[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2017 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 40

Protection of Environment


________________________

Parts 1000 to 1059

                         Revised as of July 1, 2017

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2017
                    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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[[Page iii]]




                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Table of CFR Titles and Chapters........................     735
      Alphabetical List of Agencies Appearing in the CFR......     755
      List of CFR Sections Affected...........................     765

[[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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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
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

    Provisions of the Code that are no longer in force and effect as of 
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[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    July 1, 2017.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-seven 
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-
60.499), part 60 (60.500-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 
72-79, part 80, part 81, parts 82-86, 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-
722, parts 723-789, parts 790-999, parts 1000-1059, and part 1060 to 
end. The contents of these volumes represent all current regulations 
codified under this title of the CFR as of July 1, 2017.

    Chapter I--Environmental Protection Agency appears in all thirty-
seven volumes. Regulations issued by the Council on Environmental 
Quality, including an Index to Parts 1500 through 1508, appear in the 
volume containing parts 1060 to end. The OMB control numbers for title 
40 appear in Sec.  9.1 of this chapter.

    For this volume, Gabrielle E. Burns was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                 (This book contains parts 1000 to 1059)

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

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

[[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
1000-1026       [Reserved]

1027            Fees for engine, vehicle, and equipment 
                    compliance programs.....................           5
1033            Control of emissions from locomotives.......          12
1036            Control of emissions from new and in-use 
                    heavy-duty highway engines..............          94
1037            Control of emissions from new heavy-duty 
                    motor vehicles..........................         154
1039            Control of emissions from new and in-use 
                    nonroad compression-ignition engines....         291
1042            Control of emissions from new and in-use 
                    marine compression-ignition engines and 
                    vessels.................................         376
1043            Control of NOX, SOX, 
                    and PM emissions from marine engines and 
                    vessels subject to the MARPOL protocol..         463
1045            Control of emissions from spark-ignition 
                    propulsion marine engines and vessels...         474
1048            Control of emissions from new, large nonroad 
                    spark-ignition engines..................         539
1051            Control of emissions from recreational 
                    engines and vehicles....................         597
1054            Control of emissions from new, small nonroad 
                    spark-ignition engines and equipment....         663

[[Page 5]]



                   SUBCHAPTER U_AIR POLLUTION CONTROLS



                       PARTS 1000	1026 [RESERVED]





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

[[Page 6]]

part for recreational vehicles. For some nonroad engines, we allow for 
certification related to evaporative emissions separate from exhaust 
emissions. In this case, 40 CFR part 1060 is the standard-setting part 
for the equipment or fuel system components you produce.

[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 in Sec. 1027.105(b)(3) through 2014 for 
certification related to evaporative emissions from nonroad and 
stationary engines

[[Page 7]]

when a separate fee applies for certification to evaporative emission 
standards. Use the following equation starting with 2015:
[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 in Sec. 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 in Sec. 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://

[[Page 8]]

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.
    (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 in Sec. 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 in Sec. 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 in Sec. 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

[[Page 9]]

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.
    (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 in Sec. 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 in Sec. 
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

[[Page 10]]

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 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 of

[[Page 11]]

Sec. 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 end of the model year. The 
total fees paid for a certificate may not exceed the applicable full fee 
specified in Sec. 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 of Sec. 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 under Sec. 
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.

[[Page 12]]

    (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 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 under Sec. 1027.130.
    (b) Retaining fee records, including reduced fee documentation, 
under Sec. 1027.120.
    (c) Requesting refunds under Sec. 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 in Sec. 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.

[[Page 13]]

1033.102 Transition to the standards specified in this subpart.
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.
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.

[[Page 14]]

          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.

Appendix I to Part 1033--Original Standards for Tier 0, Tier 1 and Tier 
          2 Locomotives

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

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



                  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 
in Sec. 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) in Sec. 
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 in Sec. 
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. See Sec. 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. See Sec. 
1033.102 to determine whether the standards of this part or the 
standards specified in Appendix I of this part 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.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74004, Oct. 25, 2016]

[[Page 15]]



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'' in Sec. 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'' 
in Sec. 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 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 in Sec. 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 in Sec. 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 that Sec. 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. See Sec. 1033.601 to determine how to

[[Page 16]]

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.

    Unless we specify otherwise, send all reports and requests for 
approval to the Designated Compliance Officer (see Sec. 1033.901). See 
Sec. 1033.925 for additional reporting and recordkeeping provisions.

[81 FR 74004, Oct. 25, 2016]



          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 to Sec. 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 in Sec. 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 to Sec. 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
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.

[[Page 17]]

 
\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 to Sec. 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.
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;

[[Page 18]]

    (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: Nonmethane-nonethane emissions 
(NMNEHC). This includes dual-fuel and flexible-fuel locomotives that use 
a combination of a gaseous fuel and a nongaseous fuel.
    (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. You may alternatively certify Tier 4 
and later locomotives using Low Sulfur Diesel Fuel (LSD).
    (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 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. See Sec. 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.
    (3) Manufacturers/remanufacturers of locomotives with non-
locomotive-specific engines (as defined in Sec. 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

[[Page 19]]

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 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 as follows:
    (1) The alternate PM standard for Tier 0, Tier 1, and Tier 2 
locomotives is one-half of the otherwise applicable PM standard. For 
example, a manufacturer certifying Tier 2 switch locomotives to a 0.065 
g/bhp-hr PM standard may certify those locomotives to the alternate CO 
standard of 10.0 g/bhp-hr.
    (2) The alternate PM standard for Tier 3 and Tier 4 locomotives is 
0.01 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 in Sec. 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 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; 81 FR 74004, Oct. 25, 2016]

[[Page 20]]



Sec. 1033.102  Transition to the standards specified in this subpart.

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

[81 FR 74004, Oct. 25, 2016]



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. See Sec. 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 
under Sec. 1033.815. Except as specified in Sec. 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 under Sec. 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 of Sec. 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 not meet your 
concentration specifications. Unless we approve other alerts, use a 
malfunction-indicator light (MIL) as specified in Sec. 1033.110 and an

[[Page 21]]

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 22]]

A defeat device is an auxiliary emission control device (AECD) that 
reduces the effectiveness of emission controls under conditions that the 
locomotive may reasonably be expected to encounter during normal 
operation and use.
    (1) This does not apply to AECDs you identify in your application 
for certification if any of the following is true:
    (i) The conditions of concern were substantially included in the 
applicable duty cycle test procedures described in subpart F of this 
part.
    (ii) You show your design is necessary to prevent locomotive damage 
or accidents.
    (iii) The reduced effectiveness applies only to starting the 
locomotive.
    (iv) The locomotive emissions when the AECD is functioning are at or 
below the notch caps of Sec. 1033.101.
    (2) This does not apply to AECDs related to hotel mode that conform 
to the specifications of this paragraph (f)(2). This provision is 
intended for AECDs that have the primary function of operating the 
engine at a different speed than would be done to generate the same 
propulsive power when not operating in hotel mode. Identify and describe 
these AECDs in your application for certification. We may allow the 
AECDs to modify engine calibrations where we determine that such 
modifications are environmentally beneficial or needed for proper engine 
function. You must obtain preliminary approval under Sec. 1033.210 
before incorporating such modifications. Otherwise, you must apply the 
same injection timing and intake air cooling strategies in hotel mode 
and non-hotel mode.
    (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) See Sec. 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 23]]

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 basic mechanical 
warranty you provide without charge for the locomotive. Similarly, the 
emission-related warranty for any component may not be shorter than any 
warranty you provide without charge for that component. This means that 
your warranty may not treat emission-related and nonemission-related 
defects differently for any 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; 81 FR 74004, Oct. 25, 2016]



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 
in Sec. 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 24]]

    (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 25]]

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 with Sec. 1033.101. For example, Tier 4 
locomotives with sulfur-sensitive technology (or that otherwise require 
ULSD for compliance) 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.''

[[Page 26]]

    (5) ``This locomotive conforms to U.S. EPA regulations applicable to 
Tier 3 switch locomotives.''
    (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; 81 
FR 74004, Oct. 25, 2016]



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. See Sec. 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 under Sec. 
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

[[Page 27]]

only if no remanufacture system has been certified to meet the standards 
of 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

[[Page 28]]

you submit your application). Calculate fuel costs based on a fuel price 
adjusted by the Association of American Railroads' monthly railroad fuel 
price index (P), which is available at https://www.aar.org/data-center/
rail-cost-indexes. (Use values indexed to a price of 100.0 for July 15, 
1990.) 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 of Sec. 1033.115(g) is deemed to 
be covered by a certificate of conformity with respect to the 
requirements of Sec. 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 under Sec. 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 to Sec. 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 75% of UL.............             1.3            0.01
------------------------------------------------------------------------


   Table 2 to Sec. 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 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 of Sec. 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 30]]

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; 81 FR 74004, Oct. 25, 2016]



                  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 31]]

standards). Anyone meeting the definition of manufacturer in Sec. 
1033.901 may apply for a certificate of conformity for freshly 
manufactured locomotives. Anyone meeting the definition of 
remanufacturer in Sec. 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 
for new production 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. No certificate will be issued after December 
31 of the model year. You may amend your application for certification 
after the end of the model year in certain circumstances as described in 
Sec. Sec. 1033.220 and 1033.225. You must renew your certification 
annually for any locomotives 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 (see Sec. 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) See Sec. 1033.255 for provisions describing how we will process 
your application.
    (g) We may require you to deliver your test locomotives (including 
test engines, as applicable) to a facility we designate for our testing 
(see Sec. 1033.235(c)). Alternatively, you may choose to deliver 
another engine/locomotive that is identical in all material respects to 
the test locomotive, or another engine/locomotive that we determine can 
appropriately serve as an emission-data locomotive for the engine 
family.
    (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 of Sec. 1033.115 or one that 
only covers the idle control requirements of Sec. 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.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74005, Oct. 25, 2016]



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 in Sec. 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 in Sec. 1033.230. 
For freshly manufactured locomotives, a description of the basic 
locomotive design. For remanufactured

[[Page 32]]

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 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 in Sec. 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 in Sec. 1033.235. Small manufacturers/
remanufacturers may omit reporting N2O and CH4.
    (9) The intended deterioration factors for the engine family, in 
accordance with Sec. 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 under Sec. 
1033.210.
    (10) The intended useful life period for the engine family, in 
accordance with Sec. 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 under Sec. 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

[[Page 33]]

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 by Sec. 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 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 of Sec. 1033.125. 
You must send the Designated Compliance Officer a request to amend your 
application for certification for an engine family if you want to change 
the emission-related maintenance instructions in a way that could affect 
emissions. In your request, describe the proposed changes to the 
maintenance instructions. If owners/operators follow the original 
maintenance instructions rather than the newly specified maintenance, 
this does not allow you to disqualify those locomotives from in-use 
testing or deny a warranty claim.
    (a) If you are decreasing or eliminating any of the specified 
maintenance, you may distribute the new maintenance instructions to your 
customers 30 days after we receive your request, unless we disapprove 
your request. This would generally include replacing one maintenance 
step with another. We may approve a shorter time or waive this 
requirement.
    (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]

[[Page 34]]



Sec. 1033.225  Amending applications for certification.

    Before we issue you a certificate of conformity, you may amend your 
application to include new or modified locomotive configurations, 
subject to the provisions of this section. After we have issued your 
certificate of conformity, you may send us an amended application 
requesting that we include new or modified locomotive configurations 
within the scope of the certificate, subject to the provisions of this 
section. You must also amend your application if any changes occur with 
respect to any information that is included or should be included in 
your application. For example, you must amend your application if you 
determine that your actual production variation for an adjustable 
parameter exceeds the tolerances specified in your application.
    (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 in Sec. 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.
    (4) Include any other information needed to make your application 
correct and complete.
    (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 (see Sec. 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

[[Page 35]]

changed FEL may not apply to locomotives you have already introduced 
into U.S. commerce, except as described in this paragraph (f). If we 
approve a changed FEL after the start of production, you must include 
the new FEL on the emission control information label for all 
locomotives produced after the change. You may ask us to approve a 
change to your FEL in the following cases:
    (1) You may ask to raise your FEL for your engine family at any 
time. In your request, you must show that you will still be able to meet 
the emission standards as specified in subparts B and H of this part. If 
you amend your application by submitting new test data to include a 
newly added or modified locomotive, as described in paragraph (b)(3) of 
this section, use the appropriate FELs with corresponding production 
volumes to calculate emission credits for the model year, as described 
in subpart H of this part. In all other circumstances, you must use the 
higher FEL for the entire family to calculate emission credits under 
subpart H of this part.
    (2) You may ask to lower the FEL for your emission family only if 
you have test data from production locomotives showing that emissions 
are below the proposed lower FEL. The lower FEL applies only to engines 
or fuel-system components you produce after we approve the new FEL. Use 
the appropriate FELs with corresponding production volumes to calculate 
emission credits for the model year, as described in subpart H of this 
part.
    (g) You may produce engines as described in your amended application 
for certification and consider those engines to be in a certified 
configuration if we approve a new or modified engine configuration 
during the model year under paragraph (d) of this section. Similarly, 
you may modify in-use engines as described in your amended application 
for certification and consider those engines to be in a certified 
configuration if we approve a new or modified engine configuration at 
any time under paragraph (d) of this section. Modifying a new or in-use 
engine to be in a certified configuration does not violate the tampering 
prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve 
changing to a certified configuration with a higher family emission 
limit.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22983, Apr. 30, 2010; 
81 FR 74005, Oct. 25, 2016]



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.

[[Page 36]]

    (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.
    (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 in Sec. 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 in Sec. 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.

[[Page 37]]

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. In the case of dual-fuel 
locomotives, measure emissions when operating with each type of fuel for 
which you intend to certify the locomotive. In the case of flexible-fuel 
locomotives, measure emissions when operating with the fuel mixture that 
best represents in-use operation or is most likely to have the highest 
NOX emissions, though you may ask us instead to perform tests 
with both fuels separately if you can show that intermediate mixtures 
are not likely to occur in use.
    (c) We may perform confirmatory testing by measuring 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 for a parameter that 
is subject to production variability because it is adjustable during 
production, but is not considered an adjustable parameter (as defined in 
Sec. 1033.901) because it is permanently sealed.
    (d) You may ask to use carryover emission data from a previous model 
year instead of doing new tests 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, items identified 
in Sec. 1033.225(a), or other factors not related to emissions. We may 
waive this criterion for differences we determine not to be relevant.
    (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.

[[Page 38]]

    (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; 81 FR 74005, Oct. 25, 2016]



Sec. 1033.240  Demonstrating compliance with exhaust emission standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the applicable numerical emission standards in Sec. 
1033.101 if all emission-data locomotives representing that family have 
test results showing official emission results and deteriorated emission 
levels at or below these standards.
    (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 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 in Sec. 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 in Sec. 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 
whether your locomotives will meet emission standards for each pollutant 
throughout the useful life, as described in Sec. 1033.240. Determine 
deterioration factors as described in this section, either with an 
engineering analysis, with pre-

[[Page 39]]

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 in Sec. 
1033.125. If you perform durability testing, the maintenance that you 
may perform on your emission-data locomotive is limited to the 
maintenance described in Sec. 1033.125. You may carry across a 
deterioration factor from one engine family to another consistent with 
good engineering judgment.
    (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) Apply deterioration factors as follows:
    (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. 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.
    (3) Sawtooth and other nonlinear deterioration patterns. The 
deterioration factors described in paragraphs (b)(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 (b)(3) apply where good engineering judgment indicates 
that the highest emissions over the useful life 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. Base 
deterioration factors for locomotives 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.
    (4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel 
and flexible-fuel locomotives, apply deterioration factors separately 
for each fuel type by measuring emissions with each fuel type at each 
test point. You may accumulate service hours on a single emission-data 
engine using the type of fuel or the fuel mixture expected to have the 
highest combustion and exhaust temperatures; you may ask us to approve a 
different fuel mixture if you demonstrate that a different criterion is 
more appropriate.

[[Page 40]]

    (5) 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.
    (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.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74005, Oct. 25, 2016]



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 in Sec. 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 (valid and invalid), including the date 
and purpose of each test and documentation of test parameters 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.

[[Page 41]]

    (5) Production figures for each engine family divided by assembly 
plant.
    (6) Keep a list of locomotive identification numbers for all the 
locomotives you produce under each certificate of conformity.
    (c) Keep required data from emission tests and all other information 
specified in this section for eight years after we issue your 
certificate. If you use the same emission data or other information for 
a later model year, the eight-year period restarts with each year that 
you continue to rely on the information.
    (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.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]



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). 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 (see 40 CFR 
1068.20). 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 the certificate of conformity for an engine 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 (see Sec. 1033.920).

[73 FR 37197, June 30, 2008, as amended at 75 FR 22984, Apr. 30, 2010; 
81 FR 74006, Oct. 25, 2016]



 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

[[Page 42]]

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 of Sec. 1033.335 apply only to 
remanufacturers.
    (c) As specified in Sec. 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.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74006, Oct. 25, 2016]



Sec. 1033.305  General requirements.

    (a) Manufacturers (and remanufacturers, where applicable) are 
required to test production line locomotives using the test procedures 
specified in Sec. 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 of Sec. 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 in Sec. 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

[[Page 43]]

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.
    (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 under Sec. 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 in Sec. 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.

[[Page 44]]



Sec. 1033.320  Calculation and reporting of test results.

    (a) Calculate initial test results using the applicable test 
procedure specified in Sec. 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 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.
    (5) For each failed locomotive as defined in Sec. 1033.330(a), a 
description of the remedy and test results for all retests as required 
by Sec. 1033.340(g).
    (6) 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

[[Page 45]]

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 81 FR 74006, Oct. 25, 2016]



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:
    (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.

[[Page 46]]



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 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 by Sec. 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]

[[Page 47]]



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 to Sec. 
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 to Sec. 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 in noncompliance pursuant to Sec. 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 to Sec. 
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

[[Page 48]]

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 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. 
(See Sec. 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 with Sec. 
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 in Sec. 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

[[Page 49]]

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 in Sec. 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 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.

[[Page 50]]

    (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 in Sec. 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 in Sec. 1033.110 and the MIL is 
illuminated, you may read the code and repair the malfunction according 
to your emission-related maintenance instructions, but only to the 
degree that an owner/operator would be required to repair the 
malfunction under Sec. 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 in Sec. 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 in Sec. 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 in Sec. 1033.235. The general test 
procedure is the procedure specified in 40 CFR part 1065 for steady-
state discrete-mode

[[Page 51]]

cycles. However, if you use the optional ramped modal cycle in Sec. 
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 following provisions apply for engine mapping, duty-cycle 
generation, and cycle validation to account for the fact that locomotive 
operation and locomotive duty cycles are based on operator demand from 
locomotive notch settings, not on target values for engine speed and 
load:
    (i) The provisions related to engine mapping, duty-cycle generation, 
and cycle validation in 40 CFR 1065.510, 1065.512, and 1065.514 do not 
apply for testing complete locomotives.
    (ii) The provisions related to engine mapping and duty-cycle 
generation in 40 CFR 1065.510 and 1065.512 are not required for testing 
with an engine dynamometer; however, the cycle validation criteria of 40 
CFR 1065.514 apply for such testing. Demonstrate compliance with cycle 
validation criteria based on manufacturer-declared values for maximum 
torque, maximum power, and maximum test speed, or determine these values 
from an engine map generated according to 40 CFR 1065.510. If you test 
using a ramped-modal cycle, you may perform cycle validation over all 
the test intervals together.
    (4) If you perform discrete-mode testing and use only one batch fuel 
measurement to determine your mean raw exhaust flow rate, you must 
target a constant sample flow rate over the mode. Verify proportional 
sampling as described in 40 CFR 1065.545 using the mean raw exhaust 
molar flow rate paired with each recorded sample flow rate.
    (5) If you perform discrete-mode testing by grouping the modes in 
the same manner as the test intervals of the ramped modal cycle using 
three different dilution settings for the groups, as allowed in Sec. 
1033.515(c)(5)(ii), you may verify proportional sampling over each group 
instead of each discrete mode.
    (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 in Sec. 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 in Sec. 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,

[[Page 52]]

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) See Sec. 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 of Sec. 1033.101 and the defeat 
device prohibition of Sec. 1033.115.
    (j) The following provisions apply for locomotives using 
aftertreatment technology with infrequent regeneration events that may 
occur during testing:
    (1) Adjust measured emissions to account for aftertreatment 
technology with infrequent regeneration as described in Sec. 1033.535.
    (2) Invalidate a smoke test if active regeneration starts to occur 
during the test.

[73 FR 37197, June 30, 2008, as amended at 74 FR 56508, Oct. 30, 2008; 
75 FR 22984, Apr. 30, 2010; 81 FR 74006, Oct. 25, 2016]



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 of Sec. 1068.101. 
Manufacturers/remanufacturers may ask to perform testing at conditions 
other than those 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

[[Page 53]]

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 in Sec. 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 in Sec. 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 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

[[Page 54]]

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 
8. 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 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. You may perform smoke measurements independent of criteria pollutant 
measurements by repeating the test over the duty cycle. If you choose 
this option, the minimum time-in-notch is 3.0 minutes for duty cycles in 
which only smoke is measured. Refer to Sec. 1033.101 to determine 
applicability of smoke testing and Sec. 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 test intervals 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 Notch 6 through Notch 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.

[[Page 55]]

    (8) Following the completion of Mode 8, conduct the post sampling 
procedures in Sec. 1065.530. Note that cycle validation criteria do not 
apply to testing of complete locomotives.

                                Table 1 to Sec. 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 measure PM emissions as 
specified in paragraph (d)(2)(ii) of this section.
    (ii) You may use a single PM filter for sampling PM over all of the 
test modes of the locomotive test cycle as specified in this paragraph 
(d)(2). Vary the sample time to be proportional to the applicable line-
haul or switch weighting factors specified in Sec. 1033.530 for each 
mode. The minimum sampling time for each mode is 400 seconds multiplied 
by the weighting factor. For example, for a mode with a weighting factor 
of 0.030, the minimum sampling time is 12.0 seconds. PM sampling in each 
mode must be proportional to engine exhaust flow as specified in 40 CFR 
part 1065. Begin proportional sampling of PM emissions at the beginning 
of each test mode as is specified in paragraph (c) of this section. End 
the sampling period for each test mode so that sampling times are 
proportional to the weighting factors for the applicable duty cycles. If 
necessary, you may extend the time limit for each of the test modes 
beyond the sampling times in Table 1 to this section to increase the 
sampled mass of PM emissions or to account for proper weighting of the 
PM emission sample over the entire cycle, using good engineering 
judgment.
    (e) This paragraph (e) describes how to test locomotive engines when 
not installed in a locomotive. Note that the test procedures for 
dynamometer engine testing of locomotive engines are intended to produce 
emission measurements that are the same as emission measurements 
produced during testing

[[Page 56]]

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; 81 FR 74006, Oct. 
25, 2016]



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 intervals 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 test interval). You may collect 
a single batch sample for each test interval, but you must also measure 
gaseous emissions continuously to allow calculation of notch caps as 
required under Sec. 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 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 interval begins when operator demand is set to the 
first operator demand setting of each test interval of the ramped modal 
cycle. Each test interval ends when the time in mode is reached for the 
last mode in the test interval.
    (2) For PM emissions (and other batch sampling), the sample period 
over which emissions for the test interval are averaged generally begins 
within 10 seconds after the operator demand is changed to start the test 
interval 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 test 
intervals.
    (i) You should come as close as possible to simultaneously:
    (A) Ending batch sampling of the previous test interval.
    (B) Starting batch sampling of the next test interval.

[[Page 57]]

    (C) Changing the operator demand to the notch setting for the first 
mode in the next test interval.
    (ii) Avoid the following:
    (A) Overlapping batch sampling of the two test intervals.
    (B) An unnecessarily long delay before starting the next test 
interval.
    (iii) For example, the following sequence would generally be 
appropriate:
    (A) End batch sampling for Interval 2 after 304 seconds in Notch 5.
    (B) Switch the operator demand to Notch 6 one second later.
    (C) Begin batch sampling for Interval 3 one second after switching 
to Notch 6.
    (4) If applicable, begin the smoke test at the start of the first 
test interval of the applicable ramped modal cycle. Continue collecting 
smoke data until the completion of final test interval. You may perform 
smoke measurements independent of criteria pollutant measurements by 
rerunning the test over the duty cycle. If you choose this option, the 
minimum time-in-notch is 3.0 minutes for duty cycles in which only smoke 
is measured. Refer to Sec. 1033.101 to determine applicability of the 
smoke standards and Sec. 1033.525 for details on how to conduct a smoke 
test.
    (5) Proceed through each test interval of the applicable ramped 
modal cycle in the order specified until the test is completed.
    (6) If you must void a test interval, you may repeat it. To do so, 
begin with a warm engine operating at the notch setting for the last 
mode in the previous test interval. You do not need to repeat later test 
intervals if they were valid. (Note: You must report test results for 
all voided tests and test intervals.)
    (7) Following the completion of the third test interval of the 
applicable ramped modal cycle, conduct the post-test sampling procedures 
specified in 40 CFR 1065.530.
    (f) Calculate your cycle-weighted brake-specific emission rates as 
follows:
    (1) For each test interval j:
    (i) Calculate emission rates (Eij) for each pollutant i 
as the total mass emissions divided by the total time in the test 
interval.
    (ii) Calculate average power (Pj) as the total work 
divided by the total time in the test interval.
    (2) For each pollutant, calculate your cycle-weighted brake-specific 
emission rate using the following equation, where wj is the 
weighting factor for test interval j:
[GRAPHIC] [TIFF OMITTED] TR25OC16.047

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

                       Table 1 to Sec. 1033.520--Line-Haul Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                  Weighting                     Time in mode
      RMC test interval            factor         RMC mode        (seconds)              Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle................              NA              NA      600 to 900  Lowest idle setting.\1\
Interval 1 (Idle test).......           0.380               A             600  Low Idle.\2\
                                                            B             600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 2...................           0.389               C            1000  Dynamic Brake.\3\
                                                            1             520  Notch 1.
                                                            2             520  Notch 2.
                                                            3             416  Notch 3.
                                                            4             352  Notch 4.
                                                            5             304  Notch 5.
----------------------------------------------------------------------------------------------------------------

[[Page 58]]

 
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 3...................           0.231               6             144  Notch 6.
                                                            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 to Sec. 1033.520--Switch Locomotive Ramped Modal Cycle
----------------------------------------------------------------------------------------------------------------
                                  Weighting                     Time in mode
      RMC test interval            factor         RMC mode        (seconds)              Notch setting
----------------------------------------------------------------------------------------------------------------
Pre-test idle................              NA              NA      600 to 900  Lowest idle setting.\1\
Interval 1 (Idle test).......           0.598               A             600  Low Idle.\2\
                                                            B             600  Normal Idle.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 2...................           0.377               1             868  Notch 1.
                                                            2             861  Notch 2.
                                                            3             406  Notch 3.
                                                            4             252  Notch 4.
                                                            5             252  Notch 5.
----------------------------------------------------------------------------------------------------------------
                                               Interval Transition
----------------------------------------------------------------------------------------------------------------
Interval 3...................           0.025               6            1080  Notch 6.
                                                            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.


[81 FR 74007, Oct. 25, 2016]



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:
    (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.

[[Page 59]]

    (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 to Sec. 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
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.


[[Page 60]]


Table 2 to Sec. 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. This paragraph (c) 
does not allow engines to be tested without consideration of the actual 
notches that will be used.

 Table 3 to Sec. 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 of Sec. 
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

[[Page 61]]

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 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.

[[Page 62]]

    (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.
    (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

[[Page 63]]

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.

    For locomotives using aftertreatment technology with infrequent 
regeneration events that may occur during testing, take one of the 
following approaches to account for the emission impact of regeneration:
    (a) You may use the calculation methodology described in 40 CFR 
1065.680 to adjust measured emission results. Do this by developing an 
upward adjustment factor and a downward adjustment factor for each 
pollutant based on measured emission data and observed regeneration 
frequency as follows:
    (1) Adjustment factors should generally apply to an entire engine 
family, but you may develop separate adjustment factors for different 
configurations within an engine family. Use the adjustment factors from 
this section for all testing for the engine family.
    (2) You may use carryover or carry-across data to establish 
adjustment factors for an engine family as described in Sec. 1033.235, 
consistent with good engineering judgment.
    (3) Determine the frequency of regeneration, F, as described in 40 
CFR 1065.680 from in-use operating data or from running repetitive tests 
in a laboratory. If the engine is designed for regeneration at fixed 
time intervals, you may apply good engineering judgment to determine F 
based on those design parameters.
    (4) Identify the value of F in each application for the 
certification for which it applies.
    (5) Apply the provisions for ramped-modal testing based on 
measurements for each test interval rather than the whole ramped-modal 
test.
    (b) You may ask us to approve an alternate methodology to account 
for regeneration events. We will generally limit approval to cases where 
your engines use aftertreatment technology with extremely infrequent 
regeneration and you are unable to apply the provisions of this section.
    (c) You may choose to make no adjustments to measured emission 
results 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 choose not to 
make adjustments under paragraph (a) or (b) of this section, your 
locomotives must meet emission standards for all testing, without regard 
to regeneration.

[81 FR 74008, Oct. 25, 2016]



                 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.)

[[Page 64]]

    (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. See Sec. 1033.620 for provisions related to hardship 
relief.
    (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 in Sec. 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.
    (f) Multi-fuel locomotives. Subpart C of this part describes how to 
test and certify dual-fuel and flexible-fuel locomotives. Some multi-
fuel locomotives may not fit either of those defined terms. For such 
locomotives, we will determine whether it is most appropriate to treat 
them as single-fuel locomotives, dual-fuel locomotives, or flexible-fuel 
locomotives based on the range of possible and expected fuel mixtures. 
For example, a locomotive might burn natural gas but initiate combustion 
with a pilot injection of diesel fuel. If the locomotive is designed to 
operate with a single fueling algorithm (i.e., fueling rates are fixed 
at a given engine speed and load condition), we would generally treat it 
as a single-fuel locomotive, In this context, the combination of diesel 
fuel and natural gas would be its own fuel type. If the locomotive is 
designed to also operate on diesel fuel alone, we would generally treat 
it as a dual-fuel locomotive. If the locomotive is designed to operate 
on varying mixtures of the two fuels, we would generally treat it as a 
flexible-fuel locomotive. To the extent that requirements vary for the 
different fuels or fuel mixtures, we may apply the more stringent 
requirements.

[73 FR 37197, June 30, 2008, as amended at 73 FR 59190, Oct. 8, 2008; 75 
FR 22986, Apr. 30, 2010; 81 FR 74009, Oct. 25, 2016]



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'' in Sec. 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 in Sec. 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'' in Sec. 1033.901 do not become 
``new'' when remanufactured, unless they were previously certified to 
EPA emission

[[Page 65]]

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 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'' in Sec. 1033.901 may ask that their remanufactured 
locomotives be excluded from the definition of ``new'' in Sec. 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 
of Sec. 1033.135.

[[Page 66]]



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 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 in Sec. 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 by Sec. 1033.235 if all of the following 
are true:

[[Page 67]]

    (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 of Sec. 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 in Sec. 1033.205, with the following 
exceptions:
    (1) Include the following instead of the locomotive test data 
otherwise required by Sec. 1033.205:
    (i) A description of the engines to be used, including the name of 
the engine manufacturer and engine family identifier for the engines.
    (ii) A brief engineering analysis describing how the engine's 
emission controls will function when installed in the locomotive 
throughout the locomotive's useful life.
    (iii) The emission data submitted under 40 CFR part 1039 (or part 
89).
    (2) You may separately submit some of the information required by 
Sec. 1033.205, consistent with the provisions of Sec. 1033.1(d). For 
example, this may be an appropriate way to submit detailed information 
about proprietary engine software. Note that this allowance to 
separately submit some of the information required by Sec. 1033.205 is 
also available for applications not submitted under this section.
    (c) Locomotives certified under this section are subject to all the 
requirements of this part except as specified in paragraph (b) of this 
section. The engines used in such locomotives are not considered to be 
included in the otherwise applicable engines family of 40 CFR part 1039 
(or part 89).
    (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

[[Page 68]]

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 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 that Sec. 
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

[[Page 69]]

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.
    (d) 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.
    (e) 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 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.)
    (f) 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]

[[Page 70]]

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; 81 FR 74009, Oct. 25, 2016]



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:
    (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 in Sec. 1033.1.
    (d) In-use testing. Locomotives containing your components must be 
tested according to the provisions of this paragraph (d).

[[Page 71]]

    (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.
    (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 
under Sec. 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

[[Page 72]]

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 family may be exported without restriction. Note that 
Sec. 1033.705 requires that exported locomotives be excluded from 
emission credit calculations in certain circumstances.
    (d) Locomotives certified to FELs above the standards. The 
provisions of this paragraph (d) apply for locomotive configurations 
included in engine families certified to one or more FELs above any 
otherwise applicable standard. Individual locomotives that will be 
exported may be excluded from an engine family if they are unlabeled. 
For locomotives that were labeled during production, you may remove the 
emission control information labels prior to export. All unlabeled 
locomotives that will be exported are subject to the provisions of 
paragraph (a) of this section. Locomotives that are of a configuration 
included in an engine family certified to one of more FELs above any 
otherwise applicable standard that include an EPA emission control 
information label when exported are considered to be part of the engine 
family and must be included in credit calculations under Sec. 1033.705. 
Note that this requirement does not apply for locomotives that do not 
have an EPA emission control information label, even if they have other 
labels (such as an export-only label).

