 40 CFR 89.112 
for exhaust emission standards that apply to 2014 and earlier model 
years. Section 1039.105 specifies smoke standards.
    (a) Emission standards for transient testing. Transient exhaust 
emissions from your engines may not exceed the applicable emission 
standards in Table 1 of this section. Measure emissions using the 
applicable transient test procedures described in subpart F of this 
part. The following engines are not subject to the transient standards 
in this paragraph (a):
    (1) Engines above 560 kW.
    (2) Constant-speed engines.
    (b) Emission standards for steady-state testing. Steady-state 
exhaust emissions from your engines may not exceed the applicable 
emission standards in Table 1 of this section. Measure emissions using 
the applicable steady-state test procedures described in subpart F of 
this part.

      Table 1 ofSec.  1039.101--Tier 4 Exhaust Emission Standards After the 2014 Model Year, g/kW-hr \1\
----------------------------------------------------------------------------------------------------------------
     Maximum engine power        Application         PM           NOX          NMHC       NOX+NMHC        CO
----------------------------------------------------------------------------------------------------------------
kW < 19......................  All............     \2\ 0.40  ............  ...........          7.5      \3\ 6.6
19 <= kW < 56................  All............         0.03  ............  ...........          4.7      \4\ 5.0
56 <= kW < 130...............  All............         0.02          0.40         0.19  ...........          5.0
130 <= kW <= 560.............  All............         0.02          0.40         0.19  ...........          3.5
                               Generator sets.         0.03          0.67         0.19  ...........          3.5
kW  560...........  All except              0.04          3.5          0.19  ...........          3.5
                                generator sets.
----------------------------------------------------------------------------------------------------------------
\1\ Note that some of these standards also apply for 2014 and earlier model years. This table presents the full
  set of emission standards that apply after all the transition and phase-in provisions ofSec.  1039.102
  expire.
\2\ See paragraph (c) of this section for provisions related to an optional PM standard for certain engines
  below 8 kW.
\3\ The CO standard is 8.0 g/kW-hr for engines below 8 kW.
\4\ The CO standard is 5.5 g/kW-hr for engines below 37 kW.

    (c) Optional PM standard for engines below 8 kW. You may certify 
hand-startable, air-cooled, direct injection engines below 8 kW to an 
optional Tier 4 PM standard of 0.60 g/kW-hr. The term hand-startable 
generally refers to engines that are started using a hand crank or pull 
cord. This PM standard applies to both steady-state and transient 
testing, as described in paragraphs (a) and (b) of this section. Engines 
certified under this paragraph (c) may not be used to generate PM or 
NOX+NMHC emission credits under the provisions of subpart H 
of this part. These engines may use PM or NOX+NMHC emission 
credits, subject to the FEL caps in paragraph (d)(1) of this section.
    (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. This 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

[[Page 201]]

engine family with respect to all required testing instead of the 
standards specified in paragraphs (a) and (b) of this section. The FELs 
determine the not-to-exceed standards for your engine family, as 
specified in paragraph (e) of this section.
    (1) Primary FEL caps. The FEL may not be higher than the limits in 
Table 2 of this section, except as allowed by paragraph (d)(2) of this 
section or bySec. 1039.102:

                 Table 2 ofSec.  1039.101--Tier 4 FEL Caps After the 2014 Model Year, g/kW-hr
----------------------------------------------------------------------------------------------------------------
           Maximum engine power                      Application                PM          NOX        NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19...................................  All..........................         0.80  ...........      \1\ 9.5
19 <= kW < 56.............................  All..........................         0.05  ...........          7.5
56 <= kW < 130............................  All..........................         0.04         0.80  ...........
130 <= kW <= 560..........................  All..........................         0.04         0.80  ...........
kW  560........................  Generator sets...............         0.05         1.07  ...........
                                            All except generator sets....         0.07          6.2  ...........
----------------------------------------------------------------------------------------------------------------
\1\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.

    (2) Alternate FEL caps. For a given power category, you may use the 
alternate FEL caps shown in Table 3 of this section instead of the FEL 
caps identified in paragraph (d)(1) of this section for up to 5 percent 
of your U.S.-directed production volume in a given model year.

         Table 3 ofSec.  1039.101--Alternate FEL Caps, g/kW-hr
------------------------------------------------------------------------
                                     Starting
       Maximum engine power         model year   PM FEL cap  NOX FEL cap
                                       \1\
------------------------------------------------------------------------
19 <= kW < 56....................     \2\ 2016         0.30  ...........
56 <= kW < 130...................         2016     \3\ 0.30      \3\ 3.8
130 <= kW <= 560.................         2015         0.20          3.8
kW  560...............         2019         0.10      \4\ 3.5
------------------------------------------------------------------------
\1\ SeeSec.  1039.104(g) for alternate FEL caps that apply in earlier
  model years.
\2\ For manufacturers certifying engines under Option 1 of
  Table 3 ofSec.  1039.102, these alternate FEL caps apply starting
  with the 2017 model year.
\3\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM
  emissions and 4.4 g/kW-hr for NOX emissions.
\4\ For engines above 560 kW, the provision for alternate NOX FEL caps
  is limited to generator-set engines. For example, if you produce 1,000
  generator-set engines above 560 kW in a given model year, up to 50 of
  them may be certified to the alternate NOX FEL caps.

    (e) Not-to-exceed standards. Exhaust emissions from your engines may 
not exceed the applicable not-to-exceed (NTE) standards in this 
paragraph (e).
    (1) Measure emissions using the procedures described in subpart F of 
this part.
    (2) Except as noted in paragraph (e)(7) of this section, the NTE 
standard, rounded to the same number of decimal places as the applicable 
standard in Table 1 of this section, is determined from the following 
equation:

NTE standard for each pollutant = (STD) x (M)

Where:

STD = The standard specified for that pollutant in Table 1 of this 
          section (or paragraph (c) of 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, as defined in paragraph 
          (e)(3) of this section.

    (3) The NTE multiplier for each pollutant is 1.25, except in the 
following cases:

------------------------------------------------------------------------
            If . . .                   Or . . .           Then . . .
------------------------------------------------------------------------
(i) The engine family is         The engine family    The multiplier for
 certified to a NOX standard      is certified to a    NOX, NMHC, and
 less than 2.50 g/kW-hr without   NOX FEL less than    NOX+NMHC is 1.50.
 using ABT.                       2.50 g/kW-hr or a
                                  NOX+NMHC FEL less
                                  than 2.70 g/kW-hr.

[[Page 202]]

 
(ii) The engine family is        The engine family    The multiplier for
 certified to a PM standard       is certified to a    PM is 1.50.
 less than 0.07 g/kW-hr without   PM FEL less than
 using ABT.                       0.07 g/kW-hr.
------------------------------------------------------------------------

    (4) There are two sets of specifications of ambient operating 
regions that will apply for all NTE testing of engines in an engine 
family. You must choose one set for each engine family and must identify 
your choice of ambient operating regions in each application for 
certification for an engine family. You may choose separately for each 
engine family. Choose one of the following ambient operating regions:
    (i) All altitudes less than or equal to 5,500 feet above sea level 
during all ambient temperature and humidity conditions.
    (ii) All altitudes less than or equal to 5,500 feet above sea level, 
for temperatures less than or equal to the temperature determined by the 
following equation at the specified altitude:

T = -0.00254 x A + 100

Where:

T = ambient air temperature in degrees Fahrenheit.
A = altitude in feet above sea level (A is negative for altitudes below 
          sea level).

    (5) Temperature and humidity ranges for which correction factors are 
allowed are specified in 40 CFR 86.1370-2007(e).
    (i) If you choose the ambient operating region specified in 
paragraph (e)(4)(i) of this section, the temperature and humidity ranges 
for which correction factors are allowed are defined in 40 CFR 86.1370-
2007(e)(1).
    (ii) If you choose the ambient operating region specified in 
paragraph (e)(4)(ii) of this section, the temperature and humidity 
ranges for which correction factors are allowed are defined in 40 CFR 
86.1370-2007(e)(2).
    (6) For engines equipped with exhaust-gas recirculation, the NTE 
standards of this section do not apply during the cold operating 
conditions specified in 40 CFR 86.1370-2007(f).
    (7) For engines certified to a PM FEL less than or equal to 0.01 g/
kW-hr, the PM NTE standard is 0.02 g/kW-hr.
    (f) 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, except for engines certified underSec. 
1039.615. For engines certified underSec. 1039.615, the standards of 
this section apply to emissions measured using the specified test fuel. 
You must meet the numerical emission standards for NMHC in this section 
based on the following types of hydrocarbon emissions for engines 
powered by the following fuels:
    (1) Alcohol-fueled engines: THCE emissions.
    (2) Other engines: NMHC emissions.
    (g) Useful life. Your engines must meet the exhaust emission 
standards in paragraphs (a) through (e) of this section over their full 
useful life.
    (1) The useful life values are shown in the following table, except 
as allowed by paragraph (g)(2) of this section:

                                 Table 4 ofSec.  1039.101--Useful Life Values
----------------------------------------------------------------------------------------------------------------
                                        And its maximum power    And its rated speed is  Then its useful life is
 If your engine is certified as . . .          is . . .                  . . .                    . . .
----------------------------------------------------------------------------------------------------------------
(i) Variable speed or constant speed.  kW <19.................  Any Speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
(ii) Constant speed..................  19 <= kW <37...........  3,000 rpm or higher....  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
(iii) Constant speed.................  19 <= kW <37...........  Less than 3,000 rpm....  5,000 hours or seven
                                                                                          years, whichever comes
                                                                                          first.
(iv) Variable........................  19 <= kW <37...........  Any Speed..............  5,000 hours or seven
                                                                                          years, whichever comes
                                                                                          first.
(v) Variable speed or constant speed.  kW =37......  Any speed..............  8,000 hours or ten
                                                                                          years, whichever comes
                                                                                          first.
----------------------------------------------------------------------------------------------------------------


[[Page 203]]

    (2) 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.
    (h) Applicability for testing. The emission standards in this 
subpart apply to all testing, including certification, selective 
enforcement audits, and in-use testing. For selective enforcement 
audits, we will require you to perform duty-cycle testing as specified 
in Sec.Sec. 1039.505 and 1039.510. The NTE standards of this section 
apply for those tests. We will not direct you to do additional testing 
under a selective enforcement audit to show that your engines meet the 
NTE standards.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005]



Sec.  1039.102  What exhaust emission standards and phase-in allowances
apply for my engines in model year 2014 and earlier?

    The exhaust emission standards of this section apply for 2014 and 
earlier model years. SeeSec. 1039.101 for exhaust emission standards 
that apply to later model years. See 40 CFR 89.112 for exhaust emission 
standards that apply to model years before the standards of this part 
1039 take effect.
    (a) Emission standards for transient testing. Transient exhaust 
emissions from your engines may not exceed the applicable emission 
standards in Tables 1 through 6 of this section. Measure emissions using 
the applicable transient test procedures described in subpart F of this 
part. See paragraph (c) of this section for a description of provisions 
related to the phase-in and phase-out standards shown in Tables 4 
through 6 of this section. The emission standards for transient testing 
are limited for certain engines, as follows:
    (1) The transient standards in this section do not apply for the 
following engines:
    (i) Engines below 37 kW for model years before 2013.
    (ii) Engines certified under Option 1 of Table 3 of this 
section. These are the small-volume manufacturer engines certified to 
the Option 1 standards for model years 2008 through 2015 under 
Sec.  1039.104(c), and other engines certified to the Option 1 
standards for model years 2008 through 2012.
    (iii) Engines certified to an alternate FEL during the first four 
years of the Tier 4 standards for the applicable power category, as 
allowed inSec. 1039.104(g). However, you may certify these engines to 
the transient standards in this section to avoid using temporary 
compliance adjustment factors, as described inSec. 1039.104(g)(2). 
Note that in some cases this four-year period extends into the time 
covered by the standards inSec. 1039.101.
    (iv) Constant-speed engines.
    (v) Engines above 560 kW.
    (2) The transient standards in this section for gaseous pollutants 
do not apply to phase-out engines that you certify to the same numerical 
standards (and FELs if the engines are certified using ABT) for gaseous 
pollutants as you certified under the Tier 3 requirements of 40 CFR part 
89. However, except as specified by paragraph (a)(1) of this section, 
the transient PM emission standards apply to these engines.
    (b) Emission standards for steady-state testing. Steady-state 
exhaust emissions from your engines may not

[[Page 204]]

exceed the applicable emission standards in Tables 1 through 7 of this 
section. Measure emissions using the applicable steady-state test 
procedures described in subpart F of this part. See paragraph (c) of 
this section for a description of provisions related to the phase-in and 
phase-out standards shown in Tables 4 through 6 of this section.

                Table 1 ofSec.  1039.102--Tier 4 Exhaust Emission Standards (g/kW-hr): kW < 19
----------------------------------------------------------------------------------------------------------------
                    Maximum engine power                      Model years       PM       NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
kW < 8......................................................    2008-2014     \1\ 0.40          7.5          8.0
8 <= kW < 19................................................    2008-2014         0.40          7.5         6.6
----------------------------------------------------------------------------------------------------------------
\1\ For engines that qualify for the special provisions inSec.  1039.101(c), you may delay certifying to the
  standards in this part 1039 until 2010. In 2009 and earlier model years, these engines must instead meet the
  applicable Tier 2 standards and other requirements from 40 CFR part 89. Starting in 2010, these engines must
  meet a PM standard of 0.60 g/kW-hr, as described inSec.  1039.101(c). Engines certified to the 0.60 g/kWhr
  PM standard may not generate ABT credits.


Table 2 ofSec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/
                          kW-hr): 19 <= kW < 37
------------------------------------------------------------------------
           Model years                  PM       NOX + NMHC       CO
------------------------------------------------------------------------
2008-2012........................         0.30          7.5          5.5
2013-2014........................         0.03          4.7          5.5
------------------------------------------------------------------------


         Table 3 ofSec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 37 <= kW < 56
----------------------------------------------------------------------------------------------------------------
                         Option \1\                           Model years       PM       NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
1..................................................    2008-2012         0.30          4.7          5.0
2..................................................         2012         0.03          4.7          5.0
All.........................................................    2013-2014         0.03          4.7         5.0
----------------------------------------------------------------------------------------------------------------
\1\You may certify engines to the Option 1 or Option 2 standards starting in the listed model
  year. Under Option 1, all engines at or above 37 kW and below 56 kW produced before the 2013 model
  year must meet the applicable Option 1 standards in this table. These engines are considered to be
  ``Option 1 engines.'' Under Option 2, all these engines produced before the 2012 model year
  must meet the applicable standards under 40 CFR part 89. Engines certified to the Option 2 standards
  in model year 2012 are considered to be ``Option 2 engines.''


         Table 4 ofSec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 56 <= kW < 75
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
2012-2013....................  Phase-in........         0.02         0.40         0.19  ...........          5.0
                              ----------------------------------------------------------------------------------
                               Phase-out.......         0.02  ...........  ...........          4.7          5.0
----------------------------------------------------------------------------------------------------------------
2014.........................  All engines.....         0.02         0.40         0.19  ...........         5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
  specified in paragraph (c)(1) of this section.


         Table 5 ofSec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 75 <= kW < 130
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
2012-2013....................  Phase-in........         0.02         0.40         0.19  ...........          5.0
                              ----------------------------------------------------------------------------------
                               Phase-out.......         0.02  ...........  ...........          4.0          5.0
----------------------------------------------------------------------------------------------------------------
2014.........................  All engines.....         0.02         0.40         0.19  ...........         5.0
----------------------------------------------------------------------------------------------------------------
\1\ See paragraph (d)(2) of this section for provisions that allow for a different phase-in schedule than that
  specified in paragraph (c)(1) of this section.


[[Page 205]]


        Table 6 ofSec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): 130 <= kW < 560
----------------------------------------------------------------------------------------------------------------
       Model years \1\          Phase-in option       PM          NOX          NMHC      NOX + NMHC       CO
----------------------------------------------------------------------------------------------------------------
2011-2013....................  Phase-in........         0.02         0.40         0.19  ...........          3.5
                              ----------------------------------------------------------------------------------
                               Phase-out.......         0.02  ...........  ...........          4.0          3.5
----------------------------------------------------------------------------------------------------------------
2014.........................  All engines.....         0.02         0.40         0.19  ...........          3.5
----------------------------------------------------------------------------------------------------------------


       Table 7 ofSec.  1039.102--Interim Tier 4 Exhaust Emission Standards (g/kW-hr): kW  560
----------------------------------------------------------------------------------------------------------------
                                    Maximum engine
           Model years                   power            Application        PM        NOX      NMHC       CO
----------------------------------------------------------------------------------------------------------------
2011-2014.......................  560 < kW <= 900...  All...............      0.10       3.5      0.40       3.5
                                 -------------------------------------------------------------------------------
                                  kW  900  Generator sets....      0.10      0.67      0.40       3.5
                                                     -----------------------------------------------------------
                                                      All except              0.10       3.5      0.40       3.5
                                                       generator sets.
----------------------------------------------------------------------------------------------------------------

    (c) Phase-in requirements. The following phase-in provisions apply 
for engines in 56-560 kW power categories meeting the interim Tier 4 
standards in paragraphs (a) and (b) of this section:
    (1) For each model year before 2014 noted in Tables 4 through 6 of 
this section, you must certify engine families representing at least 50 
percent of your U.S.-directed production volume for each power category 
to the applicable phase-in standards, except as allowed by paragraph 
(c)(3), (d)(2), or (e) of this section. Any engines not certified to the 
phase-in standards must be certified to the corresponding phase-out 
standards.
    (2) Engines certified to the phase-out standards in Tables 4 through 
6 of this section must comply with all other requirements that apply to 
Tier 4 engines, except as otherwise specified in this section.
    (3) At the time of certification, show how you intend to meet the 
phase-in requirements of this paragraph (c) based on projected U.S.-
directed production volumes. If your actual U.S.-directed production 
volume fails to meet the phase-in requirements for a given model year, 
you must make up the shortfall (in terms of number of engines) by the 
end of the model year representing the final year of the phase-in 
period. For example, if you plan in good faith to produce 50 percent of 
a projected 10,000 engines in the 56-130 kW power category (i.e., 5,000 
engines) in 2012 in compliance with the Tier 4 phase-in standards for 
NOX and NMHC in Table 4 of this section, but produce 4,500 
such engines of an actual 10,000 engines, you must produce 500 engines 
in model year 2013 (i.e., the final year of the phase-in for this power 
category) that meet the Tier 4 phase-in standards above and beyond the 
production otherwise needed to meet the 50-percent phase-in requirement 
for model year 2013. If any shortfall exceeds the applicable limit of 
paragraph (c)(3)(i) or (ii) of this section, that number of phase-out 
engines will be considered not covered by a certificate of conformity 
and in violation ofSec. 1068.101(a)(1). The shortfall allowed by this 
paragraph (c)(3) may not exceed a certain number of engines, as follows:
    (i) For engine families certified according to the alternate phase-
in schedule described in paragraph (d)(2) of this section, for model 
years prior to the final year of the phase-in, 5 percent of your actual 
U.S.-directed production volume for that power category in that model 
year.
    (ii) For all other engine families, for model years prior to the 
final year of the phase-in, 25 percent of your actual U.S.-directed 
production volume for that power category in that model year.
    (iii) No shortfall is allowed in the final year of the phase-in.
    (4) Engines you introduce into commerce beyond the limits described 
in paragraphs (c)(3) of this section will be considered not covered by a 
certificate

[[Page 206]]

of conformity and in violation ofSec. 1068.101(a)(1).
    (5) For the purposes of this part, the term ``phase-in'' means 
relating to a standard that is identified in this section as a phase-in 
standard and the term ``phase-out'' means relating to a standard that is 
identified in this section as a phase-out standard. For example, a 200-
kW engine from the 2012 model year that is certified to the 4.0 g/kW-hr 
NOX+NMHC standard in Table 6 ofSec. 1039.102 is a phase-out 
engine.
    (d) Banked credits and alternate phase-in for 56-130 kW engines. For 
engines in the 56-130 kW power category, you may use only one of the 
following additional provisions:
    (1) For model years 2012 through 2014, you may use banked 
NOX+NMHC credits from any Tier 2 engine at or above 37 kW 
certified under 40 CFR part 89 to meet the NOX phase-in 
standards or the NOX+NMHC phase-out standards under 
paragraphs (b) and (c) of this section, subject to the additional ABT 
provisions inSec. 1039.740.
    (2) Instead of meeting the phase-in requirements of paragraph (c)(1) 
of this section, you may certify engine families representing at least 
25 percent of your U.S.-directed production volume for each model year 
from 2012 through 2014 to the applicable phase-in standards in Tables 4 
and 5 of this section, except as allowed by paragraph (c)(3) or (e) of 
this section. Any engines not certified to the phase-in standards must 
be certified to the corresponding phase-out standards. Engines certified 
under this paragraph (d)(2) may generate NOX emission credits 
only for averaging within the same power category during the same model 
year. For engines certified under this paragraph (d)(2), the 2014 model 
year may not extend beyond December 30, 2014.
    (e) Alternate NOX standards. For engines in 56-560 kW power 
categories during the phase-in of Tier 4 standards, you may certify 
engine families to the alternate NOX or NOX + NMHC 
standards in this paragraph (e) instead of the phase-in and phase-out 
NOX and NOX + NMHC standards described in Tables 4 
through 6 of this section. Engines certified to an alternate 
NOX standard under this section must be certified to an NMHC 
standard of 0.19 g/kW-hr. Do not include engine families certified under 
this paragraph (e) in determining whether you comply with the percentage 
phase-in requirements of paragraphs (c) and (d)(2) of this section. 
Except for the provisions for alternate FEL caps inSec. 1039.104(g), 
the NOX and NOX + NMHC standards and FEL caps 
under this paragraph (e) are as follows:
    (1) For engines in the 56-130 kW power category, apply the following 
alternate NOX standards and FEL caps:
    (i) If you use the provisions of paragraph (d)(1) of this section, 
your alternate NOX standard for any engine family in the 56-
130 kW power category is 2.3 g/kW-hr for model years 2012 and 2013. 
Engines certified to this standard may not exceed a NOX FEL 
cap of 3.0 g/kW-hr.
    (ii) If you use the provisions of paragraph (d)(2) of this section, 
your alternate NOX standard for any engine family in the 56-
130 kW power category is 3.4 g/kW-hr for model years 2012 through 2014. 
Engines below 75 kW certified to this standard may not exceed a 
NOX FEL cap of 4.4 g/kW-hr; engines at or above 75 kW 
certified to this standard may not exceed a NOX FEL cap of 
3.8 g/kW-hr.
    (iii) If you do not use the provisions of paragraph (d) of this 
section, you may apply the alternate NOX standard and the 
appropriate FEL cap from either paragraph (e)(1)(i) or (ii) of this 
section.
    (2) For engines in the 130-560 kW power category, the alternate 
NOX standard is 2.0 g/kW-hr for model years 2011 through 
2013. Engines certified to this standard may not exceed a NOX 
FEL cap of 2.7 g/kW-hr.
    (3) You use NOX + NMHC emission credits to certify an 
engine family to the alternate NOX + NMHC standards in this 
paragraph (e)(3) instead of the otherwise applicable alternate 
NOX and NMHC standards. Calculate the alternate 
NOX + NMHC standard by adding 0.1 g/kW-hr to the numerical 
value of the applicable alternate NOX standard of paragraph 
(e)(1) or (2) of this section. Engines certified to the NOX + 
NMHC standards of this paragraph (e)(3) may not generate emission 
credits. The FEL caps for engine families certified under this paragraph 
(e)(3) are the previously applicable NOX + NMHC standards of 
40

[[Page 207]]

CFR 89.112 (generally the Tier 3 standards).
    (f) Split families. For generating or using credits for engines in 
56-560 kW power categories during the phase-in of Tier 4 standards, you 
may split an engine family into two subfamilies (for example, one that 
uses credits and one that generates credits for the same pollutant).
    (1) Identify any split engine families in your application for 
certification. Your engines must comply with all the standards and 
requirements applicable to Tier 4 engines, except as noted in this 
paragraph (f). You may calculate emission credits relative to different 
emission standards (i.e., phase-in and phase-out standards) for 
different sets of engines within the engine family, but the engine 
family must be certified to a single set of standards and FELs. To 
calculate NOX+NMHC emission credits, add the NOX 
FEL to the NMHC phase-in standard for comparison with the applicable 
NOX+NMHC phase-out standard. Any engine family certified 
under this paragraph (f) must meet the applicable phase-in standard for 
NMHC. You may assign the number and configurations of engines within the 
respective subfamilies any time before the due date for the final report 
required inSec. 1039.730. Apply the same label to each engine in the 
family, including the NOX FEL to which it is certified.
    (2) For example, a 10,000-unit engine family in the 75-130 kW power 
category may be certified to meet the standards for PM, NMHC, and CO 
that apply to phase-in engines, with a 0.8 g/kW-hr FEL for 
NOX. When compared to the phase-out NOX+NMHC 
standard, this engine family would generate positive NOX+NMHC 
emission credits. When compared to the phase-in NOX standard, 
this engine family would generate negative NOX emission 
credits. You could create a subfamily with 2,500 engines (one-quarter of 
the 10,000 engines) and identify them as phase-in engines. You would 
count these 2,500, with their negative NOX credits, in 
determining compliance with the 50-percent phase-in requirement in 
paragraph (c)(1) of this section. You would calculate negative credits 
relative to the 0.40 g/kW-hr NOX standard for these 2,500 
engines. You would identify the other 7,500 engines in the family as 
phase-out engines and calculate positive credits relative to the 4.0 g/
kW-hr NOX+NMHC standard.
    (g) Other provisions. The provisions ofSec. 1039.101(d) through 
(h) apply with respect to the standards of this section, with the 
following exceptions and special provisions:
    (1) NTE standards. Use the provisions ofSec. 1039.101(e)(3) to 
calculate and apply the NTE standards, but base these calculated values 
on the applicable standards in this section or the applicable FEL, 
instead of the standards in Table 1 ofSec. 1039.101. All other 
provisions ofSec. 1039.101(e) apply under this paragraph (g)(1). The 
NTE standards do not apply for certain engines and certain pollutants, 
as follows:
    (i) All engines below 37 kW for model years before 2013.
    (ii) All engines certified under Option 1 of Table 3 of 
this section. These are small-volume manufacturer engines certified to 
the Option 1 standards for model years 2008 through 2015 under 
Sec.  1039.104(c), and other engines certified to the Option 1 
standards for model years 2008 through 2012.
    (iii) All engines less than or equal to 560 kW that are certified to 
an FEL under the alternate FEL program during the first four years of 
the Tier 4 standards for the applicable power category, as described in 
Sec.  1039.104(g). However, if you apply to meet transient emission 
standards for these engines underSec. 1039.102(a)(1)(iii), you must 
also meet the NTE standards in this paragraph (g)(1).
    (iv) Gaseous pollutants for phase-out engines that you certify to 
the same numerical standards and FELs for gaseous pollutants to which 
you certified under the Tier 3 requirements of 40 CFR part 89. However, 
the NTE standards for PM apply to these engines.
    (2) Interim FEL caps. As described inSec. 1039.101(d), you may 
participate in the ABT program in subpart H of this part by certifying 
engines to FELs for PM, NOX, or NOX+NMHC instead 
of the standards in Tables 1 through 7 of this section for the model 
years shown. The FEL caps listed in the following table apply instead of 
the FEL caps in