[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 to Sec. 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

[[Page 73]]

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 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 under Sec. 1033.225. The 
new FEL may

[[Page 74]]

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 by Sec. 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 in Sec. 1033.135. This label must include 
the notification specified in paragraph (i) of this section.
    (k) You may use either of the following approaches to retire or 
forego emission credits:
    (1) You may retire emission credits generated from any number of 
your locomotives. This may be considered donating emission credits to 
the environment. Identify any such credits in the reports described in 
Sec. 1033.730. Locomotives 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.
    (2) You may certify a family using an FEL below the emission 
standard as described in this part and choose not to generate emission 
credits for that family. If you do this, you do not need to calculate 
emission credits for those families and you do not need to submit or 
keep the associated records described in this subpart for that family.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74009, Oct. 25, 2016]



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

[[Page 75]]

          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 to Sec. 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
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 to Sec. 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

[[Page 76]]

 
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 in Sec. 
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 under Sec. 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 by Sec. 
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 in Sec. 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 from previous model years, or from emission credits 
generated in the same or previous model years that you obtained through 
trading or by transfer.

[73 FR 37197, June 30, 2008, as amended at 81 FR 74009, Oct. 25, 2016]



Sec. 1033.715  Banking emission credits.

    (a) Banking is the retention of emission credits by the 
manufacturer/remanufacturer generating the emission credits (or owner/
operator, in the case of transferred credits) for use in future model 
years for averaging, trading, or transferring. You may use banked 
emission credits only as allowed by Sec. 1033.740.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 1033.730 as reserved credits. During the 
model year and before the due date for the final report, you may 
designate your reserved emission credits for averaging, trading, or 
transferring.
    (c) Reserved credits become actual emission credits when you submit 
your final report. However, we may revoke these emission credits if we 
are unable to verify them after reviewing your reports or auditing your 
records.

[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 by Sec. 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.

[[Page 77]]

    (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. See Sec. 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. See Sec. 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 in Sec. 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 negative 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.

[73 FR 37197, June 30, 2008, as amended at 75 FR 22987, Apr. 30, 2010; 
81 FR 74009, Oct. 25, 2016]



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 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 and averaging sets (whether switch, 
line-haul, or both).
    (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 U.S.-directed production volumes for 
the model year as described in Sec. 1033.705. If you changed an FEL 
during the model year, identify the actual U.S.-directed 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

[[Page 78]]

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. 
If you choose to retire emission credits that would otherwise be 
eligible for banking, identify the engine families that generated the 
emission credits, including the number of emission credits from each 
family.
    (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 averaging set corresponding to the engine families that 
generated emission credits for the trade, including the number of 
emission credits from each averaging set.
    (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 for each averaging set.
    (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 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; 
81 FR 74009, Oct. 25, 2016]



Sec. 1033.735  Required records.

    (a) You must organize and maintain your records as described in this 
section.
    (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.

[[Page 79]]

    (c) Keep a copy of the reports we require in Sec. 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; 
81 FR 74009, Oct. 25, 2016]



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 in Sec. 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 in Sec. 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 using locomotive 
as specified in Sec. 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

[[Page 80]]

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 (see Sec. 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 in Sec. 
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 in Sec. 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'' in Sec. 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'' in Sec. 1033.901 to determine if 
remanufacturing your locomotive makes it subject to the requirements of 
this part. If 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:

[[Page 81]]

    (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 by Sec. 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 under Sec. 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; see Sec. 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 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

[[Page 82]]

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 under Sec. 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]



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 with Sec. 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 or 184-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

[[Page 83]]

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. For locomotives certified on ultra-low sulfur diesel fuel, but 
that do not include sulfur-sensitive emission controls, you may use low-
sulfur diesel fuel instead of ultra-low sulfur diesel fuel, consistent 
with good engineering judgment. 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).

[73 FR 37197, June 30, 2008, as amended at 81 FR 74010, Oct. 25, 2016]



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 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

[[Page 84]]

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.
    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 in Sec. 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.

[[Page 85]]

    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 under Sec. 1033.625. All other requirements of this 
part apply for such locomotives.
    Designated Compliance Officer means the Director, Diesel Engine 
Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood 
Drive, Ann Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.
    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 in Sec. 1033.515.
    Dual-fuel means relating to a locomotive designed for operation on 
two different fuels but not on a continuous mixture of those fuels (see 
Sec. 1033.601(f)). For purposes of this part, such a locomotive remains 
a dual-fuel locomotive even if it is designed for operation on three or 
more different fuels.
    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 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 in Sec. 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).

[[Page 86]]

    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 section Sec. 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.
    Flexible-fuel means relating to a locomotive designed for operation 
on any mixture of two or more different fuels (see Sec. 1033.601(f)).
    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 in Sec. 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.
    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.

[[Page 87]]

    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 
in Sec. 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 (under Sec. 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 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

[[Page 88]]

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 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 under Sec. 1033.150(e) do 
not become new when remanufactured, except as specified in Sec. 
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.

[[Page 89]]

    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 in Sec. 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 in Sec. 1033.640. Where a 
locomotive is manufactured under Sec. 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.
    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 in Sec. 1033.140.
    Refurbish has the meaning given in Sec. 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,

[[Page 90]]

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.
    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. See Sec. 
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.
    (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

[[Page 91]]

emission control performance or emission-system durability when a 
locomotive is operated on low-sulfur diesel fuel with a sulfur 
concentration of 300 to 500 ppm as compared to when it is operated on 
ultra low-sulfur diesel 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 in Sec. 1033.101.
    Tier 1 or Tier 1 +  means relating to the Tier 1 emission standards, 
as shown in Sec. 1033.101.
    Tier 2 or Tier 2 +  means relating to the Tier 2 emission standards, 
as shown in Sec. 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 hydrocarbon, 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 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 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. See Sec. 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. See Sec. 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.

[[Page 92]]

    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; 81 FR 74010, Oct. 25, 2016]



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 (see Sec. 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.

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

[81 FR 74010, Oct. 25, 2016]



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.

    (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 are expected to keep your 
own copy of required records rather than relying on someone else to keep 
records on your behalf. 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 in Sec. 1033.255, 40 CFR 1068.25, and 40 CFR 
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 (see Sec. 1033.801).
    (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.

[[Page 93]]

    (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. Failing to properly report 
information and keep the records we specify violates 40 CFR 
1068.101(a)(2), which may involve civil or criminal penalties. The 
following items illustrate the kind of reporting and recordkeeping we 
require for locomotives regulated under this part:
    (1) We specify the following requirements related to locomotive 
certification in this part 1033:
    (i) In Sec. 1033.150 we include various reporting and recordkeeping 
requirements related to interim provisions.
    (ii) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (iii) In Sec. 1033.325 we specify certain records related to 
production-line testing.
    (iv) 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.
    (v) In Sec. Sec. 1033.725, 1033.730, and 1033.735 we specify 
certain records related to averaging, banking, and trading.
    (vi) In subpart I of this part we specify certain records related to 
meeting requirements for remanufactured engines.
    (2) We specify the following requirements related to testing in 40 
CFR part 1065:
    (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 the specific information and 
data items to record when measuring emissions.
    (3) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (i) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (ii) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information.
    (iii) In 40 CFR 1068.27 we require manufacturers to make locomotives 
available for our testing or inspection if we make such a request.
    (iv) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (v) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing locomotives and engines.
    (vi) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line locomotives in a selective 
enforcement audit.
    (vii) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (viii) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming locomotives.
    (ix) In 40 CFR part 1068, subpart G, we specify certain records for 
requesting a hearing.

[81 FR 74010, Oct. 25, 2016]



Sec. Appendix I to Part 1033--Original Standards for Tier 0, Tier 1 and 
                           Tier 2 Locomotives

    (a) The following emission standards applied for new locomotives not 
yet subject to this part 1033:

----------------------------------------------------------------------------------------------------------------
                                                                               Standards (g/bhp-hr)
                                  Year of                        -----------------------------------------------
      Type of standard           original            Tier                                          PM-alternate
                                manufacture                             NOX         PM-primary          \1\
----------------------------------------------------------------------------------------------------------------
Line-haul...................       1973-1992  Tier 0............             9.5            0.60            0.30
                                   1993-2004  Tier 1............             7.4            0.45            0.22
                                   2005-2011  Tier 2............             5.5            0.20            0.10
----------------------------------------------------------------------------------------------------------------
Switch......................       1973-1992  Tier 0............            14.0            0.72            0.36
                                   1993-2004  Tier 1............            11.0            0.54            0.27

[[Page 94]]

 
                                   2005-2011  Tier 2............             8.1            0.24            0.12
----------------------------------------------------------------------------------------------------------------
\1\ Locomotives certified to the alternate PM standards are also subject to alternate CO standards of 10.0 for
  the line-haul cycle and 12.0 for the switch cycle.

    (b) The original Tier 0, Tier 1, and Tier 2 standards for HC and CO 
emissions and smoke are the same standards identified in Sec. 1033.101.

[81 FR 74011, Oct. 25, 2016]




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 and engine cycle.
1036.150 Interim provisions.

                  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 emission 
          standards.
1036.250 Reporting and recordkeeping for certification.
1036.255 What decisions may EPA make regarding my certificate of 
          conformity?

                  Subpart D_Testing Production Engines

1036.301 Measurements related to GEM inputs in a selective enforcement 
          audit.

                        Subpart E_In-use Testing

1036.401 In-use testing.

                        Subpart F_Test Procedures

1036.501 How do I run a valid emission test?
1036.505 Ramped-modal testing procedures.
1036.510 Engine data and information for vehicle certification.
1036.525 Hybrid engines.
1036.530 Calculating greenhouse gas emission rates.
1036.535 Determining steady-state engine fuel maps and fuel consumption 
          at idle.
1036.540 Determining cycle-average engine fuel maps.

                 Subpart G_Special Compliance Provisions

1036.601 What compliance provisions apply?
1036.605 GHG exemption for engines used in specialty vehicles.
1036.610 Off-cycle 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).
1036.630 Certification of engine GHG emissions for powertrain testing.

       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?

[[Page 95]]

1036.755 Information provided to the Department of Transportation.

          Subpart I_Definitions and Other Reference Information

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

Appendix I to Part 1036--Default Engine Fuel Maps for Sec. 1036.540

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

    Source: 81 FR 74011, Oct. 25, 2016, unless otherwise noted.



Sec. 1036.1  Does this part apply for my engines?

    (a) Except as specified in Sec. 1036.5, the provisions of this part 
apply for engines that will be installed in heavy-duty vehicles 
(including glider vehicles) above 14,000 pounds GVWR for propulsion. 
These provisions also apply for engines that will be installed in 
incomplete heavy-duty vehicles at or below 14,000 pounds GVWR unless the 
engine is installed in a vehicle that is covered by a certificate of 
conformity under 40 CFR part 86, subpart S.
    (b) This part does not apply with respect to exhaust emission 
standards for HC, CO, NOX, or PM except as follows:
    (1) The provisions of Sec. 1036.601 apply.
    (2) 40 CFR parts 85 and/or 86 may specify that certain provisions 
apply.
    (c) The provisions of this part also apply for fuel conversions of 
all engines described in paragraph (a) of this section as described in 
40 CFR 85.502.
    (d) Gas turbine heavy-duty engines and other heavy-duty engines not 
meeting the definition compression-ignition or spark-ignition are deemed 
to be compression-ignition engines for purposes of this part.



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(s). The term 
``you'' generally means the engine manufacturer(s), especially for 
issues related to certification. Additional requirements and 
prohibitions apply to other persons as specified in subpart G of this 
part and 40 CFR part 1068.



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 or other heavy-duty vehicles that are 
subject to regulation under 40 CFR part 86, subpart S, except as 
specified in 40 CFR part 86, subpart S, and Sec. 1036.150(j). For 
example, this exclusion applies for engines used in vehicles certified 
to the standards of 40 CFR 86.1819.
    (b) An engine installed in a heavy-duty vehicle that is not used to 
propel the vehicle is not a heavy-duty engine. The provisions of this 
part therefore do not apply to these engines. Note that engines used to 
indirectly propel the vehicle (such as electrical generator engines that 
provide power to batteries for propulsion) are subject to this part. 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, 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. Note that gas turbine engines are internal 
combustion engines.
    (e) The provisions of this part do not apply for model year 2013 and 
earlier heavy-duty engines unless they were:
    (1) Voluntarily certified to this part.
    (2) Installed in a glider vehicle subject to 40 CFR part 1037.



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.

[[Page 96]]

    (b) Subpart B of this part describes the emission standards and 
other requirements that must be met to certify engines under this part. 
Note that Sec. 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) Subpart D of this part addresses testing of production engines.
    (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 in Sec. 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 provisions that apply 
broadly, but do not necessarily apply for all engines or all persons. 
See Sec. 1036.601 to determine how to apply the part 1068 regulations 
for heavy-duty engines. 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.

    Unless we specify otherwise, send all reports and requests for 
approval to the Designated Compliance Officer (see Sec. 1036.801). See 
Sec. 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 gases described in 40 CFR 86.1819 are not 
subject to the standards specified in this part. All other engines 
subject to this part must meet the greenhouse gas standards in Sec. 
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

[[Page 97]]

gases: Carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, 
perfluorocarbons, and sulfur hexafluoride. This section describes the 
applicable CO2, N2O, and CH4 standards 
for engines. 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 86.1819.
    (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 in this paragraph (a)(1) apply 
based on testing as specified in subpart F of this part. 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 ramped-modal cycle, or 
RMC, even though emission sampling involves measurements from discrete 
modes). This is intended for engines designed to be used primarily in 
tractors and other line-haul applications. Note that the use of some 
RMC-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 engines meeting spark-ignition 
standards), measure CO2 emissions using the appropriate 
transient duty cycle specified in 40 CFR part 86, subpart N.
    (i) The CO2 standard is 627 g/hp-hr for all spark-
ignition engines for model years 2016 through 2020. This standard 
continues to apply in later model years for all spark-ignition engines 
that are not heavy heavy-duty engines.
    (ii) The following CO2 standards apply for compression-
ignition engines (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                   Medium heavy-   Heavy heavy-
           Model years             Light heavy-       duty--          duty--       Medium heavy-   Heavy heavy-
                                       duty         vocational      vocational    duty-- tractor  duty-- tractor
----------------------------------------------------------------------------------------------------------------
2014-2016.......................             600             600             567             502             475
2017-2020.......................             576             576             555             487             460
----------------------------------------------------------------------------------------------------------------

    (iii) The following CO2 standards apply for compression-
ignition engines and all heavy heavy-duty engines (in g/hp-hr):

----------------------------------------------------------------------------------------------------------------
                                                   Medium heavy-   Heavy heavy-
           Model years             Light heavy-       duty--          duty--       Medium heavy-   Heavy heavy-
                                       duty         vocational      vocational    duty-- tractor  duty-- tractor
----------------------------------------------------------------------------------------------------------------
2021-2023.......................             563             545             513             473             447
2024-2026.......................             555             538             506             461             436
2027 and later..................             552             535             503             457             432
----------------------------------------------------------------------------------------------------------------

    (iv) You may certify spark-ignition engines to the compression-
ignition standards for the appropriate model year under this paragraph 
(a). If you do this, those engines are treated as compression-ignition 
engines for all the provisions of this part.
    (2) The CH4 emission standard is 0.10 g/hp-hr when 
measured over the applicable 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 like 
the other standards of this section.

[[Page 98]]

    (3) The N2O 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.
    (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 in Sec. 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. The exhaust emission standards of this section 
apply for the full useful life, expressed in service miles, operating 
hours, 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, except that the spark-ignition 
standards and the standards for model year 2021 and later light heavy-
duty compression-ignition engines apply over a useful life of 15 years 
or 150,000 miles, whichever comes first.
    (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 duty-cycle testing. See 
Sec. Sec. 1036.235 and 1036.241 to determine which engine 
configurations within the engine family are subject to testing. Note 
that engine fuel maps and powertrain test results also serve as 
standards as described in Sec. 1036.535, Sec. 1036.540, Sec. 1036.630 
and 40 CFR 1037.550.
    (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 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 apply a 50 percent weighting factor to each of 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) You must perform fuel mapping for your engine as described in 
Sec. 1036.510(b).
    (c) You must design and produce your engines to comply with 
evaporative emission standards as follows:
    (1) For complete heavy-duty vehicles you produce, you must certify 
the vehicles to emission standards as specified in 40 CFR 1037.103.
    (2) For incomplete heavy-duty vehicles, and for engines used in 
vehicles you do not produce, you do not need to certify your engines to 
evaporative emission standards or otherwise meet those standards. 
However, vehicle manufacturers certifying their vehicles

[[Page 99]]

with your engines may depend on you to produce your engines according to 
their specifications. Also, your engines must meet applicable exhaust 
emission standards in the installed configuration.



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 transient FTP testing, you must make 
clear that the engine may not be installed 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) Give the vehicle manufacturer fuel map results as described in 
Sec. 1036.510(b).
    (d) You do not need installation instructions for engines that you 
install in your own vehicles.
    (e) 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 and engine cycle.

    You must identify a single primary intended service class for each 
engine family that best describes vehicles for which you design and 
market the engine, as follows:
    (a) Divide compression-ignition engines into primary intended 
service classes based on the following engine and vehicle 
characteristics:
    (1) 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 from a light-duty truck chassis, 
van trucks, multi-stop vans, and some straight trucks

[[Page 100]]

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 at 
or below 19,500 pounds.
    (2) 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 single 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 19,501 to 33,000 
pounds.
    (3) Heavy heavy-duty engines are designed for multiple rebuilds and 
have cylinder liners. Vehicles in this group are normally tractors, 
trucks, straight trucks with dual rear axles, and buses used in inter-
city, long-haul applications. These vehicles normally exceed 33,000 
pounds GVWR.
    (b) Divide spark-ignition engines into primary intended service 
classes as follows:
    (1) Spark-ignition engines that are best characterized by paragraph 
(a)(1) or (2) of this section are in a separate ``spark-ignition'' 
primary intended service class.
    (2) Spark-ignition engines that are best characterized by paragraph 
(a)(3) of this section share a primary intended service class with 
compression-ignition heavy heavy-duty engines. Gasoline-fueled engines 
are presumed not to be characterized by paragraph (a)(3) of this 
section; for example, vehicle manufacturers may install some number of 
gasoline-fueled engines in Class 8 trucks without causing the engine 
manufacturer to consider those to be heavy heavy-duty engines.
    (c) References to ``spark-ignition standards'' in this part relate 
only to the spark-ignition engines identified in paragraph (b)(1) of 
this section. References to ``compression-ignition standards'' in this 
part relate to compression-ignition engines, to spark-ignition engines 
optionally certified to standards that apply to compression-ignition 
engines, and to all engines identified under paragraph (b)(2) of this 
section as heavy heavy-duty engines.



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 of Sec. 
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

[[Page 101]]

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 with Sec. 1036.235(d).
    (c) Engine cycle classification. Through model year 2020, 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, through model year 2020, engines meeting the definition of 
compression-ignition, but regulated as Otto-cycle 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. See Sec. 1036.140 for provisions 
that apply for model year 2021 and later.
    (d) Small manufacturers. The standards of this part apply on a 
delayed schedule for manufacturers meeting the small business criteria 
specified in 13 CFR 121.201. Apply the small business criteria for NAICS 
code 336310 for engine manufacturers with respect to gasoline-fueled 
engines and 333618 for engine manufacturers with respect to other 
engines; the employee limits apply to the total number employees 
together for affiliated companies. Qualifying small manufacturers are 
not subject to the greenhouse gas emission standards in Sec. 1036.108 
for engines with a date of manufacture on or after November 14, 2011 but 
before January 1, 2022. In addition, qualifying small manufacturers 
producing engines that run on any fuel other than gasoline, E85, or 
diesel fuel may delay complying with every later standard under this 
part by one model year. Small manufacturers may certify their engines 
and generate emission credits under this part 1036 before standards 
start to apply, but only if they certify their entire U.S.-directed 
production volume within that averaging set for that model year. Note 
that engines not yet subject to standards must nevertheless supply fuel 
maps to vehicle manufacturers as described in paragraph (n) of this 
section. Note also that engines produced by small manufacturers are 
subject to criteria pollutant standards.
    (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 \1\....  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 through 2020 \a\.  576 g/hp-hr.............  576 g/hp-hr.............  555 g/hp-hr.
----------------------------------------------------------------------------------------------------------------
\1\ Note: these alternate standards for 2016 and later are the same as the otherwise applicable standards for
  2017 through 2020.

    (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

[[Page 102]]

certain respects for the purpose of this part, as follows:
    (1) This paragraph (f) 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 off-
cycle 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 off-cycle technologies.
    (2) You may use an assigned additive DF of 0.020 g/hp-hr for 
N2O emissions from any engine through model year 2020, and 
0.010 g/hp-hr for later model years.
    (3) You may use an assigned additive DF of 0.020 g/hp-hr for 
CH4 emissions from any engine.
    (h) Advanced-technology credits. If you generate credits from model 
year 2020 and earlier 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 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 in Sec. 1036.705:

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

    (j) Alternate standards under 40 CFR part 86. This paragraph (j) 
describes alternate emission standards for loose engines certified under 
40 CFR 86.1819-14(k)(8). The standards of Sec. 1036.108 do not apply 
for these engines. The standards in this paragraph (j) apply for 
emissions measured with the engine installed in a complete vehicle 
consistent with the provisions of 40 CFR 86.1819-14(k)(8)(vi). The only 
requirements of this part that apply to these engines are those in this 
paragraph (j), Sec. Sec. 1036.115 through 1036.135, 1036.535, and 
1036.540.
    (k) [Reserved]
    (l) Credit adjustment for spark-ignition engines and light heavy-
duty compression-ignition engines. For emission credits generated from 
model year 2020 and earlier engines subject to spark-ignition standards 
and light heavy-duty compression-ignition engines, multiply any banked 
credits that you carry forward to demonstrate compliance with model year 
2021 and later standards by 1.36.
    (m) Infrequent regeneration. For model year 2020 and earlier, you 
may invalidate any test interval with respect to CO2 
measurements if an infrequent regeneration event occurs during the test 
interval. Note that Sec. 1036.530 specifies how to apply infrequent 
regeneration adjustment factors for later model years.
    (n) Supplying fuel maps. Engine manufacturers not yet subject to 
standards under Sec. 1036.108 in model year 2021 must supply vehicle 
manufacturers with fuel maps (or powertrain test results) as described 
in Sec. 1036.130 for those engines.
    (o) Engines used in glider vehicles. For purposes of recertifying a 
used engine for installation in a glider vehicle, we may allow you to 
include in an existing certified engine family those engines you modify 
(or otherwise demonstrate) to be identical to engines already covered by 
the certificate. We would base such an approval on our review of any 
appropriate documentation. These engines must have emission control 
information labels that accurately describe their status.
    (p) Transition to Phase 2 CO2 standards. If you certify 
all your model year

[[Page 103]]

2020 engines within an averaging set to the model year 2021 FTP and SET 
standards and requirements, you may apply the provisions of this 
paragraph (p) for enhanced generation and use of emission credits. These 
provisions apply separately for medium heavy-duty engines and heavy 
heavy-duty engines.
    (1) GHG emission credits you generate with model year 2018 through 
2024 engines may be used through model year 2030, instead of being 
limited to a five-year credit life as specified in Sec. 1036.740(d).
    (2) You may certify your model year 2024 through 2026 engines to the 
following alternative standards:

----------------------------------------------------------------------------------------------------------------
                                               Medium heavy-     Heavy heavy-
                 Model years                       duty--           duty--       Medium heavy-     Heavy heavy-
                                                 vocational       vocational     duty-- tractor   duty--tractor
----------------------------------------------------------------------------------------------------------------
2024-2026...................................             538              506              467              442
----------------------------------------------------------------------------------------------------------------



                  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 in Sec. 1036.135. We 
may require you to include a copy of the label.
    (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 under Sec. 1036.230(b)(2).
    (f) Identify the engine family's deterioration factors and describe 
how you developed them (see Sec. 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 specify in 
Sec. 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. For each of these tests, 
also include the corresponding exhaust emission data for criteria

[[Page 104]]

emissions. Note that Sec. 1036.235 allows you to submit an application 
in certain cases without new emission data.
    (2) [Reserved]
    (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 that Sec. 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 by Sec. 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.
    (n) Include information needed to certify vehicles to GHG standards 
under 40 CFR part 1037 as described in Sec. 1036.510.



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.



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, 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 also 
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 
in Sec. 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.

[[Page 105]]

    (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.
    (4) Include any other information needed to make your application 
correct and complete.
    (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 (see Sec. 1036.820).
    (e) For engine families already covered by a certificate of 
conformity, you may start producing the new or modified engine 
configuration any time 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). 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. 
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.
    (g) You may produce engines as described in your amended application 
for certification and consider those engines to be in a certified 
configuration if we approve a new or modified engine configuration 
during the model year under paragraph (d) of this section. Similarly, 
you may modify in-use engines as described in your amended application 
for certification and consider those engines to be in a certified 
configuration if we approve a new or modified engine configuration at 
any time under paragraph (d) of this section. Modifying a new or in-use 
engine to be in a certified configuration does not violate the tampering 
prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve 
changing to a certified configuration with a higher family emission 
limit.

[[Page 106]]



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 of Sec. 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 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 by Sec. 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 demonstrate that the exclusion of the hardware does 
not increase greenhouse gas emissions.
    (e) If you certify both engine fuel maps and powertrain fuel maps 
for an engine family, you may split the engine family into two separate 
subfamilies. Indicate this in your application for certification, and 
identify whether one or both of these sets of fuel maps applies for each 
group of engines. If you do not split your family, all engines within 
the family must conform to the engine fuel maps, including any engines 
for with the powertrain maps also apply.



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 in Sec. 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 in Sec. 1036.205(e). Note that configurations 
identified in Sec. 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. In 
other contexts, the tested configuration is sometimes referred to as the 
``parent configuration'', although the terms are not synonymous.
    (b) Test your emission-data engines using the procedures and 
equipment

[[Page 107]]

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. (Note: measurement 
of criteria emissions from flexible-fuel engines generally involves 
operation with the fuel mixture that best represents in-use operation, 
or with the fuel mixture with the highest emissions.) 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. The following provisions apply 
regarding test cycles for demonstrating compliance with tractor and 
vocational standards:
    (1) If you are certifying the engine for use in tractors, you must 
measure CO2 emissions using the applicable ramped-modal cycle 
specified in Sec. 1036.505, and measure CH4, and 
N2O emissions using the specified transient cycle.
    (2) 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.
    (3) You may certify your engine family for both tractor and 
vocational use by submitting CO2 emission data from both 
ramped-modal and transient cycle testing and specifying FCLs for both.
    (4) Some of your engines certified for use in tractors may also be 
used in vocational vehicles, and some of your engines certified for use 
in vocational may be used in tractors. However, you may not knowingly 
circumvent the intent of this part (to reduce in-use emissions of 
CO2) by certifying engines designed for tractors or 
vocational vehicles (and rarely used in the other application) to the 
wrong cycle. For example, we would generally not allow you to certify 
all your engines to the ramped-modal cycle without certifying any to the 
transient cycle.
    (c) We may perform confirmatory testing by measuring emissions from 
any of your emission-data engines. If your certification includes 
powertrain testing as specified in 40 CFR 1036.630, this paragraph (c) 
also applies for the powertrain test results.
    (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 as specified 
in this paragraph (c). 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 in Sec. 1036.801) because it is permanently 
sealed. For parameters that relate to a level of performance that is 
itself subject to a specified range (such as maximum power output), we 
will generally perform any calibration under this paragraph (c)(4) in a 
way that keeps performance within the specified range.
    (5) We may use our emission test results for steady-state, idle, 
cycle-average and powertrain fuel maps, as long as we perform at least 
three valid tests. We will use mean values for each point to specify our 
fuel maps and may use the resulting fuel maps as the official emission 
results. We may also consider how the different fuel maps affect GEM 
emission results as part of our decision. We will not replace individual 
points from your fuel map, but we may make separate determinations for

[[Page 108]]

steady-state, idle, cycle-average and powertrain fuel maps.
    (6) If you supply cycle-average engine fuel maps for the highway 
cruise cycles instead of generating a steady-state fuel map for these 
cycles, we may perform a confirmatory test of your engine fuel maps for 
the highway cruise cycles by either of the following methods:
    (i) Directly measuring the highway cruise cycle-average fuel maps.
    (ii) Measuring a steady-state fuel map as described in paragraph 
(c)(5) of this section and using it in GEM to create our own cycle-
average engine fuel maps for the highway cruise cycles.
    (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, items identified 
in Sec. 1036.225(a), or other characteristics unrelated to emissions. 
We may waive this criterion for differences we determine not to be 
relevant.
    (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 
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 emission
standards.

    (a) For purposes of certification, your engine family is considered 
in compliance with the emission standards in Sec. 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 paragraphs (c)(2) and (3) of this section, use an 
additive deterioration factor for exhaust emissions. An additive 
deterioration factor is the difference between the highest exhaust 
emissions (typically 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 the highest exhaust emissions (typically 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

[[Page 109]]

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 and other nonlinear 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.
    (4) [Reserved]
    (5) Dual-fuel and flexible-fuel engines. In the case of dual-fuel 
and flexible-fuel engines, apply deterioration factors separately for 
each fuel type by measuring emissions with each fuel type at each test 
point. You may accumulate service hours on a single emission-data engine 
using the type of fuel or the fuel mixture expected to have the highest 
combustion and exhaust temperatures; you may ask us to approve a 
different fuel mixture if you demonstrate that a different criterion is 
more appropriate.
    (d) Calculate emission data using measurements to at least 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.
    (e) If you identify more than one configuration in Sec. 
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 in Sec. 
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 in Sec. 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

[[Page 110]]

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 (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, 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 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 (see Sec. 1036.820).



                  Subpart D_Testing Production Engines



Sec. 1036.301  Measurements related to GEM inputs in a selective 
enforcement audit.

    (a) Selective enforcement audits apply for engines as specified in 
40 CFR part 1068, subpart E. This section describes how this applies 
uniquely in certain circumstances.
    (b) Selective enforcement audit provisions apply with respect to 
your fuel maps as follows:
    (1) A selective enforcement audit for an engine with respect to fuel 
maps would consist of performing measurements with production engines to 
determine fuel-consumption rates as declared for GEM simulations, and 
running GEM for the vehicle configurations specified in paragraph (b)(2) 
of this section based on those measured values. The engine is considered 
passing for a given configuration if the new modeled emission result for 
each applicable duty cycle is at or below the modeled emission result 
corresponding to the declared GEM inputs. The engine is considered 
failing for a given configuration if the new modeled emission result for 
any applicable duty cycle is above the modeled emission result 
corresponding to the declared GEM inputs.
    (2) Evaluate cycle-average fuel maps by running GEM based on 
simulated vehicle configurations representing the interpolated center of 
every group of four test points that define a boundary of cycle work and 
average engine speed divided by average vehicle speed. These simulated 
vehicle configurations are defined from the four surrounding points 
based on averaging values for vehicle mass, drag area (if applicable), 
tire rolling resistance, tire size, and axle ratio. The regulatory 
subcategory is defined by the regulatory subcategory of the vehicle 
configuration with the greatest mass from those four test points. Figure 
1 of this section illustrates a determination of vehicle configurations 
for engines used in tractors and Vocational HDV using a fixed tire size 
(see Sec. 1036.540(c)(3)(iii)). The vehicle configuration from the 
upper-left quadrant is defined by values for Tests 1, 2, 4, and 5 from 
Table 3 of Sec. 1036.540.

[[Page 111]]

Calculate vehicle mass as the average of the values from the four tests. 
Determine the weight reduction needed for GEM to simulate this 
calculated vehicle mass by comparing the average vehicle mass to the 
default vehicle mass for the vehicle subcategory from the four points 
that has the greatest mass, with the understanding that two-thirds of 
weight reduction for tractors is applied to vehicle weight and one-third 
is understood to represent increased payload. This is expressed 
mathematically as Mavg = Msubcategory - \2/3\ 
[middot] Mreduction, which can be solved for 
Mreduction. For vocational vehicles, half of weight reduction 
is applied to vehicle weight and half is understood to represent 
increased payload. Use the following values for default vehicle masses 
by vehicle subcategory:

 Table 1 of Sec. 1036.301--Default Vehicle Mass by Vehicle Subcategory
------------------------------------------------------------------------
                                                              Default
                   Vehicle subcategory                     vehicle mass
                                                               (kg)
------------------------------------------------------------------------
Vocational Light HDV....................................           7,257
Vocational Medium HDV...................................          11,408
Class 7 Mid-Roof Day Cab................................          20,910
Class 8 Mid-Roof Day Cab................................          29,529
Class 8 High-Roof Sleeper Cab...........................          31,978
Heavy-Haul Tractor......................................          53,750
------------------------------------------------------------------------

    (3) This paragraph (b)(3) provides an example to illustrate how to 
determine GEM input values for the four vehicle configurations 
identified in paragraph (b)(2) of this section. If axle ratio is 2.5 for 
Tests 1 and 2, and 3.5 for Tests 4 and 5, the average value is 3.0. A 
tire size of 500 revolutions per mile would apply for all four tests, so 
the average tire size would be that same value. Similarly, 
Crr is 6.9 kg/tonne since that value applies for all four 
points. The calculated average value of CdA is 6.9 m\2\. The 
calculated average vehicle mass is 28,746.5 kg. Weight reduction is 
4,847 kg or 10,686 pounds (\3/2\ [middot] (31,978 - 28,746.5)).
    (4) Because your cycle-average map may have more or fewer test 
points, you may have more than or fewer than the number of audit points 
shown in Figure 1 of this section. If the audit includes fuel-map 
testing in conjunction with engine testing relative to exhaust emission 
standards, the fuel-map simulations for the whole set of vehicles and 
duty cycles counts as a single test result for purposes of evaluating 
whether the engine family meets the pass-fail criteria under 40 CFR 
1068.420. If the audit includes only fuel-map testing, determine 
emission results from at least three different engine configurations 
simulated with each applicable vehicle configuration identified in Sec. 
1036.540; the fuel-map simulation for each vehicle configuration counts 
as a separate test for the engine.

[[Page 112]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.048

    (c) If your certification includes powertrain testing as specified 
in 40 CFR 1036.630, these selective enforcement audit provisions apply 
with respect to powertrain test results as specified in 40 CFR part 
1037, subpart D, and 40 CFR 1037.550. We may allow manufacturers to 
instead perform the engine-based testing to simulate the powertrain test 
as specified in 40 CFR 1037.551.
    (d) We may suspend or revoke certificates for any appropriate 
configurations within one or more engine families based on the outcome 
of a selective enforcement audit.



                        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 Clean Air Act and the 
provisions of Sec. 1036.235. Note that this provision 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 this subpart and 
40 CFR 86.1305 to determine whether engines meet the emission standards 
in Sec. 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, apply infrequent regeneration adjustment factors as 
described in Sec. 1036.530.
    (e) Test hybrid engines as described in Sec. 1036.525 and 40 CFR 
part 1065.
    (f) Determine engine fuel maps as described in Sec. 1036.510(b).
    (g) The following additional provisions apply for testing to 
demonstrate compliance with the emission standards in Sec. 1036.108 for 
model year 2021 and later engines:

[[Page 113]]

    (1) If your engine is intended for installation in a vehicle 
equipped with stop-start technology, you may use good engineering 
judgment to turn the engine off during the idle portions of the duty 
cycle to represent in-use operation, consistent with good engineering 
judgment.
    (2) Use one of the following methods to measure CO2 
emissions:
    (i) Use the ramped-modal cycle specified in Sec. 1036.505 using 
either continuous or batch sampling.
    (ii) Measure CO2 emissions over the ramped-modal cycle 
specified in 40 CFR 86.1362 using continuous sampling. Integrate the 
test results by mode to establish separate emission rates for each mode 
(including the transition following each mode, as applicable). Apply the 
weighting factors specified in 40 CFR 86.1362 to calculate a composite 
emission result.
    (3) Measure or calculate emissions of criteria pollutants 
corresponding to your measurements to demonstrate compliance with 
CO2 standards. These test results are not subject to the 
duty-cycle standards of 40 CFR part 86, subart A.



Sec. 1036.505  Ramped-modal testing procedures.

    (a) Starting in model year 2021, you must measure CO2 
emissions using the ramped-modal cycle in 40 CFR 86.1362 as described in 
Sec. 1036.501, or using the ramped-modal cycle in this section.
    (b) Measure emissions using the ramped-modal duty cycle shown in the 
following table to determine whether engines meet the steady-state 
compression-ignition standards specified in subpart B of this part:

                               Table 1 of Sec. 1036.505--Ramped-Modal Duty Cycle
----------------------------------------------------------------------------------------------------------------
                                           Time in mode
                RMC mode                     (seconds)       Engine speed \1\ \2\      Torque (percent) \2\ \3\
----------------------------------------------------------------------------------------------------------------
1a Steady-state.........................             124  Warm Idle.................  0.
1b Transition...........................              20  Linear Transition.........  Linear Transition.
2a Steady-state.........................             196  A.........................  100.
2b Transition...........................              20  Linear Transition.........  Linear Transition.
3a Steady-state.........................             220  B.........................  50.
3b Transition...........................              20  B.........................  Linear Transition.
4a Steady-state.........................             220  B.........................  75.
4b Transition...........................              20  Linear Transition.........  Linear Transition.
5a Steady-state.........................             268  A.........................  50.
5b Transition...........................              20  A.........................  Linear Transition.
6a Steady-state.........................             268  A.........................  75.
6b Transition...........................              20  A.........................  Linear Transition.
7a Steady-state.........................             268  A.........................  25.
7b Transition...........................              20  Linear Transition.........  Linear Transition.
8a Steady-state.........................             196  B.........................  100.
8b Transition...........................              20  B.........................  Linear Transition.
9a Steady-state.........................             196  B.........................  25.
9b Transition...........................              20  Linear Transition.........  Linear Transition.
10a Steady-state........................              28  C.........................  100.
10b Transition..........................              20  C.........................  Linear Transition.
11a Steady-state........................               4  C.........................  25.
11b Transition..........................              20  C.........................  Linear Transition.
12a Steady-state........................               4  C.........................  75.
12b Transition..........................              20  C.........................  Linear Transition.
13a Steady-state........................               4  C.........................  50.
13b Transition..........................              20  Linear Transition.........  Linear Transition.
14 Steady-state.........................             144  Warm Idle.................  0.
----------------------------------------------------------------------------------------------------------------
\1\ Speed terms are defined in 40 CFR part 1065.
\2\ Advance from one mode to the next within a 20 second transition phase. During the transition phase, command
  a linear progression from the speed or torque setting of the current mode to the speed or torque setting of
  the next mode.
\3\ The percent torque is relative to maximum torque at the commanded engine speed.



Sec. 1036.510  Engine data and information for vehicle certification.

    You must give vehicle manufacturers information as follows so they 
can certify model year 2021 and later vehicles:
    (a) Identify engine make, model, fuel type, engine family name, 
calibration identification, and engine displacement. Also identify which 
standards the engines meet.

[[Page 114]]

    (b) This paragraph (b) describes three different methods to generate 
engine fuel maps. Manufacturers may generally rely on any of the three 
mapping methods. However, manufacturers must generate fuel maps using 
either cycle-average or powertrain testing as described in paragraphs 
(b)(2) and (3) of this section for hybrid engines and hybrid vehicles. 
Also, vehicle manufacturers must use the powertrain method for any 
vehicle with a transmission that is not automatic, automated manual, 
manual, or dual-clutch.
    (1) Combined steady-state and cycle-average. Determine steady-state 
engine fuel maps and fuel consumption at idle as described in Sec. 
1036.535, and determine cycle-average engine fuel maps as described in 
Sec. 1036.540, excluding cycle-average fuel maps for highway cruise 
cycles.
    (2) Cycle-average. Determine fuel consumption at idle as described 
in Sec. 1036.535, and determine cycle-average engine fuel maps as 
described in Sec. 1036.540, including cycle-average engine fuel maps 
for highway cruise cycles. In this case, you do not need to determine 
steady-state engine fuel maps under Sec. 1036.535. Fuel mapping for 
highway cruise cycles using cycle-average testing is an alternate 
method, which means that we may do confirmatory testing based on steady-
state fuel mapping for highway cruise cycles even if you do not; 
however, we will use the steady-state fuel maps to create cycle-average 
fuel maps. In Sec. 1036.540 we define the vehicle configurations for 
testing; we may add more vehicle configurations to better represent your 
engine's operation for the range of vehicles in which your engines will 
be installed (see 40 1065.10(c)(1)).
    (3) Powertrain. Generate a powertrain fuel map as described in 40 
CFR 1037.550. In this case, you do not need to perform fuel mapping 
under Sec. 1036.535 or Sec. 1036.540.
    (d) Provide the following information if you generate engine fuel 
maps using either paragraph (b)(1) or (2) of this section:
    (1) Full-load torque curve for installed engines, and the full-load 
torque curve of the engine with the highest fueling rate that shares the 
same engine hardware, including the turbocharger, as described in 40 CFR 
1065.510. You may use 40 CFR 1065.510(b)(5)(i) for engines subject to 
spark-ignition standards. Measure the torque curve for hybrid engines as 
described in 40 CFR 1065.510(g) with the hybrid system active.
    (2) Motoring torque map as described in 40 CFR 1065.510(c)(2) and 
(4) for conventional and hybrid engines, respectively.
    (3) Declared engine idle speed. For vehicles with manual 
transmissions, this is the engine speed with the transmission in 
neutral. For all other vehicles, this is the engine's idle speed when 
the transmission is in drive.



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 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 1037.540. Quantify the 
CO2 reduction for your engines using the vehicle-based 
procedures, consistent with good engineering judgment.
    (c) For engines that include electric hybrid systems, test the 
engine with 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 for testing engines with other kinds of hybrid systems.
    (d) Measure emissions using the same procedures that apply for 
testing non-hybrid engines under this part, except as specified in this 
part and 40 CFR part 1065. For ramped-modal testing, deactivate the 
hybrid features unless we specify otherwise. The following provisions 
apply for testing hybrid engines:

[[Page 115]]

    (1) Engine mapping. 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 duty 
cycle using the map generated with the hybrid feature active. For 
steady-state testing, denormalize the duty cycle using the map generated 
without the hybrid feature.
    (2) Engine shutdown during testing. If you will configure production 
engines to shut down automatically during idle operation, you may let 
the engine shut down during the idle portions of the duty cycle.
    (3) Work calculation. Calculate positive and negative work done over 
the cycle according to 40 CFR 1065.650(d), except that you must set 
power to zero to calculate negative work done for any period over the 
cycle where the engine produces net positive power or where the negative 
power is solely from the engine and not the hybrid system.
    (4) Limits on braking energy. Calculate brake energy fraction, 
xb, as follows:
    (i) Calculate xb as the integrated negative work over the 
cycle divided by the integrated positive work over the cycle according 
to Eq. 1036.525-1. Calculate the brake energy limit for the engine, 
xbl, according to Eq. 1036.525-2. If xb is less 
than or equal to xbl, use the integrated positive work for 
your emission calculations. If xb is greater than 
xbl use Eq. 1036.525-3 to calculate an adjusted value for 
cycle work, Wcycle, and use Wcycle as the work 
value for calculating emission results. You may set an instantaneous 
brake target that will prevent xb from being larger than 
xbl to avoid the need to subtract extra brake work from 
positive work.
[GRAPHIC] [TIFF OMITTED] TR25OC16.049

Where:

Wneg = the negative work over the cycle.
Wpos = the positive work over the cycle.
[GRAPHIC] [TIFF OMITTED] TR25OC16.050

Where:

Pmax = the maximum power of the engine with the hybrid system 
          engaged.
          [GRAPHIC] [TIFF OMITTED] TR25OC16.051
          
Where:

Wcycle = cycle work when xb is greater than 
          xbl.

    Example: 
Wneg = 4.69 kW-hr
Wpos = 14.67 kW-hr
Pmax = 223 kW

[[Page 116]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.052

xbl = 4.158.10-4[middot] .223 + 0.2247 = 0.317 kW
since xb  xbl;
Wcycle = 14.67 - ([bond]4.59[bond] - 0.317[middot] 14.67) = 
          14.63 kW-hr

    (ii) Convert from g/kW-hr to g/hp-hr as the final step in 
calculating emission results.
    (5) State of charge. Correct for the net energy change of the energy 
storage device as described in 40 CFR 1066.501.



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. Apply infrequent regeneration 
adjustment factors to your cycle-average results as described in 40 CFR 
86.004-28 for CO2 starting in model year 2021. You may 
optionally apply infrequent regeneration adjustment factors for 
CH4 and N2O.
    (b) Adjust CO2 emission rates calculated under paragraph 
(a) of this section for measured test fuel properties as specified in 
this paragraph (b). This adjustment is intended 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) Determine mass-specific net energy content, 
Emfuelmeas, also known as lower heating value, in MJ/kg, 
expressed to at least three decimal places, as follows:
    (i) For liquid fuels, determine Emfuelmeas according to 
ASTM D4809 (incorporated by reference in Sec. 1036.810).
    (ii) For gaseous fuels, determine Emfuelmeas using good 
engineering judgment.
    (2) Determine your test fuel's carbon mass fraction, wC, 
as described in 40 CFR 1065.655(d), expressed to at least three decimal 
places; however, you must measure fuel properties rather than using the 
default values specified in Table 1 of 40 CFR 1065.655. Have the sample 
analyzed by three different labs and use the arithmetic mean of the 
results as your test fuel's wC.
    (3) If, over a period of time, you receive multiple fuel deliveries 
from a single stock batch of test fuel, you may use constant values for 
mass-specific energy content and carbon mass fraction, consistent with 
good engineering judgment. To use this provision, you must demonstrate 
that every subsequent delivery comes from the same stock batch and that 
the fuel has not been contaminated.
    (4) Correct measured CO2 emission rates as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.053
    
Where:

eCO2 = the calculated CO2 emission result.
Emfuelmeas = the mass-specific net energy content of the test 
          fuel as determined in paragraph (b)(1) of this section. Note 
          that dividing this value by wCmeas (as is done in 
          this equation) equates to a carbon-specific net energy content 
          having the same units as EmfuelCref.
EmfuelCref = the reference value of carbon-mass-specific net 
          energy content for the

[[Page 117]]

          appropriate fuel type, as determined in Table 1 of this 
          section.
wCmeas = carbon mass fraction of the test fuel (or mixture of 
          test fuels) as determined in paragraph (b)(2) of this section.

    Example: 
eCO2 = 630.0 g/hp[middot] hr
Emfuelmeas = 42.528 MJ/kg
EmfuelCref = 49.3112 MJ/kgC
wCmeas = 0.870
[GRAPHIC] [TIFF OMITTED] TR25OC16.054

eCO2cor = 624.5 g/hp[middot] hr

          Table 1 of Sec. 1036.530--Reference fuel properties
------------------------------------------------------------------------
                                       Reference fuel
                                        carbon-mass-     Reference fuel
                                        specific net       carbon mass
            Fuel type\1\               energy content,   fraction, wCref
                                      EmfuelCref, (MJ/         \2\
                                          kgC) \2\
------------------------------------------------------------------------
Diesel fuel.........................           49.3112             0.874
Gasoline............................           50.4742             0.846
Natural Gas.........................           66.2910             0.750
LPG.................................           56.5218             0.820
Dimethyl Ether......................           55.3886             0.521
High-level ethanol-gasoline blends..           50.3211             0.576
------------------------------------------------------------------------
\1\ For fuels that are not listed, you must ask us to approve reference
  fuel properties.
\2\ For multi-fuel streams, such as natural gas with diesel fuel pilot
  injection, use good engineering judgment to determine blended values
  for EmfuelCref and wCref using the values in this table.

    (c) Your official emission result for each pollutant equals your 
calculated brake-specific emission rate multiplied by all applicable 
adjustment factors, other than the deterioration factor.



Sec. 1036.535  Determining steady-state engine fuel maps and fuel
consumption at idle.

    This section describes how to determine an engine's steady-state 
fuel map and fuel consumption at idle for model year 2021 and later 
vehicles. Vehicle manufacturers may need these values to demonstrate 
compliance with emission standards under 40 CFR part 1037 as described 
in Sec. 1036.510.
    (a) General test provisions. Perform fuel mapping using the 
procedure described in paragraph (b) of this section to establish 
measured fuel-consumption rates at a range of engine speed and load 
settings. Measure fuel consumption at idle using the procedure described 
in paragraph (c) of this section. If you perform cycle-average mapping 
for highway cruise cycles as described in Sec. 1037.540, omit mapping 
under paragraph (b) of the section and instead perform mapping as 
described in paragraph (c) and (d) of this section. Use these measured 
fuel-consumption values to declare fuel-consumption rates for 
certification as described in paragraph (e) of this section.
    (1) Map the engine as described in Sec. 1036.510(a)(2) and (3), and 
perform emission measurements as described in 40 CFR 1065.501 and 
1065.530 for discrete-mode steady-state testing. This section uses 
engine parameters and variables that are consistent with 40 CFR part 
1065.
    (2) Measure NOX emissions for each specified sampling 
period in g/s. You may perform these measurements using a NOX 
emission-measurement system that meets the requirements of 40 CFR part 
1065, subpart J. Include these measured NOX values any time 
you report to us your fuel consumption values from testing under this 
section. If a system malfunction prevents you from measuring 
NOX emissions during a test under this section but the test 
otherwise gives valid results, you may consider this a valid test and 
omit the NOX emission measurements; however, we may require 
you to repeat the test if we determine that you inappropriately voided 
the test with respect to NOX emission measurement.
    (b) Steady-state fuel mapping. Determine fuel-consumption rates for 
each engine configuration over a series of steady-state engine operating 
points as described in this paragraph (b). You may use shared data 
across an engine platform to the extent that the fuel-consumption rates 
remain valid. For example, if you test a high-output configuration and 
create a different configuration that uses the same fueling

[[Page 118]]

strategy but limits the engine operation to be a subset of that from the 
high-output configuration, you may use the fuel-consumption rates for 
the reduced number of mapped points for the low-output configuration, as 
long as the narrower map includes at least 70 points. Perform fuel 
mapping as follows:
    (1) Select ten speed points that include warm idle speed, 
fnidle, the highest speed above maximum power at which 70% of 
maximum power occurs, nhi, and eight equally spaced points 
between fnidle and nhi. Control speed to within 
1% of nhi (see 40 CFR 1065.610(c)).
    (2) Select ten torque values, including T = 0, maximum mapped 
torque, Tmax mapped, and eight equally spaced points between 
T = 0 and Tmax mapped. Replace any torque setpoints that are 
above the mapped torque at a given speed, Tmax, minus 5 
percent of Tmax mapped. with one test point at 
Tmax. Control engine torque to within 5% of Tmax mapped.
    (3) You may need to adjust dynamometer settings any time the engine 
is operating on the low-speed or high-speed governor to maintain stable 
engine operation. You may change the dynamometer's speed setpoint as 
needed to avoid activating the engine's governor. You may alternatively 
set the dynamometer mode to torque-control, in which case speed can fall 
outside of 1% of nhi.
    (4) Precondition the engine as described in 40 CFR 1065.510(b)(2).
    (5) Within 60 seconds after concluding the preconditioning 
procedure, operate the engine at nhi and Tmax.
    (6) After the engine operates at the set speed and torque for 60 
seconds, start recording measurements using one of the following 
methods:
    (i) Carbon mass balance. Record speed and torque and measure 
emissions and other inputs needed to run the chemical balance in 40 CFR 
1065.655(c) for (29 to 31) seconds; determine the corresponding mean 
values for the sampling period. We will use carbon mass balance.
    (ii) Direct measurement of fuel flow. Record speed and torque and 
measure fuel consumption with a fuel flow meter for (29 to 31) seconds; 
determine the corresponding mean values for the sampling period.
    (7) After completing the sampling period described in paragraph 
(b)(6) of this section, linearly ramp the engine over 15 seconds to the 
next lowest torque value while holding speed constant. Perform the 
measurements described at the new torque setting and repeat this 
sequence for all remaining torque values down to T = 0.
    (8) Continue testing to complete fuel mapping as follows:
    (i) At T = 0, linearly ramp the engine over 15 seconds to operate at 
the next lowest speed value and increase torque to Tmax. 
Perform measurements for all the torque values at the selected speed as 
described in paragraphs (b)(6) and (7) of this section. Repeat this 
sequence for all remaining speed values down to fnidle to 
complete the fuel-mapping procedure. You may interrupt the mapping 
sequence to calibrate emission-measurement instrumentation only during 
stabilization at Tmax for a given speed. If you use batch 
sampling to measure background emissions, you may sample periodically 
into the bag over the course of multiple test intervals defined by the 
period between calibrations of emission-measurement instrumentation. The 
background sample must be applied to correct emissions sampled over the 
test interval(s) between calibrations.
    (ii) If an infrequent regeneration event occurs during fuel mapping, 
invalidate all the measurements made at that engine speed. Allow the 
regeneration event to finish, then restart engine stabilization at 
Tmax at the same engine speed and continue with measurements 
from that point in the fuel-mapping sequence.
    (9) If you determine fuel-consumption rates using emission 
measurements from the raw or diluted exhaust, calculate the mean fuel 
mass flow rate, mifuel, for each point in the fuel map using 
the following equation:

[[Page 119]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.055

Where:

mifuel = mean fuel mass flow rate for a given fuel map 
          setpoint, expressed to at least the nearest 0.001 g/s.
MC = molar mass of carbon.
wCmeas = carbon mass fraction of fuel (or mixture of test 
          fuels) as determined in 40 CFR 1065.655(d), except that you 
          may not use the default properties in Table 1 of 40 CFR 
          1065.655 to determine a, b, and wC for liquid 
          fuels.
niexh= the mean raw exhaust molar flow rate from which you 
          measured emissions according to 40 CFR 1065.655.
xCcombdry= the mean concentration of carbon from fuel and any 
          injected fluids in the exhaust per mole of dry exhaust as 
          determined in 40 CFR 1065.655(c).
xH2Oexhdry= the mean concentration of H2O in 
          exhaust per mole of dry exhaust as determined in 40 CFR 
          1065.655(c).
miCO2DEF= the mean CO2 mass emission rate 
          resulting from diesel exhaust fluid decomposition as 
          determined in paragraph (b)(10) of this section. If your 
          engine does not use diesel exhaust fluid, or if you choose not 
          to perform this correction, set miCO2DEF equal to 
          0.
MCO2 = molar mass of carbon dioxide.

    Example: 
MC = 12.0107 g/mol
wCmeas = 0.869
niexh= 25.534 mol/s
xCcombdry= 0.002805 mol/mol
xH2Oexhdry= 0.0353 mol/mol
miCO2DEF= 0.0726 g/s
MCO2 = 44.0095 g/mol
[GRAPHIC] [TIFF OMITTED] TR25OC16.056

    (10) If you determine fuel-consumption rates using emission 
measurements with engines that utilize diesel exhaust fluid for 
NOX control, correct for the mean CO2 mass 
emissions resulting from diesel exhaust fluid decomposition at each fuel 
map setpoint using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.057

Where:

miDEF= the mean mass flow rate of injected urea solution 
          diesel exhaust fluid for a given sampling period, determined 
          directly from the engine control module, or measured 
          separately, consistent with good engineering judgment.
MCO2 = molar mass of carbon dioxide.
wCH4N2O = mass fraction of urea in diesel exhaust fluid 
          aqueous solution. Note that the subscript ``CH4N2O'' refers to 
          urea as a pure compound and the subscript ``DEF'' refers to 
          the aqueous 32.5% urea diesel exhaust fluid as a solution of 
          urea in water with a nominal urea concentration of 32.5%.
MCH4N2O = molar mass of urea.


[[Page 120]]


    Example: 
miDEF= 0. 304 g/s
MCO2 = 44.0095 g/mol
wCH4N2O = 32.5% = 0.325
MCH4N2O = 60.05526 g/mol
[GRAPHIC] [TIFF OMITTED] TR25OC16.058

    (11) Correct the measured or calculated mean fuel mass flow rate, 
mifuel at each engine operating condition to a mass-specific 
net energy content of a reference fuel using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.059

Where:

Emfuelmeas = the mass-specific net energy content of the test 
          fuel as determined in Sec. 1036.530(b)(1).
EmfuelCref = the reference value of carbon-mass-specific net 
          energy content for the appropriate fuel. Use the values shown 
          in Table 1 of Sec. 1036.530 for the designated fuel types, or 
          values we approve for other fuel types.
wCref = the reference value of carbon mass fraction for the 
          test fuel as shown in Table 1 of Sec. 1036.530 for the 
          designated fuels. For other fuels, use the reference carbon 
          mass fraction of diesel fuel for engines subject to 
          compression-ignition standards, and use the reference carbon 
          mass fraction of gasoline for engines subject to spark-
          ignition standards.

    Example: 
mifuel= 0.933 g/s
Emfuelmeas = 42.7984 MJ/kgC
EmfuelCref = 49.3112 MJ/kgC
wCref = 0.874
[GRAPHIC] [TIFF OMITTED] TR25OC16.060

    (c) Fuel consumption at idle. Determine values for fuel-consumption 
rate at idle for each engine configuration as described in this 
paragraph (c). You may use shared data across engine configurations, 
consistent with good engineering judgment. Perform measurements as 
follows:
    (1) Precondition the engine as described in 40 CFR 1065.510(b)(2).
    (2) Within 60 seconds after concluding the preconditioning 
procedure, operate the engine at its minimum declared warm idle speed, 
fnidlemin, as described in 40 CFR 1065.510(b)(3), set zero 
torque, and start the sampling period. Continue sampling for (595 to 
605) seconds. Perform measurements using carbon mass balance. Record 
speed and torque and measure emissions and other inputs as described in 
40 CFR 1065.655(c); determine the corresponding mean values for the 
sampling period. Calculate the mean fuel mass flow rate, 
mifuel, during the sampling period as described in paragraph 
(b)(9) of this section.
    Manufacturers may instead measure fuel consumption with a fuel flow 
meter and determine the corresponding mean values for the sampling 
period.
    (3) Repeat the steps in paragraphs (c)(1) and (2) of this section 
with the

[[Page 121]]

engine set to operate at a torque setting of 100 N[middot] m.
    (4) Repeat the steps in paragraphs (c)(1) through (3) of this 
section with the engine operated at its declared maximum warm idle 
speed, fnidlemax.
    (5) If an infrequent regeneration event occurs during this 
procedure, invalidate any measurements made at that idle condition. 
Allow the regeneration event to finish, then repeat the measurement and 
continue with the test sequence.
    (6) Correct the measured or calculated mean fuel mass flow rate, 
mifuel at each of the four idle settings to account for mass-
specific net energy content as described in paragraph (b)(11) of this 
section.
    (d) Steady-state fuel maps used for cycle-average fuel mapping of 
the cruise cycles. Use the appropriate default steady-state engine fuel 
map as specified in Appendix I to this part to generate cycle-average 
fuel maps under Sec. 1036.540, as amended based on the measurements 
specified in this paragraph (d). Measure fuel consumption at idle at the 
four specified engine operating conditions. For any values from the 
default map that lie within the boundaries of the engine speed and 
torque values represented by these idle-operating points, use the 
measured values instead of the default values. You may use shared data 
across engine configurations, consistent with good engineering judgment. 
Determine values for fuel-consumption rate at idle for each engine 
configuration as follows:
    (1) Determine idle torque, Tidle, at the engine's maximum 
warm idle speed using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.061

Where:

Tfnstall = the maximum engine torque at fnstall.
fnidle[speed] = the applicable engine idle speed as described 
          in this paragraph (d).
fnstall = the stall speed of the torque converter; use 
          fntest or 2250 rpm, whichever is lower.
    Pacc = accessory power for the vehicle class; use 1500 W 
for Vocational Light HDV, 2500 W for Vocational Medium HDV, and 3500 W 
for Tractors and Vocational Heavy HDV.

    Example: 
Tfnstall = 1870 N[middot] m
fntest = 1740.8 r/min = 182.30 rad/s
fnstall = 1740.8 r/min = 182.30 rad/s
fnidlemax = 700 r/min = 73.30 rad/s
Pacc = 1500 W
[GRAPHIC] [TIFF OMITTED] TR25OC16.062

    (2) Precondition the engine as described in 40 CFR 1065.510(b)(2).
    (3) Within 60 seconds after concluding the preconditioning 
procedure, operate the engine at its maximum declared warm idle speed, 
fnidlemax, as described in 40 CFR 1065.510(b)(3), set torque 
to the value determined in paragraph (d)(1) of this section, after the 
engine operates at the set speed and torque for 60 seconds, start the 
sampling period. Continue sampling for (29 to 31) seconds. Perform 
measurements using carbon mass balance. Record speed and torque and 
measure emissions and other inputs as described in 40 CFR 1065.655(c); 
determine the corresponding mean values for the sampling period. 
Calculate the mean fuel mass flow rate, mifuel, during the 
sampling period as described in

[[Page 122]]

paragraph (b)(9) of this section. Manufacturers may instead measure fuel 
consumption with a fuel flow meter and determine the corresponding mean 
values for the sampling period.
    (4) Repeat the steps in paragraphs (d)(2) and (3) of this section 
with the engine set to operate at zero torque.
    (5) Repeat the steps in paragraphs (d)(1) through (4) of this 
section with the engine operated at its declared minimum warm idle 
speed, fnidlemin.
    (6) If an infrequent regeneration event occurs during this 
procedure, invalidate any measurements made at that idle condition. 
Allow the regeneration event to finish, then repeat the measurement and 
continue with the test sequence.
    (7) Correct the measured or calculated mean fuel mass flow rate, 
mifuel at each of the four idle settings to account for mass-
specific net energy content as described in paragraph (b)(11) of this 
section.
    (e) Measured vs. declared fuel-consumption rates. Select fuel-
consumption rates in g/s to characterize the engine's fuel maps. These 
declared values may not be lower than any corresponding measured values 
determined in paragraphs (b) through (d) of this section. You may select 
any value that is at or above the corresponding measured value. These 
declared fuel-consumption rates, which serve as emission standards under 
Sec. 1036.108, are the values that vehicle manufacturers will use for 
certification under 40 CFR part 1037. Note that production engines are 
subject to GEM cycle-weighted limits as described in Sec. 1036.301.



Sec. 1036.540  Determining cycle-average engine fuel maps.

    (a) Overview. This section describes how to determine an engine's 
cycle-average fuel maps for model year 2021 and later vehicles with 
transient cycles. This may also apply for highway cruise cycles as 
described in Sec. 1036.510. Vehicle manufacturers may need one or both 
of these to demonstrate compliance with emission standards under 40 CFR 
part 1037. Generating cycle-average engine fuel maps consists of the 
following steps:
    (1) Determine the engine's torque maps as described in Sec. 
1036.510(a).
    (2) Determine the engine's steady-state fuel map and fuel 
consumption at idle as described in Sec. 1036.535.
    (3) Simulate several different vehicle configurations using GEM (see 
40 CFR 1037.520) to create new engine duty cycles, as described in 
paragraph (c) of this section. The transient vehicle duty cycles for 
this simulation are in 40 CFR part 1037, Appendix I; the highway cruise 
cycles with grade are in 40 CFR part 1037, Appendix IV. Note that GEM 
simulation relies on vehicle service classes as described in 40 CFR 
1037.140.
    (4) Test the engines using the new duty cycles to determine fuel 
consumption, cycle work, and average vehicle speed as described in 
paragraph (d) of this section and establish GEM inputs for those 
parameters for further vehicle simulations as described in paragraph (e) 
of this section.
    (b) General test provisions. The following provisions apply for 
testing under this section:
    (1) To perform fuel mapping under this section for hybrid engines, 
make sure the engine and its hybrid features are appropriately 
configured to represent the hybrid features in your testing.
    (2) Measure NOX emissions for each specified sampling 
period in grams. You may perform these measurements using a 
NOX emission-measurement system that meets the requirements 
of 40 CFR part 1065, subpart J. Include these measured NOX 
values any time you report to us your fuel consumption values from 
testing under this section. If a system malfunction prevents you from 
measuring NOX emissions during a test under this section but 
the test otherwise gives valid results, you may consider this a valid 
test and omit the NOX emission measurements; however, we may 
require you to repeat the test if we determine that you inappropriately 
voided the test with respect to NOX emission measurement.
    (3) This section uses engine parameters and variables that are 
consistent with 40 CFR part 1065.
    (c) Create engine cycles. Use GEM to simulate several different 
vehicle configurations to create transient and highway cruise engine 
cycles corresponding to each vehicle configuration, as follows:

[[Page 123]]

    (1) Set up GEM to simulate vehicle operation based on your engine's 
torque maps, steady-state fuel maps, and fuel consumption at idle as 
described in paragraph (a)(1) and (2) of this section.
    (2) Set up GEM with transmission gear ratios for different vehicle 
service classes and vehicle duty cycles as described in Table 1 of this 
section. These values are based on automatic or automated manual 
transmissions, but they apply for all transmission types.