[[Page 208]]

Sec.  1039.101(d)(1), except as allowed bySec. 1039.104(g):

                          Table 8 ofSec.  1039.102--Interim Tier 4 FEL Caps, g/kW-hr
----------------------------------------------------------------------------------------------------------------
                                                             Model years
       Maximum engine power            Phase-in option           \1\            PM          NOX        NOX+NMHC
----------------------------------------------------------------------------------------------------------------
kW < 19...........................  .....................       2008-2014         0.80  ...........      \2\ 9.5
19 <= kW < 37.....................  .....................       2008-2012         0.60  ...........          9.5
37 <= kW < 56.....................  .....................   \3\ 2008-2012         0.40  ...........          7.5
56 <= kW < 130....................  phase-in.............       2012-2013         0.04         0.80  ...........
56 <= kW < 130....................  phase-out............       2012-2013         0.04  ...........      \4\ 6.6
130 <= kW <= 560..................  phase-in.............       2011-2013         0.04         0.80  ...........
130 <= kW <= 560..................  phase-out............       2011-2013         0.04  ...........      \5\ 6.4
kW  560................  .....................       2011-2014         0.20          6.2  ...........
----------------------------------------------------------------------------------------------------------------
\1\ For model years before 2015 where this table does not specify FEL caps, apply the FEL caps shown in Sec.
  1039.101.
\2\ For engines below 8 kW, the FEL cap is 10.5 g/kW-hr for NOX+NMHC emissions.
\3\ For manufacturers certifying engines to the standards of this part 1039 in 2012 under Option 2 of
  Table 3 ofSec.  1039.102, the FEL caps for 37-56 kW engines in the 19-56 kW category of Table 2 of Sec.
  1039.101 apply for model year 2012 and later; see 40 CFR part 89 for provisions that apply to earlier model
  years.
\4\ For engines below 75 kW, the FEL cap is 7.5 g/kW-hr for NOX+NMHC emissions.
\5\ For engines below 225 kW, the FEL cap is 6.6 g/kW-hr for NOX+NMHC emissions.

    (3) Crankcase emissions. The crankcase emission requirements of 
Sec.  1039.115(a) do not apply to engines using charge-air compression 
that are certified to an FEL under the alternate FEL program inSec. 
1039.104(g) during the first four years of the Tier 4 standards for the 
applicable power category.
    (4) Special provisions for 37-56 kW engines. For engines at or above 
37 kW and below 56 kW from model years 2008 through 2012, you must add 
information to the emission-related installation instructions to clarify 
the equipment manufacturer's obligations underSec. 1039.104(f).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007; 
73 FR 59191, Oct. 8, 2008; 75 FR 68461, Nov. 8, 2010]



Sec.  1039.104  Are there interim provisions that apply only for a 
limited time?

    The provisions in this section apply instead of other provisions in 
this part. This section describes when these interim provisions apply.
    (a) Incentives for early introduction. This paragraph (a) allows you 
to reduce the number of engines subject to the applicable standards in 
Sec.  1039.101 orSec. 1039.102, when some of your engines are 
certified to the specified levels earlier than otherwise required. The 
engines that are certified early are considered offset-generating 
engines. The provisions of this paragraph (a), which describe the 
requirements applicable to offset-generating engines, apply beginning in 
model year 2007. These offset generating engines may generate additional 
allowances for equipment manufacturers under the incentive program 
described inSec. 1039.627; you may instead use these offsets under 
paragraph (a)(2) of this section in some cases.
    (1) For early-compliant engines to generate offsets for use either 
under this paragraph (a) or underSec. 1039.627, you must meet the 
following general provisions:
    (i) You may not generate offsets from engines below 19 kW.
    (ii) You must begin actual production of engines covered by the 
corresponding certificate by the following dates:
    (A) For engines at or above 19 kW and below 37 kW: September 1, 
2012.
    (B) For engines at or above 37 kW and below 56 kW: September 1, 2012 
if you choose Option 1 in Table 3 ofSec. 1039.102, or 
September 1, 2011 if you do not choose Option 1 in Table 3 of 
Sec.  1039.102.
    (C) For engines in the 56-130 kW power category: September 1, 2011.
    (D) For engines in the 130-560 kW power category: September 1, 2010.
    (E) For engines above 560 kW: September 1, 2014.
    (iii) Engines you produce after December 31 of the year shown in 
paragraph (a)(1)(ii) of this section may not generate offsets.
    (iv) You may not use ABT credits to certify offset-generating 
engines.
    (v) Offset-generating engines must be certified to the Tier 4 
standards and requirements under this part 1039.

[[Page 209]]

    (2) If equipment manufacturers decline offsets for your offset-
generating engines underSec. 1039.627, you may not generate ABT 
credits with these engines, but you may reduce the number of engines 
that are required to meet the standards inSec. 1039.101 orSec. 
1039.102 as follows:

----------------------------------------------------------------------------------------------------------------
                                                                      You may reduce the
                                                        That are       number of engines
                                   With maximum     certified to the   in the same power
        For every . . .          engine power . .      applicable      category that are   In later model years
                                        .           standards in . .   required to meet          by . . .
                                                           .               the . . .
 
----------------------------------------------------------------------------------------------------------------
(i) 2 engines.................  19 <= kW < 37....  Table 2 ofSec.   PM standard in      3 engines.
                                                    1039.102 \1\.      Table 2 of Sec.
                                                                       1039.102
                                                                       applicable to
                                                                       model year 2013
                                                                       or 2014 engines
                                                                       or the PM
                                                                       standard in Table
                                                                       1 of Sec.
                                                                       1039.101.
(ii) 2 engines................  56 <= kW <= 560..  Table 4, 5, or 6   Phase-out           3 engines.
                                                    ofSec.           standards in
                                                    1039.102 for       Tables 4 through
                                                    Phase-out          6 of Sec.
                                                    engines.           1039.102.
(iii) 2 engines...............  kW =    Table 1 ofSec.   Standards in        3 engines. \2\
                                 19.                1039.101.          Tables 2 through
                                                                       7 of Sec.
                                                                       1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
(iv) 1 engine.................  kW =    Table 1 ofSec.   Standards in        2 engines. \2\
                                 19.                1039.101 + 0.20    Tables 2 through
                                                    g/kW-hr NOX        7 of Sec.
                                                    standard.          1039.102 or
                                                                       standards in
                                                                       Table 1 of Sec.
                                                                       1039.101.
----------------------------------------------------------------------------------------------------------------
\1\ The engine must be certified to the PM standard applicable to model year 2013 engines, and to the NOX+NMHC
  and CO standards applicable to model year 2012 engines.
\2\ For engines above 560 kW, offsets from generator-set engines may be used only for generator-set engines.
  Offsets from engines for other applications may be used only for other applications besides generator sets.

    (3) Example: If you produce 100 engines in the 56-130 kW power 
category in model year 2008 that are certified to the 56-130 kW 
standards listed inSec. 1039.101, and you produced 10,000 engines in 
this power category in model year 2015, then only 9,850 of these model 
year 2015 engines would need to comply with the standards listed in 
Sec.  1039.101. The 100 offset-generating engines in model year 2008 
could not use or generate ABT credits.
    (4) Offset-using engines (that is, those not required to certify to 
the standards ofSec. 1039.101 orSec. 1039.102 under paragraph (a)(2) 
of this section) are subject to the following provisions:
    (i) If the offset is being used under paragraph (a)(2)(i) of this 
section for an engine that would otherwise be certified to the model 
year 2013 or 2014 standards in Table 2 ofSec. 1039.102 or the 
standards in Table 1 ofSec. 1039.101, this engine must be certified to 
the standards and requirements of this part 1039, except that the only 
PM standard that applies is the steady-state PM standard that applies 
for model year 2012. Such an engine may not generate ABT credits.
    (ii) If the offset is being used under paragraph (a)(2)(ii) of this 
section for an engine that would otherwise be certified to the phase-out 
standards in Tables 4 through 6 ofSec. 1039.102, this engine must be 
certified to the standards and requirements of this part 1039, except 
that the PM standard is the Tier 3 PM standard that applies for this 
engine's maximum power. Such an engine will be treated as a phase-out 
engine for purposes of determining compliance with percentage phase-in 
requirements. Such an engine may not generate ABT credits.
    (iii) All other offset-using engines must meet the standards and 
other provisions that apply in model year 2011 for engines in the 19-130 
kW power categories, in model year 2010 for engines in the 130-560 kW 
power category, or in model year 2014 for engines above 560 kW. Show 
that engines meet these emission standards by meeting all the 
requirements ofSec. 1068.265. You must meet the labeling requirements 
inSec. 1039.135, but add the following statement instead of the 
compliance statement inSec. 1039.135(c)(12): ``THIS ENGINE MEETS U.S. 
EPA EMISSION STANDARDS UNDER 40 CFR 1039.104(a).'' For power categories 
with a percentage phase-in, these engines should be treated as phase-in 
engines for purposes of determining compliance with phase-in 
requirements.
    (5) If an equipment manufacturer claims offsets from your engine for 
use underSec. 1039.627, the engine generating

[[Page 210]]

the offset must comply with the requirements of paragraph (a)(1) of this 
section. You may not generate offsets for use under paragraphs (a)(2) 
and (5) of this section for these engines. You may generate ABT credits 
from these engines as follows:
    (i) To generate emission credits for NOX, 
NOX+NMHC, and PM, the engine must be certified to FELs at or 
below the standards in paragraph (a)(2) of this section.
    (ii) Calculate credits according toSec. 1039.705 but use as the 
applicable standard the numerical value of the standard to which the 
engine would have otherwise been subject if it had not been certified 
under this paragraph (a).
    (iii) For the production volume, use the number of engines certified 
under this paragraph (a) for which you do not claim offsets under 
paragraph (a)(2) of this section.
    (6) You may include engines used to generate offsets under this 
paragraph (a) and engines used to generate offsets underSec. 1039.627 
in the same engine family, subject to the provisions ofSec. 1039.230. 
The engine must be certified to FELs, as specified in paragraph 
(a)(5)(i) of this section. The FELs must be below the standard levels 
specified in paragraph (a)(2) of this section and those specified in 
Sec.  1039.627. In the reports required inSec. 1039.730, include the 
following information for each model year:
    (i) The total number of engines that generate offsets under this 
paragraph (a).
    (ii) The number of engines used to generate offsets under paragraph 
(a)(2) of this section.
    (iii) The names of equipment manufacturers that intend to use your 
offsets underSec. 1039.627 and the number of offsets involved for each 
equipment manufacturer.
    (b) In-use compliance limits. For purposes of determining compliance 
after title or custody has transferred to the ultimate purchaser, 
calculate the applicable in-use compliance limits by adjusting the 
applicable standards or FELs. This applies only for engines at or above 
19 kW. The NOX adjustment applies only for engines with a 
NOX FEL no higher than 2.1 g/kW-hr The PM adjustment applies 
only for engines with a PM FEL no higher than the PM standard inSec. 
1039.101 for the appropriate power category. Add the following 
adjustments to the otherwise applicable standards or FELs (steady-state, 
transient, and NTE) for NOX and PM:

----------------------------------------------------------------------------------------------------------------
                                                                                                      The PM
                                         If your engine's maximum    The NOX adjustment in g/kW-   adjustment in
         In model years . . .                 power is . . .                 hr is . . .          g/kW-hr is . .
                                                                                                         .
----------------------------------------------------------------------------------------------------------------
2013-2014............................  19 <= kW < 56..............  not allowed.................            0.01
2012-2016............................  56 <= kW < 130.............  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
2011-2015............................  130 <= kW < 560............  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
2011-2016............................  kW  560.........  0.16 for operating hours <=             0.01
                                                                     2000.
                                                                    0.25 for operating hours
                                                                     2001 to 3400.
                                                                    0.34 for operating hours  3400.
----------------------------------------------------------------------------------------------------------------

    (c) Provisions for small-volume manufacturers. Special provisions 
apply if you are a small-volume engine manufacturer subject to the 
requirements of this part. You must notify us in writing before January 
1, 2008 if you intend to use these provisions.
    (1) You may delay complying with certain otherwise applicable Tier 4 
emission standards and requirements as described in the following table:

----------------------------------------------------------------------------------------------------------------
                                                                        Until model   Before that model year the
 If your engine's maximum power is . . .   You may delay meeting . . .   year . . .  engine must comply with . .
                                                                                                  .
----------------------------------------------------------------------------------------------------------------
kW < 19..................................  The standards and                   2011  The standards and
                                            requirements of this part.                requirements in 40 CFR
                                                                                      part 89.