                          Table 1 of Sec. 1036.540--Assigned Transmission Gear Ratios
----------------------------------------------------------------------------------------------------------------
                                                                                                  Tractors and
                                                           Light HDV and       Tractors and        heavy HDV,
                      Gear number                            medium HDV         heavy HDV,       highway cruise
                                                                             transient cycle         cycle
----------------------------------------------------------------------------------------------------------------
1......................................................               3.10               3.51               12.8
2......................................................               1.81               1.91               9.25
3......................................................               1.41               1.43               6.76
4......................................................               1.00               1.00               4.90
5......................................................               0.71               0.74               3.58
6......................................................               0.61               0.64               2.61
7......................................................  .................  .................               1.89
8......................................................  .................  .................               1.38
9......................................................  .................  .................               1.00
10.....................................................  .................  .................               0.73
----------------------------------------------------------------------------------------------------------------

    (3) Run GEM for each simulated vehicle configuration as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.063
    
    [GRAPHIC] [TIFF OMITTED] TR25OC16.064
    
Where:

fn[speed] = engine's angular speed as determined in paragraph 
          (c)(3)(ii) or (iii) of this section.
ktopgear = transmission gear ratio in the highest available 
          gear from Table 4 of this section (for powertrain testing use 
          actual top gear ratio).
vref = reference speed. Use 65 mi/hr for the transient cycle 
          and the 65 mi/hr highway

[[Page 124]]

          cruise cycle, and use 55 mi/hr for the 55 mi/hr highway cruise 
          cycle.
          [GRAPHIC] [TIFF OMITTED] TR25OC16.065
          
          [GRAPHIC] [TIFF OMITTED] TR25OC16.066
          
    Example: 
    This example is for a vocational Light HDV or vocational Medium HDV 
with a 6-speed automatic transmission at B speed (Test 3 or 4 in Table 2 
of this section).
fnrefB = 1870 r/min = 31.17 r/s
kaB = 4.0
ktopgear = 0.61
vref = 65 mi/hr = 29.06 m/s
[GRAPHIC] [TIFF OMITTED] TR25OC16.067

    (ii) Test at least eight different vehicle configurations for 
engines that will be installed in vocational Light HDV or vocational 
Medium HDV. If the engine will also be installed in vocational Heavy 
HDV, use good engineering judgment to select at least nine test 
configurations that best represent the range of vehicles. For example, 
if your engines will be installed in vocational Medium HDV and 
vocational Heavy HDV, you might select Tests 1 through 6 of Table 2 of 
this section to represent Class 7 vehicles and Tests 3, 6, and 9 of 
Table 3 of this section to represent Class 8 vehicles. You may test your 
engine using additional vehicle configurations with 
differentka and Crr values to represent a wider 
range of in-use vehicle configurations. Set CdA to 5.4 for 
all test configurations.For powertrain testing, set Mrotating 
to 340 kg and Effaxle to 0.955 for all test configurations.
[GRAPHIC] [TIFF OMITTED] TR25OC16.068


corresponding designated engine speed (A, B, C, or fntest) at 
65 mi/hr for the transient cycle and the 65 mi/hr highway cruise cycle, 
and at 55 mi/hr for the 55 mi/hr highway cruise cycle. These engine 
speeds apply equally for engines subject to spark-ignition standards. 
Use the following settings specific to each vehicle configuration:

[[Page 125]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.069

    (iii) Test nine different vehicle configurations for engines that 
will be installed in vocational Heavy HDV and for tractors that are not 
heavy-haul tractors. Test over six different test configurations for 
heavy-haul tractors. You may test your engines for additional 
configurations with different ka, CdA, and 
Crr values to represent a wider range of in-use vehicle 
configurations. Set Crr to 6.9 for all nine defined test 
configurations. For powertrain testing, set Effaxle to 0.955 
for all test configurations. Set the axle ratio, ka,
[GRAPHIC] [TIFF OMITTED] TR25OC16.070


engine speed (B, fntest, or the minimum NTE exclusion speed 
as determined in 40 CFR 86.1370(b)(1)) at 65 mi/hr. Use the settings 
specific to each test configuration as shown in Table 3 or Table 4 of 
this section, as appropriate. Engines subject to testing under both 
Table 3 and Table 4 of this section need not repeat overlapping test 
configurations, so complete fuel mapping requires testing 12 (not 15) 
test configurations for those engines. Note that Mrotating is 
needed for powertrain testing but not for engine testing. Tables 3 and 4 
follow:

[[Page 126]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.071

[GRAPHIC] [TIFF OMITTED] TR25OC16.072

    (iv) Use the defined values in Tables 1 through 4 of this section to 
set up GEM with the correct regulatory subcategory and vehicle weight 
reduction, if applicable, to achieve the target vehicle mass, M, for 
each test.
    (4) Use the GEM output of instantaneous engine speed and engine 
flywheel torque for each of the vehicle configurations to generate a 10 
Hz transient duty cycle corresponding to each vehicle configuration 
operating over each vehicle duty cycle.
    (d) Test the engine with GEM cycles. Test the engine over each of 
the transient duty cycles generated in paragraph (c) of this section as 
follows:
    (1) Precondition the engine either as described in 40 CFR 
1037.510(a)(2)(i) for the transient duty-cycle and 40 CFR 
1037.510(a)(2)(ii) for the highway cruise duty cycles using the Test 1 
vehicle configuration, and then continue testing the different 
configurations in the order presented in this section. Measure emissions 
as described in 40 CFR part 1065; perform cycle validation according to 
40 CFR part 1065, subpart F, except as noted in this paragraph (d)(1). 
If the range of reference speeds is less than 10 percent of the mean 
reference speed, you need to meet only the standard error of estimate in 
Table 2 of 40 CFR 1065.514. For purposes of cycle validation, treat 
points as being at idle if reference speed is at or below declared idle 
speed. For plug-in hybrid engines, precondition the battery and then 
complete all back-to-back tests for each test configuration according to 
40 CFR 1066.501 before moving to the next test configuration. You may 
send signals to the engine controller during the test, such as current 
transmission gear and vehicle speed, if that allows engine operation 
during the test to better represent in-use operation.
    (2) If an infrequent regeneration event occurs during a mapping test 
interval, invalidate that test interval. Continue operating the vehicle 
to allow the regeneration event to finish, then

[[Page 127]]

repeat engine preconditioning and resume testing at the start of the 
invalidated test cycle.
    (3) For each test, record measurements needed to determine fuel mass 
using carbon mass balance. Record speed and torque and measure emissions 
and other inputs as described in 40 CFR 1065.655(c). Manufacturers may 
instead measure fuel consumption with a fuel flow meter. For hybrid 
powertrains with no plug-in capability, correct for the net energy 
change of the energy storage device as described in 40 CFR 1066.501. For 
plug-in hybrid engines, follow 40 CFR 1066.501 to determine End-of-Test 
for charge-depleting operation; to do this, you must get our advance 
approval for a utility factor curve. We will approve your utility factor 
curve if you can show that you created it from sufficient in-use data of 
vehicles in the same application as the vehicles in which the PHEV 
engine will be installed.
    (4) Calculate the fuel mass flow rate, mfuel, for each 
duty cycle using one of the following equations:
    (i) Determine fuel-consumption rates using emission measurements 
from the raw or diluted exhaust, calculate the mass of fuel for each 
duty cycle, mfuel[cycle], as follows:
    (A) For calculations that use continuous measurement of emissions 
and continuous CO2 from urea, calculate 
mfuel[cycle] using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.073

Where:

MC = molar mass of carbon.
wCmeas = carbon mass fraction of fuel (or mixture of test 
          fuels) as determined in 40 CFR 1065.655(d), except that you 
          may not use the default properties in Table 1 of 40 CFR 
          1065.655 to determine a, b, and wC for liquid 
          fuels.
i = an indexing variable that represents one recorded emission value.
N = total number of measurements over the duty cycle.
nexh = exhaust molar flow rate from which you measured 
          emissions.
xCcombdry = amount of carbon from fuel and any injected 
          fluids in the exhaust per mole of dry exhaust as determined in 
          40 CFR 1065.655(c).
xH2Oexhdry = amount of H2O in exhaust per mole of 
          exhaust as determined in 40 CFR 1065.655(c).
Dt = 1/frecord.
MCO2 = molar mass of carbon dioxide.
mCO2DEF = mass emission rate of CO2 resulting from 
          diesel exhaust fluid decomposition over the duty cycle as 
          determined from Sec. 1036.535(b)(10). If your engine does not 
          utilize diesel exhaust fluid for emission control, or if you 
          choose not to perform this correction, set mCO2DEF 
          equal to 0.

    Example: 
MC = 12.0107 g/mol
wCmeas = 0.867
N = 6680
nexh1= 2.876 mol/s
nexh2= 2.224 mol/s
xCcombdry1= 2.61[middot] 10-\3\ mol/mol
xCcombdry2= 1.91[middot] 10-\3\ mol/mol
xH2Oexhdry1= 3.53[middot] 10-\2\ mol/mol
xH2Oexhdry2= 3.13[middot] 10-\2\ mol/mol
frecord = 10 Hz
Dt = 1/10 = 0.1 s
MCO2 = 44.0095 g/mol
mCO2DEF1 = 0.0726 g/s
mCO2DEF2 = 0.0751 g/s

[[Page 128]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.074

Mfueltransient = 1619.6 g
    (B) If you measure batch emissions and continuous CO2 
from urea, calculate mfuel[cycle] using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.075

    (C) If you measure continuous emissions and batch CO2 
from urea, calculate mfuel[cycle] using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.076

    (D) If you measure batch emissions and batch CO2 from 
urea, calculate mfuel[cycle] using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.077


[[Page 129]]


    (ii) Manufacturers may choose to measure fuel mass flow rate. 
Calculate the mass of fuel for each duty cycle, mfuel[cycle], 
as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.078

Where:

i = an indexing variable that represents one recorded value.
N = total number of measurements over the duty cycle. For batch fuel 
          mass measurements, set N = 1.
mfueli = the fuel mass flow rate, for each point, i, starting 
          from i = 1.
Dt = 1/frecord
frecord = the data recording frequency.

    Example: 
N = 6680
mfuel1 = 1.856 g/s
mfuel2 = 1.962 g/s
frecord = 10 Hz
Dt = 1/10 = 0.1 s
mfueltransient = (1.856 + 1.962 + . . . + mfuel6680)[middot] 
          0.1
mfueltransient = 111.95 g

    (5) Correct the measured or calculated fuel mass flow rate, 
mfuel, for each test result to a mass-specific net energy 
content of a reference fuel as described in Sec. 1036.535(b)(11), 
replacing with mifuel with mfuel in Eq. 1036.535-
3.
    (6) For engines designed for plug-in hybrid electric vehicles, the 
mass of fuel for each cycle, mfuel[cycle], is the utility 
factor-weighted fuel mass. This is done by calculating mfuel 
for the full charge-depleting and charge-sustaining portions of the test 
and weighting the results, using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.079

Where:

mfuel[cycle],CD = total mass of fuel for all the tests in the 
          charge-depleting portion of the test.
UFDCD = utility factor fraction at distance DCD as 
          determined by interpolating the approved utility factor curve.
mfuel[cycle],CS = total mass of fuel for all the tests in the 
          charge-sustaining portion of the test.
          [GRAPHIC] [TIFF OMITTED] TR25OC16.080
          
Where:

v = vehicle velocity at each time step. For tests completed under this 
          section, v is the vehicle velocity in the GEM duty-cycle file. 
          For tests under 40 CFR 1037.550, v is the vehicle velocity as 
          determined by Eq. 1037.550-1. Note that this

[[Page 130]]

          should include complete and incomplete charge-depleting tests.

    (e) Determine GEM inputs. Use the results of engine testing in 
paragraph (d) of this section to determine the GEM inputs for the 
transient duty cycle and optionally for each of the highway cruise 
cycles corresponding to each simulated vehicle configuration as follows:
    (1) Your declared fuel mass consumption, mfueltransient. 
The declared values may be at or above the values calculated in 
paragraph (d) of this section, as described in Sec. 1036.535(e).
    (2) Engine output speed per unit vehicle speed,
    [GRAPHIC] [TIFF OMITTED] TR25OC16.081
    

by taking the average engine speed measured during the engine test while 
the vehicle is moving and dividing it by the average vehicle speed 
provided by GEM. Note that the engine cycle created by GEM has a flag to 
indicate when the vehicle is moving.
    (3) Positive work determined accordering to 40 CFR 1065, 
Wtransient.
    (4) The following table illustrates the GEM data inputs 
corresponding to the different vehicle configurations:
[GRAPHIC] [TIFF OMITTED] TR25OC16.082



                 Subpart G_Special Compliance Provisions



Sec. 1036.601  What compliance provisions apply?

    (a) Engine and vehicle 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 40 CFR part 1068, and the provisions of the Clean Air Act. 
The provisions of 40 CFR part 1068 apply for heavy-duty highway engines 
as specified in that part, subject to the following provisions:
    (1) The exemption provisions of 40 CFR 1068.201 through 1068.230, 
1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicle 
engines. The other exemption provisions, which are specific to nonroad 
engines, do not apply for heavy-duty vehicles or heavy-duty engines.
    (2) The tampering prohibition in 40 CFR 1068.101(b)(1) applies for 
alternative fuel conversions as specified in 40 CFR part 85, subpart F.
    (3) The warranty-related prohibitions in section 203(a)(4) of the 
Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty 
highway engines in addition to the prohibitions described in 40 CFR 
1068.101(b)(6). We may assess a civil penalty up to $44,539 for each 
engine or vehicle in violation.
    (b) Engines exempted from the applicable standards of 40 CFR part 86 
under the provisions of 40 CFR part 1068 are exempt from the standards 
of this part without request.

[[Page 131]]

    (c) The emergency vehicle field modification provisions of 40 CFR 
85.1716 apply with respect to the standards of this part.
    (d) Subpart C of this part describes how to test and certify dual-
fuel and flexible-fuel engines. Some multi-fuel engines may not fit 
either of those defined terms. For such engines, we will determine 
whether it is most appropriate to treat them as single-fuel engines, 
dual-fuel engines, or flexible-fuel engines based on the range of 
possible and expected fuel mixtures. For example, an engine might burn 
natural gas but initiate combustion with a pilot injection of diesel 
fuel. If the engine is designed to operate with a single fueling 
algorithm (i.e., fueling rates are fixed at a given engine speed and 
load condition), we would generally treat it as a single-fuel engine. In 
this context, the combination of diesel fuel and natural gas would be 
its own fuel type. If the engine is designed to also operate on diesel 
fuel alone, we would generally treat it as a dual-fuel engine. If the 
engine is designed to operate on varying mixtures of the two fuels, we 
would generally treat it as a flexible-fuel engine. To the extent that 
requirements vary for the different fuels or fuel mixtures, we may apply 
the more stringent requirements.



Sec. 1036.605  GHG exemption for engines used in specialty vehicles.

    Engines certified to the alternative standards specified in 40 CFR 
86.007-11 and 86.008-10 for use in specialty vehicles as described in 40 
CFR 1037.605 are exempt from the standards of this part. See 40 CFR part 
1037 for provisions that apply to the vehicle.



Sec. 1036.610  Off-cycle 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. 
While you are not required to prove that such technologies were not in 
common use with heavy-duty vehicles before model year 2010, we will not 
approve your request if we determine that they do not qualify. We will 
apply these provisions only for technologies that will result in a 
measurable, demonstrable, and verifiable real-world CO2 
reduction. Note that prior to model year 2016, these technologies were 
referred to as ``innovative technologies''.
    (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. Note that the term 
``credit'' in this section describes an additive adjustment to emission 
rates and is not equivalent to an emission credit in the ABT program of 
subpart H of this part. 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. Subtract this value from your 
measured emission result and use this adjusted value to determine your 
FEL. 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.

[[Page 132]]

    (c) Send your request to the Designated Compliance Officer. 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. Your request must contain the following items:
    (1) A detailed description of the off-cycle technology and how it 
functions to reduce CO2 emissions under conditions not 
represented on the duty cycles required for certification.
    (2) A list of the engine configurations that will be equipped with 
the technology.
    (3) A detailed description and justification of the selected test 
engines.
    (4) All testing and simulation data required under this section, 
plus any other data you have considered in your analysis. You may ask 
for our preliminary approval of your test plan under Sec. 1036.210.
    (5) A complete description of the methodology used to estimate the 
off-cycle benefit of the technology and all supporting data, including 
engine testing and in-use activity data. Also include a statement 
regarding your recommendation for applying the provisions of this 
section for the given technology as an improvement factor or a credit.
    (6) An estimate of the off-cycle benefit by engine model, and the 
fleetwide benefit based on projected sales of engine models equipped 
with the technology.
    (7) A demonstration of the in-use durability of the off-cycle 
technology, based on any available engineering analysis or durability 
testing data (either by testing components or whole engines).
    (d) We may seek public comment on your request, consistent with the 
provisions of 40 CFR 86.1869-12(d). 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.
    (e) We may approve an improvement factor or credit for any 
configuration that is properly represented by your testing.
    (1) For model years before 2021, you may continue to use an approved 
improvement factor or credit for any appropriate engine families in 
future model years through 2020.
    (2) For model years 2021 and later, you may not rely on an approval 
for model years before 2021. You must separately request our approval 
before applying an improvement factor or credit under this section for 
2021 and later engines, even if we approved an improvement factor or 
credit for similar engine models before model year 2021. Note that 
approvals for model year 2021 and later may carry over for multiple 
years.



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

    This section specifies how to generate advanced-technology 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. This section applies only for model year 2020 
and earlier engines.
    (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. Engines certified with pre-
transmission hybrid powertrains must be certified to meet the diagnostic 
requirements of 40 CFR 86.018-10 with respect to powertrain components 
and systems; if different manufacturers produce the engine and the 
hybrid powertrain, the hybrid powertrain manufacturer may separately 
certify its powertrain relative to diagnostic requirements.
    (b) Rankine engines. Test engines that include Rankine-cycle exhaust 
energy recovery systems according to the test

[[Page 133]]

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(c).
    (d) Off-cycle technologies. You may certify using both the 
provisions of this section and the off-cycle technology provisions of 
Sec. 1036.610, provided you do not double-count emission benefits.



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 in Sec. 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 or families 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 
ramped-modal 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 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 emissions over the ramped-
modal cycle and the transient cycle.
    (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.

[[Page 134]]

    (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 UNDER Sec. 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 of Sec. 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).

    Section 1036.225 describes how to change the FEL for an engine 
family during the model year. This section, which describes how you may 
ask us to increase an engine family's FEL after the end of the model 
year, 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. For example, this may be appropriate where 
we determine that recalling vehicles would not significantly reduce in-
use emissions. We will generally not allow this option where we 
determine the credits being forfeited would likely have expired.
    (a) You may ask us to increase an engine family's FEL after the end 
of the model year if you believe some of your in-use engines exceed the 
CO2 FEL that applied during the model year (or the 
CO2 emission standard if the family did not generate or use 
emission credits). We may consider any available information in making 
our decision to approve or deny your request.
    (b) If we approve your request under this section, you must apply 
emission credits to cover the increased FEL for all affected engines. 
Apply the emission credits as part of your credit demonstration for the 
current production year. Include the appropriate calculations in your 
final report under Sec. 1036.730.
    (c) Submit your request to the Designated Compliance Officer. 
Include the following in your request:
    (1) Identify the names of each engine family that is the subject of 
your request. Include separate family names for different model years.
    (2) Describe why your request does not apply for similar engine 
models or additional model years, as applicable.
    (3) Identify the FEL(s) that applied during the model year and 
recommend a replacement FEL for in-use engines; include a supporting 
rationale to describe how you determined the recommended replacement 
FEL.
    (4) Describe whether the needed emission credits will come from 
averaging, banking, or trading.
    (d) If we approve your request, we will identify the replacement 
FEL. The

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value we select will reflect our best judgment to accurately reflect the 
actual in-use performance of your engines, consistent with the testing 
provisions specified in this part. We may apply the higher FELs to other 
engine families from the same or different model years to the extent 
they used equivalent emission controls. We may include any appropriate 
conditions with our approval.
    (e) If we order a recall for an engine family under 40 CFR 1068.505, 
we will no longer approve a replacement FEL under this section for any 
of your engines from that engine family, or from any other engine family 
that relies on equivalent emission controls.



Sec. 1036.630  Certification of engine GHG emissions for powertrain
testing.

    For engines included in powertrain families under 40 CFR part 1037, 
you may choose to include the corresponding engine emissions in your 
engine families under this part 1036 instead of (or in addition to) the 
otherwise applicable engine fuel maps.
    (a) If you choose to certify powertrain fuel maps in an engine 
family, the declared powertrain emission levels become standards that 
apply for selective enforcement audits and in-use testing. We may 
require that you provide to us the engine test cycle (not normalized) 
corresponding to a given powertrain for each of the specified duty 
cycles.
    (b) If you choose to certify only fuel map emissions for an engine 
family and to not certify emissions over powertrain test cycles under 40 
CFR 1037.550, we will not presume you are responsible for emissions over 
the powertrain cycles. However, where we determine that you are 
responsible in whole or in part for the emission exceedance in such 
cases, we may require that you participate in any recall of the affected 
vehicles. Note that this provision to limit your responsibility does not 
apply if you also hold the certificate of conformity for the vehicle.
    (c) If you split an engine family into subfamilies based on 
different fuel-mapping procedures as described in Sec. 1036.230(e), the 
fuel-mapping procedures you identify for certifying each subfamily also 
apply for selective enforcement audits and in-use testing.



       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 of Sec. 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) The definitions of subpart I of this part apply to this subpart 
in addition to the following definitions:
    (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. See Sec. 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.
    (c) Emission credits may be exchanged only within an averaging set, 
except as specified in Sec. 1036.740.
    (d) 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,

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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.
    (e) You may use either of the following approaches to retire or 
forego emission credits:
    (1) You may retire emission credits generated from any number of 
your engines. This may be considered donating emission credits to the 
environment. Identify any such credits in the reports described in Sec. 
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.
    (2) You may certify an engine family using an FEL (FCL for 
CO2) below the emission standard as described in this part 
and choose not to generate emission credits for that family. If you do 
this, you do not need to calculate emission credits for those engine 
families and you do not need to submit or keep the associated records 
described in this subpart for that family.
    (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 in Sec. 1036.745.
    (g) You may increase or decrease an FCL during the model year by 
amending your application for certification under Sec. 1036.225. The 
new FCL may apply only to engines you have not already introduced into 
commerce.
    (h) See Sec. 1036.740 for special credit provisions that apply for 
greenhouse gas credits generated under 40 CFR 86.1819-14(k)(7) or Sec. 
1036.615 or 40 CFR 1037.615.
    (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 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.
    (j) Credits you generate with compression-ignition engines in 2020 
and earlier model years may be used in model year 2021 and later only if 
the credit-generating engines were certified to the tractor engine 
standards in Sec. 1036.108 and credits were calculated relative to the 
tractor engine standards. You may otherwise use emission credits 
generated in one model year without adjustment for certifying vehicles 
in a later model year, even if emission standards are different.
    (k) Engine families you certify with a nonconformance penalty under 
40 CFR part 86, subpart L, may not generate emission credits.



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

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          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 engines subject to 
          spark-ignition standards and 6.5 miles for engines subject to 
          compression-ignition. 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 ramped-modal 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 engines subject to 
          spark-ignition standards and 6.5 miles for engines subject to 
          compression-ignition standards. This represents the average 
          work performed by tractor engines in the family over the 
          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 standards 
          based on the ramped-modal cycle.
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 under 40 CFR 1037.630 or exempted under 40 CFR 1037.631). We 
will waive this provision 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.
    (5) You may generate CO2 emission credits from a model 
year 2021 or later medium heavy-duty engine family subject to spark-
ignition standards for exchanging with other engine families only if the 
engines in the family are gasoline-fueled. You may generate 
CO2 credits from these engine families only for the purpose 
of offsetting CH4 and/or N2O emissions within the 
same engine family as described in paragraph (d) of this section.
    (c) As described in Sec. 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 under Sec. 1036.5. For example, do not include engines 
used in vehicles certified to the greenhouse gas standards of 40 CFR 
86.1819.
    (4) Any other engines if we indicate elsewhere in this part 1036 
that they are not to be included in the calculations of this subpart.

[[Page 138]]

    (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 34 Mg of positive CO2 credits to offset 1 Mg of 
negative CH4 credits for model year 2021 and later engines, 
and you must use 25 Mg of positive CO2 credits to offset 1 Mg 
of negative CH4 credits for earlier engines. 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, except as specified in Sec. 1036.740.
    (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 under Sec. 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 in Sec. 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 in Sec. 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.
    (b) You may designate any emission credits you plan to bank in the 
reports you submit under Sec. 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. 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. See Sec. 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. See Sec. 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

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part, including the FEL caps. FELs/FCLs 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 under Sec. 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 by March 
31 following the end of the model year and a final report by September 
30 following the end of the model year. We may waive the requirement to 
send an end-of-year report.
    (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 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 in Sec. 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 under Sec. 1036.745. Your 
credit tracking must account for the limitation on credit life under 
Sec. 1036.740(d).
    (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 averaging set corresponding to the engine families that 
generated emission credits for the trade, including the number of 
emission credits from each averaging set.
    (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 for each averaging set.
    (e) Send your reports electronically to the Designated Compliance 
Officer using an approved information format. If you want to use a 
different format,

[[Page 140]]

send us a written request with justification for a waiver.
    (f) Correct errors in your end-of-year 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 any time 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.
    (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 the following 
averaging sets:
    (1) Engines subject to spark-ignition standards.
    (2) Light heavy-duty engines subject to compression-ignition 
standards.
    (3) Medium heavy-duty engines subject to compression-ignition 
standards.
    (4) 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. 
Credits you generate under Sec. 1036.615 may be used for any of the 
averaging sets identified in paragraph (a) of this section; you may also 
use those credits to demonstrate compliance with the CO2 
emission standards in 40 CFR 86.1819 and 40 CFR part 1037. Similarly, 
you may use Phase 1 advanced-technology credits generated under 40 CFR 
86.1819-14(k)(7) or 40 CFR 1037.615 to demonstrate compliance with the 
CO2 standards in this part. In the case of engines subject to 
spark-ignition standards and compression-ignition light heavy-duty 
engines, you may not use more than 60,000 Mg of credits from other 
averaging sets in any model year.
    (1) The maximum amount of CO2 credits you may bring into 
the following service class groups is 60,000 Mg per model year:
    (i) Engines subject to spark-ignition standards, 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

[[Page 141]]

averaging set listed in 40 CFR 1037.740(a)(1).
    (ii) Medium heavy-duty engines subject to compression-ignition 
standards 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 engines subject to compression-ignition 
standards 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) Paragraph (c)(1) of this section does not limit the 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 may be used only for five model years after 
the year in which they are generated. For example, credits you generate 
in model year 2018 may be used to demonstrate compliance with emission 
standards only through model year 2023.
    (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) You must notify us in writing how you plan to eliminate the 
credit deficit within the specified time frame. If we determine that 
your plan is unreasonable or unrealistic, we may deny an application for 
certification for a vehicle family if its FEL would increase your credit 
deficit. We may determine that your plan is unreasonable or unrealistic 
based on a consideration of past and projected use of specific 
technologies, the historical sales mix of your vehicle models, your 
commitment to limit production of higher-emission vehicles, and expected 
access to traded credits. We may also consider your plan unreasonable if 
your credit deficit increases from one model year to the next. We may 
require that you send us interim reports describing your progress toward 
resolving your credit deficit over the course of a model year.
    (e) 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 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.
    (f) For purposes of calculating the statute of limitations, the 
following actions are all considered to occur at the expiration of the 
deadline for offsetting a deficit 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 a deficit.
    (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 a deficit.

[[Page 142]]



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. See Sec. 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 (see Sec. 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 under 40 CFR 86.1819-
14(k)(7), Sec. 1036.615, or 40 CFR 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 more than 
100 feet above the ground.
    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 in Sec. 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.
    Carryover means relating to certification based on emission data 
generated from an earlier model year as described in Sec. 1036.235(d).
    Certification means relating to the process of obtaining a 
certificate of conformity for an engine family that

[[Page 143]]

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 vehicle 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. Note 
that Sec. 1036.1 also deems gas turbine engines and other engines to be 
compression-ignition engines.
    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 one of the following:
    (1) For engines subject to compression-ignition standards, 
Designated Compliance Officer means Director, Diesel Engine Compliance 
Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann 
Arbor, MI 48105; [email protected]; epa.gov/otaq/verify.
    (2) For engines subject to spark-ignition standards, Designated 
Compliance Officer means Director, Gasoline Engine Compliance Center, 
U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, 
MI 48105; [email protected]; epa.gov/otaq/verify.
    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.
    Diesel exhaust fluid (DEF) means a liquid reducing agent (other than 
the engine fuel) used in conjunction with selective catalytic reduction 
to reduce NOX emissions. Diesel exhaust fluid is generally 
understood to be an aqueous solution of urea conforming to the 
specifications of ISO 22241.
    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 
(see Sec. 1036.601(d)). For purposes of this part, such an engine 
remains a dual-fuel engine even if it is designed for operation on three 
or more different 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

[[Page 144]]

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 in Sec. 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.
    (2) Certain heavy-duty engines are excluded from the requirements of 
this part under Sec. 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 (see Sec. 
1036.601(d)).
    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 means one or more compounds regulated under this part 
based primarily on their impact on the climate. This generally includes 
CO2, CH4, and N2O.
    Greenhouse gas Emissions Model (GEM) means the GEM simulation tool 
described in 40 CFR 1037.520. Note that an updated version of GEM 
applies starting in model year 2021.
    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 or a 
gas turbine 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 and Basic 
vehicle frontal area have the meaning given in 40 CFR 86.1803.

[[Page 145]]

    Hybrid means relating to 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 different 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 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 (or 
otherwise delivered to another entity) as a vehicle.
    Innovative technology means technology certified under Sec. 
1036.610 (also described as ``off-cycle technology'').
    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. Note that, although 
this commercial term includes the word ``petroleum'', LPG is not 
considered to be a petroleum fuel under the definitions of this section.
    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 or assembles 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 has the meaning given in the Act. This 
generally means a motor vehicle engine meeting the criteria of either 
paragraph (1), (2), or (3) 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.
    (3) Any motor vehicle engine installed in a new motor vehicle.
    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.

[[Page 146]]

    Nonmethane hydrocarbon (NMHC) means the sum of all hydrocarbon 
species except methane, as measured according to 40 CFR part 1065.
    Nonmethane hydrocarbon equivalent (NMHCE) has the meaning given in 
40 CFR 1065.1001.
    Off-cycle technology means technology certified under Sec. 1036.610 
(also described as ``innovative technology'').
    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 or other adjustment factors.
    Owners 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 owners 
manual is typically provided to the ultimate purchaser at the time of 
sale. The owners manual may be in paper or electronic format.
    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 figures. For 
example, one percent of 1,493 is 14.93.
    Placed into service means put into initial use for its intended 
purpose, excluding incidental use by the manufacturer or a dealer.
    Preliminary approval means approval granted by an authorized EPA 
representative prior to submission of an application for certification, 
consistent with the provisions of Sec. 1036.210.
    Primary intended service class has the meaning given in Sec. 
1036.140.
    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.
    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.
    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. The employee and revenue limits apply to 
the total number of employees and total revenue together for affiliated 
companies. Note that manufacturers with low production volumes may or 
may not be ``small manufacturers''.
    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

[[Page 147]]

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.
    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.



Sec. 1036.805  Symbols, abbreviations, and acronyms.

    The procedures in this part generally follow either the 
International System of Units (SI) or the United States customary units, 
as detailed in NIST Special Publication 811 (incorporated by reference 
in Sec. 1036.810). See 40 CFR 1065.20 for specific provisions related 
to these conventions. This section summarizes the way we use symbols, 
units of measure, and other abbreviations.
    (a) Symbols for chemical species. This part uses the following 
symbols for chemical species and exhaust constituents:

------------------------------------------------------------------------
                  Symbol                               Species
------------------------------------------------------------------------
C.........................................  carbon.
CH4.......................................  methane.
CH4N2O....................................  urea.
CO........................................  carbon monoxide.
CO2.......................................  carbon dioxide.
H2O.......................................  water.
HC........................................  hydrocarbon.
NMHC......................................  nonmethane hydrocarbon.
NMHCE.....................................  nonmethane hydrocarbon
                                             equivalent.
NO........................................  nitric oxide.
NO2.......................................  nitrogen dioxide.
NOX.......................................  oxides of nitrogen.
N2O.......................................  nitrous oxide.
PM........................................  particulate matter.
------------------------------------------------------------------------

    (b) Symbols for quantities. This part uses the following symbols and 
units of measure for various quantities:

----------------------------------------------------------------------------------------------------------------
                                                                                           Unit in  terms of  SI
            Symbol                   Quantity             Unit            Unit symbol           base  units
----------------------------------------------------------------------------------------------------------------
a.............................  atomic hydrogen-   mole per mole....  mol/mol...........  1.
                                 to-carbon ratio.
b.............................  atomic oxygen-to-  mole per mole....  mol/mol...........  1.
                                 carbon ratio.
CdA...........................  drag area........  meter squared....  m\2\..............  m\2\.
Crr...........................  coefficient of     kilogram per       kg/tonne..........  10-\3\.
                                 rolling            metric ton.
                                 resistance.
D.............................  distance.........  miles or meters..  mi or m...........  m.
e.............................  mass weighted      grams/ton-mile...  g/ton-mi..........  g/kg-km.
                                 emission result.
Eff...........................  efficiency.
Em............................  mass-specific net  megajoules/        MJ/kg.............  m\2\[middot] s-\2\.
                                 energy content.    kilogram.
fn............................  angular speed      revolutions per    r/min.............  [Pi] [middot]
                                 (shaft).           minute.                                30[middot] s-\1\.
i.............................  indexing
                                 variable.
ka............................  drive axle ratio.
ktopgear......................  highest available
                                 transmission
                                 gear.
m.............................  mass.............  pound mass or      lbm or kg.........  kg.
                                                    kilogram.
M.............................  molar mass.......  gram per mole....  g/mol.............  10-\3\[middot]
                                                                                           kg[middot] mol-\1\.
M.............................  vehicle mass.....  kilogram.........  kg................  kg.

[[Page 148]]

 
Mrotating.....................  inertial mass of   kilogram.........  kg................  kg.
                                 rotating
                                 components.
N.............................  total number in a
                                 series.
P.............................  power............  kilowatt.........  kW................  10\3\[middot]
                                                                                           m\2\[middot]
                                                                                           kg[middot] s-\3\.
T.............................  torque (moment of  newton meter.....  N[middot] m.......  m\2\[middot]
                                 force).                                                   kg[middot] s-\2\.
t.............................  time.............  second...........  s.................  s.
Dt............................  time interval,     second...........  s.................  s.
                                 period, 1/
                                 frequency.
UF............................  utility factor.
v.............................  speed............  miles per hour or  mi/hr or m/s......  m[middot] s-\1\.
                                                    meters per
                                                    second.
W.............................  work.............  kilowatt-hour....  kW[middot] hr.....  3.6[middot]
                                                                                           m\2\[middot]
                                                                                           kg[middot] s-\1\.
wC............................  carbon mass        gram/gram........  g/g...............  1.
                                 fraction.
wCH4N2O.......................  urea mass          gram/gram........  g/g...............  1.
                                 fraction.
x.............................  amount of          mole per mole....  mol/mol...........  1.
                                 substance mole
                                 fraction.
xb............................  brake energy
                                 fraction.
xbl...........................  brake energy
                                 limit.
----------------------------------------------------------------------------------------------------------------

    (c) Superscripts. This part uses the following superscripts to 
define a quantity:

------------------------------------------------------------------------
                Superscript                           Quantity
------------------------------------------------------------------------
overbar (such as y).......................  arithmetic mean.
overdot overdot (such as y)...............  quantity per unit time.
------------------------------------------------------------------------

    (d) Subscripts. This part uses the following subscripts to define a 
quantity:

------------------------------------------------------------------------
               Subscript                             Quantity
------------------------------------------------------------------------
65.....................................  65 miles per hour.
A......................................  A speed.
acc....................................  accessory.
app....................................  approved.
axle...................................  axle.
B......................................  B speed.
C......................................  C speed.
Ccombdry...............................  carbon from fuel per mole of
                                          dry exhaust.
CD.....................................  charge-depleting.
CO2DEF.................................  CO2 resulting from diesel
                                          exhaust fluid decomposition.
comb...................................  combustion.
cor....................................  corrected.
CS.....................................  charge-sustaining.
cycle..................................  test cycle.
DEF....................................  diesel exhaust fluid.
engine.................................  engine.
exh....................................  raw exhaust.
fuel...................................  fuel.
H2Oexhaustdry..........................  H2O in exhaust per mole of
                                          exhaust.
hi.....................................  high.
i......................................  an individual of a series.
idle...................................  idle.
m......................................  mass.
max....................................  maximum.
mapped.................................  mapped.
meas...................................  measured quantity.
neg....................................  negative.
pos....................................  positive.
record.................................  record.
ref....................................  reference quantity.
speed..................................  speed.
stall..................................  stall.
test...................................  test.
tire...................................  tire.
transient..............................  transient.
vehicle................................  vehicle.
------------------------------------------------------------------------

    (e) Other acronyms and abbreviations. This part uses the following 
additional abbreviations and acronyms:

ABT averaging, banking, and trading
AECD auxiliary emission control device
ASTM American Society for Testing and Materials
BTU British thermal units
CD charge-depleting
CFR Code of Federal Regulations
CI compression ignition
CS charge-sustaining
DF deterioration factor
DOT Department of Transportation
E85 gasoline blend including nominally 85 percent denatured ethanol
EPA Environmental Protection Agency
FCL Family Certification Level
FEL Family Emission Limit
GEM Greenhouse gas Emissions Model
g/hp-hr grams per brake horsepower-hour
GVWR gross vehicle weight rating
LPG liquefied petroleum gas
NARA National Archives and Records Administration
NHTSA National Highway Traffic Safety Administration
NTE not-to-exceed
RESS rechargeable energy storage system
RMC ramped-modal cycle

[[Page 149]]

rpm revolutions per minute
SCR Selective catalytic reduction
SI spark ignition
U.S. United States
U.S.C. United States Code

    (f) Prefixes. This part uses the following prefixes to define a 
quantity:

------------------------------------------------------------------------
               Symbol                       Quantity            Value
------------------------------------------------------------------------
[micro]............................  micro.................         10-6
m..................................  milli.................         10-3
c..................................  centi.................         10-2
k..................................  kilo..................        10\3\
M..................................  mega..................        10\6\
------------------------------------------------------------------------


[81 FR 74011, Oct. 25, 2016; 82 FR 29761, June 30, 2017]



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 document 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, (877) 909-2786, 
http://www.astm.org/.
    (1) ASTM D4809-13 Standard Test Method for Heat of Combustion of 
Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), 
approved May 1, 2013, (``ASTM D4809''), IBR approved for Sec. 
1036.530(b).
    (2) [Reserved]
    (c) National Institute of Standards and Technology, 100 Bureau 
Drive, Stop 1070, Gaithersburg, MD 20899-1070, (301) 975-6478, or 
www.nist.gov.
    (1) NIST Special Publication 811, Guide for the Use of the 
International System of Units (SI), 2008 Edition, March 2008, IBR 
approved for Sec. 1036.805.
    (2) [Reserved]



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 are expected to keep your 
own copy of required records rather than relying on someone else to keep 
records on your behalf. 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 in Sec. 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.

[[Page 150]]

    (c) Send all reports and requests for approval to the Designated 
Compliance Officer (see Sec. 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 
vehicles regulated under this part:
    (1) We specify the following requirements related to engine 
certification in this part 1036:
    (i) In Sec. 1036.135 we require engine manufacturers to keep 
certain records related to duplicate labels sent to vehicle 
manufacturers.
    (ii) In Sec. 1036.150 we include various reporting and 
recordkeeping requirements related to interim provisions.
    (iii) In subpart C of this part we identify a wide range of 
information required to certify engines.
    (iv) 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.
    (v) 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 1065:
    (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 the specific information and 
data items to record when measuring emissions.
    (3) We specify the following requirements related to the general 
compliance provisions in 40 CFR part 1068:
    (i) In 40 CFR 1068.5 we establish a process for evaluating good 
engineering judgment related to testing and certification.
    (ii) In 40 CFR 1068.25 we describe general provisions related to 
sending and keeping information
    (iii) In 40 CFR 1068.27 we require manufacturers to make engines 
available for our testing or inspection if we make such a request.
    (iv) In 40 CFR 1068.105 we require vehicle manufacturers to keep 
certain records related to duplicate labels from engine manufacturers.
    (v) In 40 CFR 1068.120 we specify recordkeeping related to 
rebuilding engines.
    (vi) In 40 CFR part 1068, subpart C, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to various exemptions.
    (vii) In 40 CFR part 1068, subpart D, we identify several reporting 
and recordkeeping items for making demonstrations and getting approval 
related to importing engines.
    (viii) In 40 CFR 1068.450 and 1068.455 we specify certain records 
related to testing production-line engines in a selective enforcement 
audit.
    (ix) In 40 CFR 1068.501 we specify certain records related to 
investigating and reporting emission-related defects.
    (x) In 40 CFR 1068.525 and 1068.530 we specify certain records 
related to recalling nonconforming engines.
    (xi) In 40 CFR part 1068, subpart G, we specify certain records for 
requesting a hearing.



   Sec. Appendix I to Part 1036 -- Default Engine Fuel Maps for Sec. 
                                1036.540

    This appendix includes default steady-state fuel maps for performing 
cycle-average engine fuel mapping as described in Sec. Sec. 1036.535 
and 1036.540.
    (a) Use the following default fuel map for compression-ignition 
engines that will be installed in Tractors and Vocational Heavy HDV:

[[Page 151]]



------------------------------------------------------------------------
                                                   Engine
                                                   torque     Fuel mass
             Engine speed (r/min)                (N[middot]    rate (g/
                                                     m)          sec)
------------------------------------------------------------------------
666.7.........................................            0        0.436
833.3.........................................            0        0.665
1000..........................................            0         0.94
1166.7........................................            0        1.002
1333.3........................................            0         1.17
1500..........................................            0          1.5
1666.7........................................            0        1.899
1833.3........................................            0        2.378
2000..........................................            0         2.93
2166.7........................................            0        3.516
2333.3........................................            0        4.093
2500..........................................            0        4.672
500...........................................          300        0.974
666.7.........................................          300        1.405
833.3.........................................          300        1.873
1000..........................................          300        2.324
1166.7........................................          300        2.598
1333.3........................................          300        2.904
1500..........................................          300        3.397
1666.7........................................          300        3.994
1833.3........................................          300        4.643
2000..........................................          300        5.372
2166.7........................................          300        6.141
2333.3........................................          300        7.553
2500..........................................          300        8.449
500...........................................          600        1.723
666.7.........................................          600        2.391
833.3.........................................          600        3.121
1000..........................................          600        3.756
1166.7........................................          600        4.197
1333.3........................................          600        4.776
1500..........................................          600        5.492
1666.7........................................          600        6.277
1833.3........................................          600        7.129
2000..........................................          600        8.069
2166.7........................................          600        9.745
2333.3........................................          600       11.213
2500..........................................          600        12.59
500...........................................          900        2.637
666.7.........................................          900        3.444
833.3.........................................          900        4.243
1000..........................................          900        4.997
1166.7........................................          900        5.802
1333.3........................................          900        6.702
1500..........................................          900        7.676
1666.7........................................          900          8.7
1833.3........................................          900        9.821
2000..........................................          900        11.08
2166.7........................................          900       13.051
2333.3........................................          900       15.002
2500..........................................          900       16.862
500...........................................         1200        3.833
666.7.........................................         1200        4.679
833.3.........................................         1200        5.535
1000..........................................         1200        6.519
1166.7........................................         1200        7.603
1333.3........................................         1200        8.735
1500..........................................         1200        9.948
1666.7........................................         1200       11.226
1833.3........................................         1200       12.622
2000..........................................         1200       14.228
2166.7........................................         1200       16.488
2333.3........................................         1200       18.921
2500..........................................         1200       21.263
500...........................................         1500        6.299
666.7.........................................         1500        6.768
833.3.........................................         1500         6.95
1000..........................................         1500        8.096
1166.7........................................         1500        9.399
1333.3........................................         1500       10.764
1500..........................................         1500       12.238
1666.7........................................         1500       13.827
1833.3........................................         1500       15.586
2000..........................................         1500       17.589
2166.7........................................         1500       20.493
2333.3........................................         1500       23.366
2500..........................................         1500       26.055
500...........................................         1800        9.413
666.7.........................................         1800        9.551
833.3.........................................         1800        8.926
1000..........................................         1800        9.745
1166.7........................................         1800        11.26
1333.3........................................         1800       12.819
1500..........................................         1800       14.547
1666.7........................................         1800       16.485
1833.3........................................         1800       18.697
2000..........................................         1800       21.535
2166.7........................................         1800       24.981
2333.3........................................         1800       28.404
2500..........................................         1800       31.768
500...........................................         2100       13.128
666.7.........................................         2100       12.936
833.3.........................................         2100       12.325
1000..........................................         2100       11.421
1166.7........................................         2100       13.174
1333.3........................................         2100       14.969
1500..........................................         2100       16.971
1666.7........................................         2100       19.274
1833.3........................................         2100        22.09
2000..........................................         2100       25.654
2166.7........................................         2100       29.399
2333.3........................................         2100       32.958
2500..........................................         2100       36.543
500...........................................         2400       17.446
666.7.........................................         2400       16.922
833.3.........................................         2400       15.981
1000..........................................         2400       14.622
1166.7........................................         2400       15.079
1333.3........................................         2400       17.165
1500..........................................         2400       19.583
1666.7........................................         2400       22.408
1833.3........................................         2400       25.635
2000..........................................         2400        29.22
2166.7........................................         2400       33.168
2333.3........................................         2400       37.233
2500..........................................         2400       41.075
500...........................................         2700       22.365
666.7.........................................         2700       21.511
833.3.........................................         2700       20.225
1000..........................................         2700       17.549
1166.7........................................         2700       17.131
1333.3........................................         2700       19.588
1500..........................................         2700       22.514
1666.7........................................         2700       25.574
1833.3........................................         2700       28.909
2000..........................................         2700       32.407
2166.7........................................         2700        36.18
2333.3........................................         2700       40.454
2500..........................................         2700       44.968
500...........................................         3000       27.476
666.7.........................................         3000       22.613
833.3.........................................         3000       19.804
1000..........................................         3000       17.266
1166.7........................................         3000       19.197
1333.3........................................         3000       22.109
1500..........................................         3000       25.288
1666.7........................................         3000        28.44
1833.3........................................         3000       31.801
2000..........................................         3000       35.405
2166.7........................................         3000       39.152
2333.3........................................         3000       42.912
2500..........................................         3000       47.512
------------------------------------------------------------------------


[[Page 152]]

    (b) Use the following default fuel map for compression-ignition 
engines that will be installed in Vocational Light HDV and Medium HDV:

------------------------------------------------------------------------
                                                   Engine
                                                   torque     Fuel mass
             Engine speed (r/min)                (N[middot]    rate (g/
                                                     m)          sec)
------------------------------------------------------------------------
708.3.........................................            0        0.255
916.7.........................................            0        0.263
1125..........................................            0        0.342
1333.3........................................            0        0.713
1541.7........................................            0        0.885
1750..........................................            0        1.068
1958.3........................................            0         1.27
2166.7........................................            0        1.593
2375..........................................            0        1.822
2583.3........................................            0        2.695
2791.7........................................            0        4.016
3000..........................................            0        5.324
500...........................................          120        0.515
708.3.........................................          120        0.722
916.7.........................................          120        0.837
1125..........................................          120        1.097
1333.3........................................          120        1.438
1541.7........................................          120        1.676
1750..........................................          120        1.993
1958.3........................................          120         2.35
2166.7........................................          120        2.769
2375..........................................          120        3.306
2583.3........................................          120        4.004
2791.7........................................          120         4.78
3000..........................................          120        5.567
500...........................................          240        0.862
708.3.........................................          240        1.158
916.7.........................................          240        1.462
1125..........................................          240         1.85
1333.3........................................          240        2.246
1541.7........................................          240        2.603
1750..........................................          240        3.086
1958.3........................................          240        3.516
2166.7........................................          240        4.093
2375..........................................          240        4.726
2583.3........................................          240        5.372
2791.7........................................          240        6.064
3000..........................................          240        6.745
500...........................................          360        1.221
708.3.........................................          360        1.651
916.7.........................................          360        2.099
1125..........................................          360         2.62
1333.3........................................          360        3.116
1541.7........................................          360        3.604
1750..........................................          360        4.172
1958.3........................................          360        4.754
2166.7........................................          360        5.451
2375..........................................          360         6.16
2583.3........................................          360        7.009
2791.7........................................          360        8.007
3000..........................................          360        8.995
500...........................................          480        1.676
708.3.........................................          480        2.194
916.7.........................................          480         2.76
1125..........................................          480        3.408
1333.3........................................          480        4.031
1541.7........................................          480        4.649
1750..........................................          480        5.309
1958.3........................................          480        6.052
2166.7........................................          480        6.849
2375..........................................          480        7.681
2583.3........................................          480        8.783
2791.7........................................          480       10.073
3000..........................................          480        11.36
500...........................................          600        2.147
708.3.........................................          600        2.787
916.7.........................................          600        3.478
1125..........................................          600        4.227
1333.3........................................          600        4.999
1541.7........................................          600        5.737
1750..........................................          600        6.511
1958.3........................................          600        7.357
2166.7........................................          600        8.289
2375..........................................          600        9.295
2583.3........................................          600       10.541
2791.7........................................          600       11.914
3000..........................................          600       13.286
500...........................................          720        2.744
708.3.........................................          720        3.535
916.7.........................................          720        4.356
1125..........................................          720        5.102
1333.3........................................          720        5.968
1541.7........................................          720        6.826
1750..........................................          720        7.733
1958.3........................................          720        8.703
2166.7........................................          720        9.792
2375..........................................          720       10.984
2583.3........................................          720       12.311
2791.7........................................          720       13.697
3000..........................................          720       15.071
500...........................................          840        3.518
708.3.........................................          840        4.338
916.7.........................................          840        5.186
1125..........................................          840        6.063
1333.3........................................          840        6.929
1541.7........................................          840        7.883
1750..........................................          840         8.94
1958.3........................................          840       10.093
2166.7........................................          840       11.329
2375..........................................          840       12.613
2583.3........................................          840       13.983
2791.7........................................          840       15.419
3000..........................................          840       16.853
500...........................................          960        4.251
708.3.........................................          960        5.098
916.7.........................................          960        5.974
1125..........................................          960        6.917
1333.3........................................          960        7.889
1541.7........................................          960        8.913
1750..........................................          960       10.152
1958.3........................................          960       11.482
2166.7........................................          960        12.87
2375..........................................          960       14.195
2583.3........................................          960       15.562
2791.7........................................          960       16.995
3000..........................................          960       18.492
500...........................................         1080        4.978
708.3.........................................         1080        5.928
916.7.........................................         1080        6.877
1125..........................................         1080        7.827
1333.3........................................         1080        8.838
1541.7........................................         1080         9.91
1750..........................................         1080       11.347
1958.3........................................         1080        12.85
2166.7........................................         1080       14.398
2375..........................................         1080       15.745
2583.3........................................         1080       17.051
2791.7........................................         1080       18.477
3000..........................................         1080       19.971
500...........................................         1200        5.888
708.3.........................................         1200        6.837
916.7.........................................         1200        7.787
1125..........................................         1200        8.736
1333.3........................................         1200        9.786
1541.7........................................         1200       10.908
1750..........................................         1200       12.541
1958.3........................................         1200       14.217
2166.7........................................         1200       15.925
2375..........................................         1200         17.3

[[Page 153]]

 
2583.3........................................         1200       18.606
2791.7........................................         1200       19.912
3000..........................................         1200       21.357
------------------------------------------------------------------------

    (c) Use the following default fuel map for all spark-ignition 
engines:

------------------------------------------------------------------------
                                                   Engine
                                                   torque     Fuel mass
             Engine speed (r/min)                (N[middot]    rate (g/
                                                     m)          sec)
------------------------------------------------------------------------
875...........................................            0        0.535
1250..........................................            0        0.734
1625..........................................            0        0.975
2000..........................................            0        1.238
2375..........................................            0        1.506
2750..........................................            0        1.772
3125..........................................            0         2.07
3500..........................................            0        2.394
3875..........................................            0        2.795
4250..........................................            0        3.312
4625..........................................            0        3.349
5000..........................................            0        3.761
500...........................................           65        0.458
875...........................................           65        0.759
1250..........................................           65        1.065
1625..........................................           65         1.43
2000..........................................           65        1.812
2375..........................................           65         2.22
2750..........................................           65         2.65
3125..........................................           65        3.114
3500..........................................           65        3.646
3875..........................................           65        4.225
4250..........................................           65        4.861
4625..........................................           65        5.328
5000..........................................           65        6.028
500...........................................          130        0.666
875...........................................          130        1.063
1250..........................................          130        1.497
1625..........................................          130        1.976
2000..........................................          130        2.469
2375..........................................          130        3.015
2750..........................................          130         3.59
3125..........................................          130        4.218
3500..........................................          130          4.9
3875..........................................          130        5.652
4250..........................................          130        6.484
4625..........................................          130        7.308
5000..........................................          130        8.294
500...........................................          195        0.856
875...........................................          195        1.377
1250..........................................          195        1.923
1625..........................................          195        2.496
2000..........................................          195        3.111
2375..........................................          195        3.759
2750..........................................          195         4.49
3125..........................................          195        5.269
3500..........................................          195         6.13
3875..........................................          195        7.124
4250..........................................          195        8.189
4625..........................................          195        9.288
5000..........................................          195       10.561
500...........................................          260        1.079
875...........................................          260        1.716
1250..........................................          260        2.373
1625..........................................          260        3.083
2000..........................................          260        3.832
2375..........................................          260        4.599
2750..........................................          260        5.443
3125..........................................          260        6.391
3500..........................................          260        7.444
3875..........................................          260        8.564
4250..........................................          260        9.821
4625..........................................          260       11.268
5000..........................................          260       12.828
500...........................................          325        1.354
875...........................................          325         2.06
1250..........................................          325        2.844
1625..........................................          325        3.696
2000..........................................          325        4.579
2375..........................................          325        5.466
2750..........................................          325        6.434
3125..........................................          325        7.542
3500..........................................          325        8.685
3875..........................................          325        9.768
4250..........................................          325       11.011
4625..........................................          325       13.249
5000..........................................          325       15.095
500...........................................          390        1.609
875...........................................          390         2.44
1250..........................................          390        3.317
1625..........................................          390         4.31
2000..........................................          390        5.342
2375..........................................          390        6.362
2750..........................................          390        7.489
3125..........................................          390        8.716
3500..........................................          390        9.865
3875..........................................          390       10.957
4250..........................................          390       12.405
4625..........................................          390       15.229
5000..........................................          390       17.363
500...........................................          455        2.245
875...........................................          455        2.969
1250..........................................          455        3.867
1625..........................................          455        4.992
2000..........................................          455        6.215
2375..........................................          455        7.415
2750..........................................          455         8.76
3125..........................................          455       10.175
3500..........................................          455        11.53
3875..........................................          455       12.889
4250..........................................          455       14.686
4625..........................................          455       17.243
5000..........................................          455       19.633
500...........................................          520        3.497
875...........................................          520        4.444
1250..........................................          520        5.084
1625..........................................          520        5.764
2000..........................................          520        7.205
2375..........................................          520        8.597
2750..........................................          520       10.135
3125..........................................          520       11.708
3500..........................................          520       12.962
3875..........................................          520       14.225
4250..........................................          520       15.647
4625..........................................          520       17.579
5000..........................................          520       20.031
500...........................................          585        5.179
875...........................................          585        5.962
1250..........................................          585          5.8
1625..........................................          585        6.341
2000..........................................          585        7.906
2375..........................................          585        9.452
2750..........................................          585       10.979
3125..........................................          585       13.019
3500..........................................          585       13.966
3875..........................................          585       15.661
4250..........................................          585       16.738
4625..........................................          585       17.935
5000..........................................          585       19.272
500...........................................          650        6.834
875...........................................          650        7.316
1250..........................................          650        5.632
1625..........................................          650        6.856

[[Page 154]]

 
2000..........................................          650        8.471
2375..........................................          650       10.068
2750..........................................          650       11.671
3125..........................................          650       14.655
3500..........................................          650       14.804
3875..........................................          650       16.539
4250..........................................          650       18.415
4625..........................................          650       19.152
5000..........................................          650        20.33
------------------------------------------------------------------------



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



                  Subpart A_Overview and Applicability

Sec.
1037.1 Applicability.
1037.2 Who is responsible for compliance?
1037.5 Excluded vehicles.
1037.10 How is this part organized?
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.
1037.103 Evaporative and refueling emission standards.
1037.104 Exhaust emission standards for chassis-certified heavy-duty 
          vehicles at or below 14,000 pounds GVWR.
1037.105 CO2 emission standards for vocational vehicles.
1037.106 Exhaust emission standards for tractors above 26,000 pounds 
          GVWR.
1037.107 Emission standards for trailers.
1037.115 Other requirements.
1037.120 Emission-related warranty requirements.
1037.125 Maintenance instructions and allowable maintenance.
1037.130 Assembly instructions for secondary vehicle manufacturers.
1037.135 Labeling.
1037.140 Classifying vehicles and determining vehicle parameters.
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.
1037.211 Preliminary approval for manufacturers of aerodynamic devices.
1037.220 Amending maintenance instructions.
1037.225 Amending applications for certification.
1037.230 Vehicle families, sub-families, and configurations.
1037.231 Powertrain families.
1037.232 Axle and transmission families.
1037.235 Testing requirements for certification.
1037.241 Demonstrating compliance with exhaust emission standards for 
          greenhouse gas pollutants.
1037.243 Demonstrating compliance with evaporative emission standards.
1037.250 Reporting and recordkeeping.
1037.255 What decisions may EPA make regarding my certificate of 
          conformity?

            Subpart D_Testing Production Vehicles and Engines

1037.301 Overview of measurements related to GEM inputs in a selective 
          enforcement audit.
1037.305 Audit procedures for tractors--aerodynamic testing.
1037.310 Audit procedures for trailers.
1037.315 Audit procedures related to powertrain testing.
1037.320 Audit procedures for axles and transmissions.

                        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.
1037.515 Determining CO2 emissions to show compliance for 
          trailers.
1037.520 Modeling CO2 emissions to show compliance for 
          vocational vehicles and tractors.
1037.525 Aerodynamic measurements for tractors.
1037.526 Aerodynamic measurements for trailers.
1037.527 Aerodynamic measurements for vocational vehicles.
1037.528 Coastdown procedures for calculating drag area 
          (CdA).
1037.530 Wind-tunnel procedures for calculating drag area 
          (CdA).
1037.532 Using computational fluid dynamics to calculate drag area 
          (CdA).
1037.534 Constant-speed procedure for calculating drag area 
          (CdA).
1037.540 Special procedures for testing vehicles with hybrid power take-
          off.
1037.550 Powertrain testing.
1037.551 Engine-based simulation of powertrain testing.
1037.555 Special procedures for testing Phase 1 hybrid systems.

[[Page 155]]

1037.560 Axle efficiency test.
1037.565 Transmission efficiency test.

                 Subpart G_Special Compliance Provisions

1037.601 General compliance provisions.
1037.605 Installing engines certified to alternate standards for 
          specialty vehicles.
1037.610 Vehicles with off-cycle technologies.
1037.615 Advanced technologies.
1037.620 Responsibilities for multiple manufacturers.
1037.621 Delegated assembly.
1037.622 Shipment of partially complete vehicles to secondary vehicle 
          manufacturers.
1037.630 Special purpose tractors.
1037.631 Exemption for vocational vehicles intended for off-road use.
1037.635 Glider kits and glider vehicles.
1037.640 Variable vehicle speed limiters.
1037.645 In-use compliance with family emission limits (FELs).
1037.655 Post-useful life vehicle modifications.
1037.660 Idle-reduction technologies.
1037.665 Production and in-use tractor testing.
1037.670 Optional CO2 emission standards for tractors at or 
          above 120,000 pounds GCWR.

       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, abbreviations, and acronyms.
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 Test Cycle
Appendix II to Part 1037--Power Take-Off Test Cycle
Appendix III to Part 1037--Emission Control Identifiers
Appendix IV to Part 1037--Heavy-duty Grade Profile for Phase 2 Steady-
          State Test Cycles
Appendix V to Part 1037--Power Take-Off Utility Factors

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

    Source: 81 FR 74048, Oct. 25, 2016, unless otherwise noted.



Sec. 1037.1  Applicability.

    (a) 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, perfluorocarbons, and sulfur hexafluoride. The 
regulations in this part 1037 apply for all new heavy-duty vehicles, 
except as provided in Sec. Sec. 1037.5 and 1037.104. This includes 
electric vehicles and vehicles fueled by conventional and alternative 
fuels. This also includes certain trailers as described in Sec. Sec. 
1037.5, 1037.150, and 1037.801.
    (b) The provisions of this part apply for alternative fuel 
conversions as specified in 40 CFR part 85, subpart F.



Sec. 1037.2  Who is responsible for compliance?

    The regulations in this part 1037 contain provisions that affect 
both vehicle manufacturers and others. However, the requirements of this 
part are generally addressed to the vehicle manufacturer(s). The term 
``you'' generally means the vehicle manufacturer(s), especially for 
issues related to certification. See Sec. 1037.801 for the definition 
of ``manufacturer'' and Sec. 1037.620 for provisions related to 
compliance when there are multiple entities meeting the definition of 
``manufacturer.'' Additional requirements and prohibitions apply to 
other persons as specified in subpart G of this part and 40 CFR part 
1068.



Sec. 1037.5  Excluded vehicles.

    Except for the definitions specified in Sec. 1037.801, this part 
does not apply to the following vehicles:
    (a) Vehicles not meeting the definition of ``motor vehicle'' in 
Sec. 1037.801.

[[Page 156]]

    (b) Vehicles excluded from the definition of ``heavy-duty vehicle'' 
in Sec. 1037.801 because of vehicle weight, weight rating, and frontal 
area (such as light-duty vehicles and light-duty trucks).
    (c) Vehicles produced in model years before 2014, unless they were 
certified under Sec. 1037.150.
    (d) Medium-duty passenger vehicles and other 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'' in Sec. 1037.801 and 40 CFR 86.1803, but also 
meeting the definition of ``light truck'' in 40 CFR 86.1818-12(b)(2).
    (e) Vehicles subject to the heavy-duty greenhouse gas standards of 
40 CFR part 86. See 40 CFR 86.1819 for greenhouse gas standards that 
apply for these vehicles. This generally applies for complete heavy-duty 
vehicles at or below 14,000 pounds GVWR.
    (f) Aircraft meeting the definition of ``motor vehicle''. For 
example, this would include certain convertible aircraft that can be 
adjusted to operate on public roads. Standards apply separately to 
certain aircraft engines, as described in 40 CFR part 87.
    (g) Non-box trailers other than flatbed trailers, tank trailers, and 
container chassis.
    (h) Trailers meeting one or more of the following characteristics:
    (1) Trailers with four or more axles and trailers less than 35 feet 
long with three axles (i.e., trailers intended for hauling very heavy 
loads).
    (2) Trailers intended for temporary or permanent residence, office 
space, or other work space, such as campers, mobile homes, and carnival 
trailers.
    (3) Trailers with a gap of at least 120 inches between adjacent axle 
centerlines. In the case of adjustable axle spacing, this refers to the 
closest possible axle positioning.
    (4) Trailers built before January 1, 2018.
    (5) Note that the definition of ``trailer'' in Sec. 1037.801 
excludes equipment that serves similar purposes but are not intended to 
be pulled by a tractor. This exclusion applies to such equipment whether 
or not they are known commercially as trailers. For example, any 
equipment pulled by a heavy-duty vehicle with a pintle hook or hitch 
instead of a fifth wheel does not qualify as a trailer under this part.
    (i) Where it is unclear, you may ask us to make a determination 
regarding the exclusions identified in this section. We recommend that 
you make your request before you produce the vehicle.



Sec. 1037.10  How is this part organized?

    This part 1037 is divided into the following subparts:
    (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 that Sec. 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 of Sec. 1037.105 or 
Sec. 1037.106.
    (d) Subpart D of this part addresses testing of production vehicles.
    (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 or Sec. 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.
    (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

[[Page 157]]

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 in Sec. 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.
    (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) [Reserved]
    (d) Other parts of this chapter apply if referenced in this part.



Sec. 1037.30  Submission of information.

    Unless we specify otherwise, send all reports and requests for 
approval to the Designated Compliance Officer (see Sec. 1037.801). See 
Sec. 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. 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, perfluorocarbons, 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 in Sec. 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. 1037.105 through 1037.107.
    (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 in Sec. 1037.115.
    (4) Fuel evaporative emissions. These requirements are described in 
Sec. 1037.103.
    (c) The regulated heavy-duty vehicles are addressed in different 
groups as follows:
    (1) For criteria pollutants, vocational vehicles and tractors 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.
    (2) For greenhouse gas pollutants, vehicles are regulated in the 
following groups:
    (i) Tractors above 26,000 pounds GVWR.
    (ii) Trailers.
    (iii) Vocational vehicles.
    (3) The greenhouse gas emission standards apply differently 
depending on the vehicle service class as described in Sec. 1037.140. 
In addition, standards apply differently for vehicles with spark-
ignition and compression-ignition engines. References in this part 1037 
to ``spark-ignition'' or ``compression-ignition'' generally relate to 
the application of standards under 40 CFR 1036.140. For example, a 
vehicle with an engine certified to spark-ignition

[[Page 158]]

standards under 40 CFR part 1036 is generally subject to requirements 
under this part 1037 that apply for spark-ignition vehicles. However, 
note that emission standards for heavy heavy-duty engines are considered 
to be compression-ignition standards for purposes of applying vehicle 
emission standards under this part. Also, for spark-ignition engines 
voluntarily certified as compression-ignition engines under 40 CFR part 
1036, you must choose at certification whether your vehicles are subject 
to spark-ignition standards or compression-ignition standards.
    (4) For evaporative and refueling emissions, vehicles are regulated 
based on the type of fuel they use. Vehicles fueled with volatile liquid 
fuels or gaseous fuels are subject to evaporative emission standards. 
Vehicles up to a certain size that are fueled with gasoline, diesel 
fuel, ethanol, methanol, or LPG are subject to refueling emission 
standards.



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. 1037.103  Evaporative and refueling emission standards.