[[Page 211]]

 
19 <= kW < 37............................  The Tier 4 standards and            2016  The Tier 4 standards and
                                            requirements of this part                 requirements that apply
                                            that would otherwise be                   for model year 2008.
                                            applicable in model year
                                            2013.
37 <= kW < 56............................     See paragraph (c)(2) of this section for special provisions that
                                                          apply for engines in this power category.
56 <= kW < 130...........................  The standards and                   2015  The standards and
                                            requirements of this part.                requirements in 40 CFR
                                                                                      part 89.
----------------------------------------------------------------------------------------------------------------

    (2) To use the provisions of this paragraph (c) for engines at or 
above 37 kW and below 56 kW, choose one of the following:
    (i) If you comply with the 0.30 g/kW-hr PM standard inSec. 
1039.102 in all model years from 2008 through 2012 without using PM 
credits, you may continue meeting that standard through 2015.
    (ii) If you do not choose to comply with paragraph (c)(2)(i) of this 
section, you may continue to comply with the standards and requirements 
in 40 CFR part 89 for model years through 2012, but you must begin 
complying in 2013 with Tier 4 standards and requirements specified in 
Table 3 ofSec. 1039.102 for model years 2013 and later.
    (3) After the delays indicated in paragraph (c)(1) and (2) of this 
section, you must comply with the same Tier 4 standards and requirements 
as all other manufacturers.
    (4) For engines not in the 19-56 kW power category, if you delay 
compliance with any standards under this paragraph (c), you must do all 
the following things for the model years when you are delaying 
compliance with the otherwise applicable standards:
    (i) Produce engines that meet all the emission standards and other 
requirements under 40 CFR part 89 applicable for that model year, except 
as noted in this paragraph (c).
    (ii) Meet the labeling requirements in 40 CFR 89.110, but use the 
following compliance statement instead of the compliance statement in 40 
CFR 89.110(b)(10): ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR 
1039.104(c).''.
    (iii) Notify the equipment manufacturer that the engines you produce 
under this section are excluded from the production volumes associated 
with the equipment-manufacturer allowance program inSec. 1039.625.
    (5) For engines in the 19-56 kW power category, if you delay 
compliance with any standards under this paragraph (c), you must do all 
the following things for the model years when you are delaying 
compliance with the otherwise applicable standards:
    (i) Produce engines in those model years that meet all the emission 
standards and other requirements that applied for your model year 2008 
engines in the same power category.
    (ii) Meet the labeling requirements inSec. 1039.135, but use the 
following compliance statement instead of the compliance statement in 
Sec.  1039.135: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[CURRENT MODEL YEAR] NONROAD COMPRESSION-IGNITION ENGINES UNDER 40 CFR 
1039.104(c).''.
    (iii) Notify the equipment manufacturer that the engines you produce 
under this section are excluded from the production volumes associated 
with the equipment-manufacturer allowance program inSec. 1039.625.
    (6) The provisions of this paragraph (c) may not be used to 
circumvent the requirements of this part.
    (d) Deficiencies for NTE standards. You may ask us to accept as 
compliant an engine that does not fully meet specific requirements under 
the applicable NTE standards. Such deficiencies are intended to allow 
for minor deviations from the NTE standards under limited conditions. We 
expect your engines to have functioning emission-control hardware that 
allows you to comply with the NTE standards.
    (1) Request our approval for specific deficiencies in your 
application for certification, or before you submit your application. We 
will not approve deficiencies retroactively to cover engines

[[Page 212]]

already certified. In your request, identify the scope of each 
deficiency and describe any auxiliary emission-control devices you will 
use to control emissions to the lowest practical level, considering the 
deficiency you are requesting.
    (2) We will approve a deficiency only if compliance would be 
infeasible or unreasonable considering such factors as the technical 
feasibility of the given hardware and the applicable lead time and 
production cycles--including schedules related to phase-in or phase-out 
of engines. We may consider other relevant factors.
    (3) Our approval applies only for a single model year and may be 
limited to specific engine configurations. We may approve your request 
for the same deficiency in the following model year if correcting the 
deficiency would require unreasonable hardware or software modifications 
and we determine that you have demonstrated an acceptable level of 
effort toward complying.
    (4) You may ask for any number of deficiencies in the first three 
model years during which NTE standards apply for your engines. For the 
next four model years, we may approve up to three deficiencies per 
engine family. Deficiencies of the same type that apply similarly to 
different power ratings within a family count as one deficiency per 
family. We may condition approval of any such additional deficiencies 
during these four years on any additional conditions we determine to be 
appropriate. We will not approve deficiencies after the seven-year 
period specified in this paragraph (d)(4).
    (e) Diesel test fuels and corresponding labeling requirements. For 
diesel-fueled engines in 2011 and later model years, the diesel test 
fuel is ultra low-sulfur diesel fuel specified in 40 CFR part 1065. For 
diesel-fueled engines in 2010 and earlier model years, use test fuels 
and meet labeling requirements as follows:
    (1) Use the following test fuels in 2010 and earlier model years:
    (i) Unless otherwise specified, the diesel test fuel is low-sulfur 
diesel fuel specified in 40 CFR part 1065.
    (ii) In model years 2007 through 2010, you may use ultra low-sulfur 
diesel fuel as the test fuel for any engine family that employs sulfur-
sensitive technology if you can demonstrate that in-use engines in the 
family will use diesel fuel with a sulfur concentration no greater than 
15 ppm.
    (iii) You may use ultra low-sulfur diesel fuel as the test fuel for 
engine families in any power category below 56 kW, as long as none of 
the engines in your engine family employ sulfur-sensitive technologies, 
you ensure that ultimate purchasers of equipment using these engines are 
informed that ultra low-sulfur diesel fuel is recommended, and you 
recommend to equipment manufacturers that a label be applied at the fuel 
inlet recommending 15 ppm fuel.
    (iv) For the engines described inSec. 1039.101(c) that are 
certified to the 0.60 g/kW-hr PM standard in Table 1 ofSec. 1039.102 
in the 2010 model year, you may test with the ultra low-sulfur fuel 
specified in 40 CFR part 1065.
    (2) Meet the labeling requirements of this paragraph (e)(2) (or 
other labeling requirements we approve) to identify the applicable test 
fuels specified in paragraph (e)(1) of this section. Provide 
instructions to equipment manufacturers to ensure that they are aware of 
these labeling requirements.
    (i) For engines certified under the provisions of paragraph 
(e)(1)(i) of this section, include the following statement on the 
emission control information label and the fuel-inlet label specified in 
Sec.  1039.135: ``LOW SULFUR FUEL OR ULTRA LOW SULFUR FUEL ONLY''.
    (ii) For engines certified under the provisions of paragraph 
(e)(1)(ii) of this section, include the following statement on the 
emission control information label and the fuel-inlet label specified in 
Sec.  1039.135: ``ULTRA LOW SULFUR FUEL ONLY''.
    (iii) For engines certified under the provisions of paragraph 
(e)(1)(iii) of this section, include the following statement on the 
emission control information label specified inSec. 1039.135: ``ULTRA 
LOW SULFUR FUEL RECOMMENDED''.
    (3) For model years 2010 and earlier, we will use the test fuel that 
you use under paragraph (e)(1) of this section, subject to the 
conditions of paragraph (e)(1) of this section.

[[Page 213]]

    (f) Requirements for equipment manufacturers. If you produce 
equipment with engines certified to Tier 3 standards under Option 
2 of Table 3 ofSec. 1039.102 during model years from 2008 
through 2011, then a minimum number of pieces of equipment you produce 
using 2012 model year engines must have engines certified to the Option 
2 standards, as follows:
    (1) For equipment you produce with 2012 model year engines at or 
above 37 kW and below 56 kW, determine the minimum number of these 
engines that must be certified to the Option 2 standards in 
Table 3 ofSec. 1039.102 as follows:
    (i) If all the equipment you produce using 2008 through 2011 model 
year engines use engines certified to Tier 3 standards under Option 
2 of Table 3 ofSec. 1039.102, then all the 2012 model year 
engines you install must be certified to the Option 2 standards 
of Table 3 ofSec. 1039.102.
    (ii) If you produce equipment using 2008 through 2011 model year 
engines with some engines certified to Option 1 standards of 
Table 3 ofSec. 1039.102 and some engines certified to Tier 3 standards 
under Option 2 standards of Table 3 ofSec. 1039.102, 
calculate the minimum number of 2012 model year engines you must install 
that are certified to the Option 2 standards of Table 3 of 
Sec.  1039.102 from the following equation:

Minimum number = [(T-O1-F)/(T-F)-0.05] x P

Where:

T = The total number of 2008-2010 model year engines at or above 37 kW 
          and below 56 kW that you use in equipment you produce.
O1 = The number of engines from the 2008-2010 model years 
          certified under Option 1 of Table 3 ofSec. 1039.102 
          that you use in equipment you produce.
F = The number of 2008-2010 model year engines at or above 37 kW and 
          below 56 kW that you use in equipment you produce under the 
          flexibility provisions ofSec. 1039.625.
P = The total number of 2012 model year engines at or above 37 kW and 
          below 56 kW that you use in equipment you produce.

    (2) As needed for the calculation required by this paragraph (f), 
keep records of all equipment you produce using 2008-2012 model year 
engines at or above 37 kW and below 56 kW. If you fail to keep these 
records, you may not use any 2012 model year engines certified to Option 
1 standards in your equipment.
    (3) If you fail to comply with the provisions of this paragraph (f), 
then using 2012 model year engines certified under Option 1 of 
Table 3 ofSec. 1039.102 (or certified to less stringent standards) in 
such equipment violates the prohibitions inSec. 1068.101(a)(1).
    (g) Alternate FEL caps. You may certify a limited number of engines 
from your U.S.-directed production volume to the FEL caps in Table 1 of 
this section instead of the otherwise applicable FEL caps inSec. 
1039.101(d)(1),Sec. 1039.102(e), orSec. 1039.102(g)(2), subject to 
the following provisions:
    (1) The provisions of this paragraph (g) apply during the model 
years shown in Table 1 of this section. During this period, the number 
of engines certified to the FEL caps in Table 1 of this section must not 
exceed 20 percent in any single model year in each power category. The 
sum of percentages over the four-year period must not exceed a total of 
40 percent in each power category. If you certify an engine under an 
alternate FEL cap in this paragraph (g) for any pollutant, count it 
toward the allowed percentage of engines certified to the alternate FEL 
caps.
    (2) If your engine is not certified to transient emission standards 
under the provisions ofSec. 1039.102(a)(1)(iii), you must adjust your 
FEL upward by a temporary compliance adjustment factor (TCAF) before 
calculating your negative emission credits underSec. 1039.705, as 
follows:
    (i) The temporary compliance adjustment factor for NOX is 
1.1.
    (ii) The temporary compliance adjustment factor for PM is 1.5.
    (iii) The adjusted FEL (FELadj) for calculating emission 
credits is determined from the steady-state FEL (FELss) using 
the following equation:

FELadj = (FELss) x (TCAF)

    (iv) The unadjusted FEL (FELss) applies for all purposes 
other than credit calculation.
    (3) These alternate FEL caps may not be used for phase-in engines.

[[Page 214]]

    (4) Do not apply TCAFs to gaseous emissions for phase-out engines 
that you certify to the same numerical standards (and FELs if the 
engines are certified using ABT) for gaseous pollutants as you certified 
under the Tier 3 requirements of 40 CFR part 89.

                                 Table 1 ofSec.  1039.104--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
                                                                    Model years                     Model years
                                                  PM FEL cap, g/      for the     NOX FEL cap, g/     for the
              Maximum engine power                     kW-hr       alternate PM        kW-hr       alternate NOX
                                                                      FEL cap                         FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56...................................            0.30   \1\ 2012-2015  ..............  ..............
56 <= kW < 130 \2\..............................            0.30       2012-2015             3.8   \3\ 2012-2015
130 <= kW <= 560................................            0.20       2011-2014             3.8   \4\ 2011-2014
kW  560 \5\..........................            0.10       2015-2018             3.5       2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ For manufacturers certifying engines under Option 1 of Table 3 ofSec.  1039.102, these alternate
  FEL caps apply to all 19-56 kW engines for model years from 2013 through 2016 instead of in the years
  indicated in this table. For manufacturers certifying engines under Option 2 of Table 3 of Sec.
  1039.102, these alternate FEL caps do not apply to 19-37 kW engines except in model years 2013 to 2015.
\2\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\3\ For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach
  instead of the alternate NOX standards ofSec.  1039.102(e)(1), the alternate NOX FEL cap in the table
  applies only in the 2014-2015 model years if certifying underSec.  1039.102(d)(1), and only in the 2015
  model year if certifying under (1039.102(d)(2).
\4\ For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach
  instead of the alternate NOX standard ofSec.  1039.102(e)(2), the alternate NOX FEL cap in the table applies
  only for the 2014 model year.
\5\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines. For
  example, if you produce 1,000 generator-set engines above 560 kW in 2015, up to 200 of them may be certified
  to the alternate NOX FEL caps.

    (5) You may certify engines under this paragraph (g) without regard 
to whether or not the engine family's FEL is at or below the otherwise 
applicable FEL cap. For example, a 200 kW engine certified to the 
NOX + NMHC standard ofSec. 1039.102(e)(3) with an FEL equal 
to the FEL cap of 2.8 g/kW-hr may be certified under this paragraph (g) 
and count toward the sales limit specified in paragraph (g)(1) of this 
section.
    (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 inSec. 1039.135(c)(6) if you 
keep those records and provide them to us upon request.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40462, July 13, 2005; 
72 FR 53130, Sept. 18, 2007; 75 FR 22988, Apr. 30, 2010; 75 FR 68461, 
Nov. 8, 2010]

    Effective Date Note: At 78 FR 36394, June 17, 2013,Sec. 1039.104 
was amended by revising paragraph (g), effective Aug. 16, 2013. For the 
convenience of the user, the revised text is set forth as follows:



Sec.  1039.104  Are there interim provisions that apply only for a 
          limited time?

                                * * * * *

    (g) Alternate FEL caps. You may certify engines to the FEL caps in 
Table 1 of this section instead of the otherwise applicable FEL caps in 
Sec.  1039.101(d)(1),Sec. 1039.102(e), orSec. 1039.102(g)(2) for the 
indicated model years, subject to the following provisions:
    (1) [Reserved]
    (2) If your engine is not certified to transient emission standards 
under the provisions ofSec. 1039.102(a)(1)(iii), you must adjust your 
FEL upward by a temporary compliance adjustment factor (TCAF) before 
calculating your negative emission credits underSec. 1039.705, as 
follows:
    (i) The temporary compliance adjustment factor for NOX 
and for NOX + NMHC is 1.1.
    (ii) The temporary compliance adjustment factor for PM is 1.5.
    (iii) The adjusted FEL (FELadj) for calculating emission 
credits is determined from the steady-state FEL (FELss) using 
the following equation:

FELadj = (FELss) x (TCAF)

    (iv) The unadjusted FEL (FELss) applies for all purposes 
other than credit calculation.
    (3) These alternate FEL caps may not be used for phase-in engines.
    (4) Do not apply TCAFs to gaseous emissions for phase-out engines 
that you certify to the same numerical standards (and FELs if the 
engines are certified using ABT) for gaseous pollutants as you certified 
under the Tier 3 requirements of 40 CFR part 89.

[[Page 215]]



                                 Table 1 ofSec.  1039.104--Alternate FEL Caps
----------------------------------------------------------------------------------------------------------------
                                                                    Model years                     Model years
                                                  PM FEL cap,  g/     for the      NOX FEL cap,       for the
              Maximum engine power                     kW-hr       alternate PM     g/kW-hr \1\    alternate NOX
                                                                      FEL cap                         FEL cap
----------------------------------------------------------------------------------------------------------------
19 <= kW < 56...................................            0.30   \2\ 2012-2015
56 <= kW < 130 \3\..............................            0.30       2012-2015             3.8   \4\ 2012-2015
130 <= kW <= 560................................            0.20       2011-2014             3.8   \5\ 2011-2014
kW  560 \6\..........................            0.10       2015-2018             3.5       2015-2018
----------------------------------------------------------------------------------------------------------------
\1\ The FEL cap for engines demonstrating compliance with a NOX + NMHC standard is equal to the previously
  applicable NOX + NMHC standard specified in 40 CFR 89.112 (generally the Tier 3 standards).
\2\ For manufacturers certifying engines under Option 1 of Table 3 ofSec.  1039.102, these alternate
  FEL caps apply to all 19-56 kW engines for model years from 2013 through 2016 instead of the years indicated
  in this table. For manufacturers certifying engines under Option 2 of Table 3 ofSec.  1039.102,
  these alternate FEL caps do not apply to 19-37 kW engines except in model years 2013 to 2015.
\3\ For engines below 75 kW, the FEL caps are 0.40 g/kW-hr for PM emissions and 4.4 g/kW-hr for NOX emissions.
\4\ For manufacturers certifying engines in this power category using a percentage phase-in/phase-out approach
  instead of the alternate NOX standards ofSec.  1039.102(e)(1), the alternate NOX FEL cap in the table
  applies only in the 2014-2015 model years if certifying underSec.  1039.102(d)(1), and only in the 2015
  model year if certifying underSec.  1039.102(d)(2).
\5\ For manufacturers certifying engines in this power category using the percentage phase-in/phase-out approach
  instead of the alternate NOX standard ofSec.  1039.102(e)(2), the alternate NOX FEL cap in the table applies
  only for the 2014 model year.
\6\ For engines above 560 kW, the provision for alternate NOX FEL caps is limited to generator-set engines.

    (5) You may certify engines under this paragraph (g) in any model 
year provided for in Table 1 of this section without regard to whether 
or not the engine family's FEL is at or below the otherwise applicable 
FEL cap. For example, a 200 kW engine certified to the NOX + 
NMHC standard ofSec. 1039.102(e)(3) with an FEL equal to the FEL cap 
of 2.8 g/kW-hr may nevertheless be certified under this paragraph (g).
    (6) For engines you produce under this paragraph (g) after the Tier 
4 final standards take effect, you may certify based on a NOX 
+ NMHC FEL as described in Table 1 of this section. Calculate emission 
credits for these engines relative to the applicable NOX 
standard inSec. 1039.101 orSec. 1039.102, plus 0.1 g/kW-hr.

                                * * * * *



Sec.  1039.105  What smoke standards must my engines meet?

    (a) The smoke standards in this section apply to all engines subject 
to emission standards under this part, except for the following engines:
    (1) Single-cylinder engines.
    (2) Constant-speed engines.
    (3) Engines certified to a PM emission standard or FEL of 0.07 g/kW-
hr or lower.
    (b) Measure smoke as specified inSec. 1039.501(c). Smoke from your 
engines may not exceed the following standards:
    (1) 20 percent during the acceleration mode.
    (2) 15 percent during the lugging mode.
    (3) 50 percent during the peaks in either the acceleration or 
lugging modes.



Sec.  1039.107  What evaporative emission standards and requirements
apply?

    There are no evaporative emission standards for diesel-fueled 
engines, or engines using other nonvolatile or nonliquid fuels (for 
example, natural gas). If your engine uses a volatile liquid fuel, such 
as methanol, you must meet the evaporative emission requirements of 40 
CFR part 1048 that apply to spark-ignition engines, as follows:
    (a) Follow the steps in 40 CFR 1048.245 to show that you meet the 
requirements of 40 CFR 1048.105.
    (b) Do the following things in your application for certification:
    (1) Describe how your engines control evaporative emissions.
    (2) Present test data to show that equipment using your engines 
meets the evaporative emission standards we specify in this section if 
you do not use design-based certification under 40 CFR 1048.245. Show 
these figures before and after applying deterioration factors, where 
applicable.



Sec.  1039.110  [Reserved]



Sec.  1039.115  What other requirements apply?

    Engines that are required to meet the emission standards of this 
part must meet the following requirements, except as noted elsewhere in 
this part:
    (a) Crankcase emissions. Crankcase emissions may not be discharged 
directly into the ambient atmosphere

[[Page 216]]

from any engine throughout its useful life, except as follows:
    (1) Engines may discharge crankcase emissions to the ambient 
atmosphere if the emissions are added to the exhaust emissions (either 
physically or mathematically) during all emission testing.
    (2) If you take advantage of this exception, you must do the 
following things:
    (i) Manufacture the engines so that all crankcase emissions can be 
routed into the applicable sampling systems specified in 40 CFR part 
1065.
    (ii) Account for deterioration in crankcase emissions when 
determining exhaust deterioration factors.
    (3) For purposes of this paragraph (a), crankcase emissions that are 
routed to the exhaust upstream of exhaust aftertreatment during all 
operation are not considered to be discharged directly into the ambient 
atmosphere.
    (b)-(d) [Reserved]
    (e) Adjustable parameters. Engines that have adjustable parameters 
must meet all the requirements of this part for any adjustment in the 
physically adjustable range. An operating parameter is not considered 
adjustable if you permanently seal it or if it is not normally 
accessible using ordinary tools. We may require that you set adjustable 
parameters to any specification within the adjustable range during any 
testing, including certification testing, selective enforcement 
auditing, or in-use testing.
    (f) Prohibited controls. You may not design your engines with 
emission-control devices, systems, or elements of design that cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
while operating. For example, this would apply if the engine emits a 
noxious or toxic substance it would otherwise not emit that contributes 
to such an unreasonable risk.
    (g) 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. This does not apply to auxiliary-emission control devices you 
identify in your certification application if any of the following is 
true:
    (1) The conditions of concern were substantially included in the 
applicable test procedures described in subpart F of this part.
    (2) You show your design is necessary to prevent engine (or 
equipment) damage or accidents.
    (3) The reduced effectiveness applies only to starting the engine.
    (4) The auxiliary emission control device applies only for engines 
that will be installed in emergency equipment and the need is justified 
in terms of preventing the equipment from losing speed or power due to 
abnormal conditions of the emission control system, or in terms of 
preventing such abnormal conditions from occurring, during operation 
related to emergency response. Examples of such abnormal conditions may 
include excessive exhaust backpressure from an overloaded particulate 
trap, and running out of diesel exhaust fluid for engines that rely on 
urea-based selective catalytic reduction. The emission standards do not 
apply when any AECDs approved under this paragraph (g)(4) are active.
    (5) The auxiliary emission control device operates only in emergency 
situations as defined inSec. 1039.665 and meets all of the 
requirements of that section, and you meet all of the requirements of 
that section.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007; 
77 FR 34147, June 8, 2012]



Sec.  1039.120  What emission-related warranty requirements apply
to me?

    (a) General requirements. You must warrant to the ultimate purchaser 
and each subsequent purchaser that the new nonroad engine, including all 
parts of its emission-control system, meets two conditions:
    (1) It is designed, built, and equipped so it conforms at the time 
of sale to the ultimate purchaser with the requirements of this part.
    (2) It is free from defects in materials and workmanship that may 
keep it from meeting these requirements.
    (b) Warranty period. Your emission-related warranty must be valid 
for at least as long as the minimum warranty periods listed in this 
paragraph (b) in

[[Page 217]]

hours of operation and 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. The minimum warranty periods are 
shown in the following table:

----------------------------------------------------------------------------------------------------------------
                                        And its maximum power    And its rated speed is     Then its warranty
 If your engine is certified as . . .          is . . .                  . . .               period is . . .
----------------------------------------------------------------------------------------------------------------
Variable speed or constant speed.....  kW < 19................  Any speed..............  1,500 hours or two
                                                                                          years, whichever comes
                                                                                          first.
Constant speed.......................  19 <= kW < 37..........  3,000 rpm or higher....  1,500 hours or two
                                                                                          years, whichever comes
                                                                                          first.
Constant speed.......................  19 <= kW < 37..........  Less than 3,000 rpm....  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
Variable speed.......................  19 <= kW < 37..........  Any speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
Variable speed or constant speed.....  kW = 37.....  Any speed..............  3,000 hours or five
                                                                                          years, whichever comes
                                                                                          first.
----------------------------------------------------------------------------------------------------------------

    (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.
    (d) Limited applicability. You may deny warranty claims under this 
section if the operator caused the problem through improper maintenance 
or use, as described in 40 CFR 1068.115.
    (e) Owners manual. Describe in the owners manual the emission-
related warranty provisions from this section that apply to the engine.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22989, Apr. 30, 2010]



Sec.  1039.125  What maintenance instructions must I give to buyers?

    Give the ultimate purchaser of each new nonroad engine written 
instructions for properly maintaining and using the engine, including 
the emission-control system. The maintenance instructions also apply to 
service accumulation on your emission-data engines, as described in 
Sec.  1039.245 and in 40 CFR part 1065.
    (a) Critical emission-related maintenance. Critical emission-related 
maintenance includes any adjustment, cleaning, repair, or replacement of 
critical emission-related components. This may also include additional 
emission-related maintenance that you determine is critical if we 
approve it in advance. You may schedule critical emission-related 
maintenance on these components if you meet the following conditions:
    (1) You demonstrate that the maintenance is reasonably likely to be 
done at the recommended intervals on in-use engines. We will accept 
scheduled maintenance as reasonably likely to occur if you satisfy any 
of the following conditions:
    (i) You present data showing that, if a lack of maintenance 
increases emissions, it also unacceptably degrades the engine's 
performance.
    (ii) You present survey data showing that at least 80 percent of 
engines in the field get the maintenance you specify at the recommended 
intervals.
    (iii) You provide the maintenance free of charge and clearly say so 
in your maintenance instructions.
    (iv) You otherwise show us that the maintenance is reasonably likely 
to be done at the recommended intervals.