    (a) Applicability. Evaporative and refueling emission standards 
apply to heavy-duty vehicles as follows:
    (1) Complete and incomplete heavy-duty vehicles at or below 14,000 
pounds GVWR must meet evaporative and refueling emission standards as 
specified in 40 CFR part 86, subpart S, instead of the requirements 
specified in this section.
    (2) Heavy-duty vehicles above 14,000 pounds GVWR that run on 
volatile liquid fuel (such as gasoline or ethanol) or gaseous fuel (such 
as natural gas or LPG) must meet evaporative and refueling emission 
standards as specified in this section.
    (b) Emission standards. The evaporative and refueling emission 
standards and measurement procedures specified in 40 CFR 86.1813 apply 
for vehicles above 14,000 pounds GVWR, except as described in this 
section. The evaporative emission standards phase in over model years 
2018 through 2022, with provisions allowing for voluntary compliance 
with the standards as early as model year 2015. Count vehicles subject 
to standards under this section the same as heavy-duty vehicles at or 
below 14,000 pounds GVWR to comply with the phase-in requirements 
specified in 40 CFR 86.1813. These vehicles may generate and use 
emission credits as described in 40 CFR part 86, subpart S, but only for 
vehicles that are tested for certification instead of relying on the 
provisions of paragraph (c) of this section. The following provisions 
apply instead of what is specified in 40 CFR 86.1813:
    (1) The refueling standards in 40 CFR 86.1813-17(b) apply to 
complete vehicles starting in model year 2022; they are optional for 
incomplete vehicles.
    (2) The leak standard in 40 CFR 86.1813-17(a)(4) does not apply.
    (3) The FEL cap relative to the diurnal plus hot soak standard for 
low-altitude testing is 1.9 grams per test.
    (4) The diurnal plus hot soak standard for high-altitude testing is 
2.3 grams per test.
    (5) Testing does not require measurement of exhaust emissions. 
Disregard references in subpart B of this part to procedures, equipment 
specifications, and recordkeeping related to measuring exhaust 
emissions. All references to the exhaust test under 40 CFR part 86, 
subpart B, are considered the ``dynamometer run'' as part of the 
evaporative testing sequence under this subpart.
    (6) Vehicles not yet subject to the Tier 3 standards in 40 CFR 
86.1813 must meet evaporative emission standards as specified in 40 CFR 
86.008-10(b)(1) and (2) for Otto-cycle applications and 40 CFR 86.007-
11(b)(3)(ii) and (b)(4)(ii) for diesel-cycle applications.
    (c) Compliance demonstration. You may provide a statement in the 
application for certification that vehicles above 14,000 pounds GVWR 
comply with evaporative and refueling emission standards instead of 
submitting test data if you include an engineering analysis describing 
how vehicles include design parameters, equipment, operating controls, 
or other elements of design that adequately demonstrate

[[Page 159]]

that vehicles comply with the standards. We would expect emission 
control components and systems to exhibit a comparable degree of control 
relative to vehicles that comply based on testing. For example, vehicles 
that comply under this paragraph (c) should rely on comparable material 
specifications to limit fuel permeation, and components should be sized 
and calibrated to correspond with the appropriate fuel capacities, fuel 
flow rates, purge strategies, and other vehicle operating 
characteristics. You may alternatively show that design parameters are 
comparable to those for vehicles at or below 14,000 pounds GVWR 
certified under 40 CFR part 86, subpart S.
    (d) CNG refueling requirement. Compressed natural gas vehicles must 
meet the requirements for fueling connection devices as specified in 40 
CFR 86.1813-17(f)(1). Vehicles meeting these requirements are deemed to 
comply with evaporative and refueling emission standards.
    (e) LNG refueling requirement. Fuel tanks for liquefied natural gas 
vehicles must meet the hold-time requirements in Section 4.2 of SAE 
J2343 (incorporated by reference in Sec. 1037.810), as modified by this 
paragraph (e). All pressures noted are gauge pressure. Vehicles with 
tanks meeting these requirements are deemed to comply with evaporative 
and refueling emission standards. The provisions of this paragraph (e) 
are optional for vehicles produced before January 1, 2020. The hold-time 
requirements of SAE J2343 apply, with the following clarifications and 
additions:
    (1) Hold time must be at least 120 hours. Use the following 
procedure to determine hold time for an LNG fuel tank that will be 
installed on a heavy-duty vehicle:
    (i) Prepare the stored (offboard) fuel and the vehicle such that 
tank pressure after the refueling event stabilizes below 690 kPa.
    (ii) Fill the tank to the point of automatic shutoff using a 
conventional refueling system. This is intended to achieve a net full 
condition.
    (iii) The hold time starts when tank pressure increases to 690 kPa, 
and ends when the tank first vents for pressure relief. Use good 
engineering judgment to document the point at which the pressure-relief 
valve opens.
    (iv) Keep the tank at rest away from direct sun with ambient 
temperatures between (10 and 30)  deg.C throughout the measurement 
procedure.
    (2) Following a complete refueling event as described in paragraph 
(e)(1) of this section and a short drive, installed tanks may not 
increase in pressure by more than 9 kPa per hour over a minimum 12 hour 
interval when parked away from direct sun with ambient temperatures at 
or below 30  deg.C. Calculate the allowable pressure gain by multiplying 
the park time in hours by 9 and rounding to the nearest whole number. Do 
not include the first hour after engine shutdown, and start the test 
only when tank pressure is between 345 and 900 kPa.
    (3) The standards described in this paragraph (e) apply over the 
vehicle's useful life as specified in paragraph (f) of this section. The 
warranty requirements of Sec. 1037.120 also apply for these standards.
    (4) You may specify any amount of inspection and maintenance, 
consistent with good engineering judgment, to ensure that tanks meet the 
standards in this paragraph (e) during and after the useful life.
    (f) Useful life. The evaporative emission standards of this section 
apply for the full useful life, expressed in service miles or calendar 
years, whichever comes first. The useful life values for the standards 
of this section are the same as the values described for evaporative 
emission standards in 40 CFR 86.1805.
    (g) Auxiliary engines and separate fuel systems. The provisions of 
this paragraph (g) apply for vehicles with auxiliary engines. This 
includes any engines installed in the final vehicle configuration that 
contribute no motive power through the vehicle's transmission.
    (1) Auxiliary engines and associated fuel-system components must be 
installed when testing complete vehicles. If the auxiliary engine draws 
fuel from a separate fuel tank, you must fill the extra fuel tank before 
the start of diurnal testing as described for the vehicle's main fuel 
tank. Use good engineering judgment to ensure that any nonmetal portions 
of the fuel system

[[Page 160]]

related to the auxiliary engine have reached stabilized levels of 
permeation emissions. The auxiliary engine must not operate during the 
running loss test or any other portion of testing under this section.
    (2) For testing with incomplete vehicles, you may omit installation 
of auxiliary engines and associated fuel-system components as long as 
those components installed in the final configuration are certified to 
meet the applicable emission standards for Small SI equipment described 
in 40 CFR 1054.112 or for Large SI engines in 40 CFR 1048.105. For any 
fuel-system components that you do not install, your installation 
instructions must describe this certification requirement.



Sec. 1037.104  Exhaust emission standards for chassis-certified heavy
-duty vehicles at or below 14,000 pounds GVWR.

    Heavy-duty vehicles at or below 14,000 pounds GVWR are not subject 
to the provisions of this part 1037 if they are subject to 40 CFR part 
86, subpart S, including all vehicles certified under 40 CFR part 86, 
subpart S. See especially 40 CFR 86.1819 and 86.1865 for emission 
standards and compliance provisions that apply for these vehicles.



Sec. 1037.105  CO2 emission standards for vocational 
vehicles.

    (a) The standards of this section apply for the following vehicles:
    (1) Heavy-duty vehicles at or below 14,000 pounds GVWR that are 
excluded from the standards in 40 CFR 86.1819 or that use engines 
certified under Sec. 1037.150(m).
    (2) Vehicles above 14,000 pounds GVWR and at or below 26,000 pounds 
GVWR, but not certified to the vehicle standards in 40 CFR 86.1819.
    (3) Vehicles above 26,000 pounds GVWR that are not tractors.
    (4) Vocational tractors.
    (b) CO2 standards in this paragraph (b) apply based on 
modeling and testing as specified in subpart F of this part. The 
provisions of Sec. 1037.241 specify how to comply with these standards. 
Standards differ based on engine cycle, vehicle size, and intended 
vehicle duty cycle. See Sec. 1037.510(c) to determine which duty cycle 
applies.
    (1) Model year 2027 and later vehicles are subject to CO2 
standards corresponding to the selected subcategories as shown in the 
following table:

       Table 1 of Sec. 1037.105--Phase 2 CO2 Standards for Model Year 2027 and Later Vocational Vehicles
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
             Engine cycle                     Vehicle size         Multi-purpose     Regional          Urban
----------------------------------------------------------------------------------------------------------------
Compression-ignition..................  Light HDV...............             330             291             367
Compression-ignition..................  Medium HDV..............             235             218             258
Compression-ignition..................  Heavy HDV...............             230             189             269
Spark-ignition........................  Light HDV...............             372             319             413
Spark-ignition........................  Medium HDV..............             268             247             297
----------------------------------------------------------------------------------------------------------------

    (2) Model year 2024 through 2026 vehicles are subject to 
CO2 standards corresponding to the selected subcategories as 
shown in the following table:

     Table 2 of Sec. 1037.105--Phase 2 CO2 Standards for Model Year 2024 Through 2026 Vocational Vehicles
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
             Engine cycle                     Vehicle size         Multi-purpose     Regional          Urban
----------------------------------------------------------------------------------------------------------------
Compression-ignition..................  Light HDV...............             344             296             385
Compression-ignition..................  Medium HDV..............             246             221             271
Compression-ignition..................  Heavy HDV...............             242             194             283
Spark-ignition........................  Light HDV...............             385             324             432
Spark-ignition........................  Medium HDV..............             279             251             310
----------------------------------------------------------------------------------------------------------------


[[Page 161]]

    (3) Model year 2021 Through 2023 vehicles are subject to 
CO2 standards corresponding to the selected subcategories as 
shown in the following table:

     Table 3 of Sec. 1037.105--Phase 2 CO2 Standards for Model Year 2021 Through 2023 Vocational Vehicles
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
             Engine cycle                     Vehicle size         Multi-purpose     Regional          Urban
----------------------------------------------------------------------------------------------------------------
Compression-ignition..................  Light HDV...............             373             311             424
Compression-ignition..................  Medium HDV..............             265             234             296
Compression-ignition..................  Heavy HDV...............             261             205             308
Spark-ignition........................  Light HDV...............             407             335             461
Spark-ignition........................  Medium HDV..............             293             261             328
----------------------------------------------------------------------------------------------------------------

    (4) Model year 2014 through 2020 vehicles are subject to Phase 1 
CO2 standards as shown in the following table:

  Table 4 of Sec. 1037.105--Phase 1 CO2 Standards for Model Year 2014
                    Through 2020 Vocational Vehicles
                              [g/ton-mile]
------------------------------------------------------------------------
                                      CO2 standard for  CO2 standard for
            Vehicle size              model years 2014-  model year 2017
                                            2016            and later
------------------------------------------------------------------------
Light HDV...........................               388               373
Medium HDV..........................               234               225
Heavy HDV...........................               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 for averaging, banking, 
and trading to demonstrate compliance with the standards in paragraph 
(b) of this section 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 from Sec. 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) The exhaust emission standards of this section apply for the 
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) 150,000 miles or 15 years, whichever comes first, for Light HDV.
    (2) 185,000 miles or 10 years, whichever comes first, for Medium 
HDV.
    (3) 435,000 miles or 10 years, whichever comes first, for Heavy HDV.
    (f) See Sec. 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 heavier vehicle service class (such as 
Medium HDV instead of Light HDV). Provisions related to generating 
emission credits apply as follows:
    (1) If you certify all your vehicles from a given vehicle service 
class in a given model year to the standards and useful life that 
applies for a heavier vehicle service class, you may generate credits as 
appropriate for the heavier service class.
    (2) Class 8 hybrid vehicles with light or medium heavy-duty engines 
may be certified to compression-ignition standards for the Heavy HDV 
service class. You may generate and use credits as allowed for the Heavy 
HDV service class.
    (3) Except as specified in paragraphs (g)(1) and (2) of this 
section, you may not generate credits with the vehicle. If you include 
lighter vehicles in a subfamily of heavier vehicles with an FEL

[[Page 162]]

below the standard, exclude the production volume of lighter vehicles 
from the credit calculation. Conversely, if you include lighter vehicles 
in a subfamily with an FEL above the standard, you must include the 
production volume of lighter vehicles in the credit calculation.
    (h) You may optionally certify certain vocational vehicles to 
alternative Phase 2 standards as specified in this paragraph (h) instead 
of the standards specified in paragraph (b) of this section. You may 
apply these provisions to any qualifying vehicles even though these 
standards were established for custom chassis. For example, large 
diversified vehicle manufacturers may certify vehicles to the refuse 
hauler standards of this section as long as the manufacturer ensures 
that those vehicles qualify as refuse haulers when placed into service. 
GEM simulates vehicle operation for each type of vehicle based on an 
assigned vehicle service class, independent of the vehicle's actual 
characteristics, as shown in Table 5 of this section; however, standards 
apply for the vehicle's useful life based on its actual characteristics 
as specified in paragraph (e) of this section. Vehicles certified to 
these standards must include the following statement on the emission 
control label: ``THIS VEHICLE WAS CERTIFIED AS A [identify vehicle type 
as identified in Table 5 of this section] UNDER 40 CFR 1037.105(h)].'' 
These custom-chassis standards apply as follows:
    (1) The following alternative emission standards apply by vehicle 
type and model year as follows:

                          Table 5 of Sec. 1037.105--Phase 2 Custom Chassis Standards
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
               Vehicle type \1\                  Assigned vehicle service class    MY 2021-2026      MY 2027+
----------------------------------------------------------------------------------------------------------------
School bus....................................  Medium HDV......................             291             271
Motor home....................................  Medium HDV......................             228             226
Coach bus.....................................  Heavy HDV.......................             210             205
Other bus.....................................  Heavy HDV.......................             300             286
Refuse hauler.................................  Heavy HDV.......................             313             298
Concrete mixer................................  Heavy HDV.......................             319             316
Mixed-use vehicle.............................  Heavy HDV.......................             319             316
Emergency vehicle.............................  Heavy HDV.......................             324             319
----------------------------------------------------------------------------------------------------------------
\1\ Vehicle types are generally defined in Sec. 1037.801. ``Other bus'' includes any bus that is not a school
  bus or a coach bus. A ``mixed-use vehicle'' is one that meets at least one of the criteria specified in Sec.
  1037.631(a)(1) and at least one of the criteria in Sec. 1037.631(a)(2), but not both.

    (2) You may generate or use emission credits for averaging to 
demonstrate compliance with the alternative standards 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 as described in Sec. 
1037.520. These FELs serve as the emission standards for the vehicle 
subfamily instead of the standards specified in this paragraph (h). 
Calculate credits using the equation in Sec. 1037.705(b) with the 
standard payload for the assigned vehicle service class and the useful 
life identified in paragraph (e) of this section. Each separate vehicle 
type identified in Table 5 of this section (or group of vehicle types 
identified in a single row) represents a separate averaging set. You may 
not use averaging for vehicles meeting standards under paragraph (h)(5) 
through (7) of this section, and you may not bank or trade emission 
credits from any vehicles certified under this paragraph (h).
    (3) [Reserved]
    (4) For purposes of emission modeling under Sec. 1037.520, consider 
motor homes and coach buses to be subject to the Regional duty cycle, 
and consider all other vehicles to be subject to the Urban duty cycle.
    (5) Emergency vehicles are deemed to comply with the standards of 
this paragraph (h) if they use tires with TRRL at or below 8.4 kg/tonne 
(8.7 g/tonne for model years 2021 through 2026).
    (6) Concrete mixers and mixed-use vehicles are deemed to comply with 
the standards of this paragraph (h) if they use tires with TRRL at or 
below 7.1 kg/

[[Page 163]]

tonne (7.6 g/tonne for model years 2021 through 2026).
    (7) Motor homes are deemed to comply with the standards of this 
paragraph (h) if they have tires with TRRL at or below 6.0 kg/tonne (6.7 
g/tonne for model years 2021 through 2026) and automatic tire inflation 
systems or tire pressure monitoring systems with wheels on all axles.
    (8) Vehicles certified to standards under this paragraph (h) must 
use engines certified under 40 CFR part 1036 for the appropriate model 
year, except that motor homes and emergency vehicles may use engines 
certified with the loose-engine provisions of Sec. 1037.150(m). This 
also applies for vehicles meeting standards under paragraphs (h)(5) 
through (7) of this section.



Sec. 1037.106  Exhaust emission standards 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'' under Sec. 
1037.630.
    (b) The CO2 standards for tractors above 26,000 pounds 
GVWR in Table 1 of this section apply based on modeling and testing as 
described in subpart F of this part. The provisions of Sec. 1037.241 
specify how to comply with these standards.

            Table 1 of Sec. 1037.106--CO2 Standards for Class 7 and Class 8 Tractors by Model Year
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
                                      Phase 1         Phase 1         Phase 2         Phase 2         Phase 2
                                   standards for   standards for   standards for   standards for   standards for
         Subcategory \1\            model years     model years     model years     model years     model year
                                     2014-2016       2017-2020       2021-2023       2024-2026    2027 and later
----------------------------------------------------------------------------------------------------------------
Class 7 Low-Roof (all cab                    107             104           105.5            99.8            96.2
 styles)........................
Class 7 Mid-Roof (all cab                    119             115           113.2           107.1           103.4
 styles)........................
Class 7 High-Roof (all cab                   124             120           113.5           106.6           100.0
 styles)........................
Class 8 Low-Roof Day Cab........              81              80            80.5            76.2            73.4
Class 8 Low-Roof Sleeper Cab....              68              66            72.3            68.0            64.1
Class 8 Mid-Roof Day Cab........              88              86            85.4            80.9            78.0
Class 8 Mid-Roof Sleeper Cab....              76              73            78.0            73.5            69.6
Class 8 High-Roof Day Cab.......              92              89            85.6            80.4            75.7
Class 8 High-Roof Sleeper Cab...              75              72            75.7            70.7            64.3
Heavy-Haul Tractors.............  ..............  ..............            52.4            50.2            48.3
----------------------------------------------------------------------------------------------------------------
\1\ Sub-category terms are defined in Sec. 1037.801.

    (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 for averaging, banking, 
and trading as described in subpart H of this part. This requires that 
you calculate a credit quantity if you specify a Family Emission Limit 
(FEL) that is different than the standard specified in this section for 
a given pollutant. The FEL may not be less than the result of emission 
modeling from Sec. 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) The exhaust emission standards of this section apply for the 
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 Class 7 tractors to Class 8 standards 
as follows:
    (1) You may optionally certify 4x2 tractors with heavy heavy-duty 
engines to the standards and useful life for Class 8 tractors, with no 
restriction on generating or using emission credits within the Class 8 
averaging set.
    (2) You may optionally certify Class 7 tractors not covered by 
paragraph (f)(1) of this section to the standards and useful life for 
Class 8 tractors. Credit provisions apply as follows:

[[Page 164]]

    (i) If you certify all your Class 7 tractors to Class 8 standards, 
you may use these Heavy HDV credits without restriction.
    (ii) This paragraph (f)(2)(ii) applies if you certify some Class 7 
tractors to Class 8 standards under this paragraph (f)(2) but not all of 
them. If you include Class 7 tractors in a subfamily of Class 8 tractors 
with an FEL below the standard, exclude the production volume of Class 7 
tractors from the credit calculation. Conversely, if you include Class 7 
tractors in a subfamily of Class 8 tractors with an FEL above the 
standard, you must include the production volume of Class 7 tractors in 
the credit calculation.
    (g) Diesel auxiliary power units installed on tractors subject to 
standards under this section must meet PM standards as follows:
    (1) For model years 2021 through 2023, the APU engine must be 
certified under 40 CFR part 1039 with a deteriorated emission level for 
PM at or below 0.15 g/kW-hr.
    (2) Starting in model year 2024, auxiliary power units installed on 
tractors subject to standards under this section must be certified to 
the PM emission standard specified in 40 CFR 1039.699. Selling, offering 
for sale, or introducing or delivering into commerce in the United 
States or importing into the United States a new tractor subject to this 
standard is a violation of 40 CFR 1068.101(a)(1) unless the auxiliary 
power unit has a valid certificate of conformity and the required label 
showing that it meets the PM standard of this paragraph (g)(2).
    (3) See Sec. 1037.660(e) for requirements that apply for diesel 
APUs in model year 2020 and earlier tractors.



Sec. 1037.107  Emission standards for trailers.

    The exhaust emission standards specified in this section apply to 
trailers based on the effect of trailer designs on the performance of 
the trailer in conjunction with a tractor; this accounts for the effect 
of the trailer on the tractor's exhaust emissions, even though trailers 
themselves have no exhaust emissions.
    (a) Standards apply for trailers based on modeling and testing as 
described in subpart F of this part, as follows:
    (1) Different levels of stringency apply for box vans depending on 
features that may affect aerodynamic performance. You may optionally 
meet less stringent standards for different trailer types, which we 
characterize as follows:
    (i) For trailers 35 feet or longer, you may designate as ``non-aero 
box vans'' those box vans that have a rear lift gate or rear hinged 
ramp, and at least one of the following side features: Side lift gate, 
side-mounted pull-out platform, steps for side-door access, a drop-deck 
design, or belly boxes that occupy at least half the length of both 
sides of the trailer between the centerline of the landing gear and the 
leading edge of the front wheels. For trailers less than 35 feet long, 
you may designate as ``non-aero box vans'' any refrigerated box vans 
with at least one of the side features identified for longer trailers.
    (ii) You may designate as ``partial-aero box vans'' those box vans 
that have at least one of the side features identified in paragraph 
(a)(1)(i) of this section. Long box vans may also qualify as partial-
aero box vans if they have a rear lift gate or rear hinged ramp. Note 
that this paragraph (a)(1)(ii) does not apply for box vans designated as 
``non-aero box vans'' under paragraph (a)(1)(i) of this section.
    (iii) ``Full-aero box vans'' are box vans that are not designated as 
non-aero box vans or partial-aero box vans under this paragraph (a)(1).
    (2) CO2 standards apply for full-aero box vans as 
specified in the following table:

                    Table 1 of Sec. 1037.107--Phase 2 CO2 Standards for Full-Aero Box Vans
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
                                                              Dry van                    Refrigerated van
                   Model year                    ---------------------------------------------------------------
                                                       Short           Long            Short           Long
----------------------------------------------------------------------------------------------------------------
2018-2020.......................................           125.4            81.3           129.1            83.0
2021-2023.......................................           123.7            78.9           127.5            80.6

[[Page 165]]

 
2024-2026.......................................           120.9            77.2           124.7            78.9
2027+...........................................           118.8            75.7           122.7            77.4
----------------------------------------------------------------------------------------------------------------

    (3) CO2 standards apply for partial-aero box vans as 
specified in the following table:

                   Table 2 of Sec. 1037.107--Phase 2 CO2 Standards for Partial-Aero Box Vans
                                                  [g/ton-mile]
----------------------------------------------------------------------------------------------------------------
                                                              Dry van                    Refrigerated van
                   Model year                    ---------------------------------------------------------------
                                                       Short           Long            Short           Long
----------------------------------------------------------------------------------------------------------------
2018-2020.......................................           125.4            81.3           129.1            83.0
2021+...........................................           123.7            80.6           127.5            82.3
----------------------------------------------------------------------------------------------------------------

    (4) Non-box trailers and non-aero box vans must meet standards as 
follows:
    (i) Trailers must use automatic tire inflation systems or tire 
pressure monitoring systems with wheels on all axles.
    (ii) Non-box trailers must use tires with a TRRL at or below 5.1 kg/
tonne. Through model year 2020, non-box trailers may instead use tires 
with a TRRL at or below 6.0 kg/tonne.
    (iii) Non-aero box vans must use tires with a TRRL at or below 4.7 
kg/tonne. Through model year 2020, non-aero box vans may instead use 
tires with a TRRL at or below 5.1 kg/tonne.
    (5) Starting in model year 2027, you may generate or use emission 
credits for averaging to demonstrate compliance with the standards 
specified in paragraph (a)(2) of this section 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 the emission calculation in Sec. 1037.515. The 
FEL may not be greater than the appropriate standard for model year 2018 
trailers. These FELs serve as the emission standards for the specific 
vehicle subfamily instead of the standards specified in paragraph (a) of 
this section. You may not use averaging for non-box trailers, partial-
aero box vans, or non-aero box vans that meet standards under paragraph 
(a)(3) or (a)(4) of this section, and you may not use emission credits 
for banking or trading for any trailers.
    (6) The provisions of Sec. 1037.241 specify how to comply with the 
standards of this section.
    (b) No CH4, N2O, or HFC standards apply under 
this section.
    (c) The emission standards of this section apply for a useful life 
of 10 years.



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 86.094-22 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 and trailer rear fairings 
are deemed not to be adjustable parameters.

[[Page 166]]

    (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) [Reserved]
    (d) Defeat devices. 40 CFR 1068.101 prohibits the use of defeat 
devices.
    (e) Air conditioning leakage. Loss of refrigerant from your air 
conditioning systems may not exceed a total leakage rate of 11.0 grams 
per year or a percent leakage rate of 1.50 percent per year, whichever 
is greater. This applies for all refrigerants. 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 percent leakage rate to the 
nearest one-hundredth of a percent. This paragraph (e) does not apply 
for refrigeration units on trailers; similarly, this paragraph (e) does 
not apply for self-contained air conditioning or refrigeration units on 
vocational vehicles even if they draw electrical power from engines used 
to propel the vehicles. For purposes 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. If air conditioning systems with 
capacity above 3000 grams of refrigerant are designed such that a 
compliance demonstration under 40 CFR 86.1867-12(a) is impossible or 
impractical, you may ask to use alternative means to demonstrate that 
your air conditioning system achieves an equivalent level of control.



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 Light HDV.
    (ii) 5 years or 100,000 miles for Medium HDV (except tires).
    (iii) 5 years for trailers (except tires).
    (iv) 1 year for tires installed on trailers, and 2 years or 24,000 
miles for all other 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 
nonemission-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 tires, 
automatic tire inflation systems, tire pressure monitoring systems, 
vehicle speed limiters, idle-reduction systems, hybrid system 
components, and devices added to the vehicle to improve aerodynamic 
performance (not including standard components such as hoods or mirrors 
even if they have been optimized for aerodynamics), to the extent such 
emission-related components are included in your application for 
certification. The emission-related warranty also covers other added 
emission-related components to the extent they are included in your 
application for certification. 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

[[Page 167]]

leakage standards), and it covers 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. For example, it may be 
appropriate to require the seals on automatic tire inflation systems to 
be replaced during the warranty period.
    (e) Owners 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 
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

[[Page 168]]

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 nonemission-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 in 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 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) Owners manual. Explain the owner's responsibility for proper 
maintenance in the owners 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. 1037.130  Assembly instructions for secondary vehicle 
manufacturers.

    (a) If you sell a certified incomplete vehicle to a secondary 
vehicle manufacturer, give the secondary vehicle manufacturer 
instructions for completing vehicle assembly consistent with the 
requirements of this part. Include all information necessary to ensure 
that the final vehicle assembly (including the engine for vehicles other 
than trailers) will be 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 completing 
assembly of a heavy-duty motor vehicle violates federal law, subject to 
fines or other penalties as described in the Clean Air Act.''
    (3) Describe the necessary steps for installing any diagnostic 
system required under 40 CFR part 86.
    (4) Describe how your certification is limited for any type of 
application, as illustrated in the following examples:
    (i) If the incomplete vehicle is at or below 8,500 pounds GVWR, 
state that the vehicle's certification is valid under this part 1037 
only if the final configuration has a vehicle curb weight above 6,000 
pounds or basic vehicle frontal area above 45 square feet.
    (ii) If your engine will be installed in a vehicle that you certify 
to meet diurnal emission standards using an evaporative canister, but 
you do not install the fuel tank, identify the maximum permissible fuel 
tank capacity.
    (5) Describe any other instructions to make sure the vehicle will 
operate according to design specifications in your application for 
certification.
    (c) Provide instructions in writing or in an equivalent format. You 
may include this information with the incomplete vehicle document 
required by DOT. 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.

[[Page 169]]



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 meet the requirements of 40 CFR 
1068.45.
    (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 subcategory that determines the applicable 
emission standards for the vehicle family (see definition in Sec. 
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 vehicle, in which case you must 
also describe in your application for certification where you will 
identify the date on the vehicle.
    (6) Identify the emission control system. Use terms and 
abbreviations as described in Appendix III to this part or other 
applicable conventions. Phase 2 tractors and Phase 2 vocational vehicles 
may omit this information.
    (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) If you rely on another company to design and install fuel tanks 
in incomplete vehicles that use an evaporative canister for controlling 
diurnal emissions, include the following statement: ``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 as follows:
    (1) You may identify other emission standards that the vehicle meets 
or does not meet (such as European standards).
    (2) You may add other information to ensure that the vehicle will be 
properly maintained and used.
    (3) You may add appropriate features to prevent counterfeit labels. 
For example, you may include the vehicle's unique identification number 
on the label.
    (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.



Sec. 1037.140  Classifying vehicles and determining vehicle parameters.

    (a) Where applicable, a vehicle's roof height and a trailer's length 
are determined from nominal design specifications, as provided in this 
section. Specify design values for roof height and trailer length to the 
nearest inch.
    (b) 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.
    (c) Base trailer length on the outer dimensions of the load-carrying 
structure. Do not include aerodynamic devices or HVAC units.
    (d) The nominal design specifications must be within the range of 
the actual values from production vehicles considering normal production 
variability. In the case of roof height, use the mean tire radius 
specified in paragraph (b) of this section. 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 under Sec. 1037.225.
    (e) If your vehicle is equipped with an adjustable roof fairing, 
measure the

[[Page 170]]

roof height with the fairing in its lowest setting.
    (f) For any provisions in this part that depend on the number of 
axles on a vehicle, include lift axles or any other installed axles that 
can be used to carry the vehicle's weight while in motion.
    (g) The standards and other provisions of this part apply to 
specific vehicle service classes for tractors and vocational vehicles as 
follows:
    (1) Phase 1 and Phase 2 tractors are divided based on GVWR into 
Class 7 tractors and Class 8 tractors. Where provisions apply to both 
tractors and vocational vehicles, Class 7 tractors are considered 
``Medium HDV'' and Class 8 tractors are considered ``Heavy HDV''.
    (2) Phase 1 vocational vehicles are divided based on GVWR. ``Light 
HDV'' includes Class 2b through Class 5 vehicles; ``Medium HDV includes 
Class 6 and Class 7 vehicles; and ``Heavy HDV includes Class 8 vehicles.
    (3) Phase 2 vocational vehicles with spark-ignition engines are 
divided based on GVWR. ``Light HDV'' includes Class 2b through Class 5 
vehicles, and ``Medium HDV includes Class 6 through Class 8 vehicles.
    (4) Phase 2 vocational vehicles with compression-ignition engines 
are divided as follows:
    (i) Class 2b through Class 5 vehicles are considered ``Light HDV''.
    (ii) Class 6 through 8 vehicles are considered ``Heavy HDV'' if the 
installed engine's primary intended service class is heavy heavy-duty 
(see 40 CFR 1036.140). All other Class 6 through Class 8 vehicles are 
considered ``Medium HDV''.
    (5) In certain circumstances, you may certify vehicles to standards 
that apply for a different vehicle service class. For example, see 
Sec. Sec. 1037.105(g) and 1037.106(f). If you optionally certify 
vehicles to different standards, those vehicles are subject to all the 
regulatory requirements as if the standards were mandatory.
    (h) Use good engineering judgment to identify the intended duty 
cycle (Urban, Multi-Purpose, or Regional) for each of your vocational 
vehicle configurations based on the expected use of the vehicles.