[[Page 218]]

    (2) For engines below 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, crankcase vent 
filters, and fuel injector tips (cleaning only), the minimum interval is 
1,500 hours.
    (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) For engines at or above 130 kW, you may not schedule critical 
emission-related maintenance more frequently than the following minimum 
intervals, except as specified in paragraphs (a)(4), (b), and (c) of 
this section:
    (i) For EGR-related filters and coolers, PCV valves, crankcase vent 
filters, and fuel injector tips (cleaning only), the minimum interval is 
1,500 hours.
    (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 underSec. 
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).
    (6) If your engine family has an alternate useful life underSec. 
1039.101(g) that is shorter than the period specified in paragraph 
(a)(2) or (a)(3) of this section, you may not schedule critical 
emission-related maintenance more frequently than the alternate useful 
life, except as specified in paragraph (c) of this section.
    (b) Recommended additional maintenance. You may recommend any 
additional amount of maintenance on the components listed in paragraph 
(a) of this section, as long as you state clearly that these maintenance 
steps are not necessary to keep the emission-related warranty valid. If 
operators do the maintenance specified in paragraph (a) of this section, 
but not the recommended additional maintenance, this does not allow you 
to disqualify those engines from in-use testing or deny a warranty 
claim. Do not take these maintenance steps during service accumulation 
on your emission-data engines.
    (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

[[Page 219]]

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.
    (e) Maintenance that is not emission-related. For maintenance 
unrelated to emission controls, you may schedule any amount of 
inspection or maintenance. You may also take these inspection or 
maintenance steps during service accumulation on your emission-data 
engines, as long as they are reasonable and technologically necessary. 
This might include adding engine oil, changing air, fuel, or oil 
filters, servicing engine-cooling systems, and adjusting idle speed, 
governor, engine bolt torque, valve lash, or injector lash. You may 
perform this nonemission-related maintenance on emission-data engines at 
the least frequent intervals that you recommend to the ultimate 
purchaser (but not the intervals recommended for severe service).
    (f) Source of parts and repairs. State clearly on the first page of 
your written maintenance instructions that a repair shop or person of 
the owner's choosing may maintain, replace, or repair emission-control 
devices and systems. Your instructions may not require components or 
service identified by brand, trade, or corporate name. Also, do not 
directly or indirectly condition your warranty on a requirement that the 
engine be serviced by your franchised dealers or any other service 
establishments with which you have a commercial relationship. You may 
disregard the requirements in this paragraph (f) if you do one of two 
things:
    (1) Provide a component or service without charge under the purchase 
agreement.
    (2) Get us to waive this prohibition in the public's interest by 
convincing us the engine will work properly only with the identified 
component or service.
    (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:
    (1) Each affected component was not in general use on similar 
engines before the applicable dates shown in paragraph (6) of the 
definition of new nonroad engine inSec. 1039.801.
    (2) The primary function of each affected component is to reduce 
emissions.
    (3) The cost of the scheduled maintenance is more than 2 percent of 
the price of the engine.
    (4) Failure to perform the maintenance would not cause clear 
problems that would significantly degrade the engine's performance.
    (h) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners manual.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53130, Sept. 18, 2007; 73 FR 59191, Oct. 8, 2008; 75 FR 22989, 
Apr. 30, 2010]



Sec.  1039.130  What installation instructions must I give to
equipment manufacturers?

    (a) If you sell an engine for someone else to install in a piece of 
nonroad equipment, give the engine installer instructions for installing 
it consistent

[[Page 220]]

with the requirements of this part. Include all information necessary to 
ensure that an engine will be installed in its certified configuration.
    (b) Make sure these instructions have the following information:
    (1) Include the heading: ``Emission-related installation 
instructions''.
    (2) State: ``Failing to follow these instructions when installing a 
certified engine in a piece of nonroad equipment violates federal law 
(40 CFR 1068.105(b)), subject to fines or other penalties as described 
in the Clean Air Act.''.
    (3) Describe the instructions needed to properly install the exhaust 
system and any other components. Include instructions consistent with 
the requirements ofSec. 1039.205(u).
    (4) [Reserved]
    (5) Describe any limits on the range of applications needed to 
ensure that the engine operates consistently with your application for 
certification. For example, if your engines are certified only for 
constant-speed operation, tell equipment manufacturers not to install 
the engines in variable-speed applications.
    (6) Describe any other instructions to make sure the installed 
engine will operate according to design specifications in your 
application for certification. This may include, for example, 
instructions for installing aftertreatment devices when installing the 
engines.
    (7) State: ``If you install the engine in a way that makes the 
engine's emission control information label hard to read during normal 
engine maintenance, you must place a duplicate label on the equipment, 
as described in 40 CFR 1068.105.''.
    (8) Describe equipment-labeling requirements consistent withSec. 
1039.135. State whether you are providing the label for the fuel inlet 
or the equipment manufacturer must provide the label.
    (c) You do not need installation instructions for engines you 
install in your own equipment.
    (d) Provide instructions in writing or in an equivalent format. For 
example, you may post instructions on a publicly available website for 
downloading or printing. If you do not provide the instructions in 
writing, explain in your application for certification how you will 
ensure that each installer is informed of the installation requirements.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005]



Sec.  1039.135  How must I label and identify the engines I produce?

    (a) Assign each engine a unique identification number and 
permanently affix, engrave, or stamp it on the engine in a legible way.
    (b) At the time of manufacture, affix a permanent and legible label 
identifying each engine. The label must be--
    (1) Attached in one piece so it is not removable without being 
destroyed or defaced. However, you may use two-piece labels for engines 
below 19 kW if there is not enough space on the engine to apply a one-
piece label.
    (2) Secured to a part of the engine needed for normal operation and 
not normally requiring replacement.
    (3) Durable and readable for the engine's entire life.
    (4) Written in English.
    (c) The label must--
    (1) Include the heading ``EMISSION CONTROL INFORMATION''.
    (2) Include your full corporate name and trademark. You may identify 
another company and use its trademark instead of yours if you comply 
with the provisions ofSec. 1039.640.
    (3) Include EPA's standardized designation for the engine family 
(and subfamily, where applicable).
    (4) State the power category or subcategory fromSec. 1039.101 or 
Sec.  1039.102 that determines the applicable emission standards for the 
engine family. For engines at or above 37 kW and below 56 kW from model 
years 2008 through 2012, and for engines less than 8 kW utilizing the 
provision atSec. 1039.101(c), you must state the applicable PM 
standard for the engine family.
    (5) State the engine's displacement (in liters); however, you may 
omit this from the label if all the engines in the engine family have 
the same per-cylinder displacement and total displacement.
    (6) State the date of manufacture [DAY (optional), MONTH, and YEAR]; 
however, you may omit this from the

[[Page 221]]

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.
    (7) State the FELs to which the engines are certified if 
certification depends on the ABT provisions of subpart H of this part.
    (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.
    (9) For diesel-fueled engines, unless otherwise specified inSec. 
1039.104(e)(2), state: ``ULTRA LOW SULFUR FUEL ONLY'.
    (10) Identify any additional requirements for fuel and lubricants 
that do not involve fuel-sulfur levels. 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) State the useful life for your engine family if we approve a 
shortened useful life underSec. 1039.101(g)(2).
    (12) State: ``THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 
[MODEL YEAR] NONROAD DIESEL ENGINES.''.
    (13) For engines above 560 kW, include the following things:
    (i) For engines certified to the emission standards for generator-
set engines, add the phrase ``FOR GENERATOR SETS AND OTHER 
APPLICATIONS''.
    (ii) For all other engines, add the phrase ``NOT FOR USE IN A 
GENERATOR SET''.
    (14) If your engines are certified only for constant-speed 
operation, state ``USE IN CONSTANT-SPEED APPLICATIONS ONLY''.
    (15) For engines with one or more approved auxiliary emission 
control devices for emergency equipment applications underSec. 
1039.115(g)(4), the statement: ``THIS ENGINE IS FOR INSTALLATION IN 
EMERGENCY EQUIPMENT ONLY.''
    (d) You may add information to the emission control information 
label to identify other emission standards that the engine meets or does 
not meet (such as European standards). You may also add other 
information to ensure that the engine will be properly maintained and 
used.
    (e) Except as specified inSec. 1039.104(e)(2), create a separate 
label with the statement: ``ULTRA LOW SULFUR FUEL ONLY''. Permanently 
attach this label to the equipment near the fuel inlet or, if you do not 
manufacture the equipment, take one of the following steps to ensure 
that the equipment will be properly labeled:
    (1) Provide the label to the equipment manufacturer and include the 
appropriate information in the emission-related installation 
instructions.
    (2) Confirm that the equipment manufacturers install their own 
complying labels.
    (f) You may ask us to approve modified labeling requirements in this 
part 1039 if you show that it is necessary or appropriate. We will 
approve your request if your alternate label is consistent with the 
requirements of this part.
    (g) If you obscure the engine label while installing the engine in 
the equipment such that the label cannot be read during normal 
maintenance, you must place a duplicate label on the equipment. If 
others install your engine in their equipment in a way that obscures the 
engine label, we require them to add a duplicate label on the equipment 
(see 40 CFR 1068.105); in that case, give them the number of duplicate 
labels they request and keep the following records for at least five 
years:
    (1) Written documentation of the request from the equipment 
manufacturer.
    (2) The number of duplicate labels you send for each engine family 
and the date you sent them.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53130, Sept. 18, 2007; 
73 FR 59191, Oct. 8, 2008; 75 FR 22989, Apr. 30, 2010; 77 FR 34147, June 
8, 2012]



Sec.  1039.140  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

[[Page 222]]

the power value to the nearest whole kilowatt.
    (b) The nominal power curve of an engine configuration is the 
relationship between maximum available engine brake power and engine 
speed for an engine, using the mapping procedures of 40 CFR part 1065, 
based on the manufacturer's design and production specifications for the 
engine. This information may also be expressed by a torque curve that 
relates maximum available engine torque with engine speed.
    (c) The nominal power curve must be within the range of the actual 
power curves of production engines considering normal production 
variability. If after production begins it is determined that your 
nominal power curve does not represent production engines, we may 
require you to amend your application for certification underSec. 
1039.225.
    (d) Throughout this part, references to a specific power value or a 
range of power values for an engine are based on maximum engine power. 
For example, the group of engines with maximum engine power above 560 kW 
may be referred to as engines above 560 kW.



                  Subpart C_Certifying Engine Families



Sec.  1039.201  What are the general requirements for obtaining
a certificate of conformity?

    (a) You must send us a separate application for a certificate of 
conformity for each engine family. A certificate of conformity is valid 
from the indicated effective date until December 31 of the model year 
for which it is issued.
    (b) The application must contain all the information required by 
this part and must not include false or incomplete statements or 
information (seeSec. 1039.255).
    (c) We may ask you to include less information than we specify in 
this subpart, as long as you maintain all the information required by 
Sec.  1039.250.
    (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) SeeSec. 1039.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test engines to a facility we 
designate for our testing (seeSec. 1039.235(c)).
    (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'' inSec. 1039.801.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22990, Apr. 30, 2010]



Sec.  1039.205  What must I include in my application?

    This section specifies the information that must be in your 
application, unless we ask you to include less information underSec. 
1039.201(c). We may require you to provide additional information to 
evaluate your application.
    (a) Describe the engine family's specifications and other basic 
parameters of the engine's design and emission controls. List the fuel 
type on which your engines are designed to operate (for example, ultra 
low-sulfur diesel fuel). List each distinguishable engine configuration 
in the engine family. For each engine configuration, list the maximum 
engine power and the range of values for maximum engine power resulting 
from production tolerances, as described inSec. 1039.140.
    (b) Explain how the emission-control system operates. 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 all the following:
    (1) Give a general overview of the engine, the emission-control 
strategies, and all AECDs.
    (2) Describe each AECD's general purpose and function.

[[Page 223]]

    (3) Identify the parameters that each AECD senses (including 
measuring, estimating, calculating, or empirically deriving the values). 
Include equipment-based parameters and state whether you simulate them 
during testing with the applicable procedures.
    (4) Describe the purpose for sensing each parameter.
    (5) Identify the location of each sensor the AECD uses.
    (6) Identify the threshold values for the sensed parameters that 
activate the AECD.
    (7) Describe the parameters that the AECD modulates (controls) in 
response to any sensed parameters, including the range of modulation for 
each parameter, the relationship between the sensed parameters and the 
controlled parameters and how the modulation achieves the AECD's stated 
purpose. Use graphs and tables, as necessary.
    (8) Describe each AECD's specific calibration details. This may be 
in the form of data tables, graphical representations, or some other 
description.
    (9) Describe the hierarchy among the AECDs when multiple AECDs sense 
or modulate the same parameter. Describe whether the strategies interact 
in a comparative or additive manner and identify which AECD takes 
precedence in responding, if applicable.
    (10) Explain the extent to which the AECD is included in the 
applicable test procedures specified in subpart F of this part.
    (11) Do the following additional things for AECDs designed to 
protect engines or equipment:
    (i) Identify the engine and/or equipment design limits that make 
protection necessary and describe any damage that would occur without 
the AECD.
    (ii) Describe how each sensed parameter relates to the protected 
components' design limits or those operating conditions that cause the 
need for protection.
    (iii) Describe the relationship between the design limits/parameters 
being protected and the parameters sensed or calculated as surrogates 
for those design limits/parameters, if applicable.
    (iv) Describe how the modulation by the AECD prevents engines and/or 
equipment from exceeding design limits.
    (v) Explain why it is necessary to estimate any parameters instead 
of measuring them directly and describe how the AECD calculates the 
estimated value, if applicable.
    (vi) Describe how you calibrate the AECD modulation to activate only 
during conditions related to the stated need to protect components and 
only as needed to sufficiently protect those components in a way that 
minimizes the emission impact.
    (c) [Reserved]
    (d) Describe the engines you selected for testing and the reasons 
for selecting them.
    (e) Describe the test equipment and procedures that you used, 
including any special or alternate test procedures you used (seeSec. 
1039.501).
    (f) Describe how you operated the emission-data engine before 
testing, including the duty cycle and the number of engine operating 
hours used to stabilize emission levels. Explain why you selected the 
method of service accumulation. Describe any scheduled maintenance you 
did.
    (g) List the specifications of the test fuel to show that it falls 
within the required ranges we specify in 40 CFR part 1065.
    (h) Identify the engine family's useful life.
    (i) Include the maintenance instructions you will give to the 
ultimate purchaser of each new nonroad engine (seeSec. 1039.125).
    (j) Include the emission-related installation instructions you will 
provide if someone else installs your engines in a piece of nonroad 
equipment (seeSec. 1039.130).
    (k) Describe your emission control information label (seeSec. 
1039.135).
    (l) Identify the emission standards or FELs to which you are 
certifying engines in the engine family. Identify the ambient operating 
regions that will apply for NTE testing underSec. 1039.101(e)(4).
    (m) Identify the engine family's deterioration factors and describe 
how you developed them (seeSec. 1039.245). Present any emission test 
data you used for this.