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 tractors and vocational 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 subcategories 
subject to the standards of Sec. 1037.105 or Sec. 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 subcategory to these standards. Except as specified in 
paragraph (a)(4) of this section, if some vehicle families within a 
regulatory subcategory 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) [Reserved]
    (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

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vehicles under paragraph (a)(1) of this section. Calculate credits for 
each regulatory subcategory 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 subcategory within 30 days of 
submitting your final application for that subcategory. Calculate your 
credits for all production that occurs 30 days or more after you submit 
your final application for the subcategory.
    (b) Phase 1 coastdown procedures. For tractors subject to Phase 1 
standards under Sec. 1037.106, the default method for measuring drag 
area (CdA) is the coastdown procedure specified in 40 CFR 
part 1066, subpart D. This includes preparing the tractor and the 
standard trailer with wheels meeting specifications of Sec. 1037.528(b) 
and submitting information related to your coastdown testing under Sec. 
1037.528(h).
    (c) Provisions for small manufacturers. Standards apply on a delayed 
schedule for manufacturers meeting the small business criteria specified 
in 13 CFR 121.201. Apply the small business criteria for NAICS code 
336120 for vocational vehicles and tractors and 336212 for trailers; the 
employee limits apply to the total number employees together for 
affiliated companies. Qualifying small manufacturers are not subject to 
the greenhouse gas standards of Sec. Sec. 1037.105 and 1037.106 for 
vehicles with a date of manufacture before January 1, 2022, Similarly, 
qualifying small manufacturers are not subject to the greenhouse gas 
standards of Sec. 1037.107 for trailers with a date of manufacture 
before January 1, 2019. In addition, qualifying small manufacturers 
producing vehicles that run on any fuel other than gasoline, E85, or 
diesel fuel may delay complying with every later standard under this 
part by one model year. 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).'' Small manufacturers may certify their vehicles under this 
part 1037 before standards start to apply; however, they may generate 
emission credits only if they certify their entire U.S.-directed 
production volume within the applicable averaging set for that model 
year.
    (d) Air conditioning leakage for vocational vehicles. The air 
conditioning leakage standard of Sec. 1037.115 does not apply for model 
year 2020 and earlier vocational vehicles.
    (e) Delegated assembly. The delegated-assembly provisions of Sec. 
1037.621 do not apply before January 1, 2018.
    (f) Electric vehicles. Tailpipe emissions of regulated pollutants 
from electric vehicles (as defined in Sec. 1037.801) are deemed to be 
zero. No emission testing is required for electric vehicles. Use good 
engineering judgment to apply other requirements of this part to 
electric vehicles.
    (g) Compliance date. Compliance with the standards of this part was 
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. (1) Vocational vehicles with a date 
of manufacture before January 1, 2021 automatically qualify for an 
exemption under Sec. 1037.631 if the tires installed on the vehicle 
have a maximum speed rating at or below 55 miles per hour.
    (2) In unusual circumstances, vehicle manufacturers may ask us to 
exempt vehicles under Sec. 1037.631 based on other criteria that are 
equivalent to those specified in Sec. 1037.631(a); however, we

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will normally not grant relief in cases where the vehicle manufacturer 
has credits or can otherwise comply with applicable standards. Request 
approval for an exemption under this paragraph (h) before you produce 
the subject vehicles. Send your request with supporting information to 
the Designated Compliance Officer; we will coordinate with NHTSA in 
making a determination under Sec. 1037.210. If you introduce into U.S. 
commerce vehicles that depend on our approval under this paragraph (h) 
before we inform you of our approval, those vehicles violate 40 CFR 
1068.101(a)(1).
    (i) Limited carryover from Phase 1 to Phase 2. The provisions for 
carryover data in Sec. 1037.235(d) do not allow you to use aerodynamic 
test results from Phase 1 to support a compliance demonstration for 
Phase 2 certification.
    (j) Limited prohibition related to early model year engines. The 
provisions of this paragraph (j) apply only for vehicles that have a 
date of manufacture before January 1, 2018. See Sec. 1037.635 for 
related provisions that apply in later model years. The prohibition in 
Sec. 1037.601 against introducing into U.S. commerce a vehicle 
containing an engine not certified to the standards applicable for the 
calendar year of installation 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 tractors. This paragraph (k) 
applies for tractors instead of Sec. 1037.401(b) through model year 
2020. We may measure the drag area of your vehicles after they have been 
placed into service. To account for measurement variability, your 
vehicle is deemed to conform 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 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 sister-vehicle certification under 40 CFR part 86. You 
may certify certain complete or cab-complete vehicles to the GHG 
standards of 40 CFR 86.1819 instead of the standards of Sec. 1037.105 
as specified in 40 CFR 86.1819-14(j).
    (m) Loose engine sales. Manufacturers may certify certain spark-
ignition engines along with chassis-certified heavy-duty vehicles where 
they are identical to engines used in those vehicles as described in 40 
CFR 86.1819-14(k)(8). Vehicles in which those engines are installed are 
subject to standards under this part as specified in Sec. 1037.105.
    (n) Transition to engine-based model years. The following provisions 
apply for production and ABT reports during the transition to engine-
based model year determinations for tractors and vocational vehicles in 
2020 and 2021:
    (1) If you install model year 2020 or earlier engines in your 
vehicles in calendar year 2020, include all those Phase 1 vehicles in 
your production and ABT reports related to model year 2020 compliance, 
although we may require you identify these separately from vehicles 
produced in calendar year 2019.
    (2) If you install model year 2020 engines in your vehicles in 
calendar year 2021, submit production and ABT reports for those Phase 1 
vehicles separate from the reports you submit for Phase 2 vehicles with 
model year 2021 engines.
    (o) Interim useful life for light heavy-duty vocational vehicles. 
Class 2b through Class 5 vocational vehicles certified to Phase 1 
standards are subject to a useful life of 110,000 miles or 10 years, 
whichever comes first, instead of the useful life specified in Sec. 
1037.105. For emission credits generated from these Phase 1 vehicles, 
multiply any banked credits that you carry forward to demonstrate 
compliance with Phase 2 standards by 1.36.
    (p) Credit multiplier for advanced technology. If you generate 
credits from Phase 1 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. If you generate credits from model year 2027 and 
earlier Phase 2 vehicles certified with advanced technology, you may 
multiply these credits by 3.5 for plug-in

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hybrid electric vehicles, 4.5 for electric vehicles, and 5.5 for fuel 
cell vehicles.
    (q) Vehicle families for advanced and off-cycle technologies. Apply 
the following provisions for grouping vehicles into families if you use 
off-cycle technologies under Sec. 1037.610 or advanced technologies 
under Sec. 1037.615:
    (1) For vocational vehicles and tractors subject to Phase 1 
standards, create separate vehicle families for vehicles that contain 
advanced or off-cycle technologies; group those vehicles together in a 
vehicle family if they use the same advanced or off-cycle technologies.
    (2) For vocational vehicles and tractors subject to Phase 2 
standards, create separate vehicle families if there is a credit 
multiplier for advanced technology; group those vehicles together in a 
vehicle family if they use the same multiplier.
    (r) Conversion to mid- roof and high-roof configurations. Secondary 
vehicle manufacturers that qualify as small manufacturers may convert 
low- and mid-roof tractors to mid- and high-roof configurations without 
recertification for the purpose of building a custom sleeper tractor or 
converting it to run on natural gas, as follows:
    (1) The original low- or mid-roof tractor must be covered by a valid 
certificate of conformity.
    (2) The modifications may not increase the frontal area of the 
tractor beyond the frontal area of the equivalent mid- or high-roof 
tractor with the corresponding standard trailer. Note that these 
dimensions have a tolerance of 2 inches. Use good 
engineering judgment to achieve aerodynamic performance similar to or 
better than the certifying manufacturer's corresponding mid- or high-
roof tractor.
    (3) Add a permanent supplemental label to the vehicle near the 
original manufacturer's emission control information label. On the label 
identify your full corporate name and include the following statement: 
``THIS VEHICLE WAS MODIFIED AS ALLOWED UNDER 40 CFR 1037.150.''
    (4) We may require that you submit annual production reports as 
described in Sec. 1037.250.
    (5) Modifications made under this paragraph (r) do not violate 40 
CFR 1068.101(b)(1).
    (s) Confirmatory testing for Falt-aero. If we conduct 
coastdown testing to verify your Falt-aero value for Phase 2 
tractors, we will make our determination using a statistical analysis 
consistent with the principles of SEA testing in Sec. 1037.305. We will 
calculate confidence intervals using the same equations and will not 
replace your test results with ours if your result falls within our 
confidence interval or is greater than our test result.
    (t) Glider kits and glider vehicles. (1) Glider vehicles conforming 
to the requirements in this paragraph (t)(1) are exempt from the Phase 1 
emission standards of this part 1037 prior to January 1, 2021. Engines 
in such vehicles (including vehicles produced after January 1, 2021) 
remain subject to the requirements of 40 CFR part 86 applicable for the 
engines' original model year, but not subject to the Phase 1 or Phase 2 
standards of 40 CFR part 1036 unless they were originally manufactured 
in model year 2014 or later.
    (i) You are eligible for this exemption if you are a small 
manufacturer and you sold one or more glider vehicles in 2014 under the 
provisions of Sec. 1037.150(c). You do not qualify if you only produced 
glider vehicles for your own use. You must notify us of your plans to 
use this exemption before you introduce exempt vehicles into U.S. 
commerce. In your notification, you must identify your annual U.S.-
directed production volume (and sales, if different) of such vehicles 
for calendar years 2010 through 2014. Vehicles you produce before 
notifying us are not exempt under this section.
    (ii) In a given calendar year, you may produce up to 300 exempt 
vehicles under this section, or up to the highest annual production 
volume you identify in paragraph (t)(1) of this section, whichever is 
less.
    (iii) Identify the number of exempt vehicles you produced under this 
exemption for the preceding calendar year in your annual report under 
Sec. 1037.250.
    (iv) Include the appropriate statement on the label required under 
Sec. 1037.135, as follows:

[[Page 174]]

    (A) For Phase 1 vehicles, ``THIS VEHICLE AND ITS ENGINE ARE EXEMPT 
UNDER 40 CFR 1037.150(t)(1).''
    (B) For Phase 2 vehicles, ``THE ENGINE IN THIS VEHICLE IS EXEMPT 
UNDER 40 CFR 1037.150(t)(1).''
    (v) If you produce your glider vehicle by installing remanufactured 
or previously used components in a glider kit produced by another 
manufacturer, you must provide the following to the glider kit 
manufacturer prior to obtaining the glider kit:
    (A) Your name, the name of your company, and contact information.
    (B) A signed statement that you are a qualifying small manufacturer 
and that your production will not exceed the production limits of this 
paragraph (t)(1). This statement is deemed to be a submission to EPA, 
and we may require the glider kit manufacturer to provide a copy to us 
at any time.
    (vi) This exemption is valid for a given vehicle and engine only if 
you meet all the requirements and conditions of this paragraph (t)(1) 
that apply with respect to that vehicle and engine. Introducing such a 
vehicle into U.S. commerce without meeting all applicable requirements 
and conditions violates 40 CFR 1068.101(a)(1).
    (vii) Companies that are not small manufacturers may sell 
uncertified incomplete vehicles without engines to small manufacturers 
for the purpose of producing exempt vehicles under this paragraph 
(t)(1), subject to the provisions of Sec. 1037.622. However, such 
companies must take reasonable steps to ensure that their incomplete 
vehicles will be used in conformance with the requirements of this part 
1037.
    (2) Glider vehicles produced using engines certified to model year 
2010 or later standards for all pollutants are subject to the same 
provisions that apply to vehicles using engines within their useful life 
in Sec. 1037.635.
    (3) For calendar year 2017, you may produce a limited number of 
glider kits and/or glider vehicles subject to the requirements 
applicable to model year 2016 glider vehicles, instead of the 
requirements of Sec. 1037.635. The limit applies to your combined 2017 
production of glider kits and glider vehicles and is equal to your 
highest annual production of glider kits and glider vehicles for any 
year from 2010 to 2014. Any glider kits or glider vehicles produced 
beyond this cap are subject to the provisions of Sec. 1037.635. Count 
any glider kits and glider vehicles you produce under paragraph (t)(1) 
of this section as part of your production with respect to this 
paragraph (t)(3).
    (u) Streamlined preliminary approval for trailer devices. Before 
January 1, 2018, manufacturers of aerodynamic devices for trailers may 
ask for preliminary EPA approval of compliance data for their devices 
based on qualifying for designation under the SmartWay program based on 
measured CdA values, whether or not that involves testing or 
other methods specified in Sec. 1037.526. Trailer manufacturers may 
certify based on DCdA values established under this paragraph 
(u) through model year 2020. Manufacturers must perform testing as 
specified in subpart F of this part for any vehicles or aerodynamic 
devices not qualifying for approval under this paragraph (u).
    (v) Transitional allowances for trailers. Through model year 2026, 
trailer manufacturers may calculate a number of trailers that are exempt 
from the standards and certification requirements of this part. 
Calculate the number of exempt box vans in a given model year by 
multiplying your total U.S.-directed production volume of certified box 
vans by 0.20 and rounding to the nearest whole number; however, in no 
case may the number of exempted box vans be greater than 350 units in 
any given model year. Repeat this calculation to determine the number of 
non-box trailers, up to 250 annual units, that are exempt from standards 
and certification requirements. Perform the calculation based on your 
projected production volumes in the first year that standards apply; in 
later years, use actual production volumes from the preceding model 
year. Include these calculated values and your production volumes of 
exempt trailers in your annual production report under Sec. 1037.250. 
You must apply a label meeting the requirements of 40 CFR 1068.45(a) 
that identifies your corporate name and states that the trailer is 
exempt under the provisions of Sec. 1037.150. Unlabeled trailers will 
be considered in violation of 40 CFR 1068.101(a)(1).

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    (w) Roll-up doors for non-aero box vans. Through model year 2023, 
box vans may qualify for non-aero or partial-aero standards under Sec. 
1037.107 by treating roll-up rear doors as being equivalent to rear lift 
gates.
    (x) Aerodynamic testing for trailers. Section 1037.526 generally 
requires you to adjust DCdA values from alternate test 
methods to be equivalent to measurements with the primary test method. 
This paragraph (x) describes approximations that we believe are 
consistent with good engineering judgment; however, you may not use 
these approximations where we determine that clear and convincing 
evidence shows that they would significantly overestimate actual 
improvements in aerodynamic performance.
    (1) You may presume that CFD measurements at a yaw angle of 4.5 deg. 
are equal to measurements made using the primary method, and you may use 
them without adjustment.
    (2) You may presume that coastdown measurements at yaw angles 
smaller than  4.5 deg. are equal to measurements 
made using the primary method, and you may use them without adjustment. 
This applies equally for device manufacturers, but it does not apply for 
EPA testing.
    (3) You may use testing or analytical methods to adjust coastdown 
measurements to account for aerodynamic effects at a yaw angle of 4.5 deg.. This applies for rear fairings and other 
devices whose performance is affected by yaw angle.
    (y) Transition to Phase 2 standards. The following provisions allow 
for enhanced generation and use of emission credits from Phase 1 
tractors and vocational vehicles for meeting the Phase 2 standards:
    (1) For vocational Light HDV and vocational Medium HDV, emission 
credits you generate in model years 2018 through 2021 may be used 
through model year 2027, instead of being limited to a five-year credit 
life as specified in Sec. 1037.740(c). For Class 8 vocational vehicles 
with medium heavy-duty engines, we will approve your request to generate 
these credits in and use these credits for the Medium HDV averaging set 
if you show that these vehicles would qualify as Medium HDV under the 
Phase 2 program as described in Sec. 1037.140(g)(4).
    (2) You may use the off-cycle provisions of Sec. 1037.610 to apply 
technologies to Phase 1 vehicles as follows:
    (i) You may apply an improvement factor of 0.988 for tractors and 
vocational vehicles with automatic tire inflation systems on all axles.
    (ii) For vocational vehicles with automatic engine shutdown systems 
that conform with Sec. 1037.660, you may apply an improvement factor of 
0.95.
    (iii) For vocational vehicles with stop-start systems that conform 
with Sec. 1037.660, you may apply an improvement factor of 0.92.
    (iv) For vocational vehicles with neutral-idle systems conforming 
with Sec. 1037.660, you may apply an improvement factor of 0.98. You 
may adjust this improvement factor if we approve a partial reduction 
under Sec. 1037.660(a)(2); for example, if your design reduces fuel 
consumption by half as much as shifting to neutral, you may apply an 
improvement factor of 0.99.
    (3) Small manufacturers may generate emission credits for natural 
gas-fueled vocational vehicles as follows:
    (i) Small manufacturers may certify their vehicles instead of 
relying on the exemption of paragraph (c) of this section. The 
provisions of this part apply for such vehicles, except as specified in 
this paragraph (y)(3).
    (ii) Use Phase 1 GEM to determine a CO2 emission level 
for your vehicle, then multiply this value by the engine's FCL for 
CO2 and divide by the engine's applicable CO2 
emission standard.
    (z) Constraints for vocational duty cycles. The following provisions 
apply to determinations of vocational duty cycles as described in Sec. 
1037.140:
    (1) The Regional duty cycle applies if the engine was certified 
based on testing only with the ramped-modal cycle.
    (2) The Regional duty cycle applies for coach buses and motor homes 
you certify under Sec. 1037.105(b).
    (3) You may not select the Urban duty cycle for any vehicle with a 
manual or single-clutch automated manual transmission.
    (4) Starting in model year 2024, you must select the Regional duty 
cycle for

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any vehicle with a manual transmission.
    (5) You may select the Urban duty cycle for a hybrid vehicle 
equipped with regenerative braking, unless it is equipped with a manual 
transmission.
    (6) You may select the Urban duty cycle for any vehicle with a 
hydrokinetic torque converter paired with an automatic transmission, or 
a continuously variable automatic transmission, or a dual-clutch 
transmission with no more than two consecutive forward gears between 
which it is normal for both clutches to be momentarily disengaged.
    (aa) Custom-chassis standards. The following provisions apply 
uniquely to small manufacturers under the custom-chassis standards of 
Sec. 1037.105(h):
    (1) You may use emission credits generated under Sec. 1037.105(d), 
including banked or traded credits from any averaging set. Such credits 
remain subject to other limitations that apply under subpart H of this 
part.
    (2) You may produce up to 200 drayage tractors in a given model year 
to the standards described in Sec. 1037.105(h) for ``other buses''. 
Treat these drayage tractors as being in their own averaging set.



                  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. 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 (see Sec. 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.
    (d) You must use good engineering judgment for all decisions related 
to your application (see 40 CFR 1068.5).
    (e) An authorized representative of your company must approve and 
sign the application.
    (f) See Sec. 1037.255 for provisions describing how we will process 
your application.
    (g) We may perform confirmatory testing on your vehicles or 
components; for example, we may test vehicles to verify drag areas or 
other GEM inputs. This includes tractors used to determine 
Falt-aero under Sec. 1037.525. We may require you to deliver 
your test vehicles or components to a facility we designate for our 
testing. Alternatively, you may choose to deliver another vehicle or 
component that is identical in all material respects to the test vehicle 
or component, or a different vehicle or component that we determine can 
appropriately serve as an emission-data vehicle for the family. We may 
perform confirmatory testing on engines under 40 CFR part 1036 and may 
require you to apply modified fuel maps from that testing for 
certification under this part.
    (h) The certification and testing provisions of 40 CFR part 86, 
subpart S, apply instead of the provisions of this subpart relative to 
the evaporative and refueling emission standards specified in Sec. 
1037.103, except that Sec. 1037.245 describes how to demonstrate 
compliance with evaporative emission standards. For vehicles that do not 
use an evaporative canister for controlling diurnal emissions, you may 
certify with respect to exhaust emissions and use the provisions of 
Sec. 1037.622 to let a different company certify with respect to 
evaporative emissions.
    (i) Vehicles and installed engines must meet exhaust, evaporative, 
and refueling emission standards and certification requirements in 40 
CFR part 86 or 40 CFR part 1036, as applicable. Include the information 
described in 40 CFR part 86, subpart S, or 40 CFR 1036.205 in your 
application for certification in addition to what we specify in Sec. 
1037.205 so we can issue a single certificate of conformity for all the 
requirements that apply for your vehicle and the installed engine.

[[Page 177]]



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 under Sec. 
1037.201(c). We may require you to provide additional information to 
evaluate your application. References to testing and emission-data 
vehicles refer to testing vehicles or components to measure any quantity 
that serves as an input value for modeling emission rates under Sec. 
1037.515 or 1037.520.
    (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 vocational vehicles and tractors 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 
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. Also describe your modeling inputs 
as described in Sec. Sec. 1037.515 and 1037.520, with the following 
additional information if it applies for your vehicles:
    (1) Describe your design for vehicle speed limiters, consistent with 
Sec. 1037.640.
    (2) Describe your design for predictive cruise control.
    (3) Describe your design for automatic engine shutdown systems, 
consistent with Sec. 1037.660.
    (4) Describe your engineering analysis demonstrating that your air 
conditioning compressor qualifies as a high-efficiency model as 
described in 40 CFR 86.1868-12(h)(5).
    (5) Describe your design for idle-reduction technology, including 
the logic for engine shutdown and the maximum duration of engine 
operation after the onset of any vehicle conditions described in Sec. 
1037.660.
    (6) If you perform powertrain testing under Sec. 1037.550, report 
both CO2 and NOX emission levels corresponding to 
each test run.
    (7) Describe the configuration and basic design of hybrid systems. 
Include measurements for vehicles with hybrid power take-off systems.
    (8) If you install auxiliary power units in tractors under Sec. 
1037.106(g), identify the family name associated with the engine's 
certification under 40 CFR part 1039. Starting in model year 2024, also 
identify the family name associated with the auxiliary power unit's 
certification to the standards of 40 CFR 1039.699.
    (9) Describe how you meet any applicable criteria in Sec. 
1037.631(a)(1) and (2).
    (c) For vehicles subject to air conditioning standards, include:
    (1) The refrigerant leakage rates (leak scores).
    (2) The type of refrigerant and 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 or components 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 (see Sec. 
1037.501). Include information describing the procedures you used to 
determine CdA values as specified in Sec. Sec. 1037.525 
through 1037.527. Describe which type of data you are using for engine 
fuel maps (see 40 CFR 1036.510). If your trailer certification relies on 
approved data from device manufacturers, identify the device and device 
manufacturer.
    (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-related performance. Explain why you 
selected the method of service accumulation. Describe any scheduled 
maintenance you did.
    (g) Where applicable, 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

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give to the ultimate purchaser of each new vehicle (see Sec. Sec. 
1037.120 and 1037.125).
    (j) Describe your emission control information label (see Sec. 
1037.135).
    (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 the highest and 
lowest FELs to which any of your subfamilies will be certified.
    (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 (see Sec. 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) [Reserved]
    (o) Report calculated and modeled emission results as follows:
    (1) For vocational vehicles and tractors, 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.
    (2) For trailers that demonstrate compliance with g/ton-mile 
emission standards as described in Sec. 1037.515, report the 
CO2 emission result for the configuration with the highest 
calculated value. If your trailer family generates or uses emission 
credits, also report the CO2 emission results for the 
configuration with the lowest calculated value, and for the 
configuration with the highest projected sales.
    (p) Where applicable, describe all adjustable operating parameters 
(see Sec. 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 by Sec. 1037.725 if you 
plan to generate or use emission credits.
    (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 179]]



Sec. 1037.211  Preliminary approval for manufacturers of aerodynamic
devices.

    (a) If you design or manufacture aerodynamic devices for trailers, 
you may ask us to provide preliminary approval for the measured 
performance of your devices. While decisions made under this section are 
considered to be preliminary approval, we will not reverse a decision 
where we have given you preliminary approval, unless we find new 
information supporting a different decision. For example, where we 
measure the performance of your device after giving you preliminary 
approval and its measured performance is less than your data indicated, 
we may rescind the preliminary approval of your test results.
    (b) To request this, you must provide test data for DCdA 
values as specified in Sec. 1037.150(u) or Sec. 1037.526. Trailer 
manufacturers may use approved DCdA values as inputs under 
Sec. 1037.515 to support their application for certification.



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 of Sec. 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 any 
time 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 any vehicle configurations to a vehicle family that are not 
already covered by your application. For example, if your application 
identifies three possible engine models, and you plan to produce 
vehicles using an additional engine model, then you must amend your 
application before producing vehicles with the fourth engine model. The 
added vehicle configurations must be consistent with other vehicle 
configurations in the vehicle family with respect to the criteria listed 
in Sec. 1037.230.
    (2) Change a vehicle configuration already included in a vehicle 
family in a way that may change any of the components you described in 
your application for certification, or make any other changes that would 
make the

[[Page 180]]

emissions inconsistent with the information in your application. 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.
    (4) Include any other information needed to make your application 
correct and complete.
    (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 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 (see Sec. 1037.820).
    (e) For vehicle families already covered by a certificate of 
conformity, you may start producing the new or modified vehicle 
configuration any time 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.
    (g) You may produce vehicles as described in your amended 
application for certification and consider those vehicles to be in a 
certified configuration if we approve a new or modified vehicle 
configuration during the model year under paragraph (d) of this section. 
Similarly, you may modify in-use vehicles as described in your amended 
application for certification and consider those vehicles to be in a 
certified configuration if we approve a new or modified vehicle 
configuration at any time

[[Page 181]]

under paragraph (d) of this section. Modifying a new or in-use vehicle 
to be in a certified configuration does not violate the tampering 
prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve 
changing to a certified configuration with a higher family emission 
limit. See Sec. 1037.621(g) for special provisions that apply for 
changing to a different certified configuration in certain 
circumstances.



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 based on 
regulatory subcategories as specified in this section. Subcategories are 
specified using terms defined in Sec. 1037.801. Your vehicle family is 
limited to a single model year.
    (1) Apply subcategories for vocational vehicles and vocational 
tractors as shown in Table 1 of this section. This involves 15 separate 
subcategories for Phase 2 vehicles to account for engine 
characteristics, GVWR, and the selection of duty cycle for vocational 
vehicles as specified in Sec. 1037.510; vehicles may additionally fall 
into one of the subcategories defined by the custom-chassis standards in 
Sec. 1037.105(h). Divide Phase 1 vehicles into three GVWR-based vehicle 
service classes as shown in Table 1 of this section, disregarding 
additional specified characteristics. Table 1 follows:

                          Table 1 of Sec. 1037.230--Vocational Vehicle Subcategories
----------------------------------------------------------------------------------------------------------------
             Engine cycle                     Light HDV                Medium HDV               Heavy HDV
----------------------------------------------------------------------------------------------------------------
Compression-ignition.................  Urban..................  Urban..................  Urban.
                                       Multi-Purpose..........  Multi-Purpose..........  Multi-Purpose.
                                       Regional...............  Regional...............  Regional.
----------------------------------------------------------------------------------------------------------------
Spark-ignition.......................  Urban..................  Urban..................
                                       Multi-Purpose..........  Multi-Purpose..........
                                       Regional...............  Regional...............
----------------------------------------------------------------------------------------------------------------

    (2) Apply subcategories for tractors (other than vocational 
tractors) as shown in Table 2 of this section. Vehicles may additionally 
fall into one of the subcategories defined by the optional tractor 
standards in Sec. 1037.670.

            Table 2 of Sec. 1037.230--Tractor Subcategories
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Class 7                                           Class 8
------------------------------------------------------------------------
Low-roof tractors...............  Low-roof day cabs.  Low-roof sleeper
                                                       cabs.
Mid-roof tractors...............  Mid-roof day cabs.  Mid-roof sleeper
                                                       cabs.
High-roof tractors..............  High-roof day cabs  High-roof sleeper
                                                       cabs.
                                 ---------------------------------------
                                    Heavy-haul tractors (starting with
                                                 Phase 2).
------------------------------------------------------------------------

    (3) Apply subcategories for trailers as shown in the following 
table:

            Table 3 of Sec. 1037.230--Trailer Subcategories
------------------------------------------------------------------------
                                     Partial-aero
       Full-aero trailers              trailers         Other trailers
------------------------------------------------------------------------
Long dry box vans...............  Long dry box vans.  Non-aero trailers.
Short dry box vans..............  Short dry box vans  Non-box trailers.
Long refrigerated box vans......  Long refrigerated
                                   box vans..
Short refrigerated box vans.....  Short refrigerated
                                   box vans..
------------------------------------------------------------------------

    (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

[[Page 182]]

you may add subfamilies at any time during the model year.
    (c) Group vehicles into configurations consistent with the 
definition of ``vehicle configuration'' in Sec. 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 modeling inputs and FEL. Note 
also, that you are not required to separately identify all 
configurations for certification. 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) You may combine dissimilar vehicles into a single vehicle family 
in special circumstances as follows:
    (1) For a Phase 1 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 
standard. 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.
    (2) For a Phase 2 vehicle model that includes a range of GVWR values 
that straddle weight classes, you may include all the vehicles in the 
same vehicle family if you certify the vehicle family to the numerically 
lower CO2 emission standard from the affected service 
classes. Vehicles that are optionally certified to a more stringent 
standard under this paragraph (d)(2) are subject to useful-life and all 
other provisions corresponding to the weight class with the numerically 
lower CO2 emission standard. For a Phase 2 tractor model that 
includes a range of roof heights that straddle subcategories, you may 
include all the vehicles in the same vehicle family if you certify the 
vehicle family to the appropriate subcategory as follows:
    (i) You may certify mid-roof tractors as high-roof tractors, but you 
may not certify high-roof tractors as mid-roof tractors.
    (ii) For tractor families straddling the low-roof/mid-roof division, 
you may certify the family based on the primary roof-height as long as 
no more than 10 percent of the tractors are certified to the otherwise 
inapplicable subcategory. For example, if 95 percent of the tractors in 
the family are less than 120 inches tall, and the other 5 percent are 
122 inches tall, you may certify the tractors as a single family in the 
low-roof subcategory.
    (iii) Determine the appropriate aerodynamic bin number based on the 
actual roof height if you measure a CdA value. However, use 
the GEM input for the bin based on the standards to which you certify. 
For example, of you certify as mid-roof tractors some low-roof tractors 
with a measured CdA value of 4.2 m\2\, they qualify as Bin 
IV; and you must input into GEM the mid-roof Bin IV value of 5.85 m\2\.
    (3) You may include refrigerated box vans in a vehicle family with 
dry box vans by treating them all as dry box vans for demonstrating 
compliance with emission standards. You may include certain other types 
of trailers in a vehicle family with a different type of trailer, such 
that the combined set of trailers are all subject to the more stringent 
standards, as follows:
    (i) Standards for long trailers are more stringent than standards 
for short trailers.
    (ii) Standards for long dry box vans are more stringent than 
standards for short refrigerated box vans.
    (iii) Standards for non-aero box vans are more stringent than 
standards for non-box trailers.
    (e) You may divide your families into more families than specified 
in this section.
    (f) 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.



Sec. 1037.231  Powertrain families.

    (a) If you choose to perform powertrain testing as specified in 
Sec. 1037.550, use good engineering judgment to divide your product 
line into powertrain families that are expected to have similar fuel 
consumptions and CO2 emission characteristics throughout the 
useful life. Your powertrain

[[Page 183]]

family is limited to a single model year.
    (b) Except as specified in paragraph (c) of this section, group 
powertrains in the same powertrain family if they share all the 
following attributes:
    (1) Engine family.
    (2) Shared vehicle service class grouping, as follows:
    (i) Light HDV or Medium HDV.
    (ii) Heavy HDV other than heavy-haul tractors.
    (iii) Heavy-haul tractors.
    (3) Number of clutches.
    (4) Type of clutch (e.g., wet or dry).
    (5) Presence and location of a fluid coupling such as a torque 
converter.
    (6) Gear configuration, as follows:
    (i) Planetary (e.g., simple, compound, meshed-planet, stepped-
planet, multi-stage).
    (ii) Countershaft (e.g., single, double, triple).
    (iii) Continuously variable (e.g., pulley, magnetic, toroidal).
    (7) Number of available forward gears, and transmission gear ratio 
for each available forward gear, if applicable.
    (8) Transmission oil sump configuration (e.g., conventional or dry).
    (9) The power transfer configuration of any hybrid technology (e.g., 
series or parallel).
    (10) The energy storage device and capacity of any hybrid technology 
(e.g., 10 MJ hydraulic accumulator, 10 kW[middot] hr Lithium-ion battery 
pack, 10 MJ ultracapacitor bank).
    (11) The rated output of any hybrid mechanical power technology 
(e.g., 50 kW electric motor).
    (c) For powertrains that share all the attributes described in 
paragraph (b) of this section, divide them further into separate 
powertrain families based on common calibration attributes. Group 
powertrains in the same powertrain family to the extent that powertrain 
test results and corresponding emission levels are expected to be 
similar throughout the useful life.
    (d) You may subdivide a group of powertrains with shared attributes 
under paragraph (b) of this section into different powertrain families.
    (e) In unusual circumstances, you may group powertrains into the 
same powertrain family even if they do not have shared attributes under 
in paragraph (b) of this section if you show that their emission 
characteristics throughout the useful life will be similar.
    (f) If you include the axle when performing powertrain testing for 
the family, you must limit the family to include only those axles 
represented by the test results. You may include multiple axle ratios in 
the family if you test with the axle expected to produce the highest 
emission results.



Sec. 1037.232  Axle and transmission families.

    (a) If you choose to perform axle testing as specified in Sec. 
1037.560 or transmission testing as specified in Sec. 1037.565, use 
good engineering judgment to divide your product line into axle or 
transmission families that are expected to have similar hardware, noting 
that efficiencies can differ across the members of a family. Note that, 
while there is no certification for axle and transmission families under 
this part, vehicle manufacturers may rely on axle and transmission test 
data to certify their vehicles.
    (b) Except as specified in paragraph (d) of this section, group 
axles in the same axle family if they have the same number of drive 
axles and the same load rating.
    (c) Except as specified in paragraph (d) of this section, group 
transmissions in the same transmission family if they share all the 
following attributes:
    (1) Number and type of clutches (wet or dry).
    (2) Presence and location of a fluid coupling such as a torque 
converter.
    (3) Gear configuration, as follows:
    (i) Planetary (e.g., simple, compound, meshed-planet, stepped-
planet, multi-stage).
    (ii) Countershaft (e.g., single, double, triple).
    (iii) Continuously variable (e.g., pulley, magnetic, toroidal). Note 
that GEM does not accommodate efficiency testing for continuously 
variable transmissions.
    (4) Transmission oil sump configuration (conventional or dry).

[[Page 184]]

    (d) You may subdivide a group of axles or powertrains with shared 
attributes under paragraph (b) or (c) of this section into different 
families.



Sec. 1037.235  Testing requirements for certification.