[[Page 224]]

    (n) State that you operated your emission-data engines as described 
in the application (including the test procedures, test parameters, and 
test fuels) to show you meet the requirements of this part.
    (o) Present emission data for hydrocarbons (such as NMHC or THCE, as 
applicable), NOX, PM, and CO on an emission-data engine to 
show your engines meet the applicable duty-cycle emission standards we 
specify inSec. 1039.101. Show emission figures before and after 
applying adjustment factors for regeneration and deterioration factors 
for each engine. Include emission results for each mode if you do 
discrete-mode testing underSec. 1039.505. Present emission data to 
show that you meet any applicable smoke standards we specify inSec. 
1039.105. 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. Note thatSec. 1039.235 allows you 
to submit an application in certain cases without new emission data.
    (p) State that all the engines in the engine family comply with the 
not-to-exceed emission standards we specify in subpart B of this part 
for all normal operation and use when tested as specified inSec. 
1039.515. Describe any relevant testing, engineering analysis, or other 
information in sufficient detail to support your statement.
    (q) For engines above 560 kW, include information showing how your 
emission controls will function during normal in-use transient 
operation. For example, this might include the following:
    (1) Emission data from transient testing of engines using 
measurement systems designed for measuring in-use emissions.
    (2) Comparison of the engine design for controlling transient 
emissions with that from engines for which you have emission data over 
the transient duty cycle for certification.
    (3) Detailed descriptions of control algorithms and other design 
parameters for controlling transient emissions.
    (r) Report test results as follows:
    (1) Report all test results involving measurement of pollutants for 
which emission standards apply. Include test results from invalid tests 
or from any other tests, whether or not they were conducted according to 
the test procedures of subpart F of this part. We may ask you to send 
other information to confirm that your tests were valid under the 
requirements of this part and 40 CFR part 1065.
    (2) Report measured CO2, N2O, and 
CH4 as described inSec. 1039.235. Small-volume engine 
manufacturers may omit reporting N2O and CH4.
    (s) Describe all adjustable operating parameters (seeSec. 
1039.115(e)), including production tolerances. Include the following in 
your description of each parameter:
    (1) The nominal or recommended setting.
    (2) The intended physically adjustable range.
    (3) The limits or stops used to establish adjustable ranges.
    (4) 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 intended 
physically adjustable ranges.
    (t) Provide the information to read, record, and interpret all the 
information broadcast by an engine's onboard computers and electronic 
control units. State that, upon request, you will give us any hardware, 
software, or tools we would need to do this. If you broadcast a 
surrogate parameter for torque values, you must provide us what we need 
to convert these into torque units. You may reference any appropriate 
publicly released standards that define conventions for these messages 
and parameters. Format your information consistent with publicly 
released standards.
    (u) Confirm that your emission-related installation instructions 
specify how to ensure that sampling of exhaust emissions will be 
possible after engines are installed in equipment and placed in service. 
If this cannot be done by simply adding a 20-centimeter extension to the 
exhaust pipe, show how to sample exhaust emissions in a way that 
prevents diluting the exhaust sample with ambient air.

[[Page 225]]

    (v) State whether your certification is intended to include engines 
used in stationary applications. State whether your certification is 
limited for certain engines. If this is the case, describe how you will 
prevent use of these engines in applications for which they are not 
certified. This applies for engines such as the following:
    (1) Constant-speed engines.
    (2) Engines used for transportation refrigeration units that you 
certify under the provisions ofSec. 1039.645.
    (3) Hand-startable engines certified under the provisions ofSec. 
1039.101(c).
    (4) Engines above 560 KW that are not certified to emission 
standards for generator-set engines.
    (w) Unconditionally certify that all the engines in the engine 
family comply with the requirements of this part, other referenced parts 
of the CFR, and the Clean Air Act.
    (x) Include good-faith estimates of U.S.-directed production 
volumes. Include a justification for the estimated production volumes if 
they are substantially different than actual production volumes in 
earlier years for similar models.
    (y) Include the information required by other subparts of this part. 
For example, include the information required bySec. 1039.725 if you 
participate in the ABT program.
    (z) Include other applicable information, such as information 
specified in this part or 40 CFR part 1068 related to requests for 
exemptions.
    (aa) Name an agent for service located in the United States. Service 
on this agent constitutes service on you or any of your officers or 
employees for any action by EPA or otherwise by the United States 
related to the requirements of this part.

[69 FR 39213, June 29, 2004, as amended at 71 FR 39185, July 11, 2006; 
72 FR 53131, Sept. 18, 2007; 74 FR 56508, Oct. 30, 2009]



Sec.  1039.210  May I get preliminary approval before I complete 
my application?

    If you send us information before you finish the application, we 
will review it and make any appropriate determinations, especially for 
questions related to engine family definitions, auxiliary emission-
control devices, deterioration factors, testing for service 
accumulation, maintenance, and NTE deficiencies and carve-outs. 
Decisions made under this section are considered to be preliminary 
approval, subject to final review and approval. We will generally not 
reverse a decision where we have given you preliminary approval, unless 
we find new information supporting a different decision. If you request 
preliminary approval related to the upcoming model year or the model 
year after that, we will make best-efforts to make the appropriate 
determinations as soon as practicable. We will generally not provide 
preliminary approval related to a future model year more than two years 
ahead of time.

[72 FR 53131, Sept. 18, 2007]



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 ofSec. 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

[[Page 226]]

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).

[75 FR 22990, Apr. 30, 2010]



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.
    (a) You must amend your application before you take any of the 
following actions:
    (1) Add an engine configuration to an engine family. In this case, 
the engine configuration added must be consistent with other engine 
configurations in the engine family with respect to the criteria listed 
inSec. 1039.230.
    (2) Change an engine configuration already included in an engine 
family in a way that may affect emissions, or change any of the 
components you described in your application for certification. This 
includes production and design changes that may affect emissions any 
time during the engine's lifetime.
    (3) Modify an FEL for an engine family as described in paragraph (f) 
of this section.
    (b) To amend your application for certification, send the relevant 
information to the Designated Compliance Officer.
    (1) Describe in detail the addition or change in the engine model or 
configuration you intend to make.
    (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.
    (3) If the original emission-data engine for the engine family is 
not appropriate to show compliance for the new or modified engine 
configuration, include new test data showing that the new or modified 
engine configuration meets the requirements of this part.
    (c) We may ask for more test data or engineering evaluations. You 
must give us these within 30 days after we request them.
    (d) For engine families already covered by a certificate of 
conformity, we will determine whether the existing certificate of 
conformity covers your newly added or modified engine. You may ask for a 
hearing if we deny your request (seeSec. 1039.820).
    (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

[[Page 227]]

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.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53131, Sept. 18, 2007; 75 FR 22990, Apr. 30, 2010]



Sec.  1039.230  How do I select 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. 
Your engine family is limited to a single model year.
    (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.
    (c) You may subdivide a group of engines that is identical under 
paragraph (b) of this section into different engine families if you show 
the expected emission characteristics are different during the useful 
life.
    (d) In unusual circumstances, you may group engines that are not 
identical 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.
    (e) If you combine engines from different power categories into a 
single engine family under paragraph (d) of this section, you must 
certify the engine family to the more stringent set of standards from 
the two power categories in that model year.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007; 
75 FR 22990, Apr. 30, 2010]



Sec.  1039.235  What testing requirements apply for certification?

    This section describes the emission testing you must perform to show 
compliance with the emission standards inSec. 1039.101(a) and (b) or 
Sec.  1039.102(a) and (b). SeeSec. 1039.205(p) regarding emission 
testing related to the NTE standards. SeeSec. 1039.240,Sec. 
1039.245, and 40 CFR part 1065, subpart E, regarding service 
accumulation before emission testing.
    (a) Test your emission-data engines using the procedures and 
equipment specified in subpart F of this part.
    (b) Select an emission-data engine from each engine family for 
testing. Select the engine configuration with the highest volume of fuel 
injected per cylinder per combustion cycle at the point of maximum 
torque--unless good engineering judgment indicates that a different 
engine configuration is more likely to exceed (or have emissions

[[Page 228]]

nearer to) an applicable emission standard or FEL. If two or more 
engines have the same fueling rate at maximum torque, select the one 
with the highest fueling rate at rated speed. In making this selection, 
consider all factors expected to affect emission-control performance and 
compliance with the standards, including emission levels of all exhaust 
constituents, especially NOX and PM.
    (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 inSec. 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:
    (1) The engine family from the previous model year differs from the 
current engine family only with respect to model year or other 
characteristics unrelated to emissions.
    (2) The emission-data engine from the previous model year remains 
the appropriate emission-data engine under paragraph (b) of this 
section.
    (3) The data show that the emission-data engine would meet all the 
requirements that apply to the engine family covered by the application 
for certification.
    (e) 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.
    (f) 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 specified in subpart F of this part, we may 
reject data you generated using the alternate procedure.
    (g) Measure CO2 and CH4 with each low-hour 
certification test using the procedures specified in 40 CFR part 1065 in 
the 2011 and 2012 model years, respectively. Also measure N2O 
with each low-hour certification test using the procedures specified in 
40 CFR part 1065 starting in the 2013 model year for any engine family 
that depends on NOx aftertreatment to meet emission standards. Small-
volume engine manufacturers may omit measurement of N2O and 
CH4. These measurements are not required for NTE testing. Use 
the same units and modal calculations as for your other results to 
report a single weighted value for each constituent. Round the final 
values as follows:
    (1) Round CO2 to the nearest 1 g/kW-hr.
    (2) Round N2O to the nearest 0.001 g/kW-hr.
    (3) Round CH4 to the nearest 0.001g/kW-hr.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007; 
74 FR 56509, Oct. 30, 2009; 75 FR 22991, Apr. 30, 2010]



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

[[Page 229]]

Sec.  1039.101(a) and (b),Sec. 1039.102(a) and (b),Sec. 1039.104, 
andSec. 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) 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 1039.245 specifies 
how to test your engine to develop deterioration factors that represent 
the deterioration expected in emissions over your engines' full useful 
life. Your deterioration factors must take into account any available 
data from in-use testing with similar engines. Small-volume engine 
manufacturers may use assigned deterioration factors that we establish. 
Apply deterioration factors as follows:
    (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.
    (2) Multiplicative deterioration factor for exhaust emissions. Use a 
multiplicative deterioration factor if good engineering judgment calls 
for the deterioration factor for a pollutant to be the ratio of exhaust 
emissions at the end of the useful life to exhaust emissions at the low-
hour test point. For example, if you use aftertreatment technology that 
controls emissions of a pollutant proportionally to engine-out 
emissions, it is often appropriate to use a multiplicative deterioration 
factor. Adjust the official emission results for each tested engine at 
the selected test point by multiplying the measured emissions by the 
deterioration factor. If the factor is less than one, use one. A 
multiplicative deterioration factor may not be appropriate in cases 
where testing variability is significantly greater than engine-to-engine 
variability. Multiplicative deterioration factors must be specified to 
one more significant figure than the applicable standard.
    (3) Deterioration factor for smoke. Deterioration factors for smoke 
are always additive, as described in paragraph (c)(1) of this section.
    (4) Deterioration factor for crankcase emissions. If your engine 
vents crankcase emissions to the exhaust or to the atmosphere, you must 
account for crankcase emission deterioration, using good engineering 
judgment. You may use separate deterioration factors for crankcase 
emissions of each pollutant (either multiplicative or additive) or 
include the effects in combined deterioration factors that include 
exhaust and crankcase emissions together for each pollutant.
    (d) Collect emission data using measurements to one more decimal 
place than the applicable standard. Apply the deterioration factor to 
the official emission result, as described in paragraph (c) of this 
section, then round the adjusted figure 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. In the case of 
NOX+NMHC standards, apply the deterioration factor to each 
pollutant

[[Page 230]]

and then add the results before rounding.
    (e) For engines subject to NMHC standards, you may base compliance 
on total hydrocarbon (THC) emissions. Indicate in your application for 
certification if you are using this option. If you do, measure THC 
emissions and calculate NMHC emissions as 98 percent of THC emissions, 
as shown in the following equation:

NMHC = (0.98) x (THC).

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22991, Apr. 30, 2010]



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 inSec. 1039.240.
    (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+NMHC standard or FEL 
greater than the Tier 3 NOX+NMHC standard described in 40 CFR 
89.112 are considered to rely on established technology for gaseous 
emission control, 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 be 
considered to be established technology.
    (b) You may ask us to approve deterioration factors for an engine 
family based on emission measurements from similar highway or nonroad 
engines if you have already given us these data for certifying the other 
engines in the same or earlier model years. Use good engineering 
judgment to decide whether the two engines are similar. We will approve 
your request if you show us that the emission measurements from other 
engines reasonably represent in-use deterioration for the engine family 
for which you have not yet determined deterioration factors.
    (c) If you are unable to determine deterioration factors for an 
engine family under paragraph (a) or (b) of this section, select 
engines, subsystems, or components for testing. Determine deterioration 
factors based on service accumulation and related testing to represent 
the deterioration expected from in-use engines over the full useful 
life. You must measure emissions from the emission-data engine at least 
three times with evenly spaced intervals of service accumulation. You 
may use extrapolation to determine deterioration factors once you have 
established a trend of changing emissions with age for each pollutant. 
You may use an engine installed in nonroad equipment to accumulate 
service hours instead of running the engine only in the laboratory. You 
may perform maintenance on emission-data engines as described inSec. 
1039.125 and 40 CFR part 1065, subpart E. Use good engineering judgment 
for all aspects of the effort to establish deterioration factors under 
this paragraph (c).
    (d) Include the following information in your application for 
certification:
    (1) If you use test data from a different engine family, explain why 
this is appropriate and include all the emission measurements on which 
you base the deterioration factor.
    (2) If you determine your deterioration factors based on engineering 
analysis, explain why this is appropriate and include a statement that 
all data, analyses, evaluations, and other information you used are 
available for our review upon request.
    (3) If you do testing to determine deterioration factors, describe 
the form and extent of service accumulation, including a rationale for 
selecting the service-accumulation period and the method you use to 
accumulate hours.

[69 FR 39213, June 29, 2004, as amended at 72 FR 53131, Sept. 18, 2007; 
75 FR 22991, Apr. 30, 2010]



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:

[[Page 231]]

    (1) Report the total number of engines you produced in each engine 
family by maximum engine power, total displacement, and the type of fuel 
system.
    (2) If you produced exempted engines under the provisions ofSec. 
1039.625, report the number of exempted engines you produced for each 
engine model and identify the buyer or shipping destination for each 
exempted engine.
    (b) Organize and maintain the following records:
    (1) A copy of all applications and any summary information you send 
us.
    (2) Any of the information we specify inSec. 1039.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data engine. For each 
engine, describe all of the following:
    (i) The emission-data engine's construction, including its origin 
and buildup, steps you took to ensure that it represents production 
engines, any components you built specially for it, and all the 
components you include in your application for certification.
    (ii) How you accumulated engine operating hours (service 
accumulation), including the dates and the number of hours accumulated.
    (iii) All maintenance, including modifications, parts changes, and 
other service, and the dates and reasons for the maintenance.
    (iv) All your emission tests, including documentation on routine and 
standard tests, as specified in part 40 CFR part 1065, and the date and 
purpose of each test.
    (v) All tests to diagnose engine or emission-control performance, 
giving the date and time of each and the reasons for the test.
    (vi) Any other significant events.
    (4) Production figures for each engine family divided by assembly 
plant.
    (5) Keep a list of engine identification numbers for all the engines 
you produce under each certificate of conformity.
    (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.
    (d) 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.

[69 FR 39213, June 29, 2004, as amended at 75 FR 22991, Apr. 30, 2010]



Sec.  1039.255  What decisions may EPA make regarding my certificate 
of conformity?

    (a) If we determine your application is complete and shows that the 
engine family meets all the requirements of this part and the Act, we 
will issue a certificate of conformity for your engine family for that 
model year. We may make the approval subject to additional conditions.
    (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.
    (c) In addition, we may deny your application or suspend or revoke 
your certificate if you do any of the following:
    (1) Refuse to comply with any testing or reporting requirements.
    (2) Submit false or incomplete information (paragraph (e) of this 
section applies if this is fraudulent).
    (3) Render inaccurate any test data.
    (4) Deny us from completing authorized activities despite our 
presenting a warrant or court order (see 40 CFR 1068.20). This includes 
a failure to provide reasonable assistance.
    (5) Produce engines for importation into the United States at a 
location where local law prohibits us from carrying out authorized 
activities.
    (6) Fail to supply requested information or amend your application 
to include all engines being produced.
    (7) Take any action that otherwise circumvents the intent of the Act 
or this part.
    (d) We may void your certificate if you do not keep the records we 
require

[[Page 232]]

or do not give us information as required under this part or the Act.
    (e) We may void your certificate if we find that you intentionally 
submitted false or incomplete information.
    (f) If we deny your application or suspend, revoke, or void your 
certificate, you may ask for a hearing (seeSec. 1039.820).

[69 FR 39213, June 29, 2004, as amended at 72 FR 53132, Sept. 18, 2007; 
75 FR 22991, Apr. 30, 2010]

Subpart D [Reserved]



                        Subpart E_In-Use Testing



Sec.  1039.401  General provisions.

    We may perform in-use testing of any engine subject to the standards 
of this part. However, we will limit recall testing to the first 75 
percent of each engine's useful life as specified inSec. 1039.101(g).



                        Subpart F_Test Procedures



Sec.  1039.501  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 subpart B of this part. Measure the 
emissions of all the exhaust constituents subject to emissions standards 
as specified in 40 CFR part 1065. Measure CO2, 
N2O, and CH4 as described inSec. 1039.235. Use 
the applicable duty cycles specified in Sec.Sec. 1039.505 and 
1039.510.
    (b) Section 1039.515 describes the supplemental procedures for 
evaluating whether engines meet the not-to-exceed emission standards in 
subpart B of this part.
    (c) Measure smoke using the procedures in 40 CFR part 86, subpart I, 
for evaluating whether engines meet the smoke standards inSec. 
1039.105, except that you may test two-cylinder engines with an exhaust 
muffler like those installed on in-use engines.
    (d) Use the fuels specified inSec. 1039.104(e) and 40 CFR part 
1065 to perform valid tests.
    (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 for emission testing. Unless we specify 
otherwise, the appropriate diesel test fuel 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 and 
ensure that the emission control information label is consistent with 
your selection of the test fuel (seeSec. 1039.135(c)(9)). For example, 
do not test with ultra low-sulfur diesel fuel if you intend to label 
your engines to allow use of diesel fuel with sulfur concentrations up 
to 500 ppm.
    (e) You may use special or alternate procedures to the extent we 
allow them under 40 CFR 1065.10.
    (f) This subpart is addressed to you as a manufacturer, but it 
applies equally to anyone who does testing for you, and to us when we 
perform testing to determine if your engines meet emission standards.
    (g) You may disable any AECDs that have been approved solely for 
emergency equipment applications underSec. 1039.115(g)(4).

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
72 FR 53132, Sept. 18, 2007; 74 FR 56509, Oct. 30, 2009; 77 FR 34147, 
June 8,, 2012]



Sec.  1039.505  How do I test engines using steady-state duty cycles,
including ramped-modal testing?

    This section describes how to test engines under steady-state 
conditions. In some cases, we allow you to choose the appropriate 
steady-state duty cycle for an engine. In these cases, you must use the 
duty cycle you select in your application for certification for all 
testing you perform for that engine family. If we test your engines to 
confirm that they meet emission standards, we will use the duty cycles 
you select for your own testing. We may also perform other testing as 
allowed by the Clean Air Act.
    (a) You may perform steady-state testing with either discrete-mode 
or ramped-modal cycles, as follows:
    (1) For discrete-mode testing, sample emissions separately for each 
mode, then calculate an average emission

[[Page 233]]

level for the whole cycle using the weighting factors specified for each 
mode. Calculate cycle statistics and compare with the established 
criteria as specified in 40 CFR 1065.514 to confirm that the test is 
valid. Operate the engine and sampling system as follows:
    (i) Engines with NOX aftertreatment. For engines that depend on 
aftertreatment to meet the NOX emission standard, operate the 
engine for 5-6 minutes, then sample emissions for 1-3 minutes in each 
mode. You may extend the sampling time to improve measurement accuracy 
of PM emissions, using good engineering judgment. If you have a longer 
sampling time for PM emissions, calculate and validate cycle statistics 
separately for the gaseous and PM sampling periods.
    (ii) Engines without NOX aftertreatment. For other 
engines, operate the engine for at least 5 minutes, then sample 
emissions for at least 1 minute in each mode.
    (2) For ramped-modal testing, start sampling at the beginning of the 
first mode and continue sampling until the end of the last mode. 
Calculate emissions and cycle statistics the same as for transient 
testing.
    (b) Measure emissions by testing the engine on a dynamometer with 
one of the following duty cycles to determine whether it meets the 
steady-state emission standards inSec. 1039.101(b):
    (1) Use the 5-mode duty cycle or the corresponding ramped-modal 
cycle described in appendix II of this part for constant-speed engines. 
Note that these cycles do not apply to all engines used in constant-
speed applications, as described inSec. 1039.801.
    (2) Use the 6-mode duty cycle or the corresponding ramped-modal 
cycle described in appendix III of this part for variable-speed engines 
below 19 kW. You may instead use the 8-mode duty cycle or the 
corresponding ramped-modal cycle described in appendix IV of this part 
if some engines from your engine family will be used in applications 
that do not involve governing to maintain engine operation around rated 
speed.
    (3) Use the 8-mode duty cycle or the corresponding ramped-modal 
cycle described in appendix IV of this part for variable-speed engines 
at or above 19 kW.
    (c) During idle mode, operate the engine at its warm idle speed as 
described in 40 CFR part 1065.
    (d) For constant-speed engines whose design prevents full-load 
operation for extended periods, you may ask for approval under 40 CFR 
1065.10(c) to replace full-load operation with the maximum load for 
which the engine is designed to operate for extended periods.
    (e) See 40 CFR part 1065 for detailed specifications of tolerances 
and calculations.
    (f) For those cases where transient testing is not necessary, 
perform the steady-state test according to this section after an 
appropriate warm-up period, consistent with 40 CFR part 1065, subpart F.
    (g) To allow non-motoring dynamometers on cycles with idle, you may 
omit additional points from the duty-cycle regression as follows:
    (1) For variable-speed engines with low-speed governors, you may 
omit speed, torque, and power points from the duty-cycle regression 
statistics if the following are met:
    (i) The engine operator demand is at its minimum.
    (ii) The dynamometer demand is at its minimum.
    (iii) It is an idle point fnref = 0 % (idle) and 
Tref = 0 % (idle).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.
    (2) For variable-speed engines without low-speed governors, you may 
omit torque and power points from the duty-cycle regression statistics 
if the following are met:
    (i) The dynamometer demand is at its minimum.
    (ii) It is an idle point fnref = 0 % (idle) and 
Tref = 0 % (idle).
    (iii) fnref - (2 % [middot] fntest) < 
fn < fnref + (2 % [middot] fntest).
    (iv) Tref < T <= 5 % [middot] Tmax mapped.

[69 FR 39213, June 29, 2004, as amended at 73 FR 37241, June 30, 2008]



Sec.  1039.510  Which duty cycles do I use for transient testing?

    (a) Measure emissions by testing the engine on a dynamometer with 
one of the following transient duty cycles to determine whether it meets 
the transient emission standards inSec. 1039.101(a):

[[Page 234]]

    (1) For variable-speed engines, use the transient duty cycle 
described in appendix VI of this part.
    (2) [Reserved]
    (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. 
Calculate the official transient emission result from the following 
equation:
[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.

[69 FR 39213, June 29, 2004, as amended at 70 FR 40463, July 13, 2005; 
75 FR 22991, Apr. 30, 2010; 76 FR 57437, Sept. 15, 2011]



Sec.  1039.515  What are the test procedures related to not-to-exceed
standards?

    (a) General provisions. The provisions in 40 CFR 86.1370-2007 apply 
for determining whether an engine meets the not-to-exceed emission 
standards inSec. 1039.101(e). Interpret references to vehicles and 
vehicle operation to mean equipment and equipment operation.
    (b) Special PM zone. For engines certified to a PM standard or FEL 
above 0.07 g/kW-hr, a modified NTE control area applies for PM emissions 
only. The speeds and loads to be excluded are determined based on speeds 
B and C, determined according to the provisions of 40 CFR 86.1360-
2007(c). One of the following provisions applies:
    (1) If the C speed is below 2400 rpm, exclude the speed and load 
points to the right of or below the line formed by connecting the 
following two points on a plot of speed-vs.-power:
    (i) 30% of maximum power at the B speed; however, use the power 
value corresponding to the engine operation at 30% of maximum torque at 
the B speed if this is greater than 30% of maximum power at the B speed.
    (ii) 70% of maximum power at 100% speed.
    (2) If the C speed is at or above 2400 rpm, exclude the speed and 
load points to the right of the line formed by connecting the two points 
in paragraphs (b)(2)(i) and (ii) of this section (the 30% and 50% 
torque/power points) and below the line formed by connecting the two 
points in paragraphs (b)(2)(ii) and (iii) of this section (the 50% and 
70% torque/power points). The 30%, 50%, and 70% torque/power points are 
defined as follows:
    (i) 30% of maximum power at the B speed; however, use the power 
value corresponding to the engine operation at 30% of maximum torque at 
the B speed if this is greater than 30% of maximum power at the B speed.
    (ii) 50% of maximum power at 2400 rpm.
    (iii) 70% of maximum power a