    This section describes the emission testing you must perform to show 
compliance with respect to the greenhouse gas emission standards in 
subpart B of this part, and to determine any input values from 
Sec. Sec. 1037.515 and 1037.520 that involve measured quantities.
    (a) Select emission-data vehicles that represent production vehicles 
and components for the vehicle family consistent with the specifications 
in Sec. Sec. 1037.205(o), 1037.515, and 1037.520. Where the test 
results will represent multiple vehicles or components with different 
emission performance, use good engineering judgment to select worst-case 
emission data vehicles or components. In the case of powertrain testing 
under Sec. 1037.550, select a test engine and test transmission by 
considering the whole range of vehicle models covered by the powertrain 
family and the mix of duty cycles specified in Sec. 1037.510.
    (b) Test your emission-data vehicles (including emission-data 
components) using the procedures and equipment specified in subpart F of 
this part. Measure emissions (or other parameters, as applicable) using 
the specified procedures.
    (c) We may perform confirmatory testing by measuring emissions (or 
other parameters, as applicable) from any of your emission-data 
vehicles.
    (1) We may decide to do the testing at your plant or any other 
facility. If we do this, you must deliver the vehicle or component to a 
test facility we designate. The vehicle or component you provide must be 
in a configuration that is suitable for testing. For example, vehicles 
must have the tires you used for testing, and tractors must be set up 
with the trailer you used for testing. 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 (see paragraph (g) of this 
section for provisions that apply specifically for testing a tractor's 
aerodynamic performance).
    (2) If we measure emissions (or other parameters, as applicable) 
from your vehicle or component, the results of that testing become the 
official emission results for the vehicle or component. Note that 
changing the official emission result does not necessarily require a 
change in the declared modeling input value. Unless we later invalidate 
these data, we may decide not to consider your data in determining if 
your vehicle family meets applicable requirements.
    (3) Before we test one of your vehicles or components, we may set 
its adjustable parameters to any point within the physically adjustable 
ranges, if applicable.
    (4) Before we test one of your vehicles or components, we may 
calibrate it within normal production tolerances for anything we do not 
consider an adjustable parameter. For example, this would apply for a 
vehicle parameter that is subject to production variability because it 
is adjustable during production, but is not considered an adjustable 
parameter (as defined in Sec. 1037.801) because it is permanently 
sealed. For parameters that relate to a level of performance that is 
itself subject to a specified range (such as maximum power output), we 
will generally perform any calibration under this paragraph (c)(4) in a 
way that keeps performance within the specified range. Note that this 
paragraph (c)(4) does not allow us to test your vehicles in a condition 
that would be unrepresentative of production vehicles.
    (d) You may ask to use carryover data for a vehicle or component 
from a previous model year instead of doing new tests if the applicable 
emission-data vehicle from the previous model year remains the 
appropriate emission-data vehicle under paragraph (b) of this section.
    (e) We may require you to test a second vehicle or component of the 
same configuration in addition to the vehicle or component 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

[[Page 185]]

to the procedures specified in subpart F of this part, we may reject 
data you generated using the alternate procedure.
    (g) We may perform testing to verify your aerodynamic drag area 
values using any method specified in subpart F of this part. The 
following additional provisions apply:
    (1) We intend to use the same aerodynamic test facility you used, 
and if you provide any instruments you used, we intend to use those 
instruments to perform our testing.
    (2) We may perform coastdown testing to verify your tractor drag 
area for any certified configuration. If you use an alternate method for 
determining aerodynamic drag area for tractors, we may perform testing 
to verify Falt-aero as specified in subpart F of this part.
    (3) We may test trailers (and devices receiving preliminary 
approval) using the wind-tunnel method described in Sec. 1037.530. We 
may also test using an alternate method; however, we will determine how 
to appropriately correct or correlate those results to testing with the 
wind-tunnel method.
    (h) You may ask us to use analytically derived GEM inputs for 
untested configurations as identified in subpart F of this part based on 
interpolation of all relevant measured values for related 
configurations, consistent with good engineering judgment. We may 
establish specific approval criteria base on prevailing industry 
practice. If we allow this, we may test any configurations. We may also 
require you to test any configurations as part of a selective 
enforcement audit.



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

    (a) Compliance determinations for purposes of certification depend 
on whether or not you participate in the ABT program in subpart H of 
this part.
    (1) If none of your vehicle families generate or use emission 
credits in a given model year,, each of your vehicle families is 
considered in compliance with the CO2 emission standards in 
Sec. Sec. 1037.105 through 1037.107 if all vehicle configurations in 
the family have calculated or modeled CO2 emission rates from 
Sec. 1037.515 or Sec. 1037.520 that are at or below the applicable 
standards. A vehicle family is deemed not to comply if any vehicle 
configuration in the family has a calculated or modeled CO2 
emission rate that is above the applicable standard.
    (2) If you generate or use emission credits with one or more vehicle 
families in a given model year, your vehicle families within an 
averaging set are considered in compliance with the CO2 
emission standards in Sec. Sec. 1037.105 through 1037.107 if the sum of 
positive and negative credits for all vehicle configurations in those 
vehicle families lead to a zero balance or a positive balance of 
credits, except as allowed bySec. 1037.745. Note that the FEL is 
considered to be the applicable emission standard for an individual 
configuration.
    (b) For non-box trailers and non-aero box vans, your vehicle family 
is considered in compliance with the emission standards if all vehicle 
configurations in that family meet specified design standards and have 
TRRL values at or below the specified standard. Your family is deemed 
not to comply for certification if any trailer does not meet specified 
design standards or if any vehicle configuration in that family has a 
measured TRRL value above the specified standard.
    (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 
a hybrid electric 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.

[[Page 186]]



Sec. 1037.243  Demonstrating compliance with evaporative emission 
standards.

    (a) For purposes of certification, your vehicle family is considered 
in compliance with the evaporative emission standards in subpart B of 
this part if you prepare an engineering analysis showing that your 
vehicles in the family will comply with applicable standards throughout 
the useful life, and there are no test results from an emission-data 
vehicle representing the family that exceed an emission standard.
    (b) Your evaporative emission family is deemed not to comply if your 
engineering analysis is not adequate to show that all the vehicles in 
the family will comply with applicable emission standards throughout the 
useful life, or if a test result from an emission-data vehicle 
representing the family exceeds an emission standard.
    (c) To compare emission levels with emission standards, apply 
deterioration factors to the measured emission levels. Establish an 
additive deterioration factor based on an engineering analysis that 
takes into account the expected aging from in-use vehicles.
    (d) 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 vehicle.
    (e) Your analysis to demonstrate compliance with emission standards 
must take into account your design strategy for vehicles that require 
testing. Specifically, vehicles above 14,000 pounds GVWR are presumed to 
need the same technologies that are required for heavy-duty vehicles at 
or below 14,000 pounds GVWR. Similarly, your analysis to establish a 
deterioration factor must take into account your testing to establish 
deterioration factors for smaller vehicles.



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 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. We may waive the 
reporting requirements of this paragraph (a) for small manufacturers.
    (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 in Sec. 1037.205 that you 
were not required to include in your application.
    (3) A detailed history of each emission-data vehicle (including 
emission-related components), 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. Also identify 
the technologies that make up the certified configuration for each 
vehicle you produce.
    (c) Keep required data from emission tests and all other information 
specified in this section for eight years after we issue your 
certificate. If you use the same emission data or other information for 
a later model year, the eight-year period restarts with each year that 
you continue to rely on the information.
    (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) If you fail to properly keep records or to promptly send us 
information as required under this part, we may require that you submit 
the information specified in this section after each calendar quarter, 
and we may require that you routinely send us information that the 
regulation requires you to submit only if we request it. If we find that 
you are fraudulent or grossly negligent or otherwise act in bad faith 
regarding information reporting and recordkeeping, we may require that 
you send us a detailed description

[[Page 187]]

of the certified configuration for each vehicle before you produce it.



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 (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 vehicle 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 (see Sec. 1037.820).



            Subpart D_Testing Production Vehicles and Engines



Sec. 1037.301  Overview of measurements related to GEM inputs
in a selective enforcement audit.

    (a) We may require you to perform selective enforcement audits under 
40 CFR part 1068, subpart E, with respect to any GEM inputs in your 
application for certification. Sections 1037.305 through 1037.315 
describe how this applies uniquely in certain circumstances.
    (b) A selective enforcement audit for this part 1037 consists of 
performing measurements with production vehicles relative to one or more 
declared values for GEM inputs, and using those measured values in place 
of your declared values to run GEM. Except as specified in this subpart, 
the vehicle is considered passing if the new modeled emission result is 
at or below the modeled emission result corresponding to the declared 
GEM inputs. If you report an FEL for the vehicle configuration before 
the audit, we will instead consider the vehicle passing if the new 
cycle-weighted emission result matches or exceeds the efficiency 
improvement is at or below the FEL.
    (c) We may audit your production components and your records to 
confirm that physical parameters are correct, such as dimensional 
accuracy and material selection. We may also audit your records to 
confirm that you are properly documenting the certified configurations 
of production vehicles.
    (d) Selective enforcement audit provisions for fuel maps apply to 
engine manufacturers as specified in 40 CFR 1036.301. See Sec. 1037.315 
for selective enforcement audit provisions applicable to powertrain fuel 
maps.

[[Page 188]]

    (e) We may suspend or revoke certificates based on the outcome of a 
selective enforcement audit for any appropriate configurations within 
one or more vehicle families.
    (f) We may apply selective enforcement audit provisions with respect 
to off-cycle technologies, with any necessary modifications, consistent 
with good engineering judgment.



Sec. 1037.305  Audit procedures for tractors--aerodynamic testing.

    To perform a selective enforcement audit with respect to drag area 
for tractors, use the reference method specified in Sec. 1037.525; we 
may instead require you to use the same method you used for 
certification. The following provisions apply instead of 40 CFR 1068.420 
for a selective enforcement audit with respect to drag area:
    (a) Determine whether or not a tractor fails to meet standards as 
follows:
    (1) We will select a vehicle configuration for testing. Perform a 
coastdown measurement with the vehicle in its production configuration 
according to Sec. 1037.528. Instead of the process described in Sec. 
1037.528(h)(12), determine your test result as described in this 
paragraph (a). You must have an equal number of runs in each direction.
    (2) Measure a yaw curve for your test vehicle using your alternate 
method according to Sec. 1037.525(b)(3). You do not need to test at the 
coastdown effective. You may use a previously established yaw curve from 
your certification testing if it is available.
    (3) Using this yaw curve, perform a regression using values of drag 
area, CdAalt, and yaw angle, calt, to 
determine the air-direction correction coefficients, a0, 
a1, a2, a3, and a4, for the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.083

    (4) Adjust the drag area value from each coastdown run, 
CdArun, from the yaw angle of each run, 
crun, to 4.5 deg. to represent a wind-
averaged drag area value, CdAwa by applying Eq. 
1037.305-1 as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.084

    (5) Perform additional coastdown measurements until you reach a pass 
or fail decision under this paragraph (a).
    (6) Calculate statistical values to characterize cumulative test 
results at least once per day based on an equal number of coastdown runs 
in each direction. Determine the wind-averaged drag area value for the 
test CdAwa by averaging all 
CdAwa-run values for all days of testing. 
Determine the upper and lower bounds of the drag area value, 
CdAwa-bounded, expressed to two decimal places, 
using a confidence interval as follows:

[[Page 189]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.085

Where:

CdAwa-boundeded = the upper bound, 
          CdAwa-upper, and lower bound, 
          CdAwa-lower, of the drag area value, 
          where CdAwa-upper is the larger number.
CdAwa = the average of all 
          CdAwa-run values.
s = the standard deviation of all CdArun values 
          (see 40 CFR 1065.602(c)).
n = the total number of coastdown runs.

    (7) Compliance is determined based on the values of 
CdAwa-upper and CdAwa-lower 
relative to the adjusted bin boundary. For purposes of this section, the 
upper limit of a bin is expressed as the specified value plus 0.05 to 
account for rounding. For example, for a bin including values of 5.5-5.9 
m\2\, being above the upper limit means exceeding 5.95. The vehicle 
reaches a pass or fail decision relative to the adjusted bin boundary 
based on one of the following criteria:
    (i) The vehicle passes if CdAwa-upper is less 
than or equal to the upper limit of the bin to which you certified the 
vehicle.
    (ii) The vehicle fails if CdAwa-lower is 
greater than the upper limit of the bin to which you certified the 
vehicle.
    (iii) The vehicle passes if you perform 100 coastdown runs and 
CdAwa-upper is greater than and 
CdAwa-lower is lower than the upper limit of the 
bin to which you certified the vehicle.
    (iv) The vehicle fails if you choose to stop testing before reaching 
a final determination under this paragraph (a)(7).
    (b) If you reach a pass decision on the first test vehicle, the 
emission family passes the SEA and you may stop testing. If you reach a 
fail decision on the first test vehicle, repeat the testing described in 
paragraph (a) of this section for two additional vehicles of the same 
configuration, or of a different configuration that we specify. Continue 
testing two additional vehicles for each failing vehicle until you reach 
a pass or fail decision for the family based on one of the following 
criteria:
    (1) The emission family passes if at any point more than 50 percent 
of the vehicles have reached a pass decision.
    (2) The emission family fails if six vehicles reach a fail decision.
    (3) The emission family passes if you test 11 vehicles with five or 
fewer vehicles reaching a fail decision.
    (4) The emission family fails if you choose to stop testing before 
reaching a final determination under this paragraph (b).
    (c) We may suspend a certificate of conformity as described in 40 
CFR 1068.430 if your emission family fails an SEA, subject to the 
following provisions:
    (1) We may reinstate a suspended certificate if you revise 
Falt-aero or make other changes to your testing methodology 
to properly correlate your testing to the reference method specified in 
Sec. 1037.525.
    (2) We may require you to apply any adjustments and corrections 
determined under paragraph (c)(1) of this section to your other emission 
families in any future application for certification.
    (d) If we test some of your vehicles in addition to your testing, we 
may decide not to include your test results as official data for those 
vehicles if there is substantial disagreement between your testing and 
our testing. We will reinstate your data as valid if you show us that we 
made an error and your data are correct. If we perform testing, we may 
choose to stop testing after any number of tests and not determine a 
failure.
    (e) If we rely on our test data instead of yours, we will notify you 
in writing of our decision and the reasons we believe your facility is 
not appropriate for doing the tests we require under this paragraph (b). 
You may request in

[[Page 190]]

writing that we consider your test results from the same facility for 
future testing if you show us that you have made changes to resolve the 
problem.
    (f) We may allow you to perform additional replicate tests with a 
given vehicle or to test additional vehicles, consistent with good 
engineering judgment.
    (g) You must assign the appropriate CdA bin for your 
compliance demonstration at the end of the model year for every 
configuration you tested that failed under this section.



Sec. 1037.310  Audit procedures for trailers.

    (a) We may audit trailer manufacturers to ensure that trailers are 
being produced to conform with the certificate of conformity. If this 
involves aerodynamic measurements, we will specify how to adapt the 
protocol described in Sec. 1037.305 to appropriately evaluate trailer 
performance.
    (b) We may require device manufacturers that obtain preliminary 
approval under Sec. 1037.211 to perform aerodynamic testing of 
production samples of approved devices to ensure that the devices 
conform to the approved configuration.



Sec. 1037.315  Audit procedures related to powertrain testing.

    (a) For vehicles certified based on powertrain testing as specified 
in Sec. 1037.550, we may apply the selective enforcement audit 
requirements to the powertrain. If engine manufacturers perform the 
powertrain testing and include those results in their certification 
under 40 CFR part 1036, they are responsible for selective enforcement 
audits related to those results. Otherwise, the certificate holder for 
the vehicle is responsible for the selective enforcement audit.
    (b) The following provisions apply for a selective enforcement audit 
with respect to powertrain testing:
    (1) A selective enforcement audit for powertrains would generally 
consist of performing a test with the complete powertrain (engine and 
transmission together). We may alternatively allow you to test the 
engine on a dynamometer with no installed transmission as described in 
Sec. 1037.551.
    (2) Recreate a set of test results for each of three separate 
powertrains. Generate GEM results for each of the configurations that 
are defined as the centers of each group of four points that define a 
boundary of cycle work and average powertrain speed divided by average 
vehicle speed, for each of the three selected powertrains. See 40 CFR 
1036.301(b)(2) for an example on how these points are defined. Each 
unique map for a given configuration with a particular powertrain 
constitutes a separate test for purposes of evaluating whether the 
vehicle family meets the pass-fail criteria under 40 CFR 1068.420. The 
test result for a single test run in the audit is considered passing if 
it is at or below the value selected as an input for GEM. Perform 
testing with the same GEM configurations for additional powertrains as 
needed to reach a pass-fail decision under 40 CFR 1068.240.



Sec. 1037.320  Audit procedures for axles and transmissions.

    Selective enforcement audit provisions apply for axles and 
transmissions relative to the efficiency demonstrations of Sec. Sec. 
1037.560 and 1037.565 as follows:
    (a) A selective enforcement audit for axles or transmissions would 
consist of performing measurements with a production axle or 
transmission to determine mean power loss values as declared for GEM 
simulations, and running GEM over one or more applicable duty cycles 
based on those measured values. The engine is considered passing for a 
given configuration if the new modeled emission result for every 
applicable duty cycle is at or below the modeled emission result 
corresponding to the declared GEM inputs.
    (b) Run GEM for each applicable vehicle configuration identified in 
40 CFR 1036.540. For axle testing, this may require omitting several 
vehicle configurations based on selecting axle ratios that correspond to 
the tested axle. The GEM result for each vehicle configuration counts as 
a separate test for determining whether the family passes or fails the 
audit. Select additional production axles or transmissions to perform 
additional tests as needed.

[[Page 191]]



                        Subpart E_In-Use Testing



Sec. 1037.401  General provisions.

    (a) We may perform in-use testing of any vehicle subject to the 
standards of this part. For example, we may test vehicles to verify drag 
areas or other GEM inputs as specified in paragraph (b) of this section.
    (b) We may measure the drag area of a vehicle you produced after it 
has been placed into service. We may use any of the procedures as 
specified in Sec. Sec. 1037.525 through 1037.527 for measuring drag 
area. 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.



                 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) Except as specified in subpart B of this part, you must 
demonstrate that you meet emission standards using emission modeling as 
described in Sec. Sec. 1037.515 and 1037.520. This modeling depends on 
several measured values as described in this subpart F. You may use 
fuel-mapping information from the engine manufacturer as described in 40 
CFR 1036.535 and 1036.540, or you may use powertrain testing as 
described in Sec. 1037.550.
    (b) Where exhaust emission testing is required, use equipment and 
procedures as described in 40 CFR part 1065 and part 1066. Measure 
emissions of all the exhaust constituents subject to emission standards 
as specified in 40 CFR part 1065 and part 1066. Use the applicable duty 
cycles specified in Sec. 1037.510.
    (c) See 40 CFR 86.101 and 86.1813 for measurement procedures that 
apply for evaporative and refueling emissions.
    (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 for ``general 
testing'' as specified in 40 CFR 86.1305.
    (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 the 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 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 36  0.5 inches from the front of the trailer and a 
minimized trailer gap (no greater than 45 inches).
    (iii) It has a simple orthogonal shape with smooth surfaces and 
nominally flush rivets. Except as specified in paragraph (g)(1)(v) of 
this section, the standard trailer does not include any aerodynamic 
features such as side fairings, rear fairings, or gap reducers. It may 
have a scuff band no more than 0.13 inches thick.
    (iv) It includes dual 22.5 inch wheels, standard tandem axle, 
standard mudflaps, and standard landing gear. The centerline of the 
tandem axle assembly must be 145  5 inches from 
the rear of the trailer. The landing gear must be installed in a 
conventional configuration.
    (v) For the Phase 2 standards, include side skirts meeting the 
specifications of this paragraph (g)(1)(v). The side skirts must be 
mounted flush with both sides of the trailer. The skirts must be an 
isosceles trapezoidal shape. Each skirt must have a height of 36  2 inches. The top edge of the skirt must be straight 
with a length of 341  2

[[Page 192]]

inches. The bottom edge of the skirt must be straight with a length of 
268  2 inches and have a ground clearance of 8 
 2 inches through that full length. The sides of 
the skirts must be straight. The rearmost point of the skirts must be 
mounted 32  2 inches in front of the centerline of 
the trailer tandem axle assembly. We may approve your request to use a 
skirt with different dimensions if these specified values are 
impractical or inappropriate for your test trailer, and you propose 
alternative dimensions that provide an equivalent or comparable degree 
of aerodynamic drag for your test configuration.
    (2) The standard trailer for mid-roof tractors is an empty two-axle 
tank trailer 42  1 feet long by 140 inches high 
and 102 inches wide.
    (i) It has a 40  1 feet long cylindrical tank 
with a 7000  7 gallon capacity, smooth surface, 
and rounded ends.
    (ii) The standard tank 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 flatbed trailer 53  1 feet long and 102 
inches wide.
    (i) The deck height is 60.0  0.5 inches in the 
front and 55.0  0.5 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.
    (h) Use a standard tractor for measuring aerodynamic drag of 
trailers. Standard tractors must be certified at Bin III (or more 
aerodynamic if a Bin III tractor is unavailable) for Phase 1 or Phase 2 
under Sec. 1037.520(b)(1) or (3). The standard tractor for long 
trailers is a Class 8 high-roof sleeper cab. The standard tractor for 
short trailers is a Class 7 or Class 8 high-roof day cab with a 4 x 2 
drive-axle configuration.



Sec. 1037.510  Duty-cycle exhaust testing.

    This section applies for powertrain testing, cycle-average engine 
fuel mapping, certain off-cycle testing under Sec. 1037.610, and the 
advanced-technology provisions of Sec. 1037.615.
    (a) Measure emissions by testing the vehicle on a chassis 
dynamometer or the powertrain on a powertrain dynamometer with the 
applicable duty cycles. Each duty cycle consists of a series of speed 
commands over time--variable speeds for the transient test and constant 
speeds for the highway cruise tests. None of these cycles include 
vehicle starting or warmup.
    (1) Perform testing for Phase 1 vehicles as follows to generate 
credits or adjustment factors for off-cycle or advanced technologies:
    (i) Transient cycle. The transient cycle is specified in Appendix I 
of this part. Warm up the vehicle. Start the duty cycle within 30 
seconds after concluding the preconditioning procedure. Start sampling 
emissions at the start of the duty cycle.
    (ii) Cruise cycle. For the 55 mi/hr and 65 mi/hr highway cruise 
cycles, warm up the vehicle at the test speed, then sample emissions for 
300 seconds while maintaining vehicle speed within 1.0 mi/hr of the speed setpoint; this speed tolerance 
applies instead of the approach specified in 40 CFR 1066.425(b)(1) and 
(2).
    (2) For cycle-average engine fuel mapping under 40 CFR 1036.540 or 
powertrain testing under Sec. Sec. 1037.550 or 1037.555, perform 
testing as described in this paragraph (a)(2) to generate GEM inputs for 
each simulated vehicle configuration, and for each of the four test runs 
representing different idle speed settings. You may perform any number 
of these test runs directly in succession once the engine or powertrain 
is warmed up. If you interrupt the test sequence with a break of up to 
30 minutes, such as to perform analyzer calibration, repeat operation 
over the previous duty cycle to precondition the vehicle before 
restarting the test sequence. Perform testing as follows:
    (i) Transient cycle. The transient cycle is specified in Appendix I 
of this part. Initially warm up the engine or powertrain by operating 
over one transient cycle. Within 60 seconds after concluding the warm up 
cycle, start emission sampling while the vehicle operates over the duty 
cycle.
    (ii) Highway cruise cycle. The grade portion of the route 
corresponding to the 55 mi/hr and 65 mi/hr highway

[[Page 193]]

cruise cycles is specified in Appendix IV of this part. Initially warm 
up the engine or powertrain by operating it over the duty cycle. Within 
60 seconds after concluding the preconditioning cycle, start emission 
sampling while the vehicle operates over the duty cycle, maintaining 
vehicle speed between -1.0 mi/hr and 3.0 mi/hr of the speed setpoint; 
this speed tolerance applies instead of the approach specified in 40 CFR 
1066.425(b)(1) and (2).
    (iii) Drive idle. Perform testing at a loaded idle condition for 
Phase 2 vocational vehicles. Warm up the powertrain by operating it at 
65 mi/hr for 600 seconds. Within 10 seconds after concluding the 
preconditioning cycle, set the engine to operate at idle speed for 90 
seconds, with the brake applied and the transmission in drive (or clutch 
depressed for manual transmission), and sample emissions to determine 
mean emission values (in g/s) over the last 30 seconds of idling.
    (iv) Parked idle. Perform testing at an unloaded idle condition for 
Phase 2 vocational vehicles. Warm up the powertrain by operating it at 
65 mi/hr for 600 seconds. Within 60 seconds after concluding the 
preconditioning cycle, set the engine to operate at idle speed for 600 
seconds, with the transmission in park (or the transmission in neutral 
with the parking brake applied for manual transmissions), and sample 
emissions to determine mean emission values (in g/s) over the full 600 
seconds of idling.
    (3) Where applicable, perform testing on a chassis dynamometer as 
follows:
    (i) Transient cycle. The transient cycle is specified in Appendix I 
of this part. Warm up the vehicle by operating over one transient cycle. 
Within 60 seconds after concluding the warm up cycle, start emission 
sampling and operate the vehicle over the duty cycle.
    (ii) Highway cruise cycle. The grade portion of the route 
corresponding to the 55 mi/hr and 65 mi/hr highway cruise cycles is 
specified in Appendix IV of this part. Warm up the vehicle by operating 
it at the appropriate speed setpoint over the duty cycle. Within 60 
seconds after concluding the preconditioning cycle, start emission 
sampling and operate the vehicle over the duty cycle, maintaining 
vehicle speed within 1.0 mi/hr of the speed 
setpoint; this speed tolerance applies instead of the approach specified 
in 40 CFR 1066.425(b)(1) and (2).
    (b) Calculate the official emission result from the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.086

Where:

eCO2comp = total composite mass of CO2 emissions 
          in g/ton-mile, rounded to the nearest whole number for 
          vocational vehicles and to the first decimal place for 
          tractors.
PL = the standard payload, in tons, as specified in Sec. 1037.705.
vmoving = mean composite weighted driven vehicle speed, 
          excluding idle operation, as shown in Table 1 of this section 
          for Phase 2 vocational vehicles. For other vehicles, let 
          vmoving = 1.
w[cycle] = weighting factor for the appropriate test cycle, 
          as shown in Table 1 of this section.

[[Page 194]]

m[cycle] = CO2 mass emissions over each test cycle 
          (other than idle).
D[cycle] = the total driving distance for the indicated duty 
          cycle. Use 2.842 miles for the transient cycle, and use 13.429 
          miles for both of the highway cruise cycles.
mi[cycle]-idle = CO2 emission rate at idle.

    Example: Class 7 vocational vehicle meeting the Phase 2 standards 
based on the Regional duty cycle.
PL = 5.6 tons
vmoving = 38.41 mi/hr
wtransient = 20% = 0.20
wdrive-idle = 0% = 0
wparked-idle = 25% = 0.25
w55 = 24% = 0.24
w65 = 56% = 0.56
mtransient = 4083 g
m55 = 13834 g
m65 = 17018 g
Dtransient = 2.8449 miles
D55 = 13.429 miles
D65 = 13.429 miles
midrive-idle = 4188 g/hr
miparked-idle = 3709 g/hr
[GRAPHIC] [TIFF OMITTED] TR25OC16.087

    (c) Weighting factors apply for each type of vehicle and for each 
duty cycle as follows:
    (1) GEM applies weighting factors for specific types of tractors as 
shown in Table 1 of this section.
    (2) GEM applies weighting factors for vocational vehicles as shown 
in Table 1 of this section. Modeling for Phase 2 vocational vehicles 
depends on characterizing vehicles by duty cycle to apply proper 
weighting factors and average speed values. Select either Urban, 
Regional, or Multi-Purpose as the most appropriate duty cycle for 
modeling emission results with each vehicle configuration, as specified 
in Sec. Sec. 1037.140 and 1037.150.
    (3) Table 1 follows:

                                              Table 1 of Sec. 1037.510--Weighting Factors for Duty Cycles
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                        Distance-weighted                       Time-weighted \1\              Average
                                                            --------------------------------------------------------------------------------    speed
                                                                            55 mi/hr      65 mi/hr                                           during non-
                                                              Transient      cruise        cruise      Drive idle  Parked idle    Non-idle   idle cycles
                                                                            (percent)     (percent)    (percent)    (percent)    (percent)   (mi/hr) \2\
--------------------------------------------------------------------------------------------------------------------------------------------------------
Day Cabs...................................................           19            17            64  ...........  ...........
Sleeper Cabs...............................................            5             9            86  ...........  ...........
Heavy-haul tractors........................................           19            17            64  ...........  ...........
Vocational--Regional.......................................           20            24            56            0           25           75        38.41
Vocational--Multi-Purpose (2b-7)...........................           54            29            17           17           25           58        23.18
Vocational--Multi-Purpose (8)..............................           54            23            23           17           25           58        23.27
Vocational--Urban (2b-7)...................................           92             8             0           15           25           60        16.25
Vocational--Urban (8)......................................           90            10             0           15           25           60        16.51
Vocational with conventional powertrain (Phase 1 only).....           42            21            37  ...........  ...........
Vocational Hybrid Vehicles (Phase 1 only)..................           75             9            16  ...........  ...........  ...........
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ Note that these drive idle and non-idle weighting factors do not reflect additional drive idle that occurs during the transient cycle. The transient
  cycle does not include any parked idle.
\2\ These values apply even for vehicles not following the specified speed traces.

    (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 
1066.425. If the speeds do not conform to these criteria, the test is 
not valid and must be repeated.

[[Page 195]]

    (e) Run test cycles as specified in 40 CFR part 1066. For testing 
vehicles equipped with cruise control over the highway cruise cycles, 
use the vehicle's cruise control to control the vehicle speed. For 
vehicles equipped with adjustable vehicle speed limiters, test the 
vehicle with the vehicle speed limiter at its highest setting.
    (f) For Phase 1, 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. 1037.515  Determining CO2 emissions to show compliance
for trailers.

    This section describes a compliance approach for trailers that is 
consistent with the modeling for vocational vehicles and tractors 
described in Sec. 1037.520, but is simplified consistent with the 
smaller number of trailer parameters that affect CO2 
emissions. Note that the calculated CO2 emission rate, 
eCO2, is equivalent to the value that would result from 
running GEM with the same input values.
    (a) Compliance equation. Calculate CO2 emissions for 
demonstrating compliance with emission standards for each trailer 
configuration.
    (1) Use the following equation:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.088
    
Where:

Ci = constant values for calculating CO2 emissions 
          from this regression equation derived from GEM, as shown in 
          Table 1 of this section. Let C5 = 0.988 for 
          trailers that have automatic tire inflation systems with all 
          wheels, and let C5 = 0.990 for trailers that have 
          tire pressure monitoring systems with all wheels (or a mix of 
          the two systems); otherwise, let C5 1.
TRRL = tire rolling resistance level as specified in paragraph (b) of 
          this section.
DCdA = the DCdA value for the trailer as specified 
          in paragraph (c) of this section.
WR = weight reduction as specified in paragraph (d) or (e) of this 
          section.

                Table 1 of Sec. 1037.515--Regression Coefficients for Calculating CO2 Emissions
----------------------------------------------------------------------------------------------------------------
                Trailer category                        C1              C2              C3              C4
----------------------------------------------------------------------------------------------------------------
Long dry box van................................            76.1            1.67           -5.82        -0.00103
Long refrigerated box van.......................            77.4            1.75           -5.78        -0.00103
Short dry box van...............................           117.8            1.78           -9.48        -0.00258
Short refrigerated box van......................           121.1            1.88           -9.36        -0.00264
----------------------------------------------------------------------------------------------------------------

    (2) The following is an example for calculating the mass of 
CO2 emissions, eCO2, from a long dry box van that 
has a tire pressure monitoring system for all wheels, an aluminum 
suspension assembly, aluminum floor, and is designated as Bin IV:

C1 = 76.1
C2 = 1.67
TRRL = 4.6 kg/tonne
C3 = -5.82
DCdA = 0.7 m\2\
C4 = -0.00103
WR = 655 lbs
C5 = 0.990
eCO2 = (76.1 + 1.67 + (-5.82 [middot] 0.7) + (-0.00103 
          [middot] 655)) [middot] 0.990
eCO2 = 78.24 g/ton-mile
    (b) Tire rolling resistance. Use the procedure specified in Sec. 
1037.520(c) to determine the tire rolling resistance level for your 
tires. Note that you may base tire rolling resistance levels on 
measurements performed by tire manufacturers, as long as those 
measurements meet this part's specifications.
    (c) Drag area. You may use DCdA values approved under 
Sec. 1037.211 for device manufacturers if your trailers are properly 
equipped with those devices.

[[Page 196]]

Determine DCdA values for other trailers based on testing. 
Measure CdA and determine DCdA values as described 
in Sec. 1037.526(a). You may use DCdA values from one 
trailer configuration to represent any number of additional trailers 
based on worst-case testing. This means that you may apply 
DCdA values from your measurements to any trailer models of 
the same category with drag area at or below that of the tested 
configuration. For trailers in the short dry box vans and short 
refrigerated box vans that are not 28 feet long, apply the 
DCdA value established for a comparable 28-foot trailer 
model; you may use the same devices designed for 28-foot trailers or you 
may adapt those devices as appropriate for the different trailer length, 
consistent with good engineering judgment. For example, 48-foot trailers 
may use longer side skirts than the skirts that were tested with a 28-
foot trailer. Trailer and device manufacturers may seek preliminary 
approval for these adaptations. Determine bin levels based on 
DCdA test results as described in the following table:

  Table 2 of Sec. 1037.515--Bin Determinations for Trailers Based on
                        Aerodynamic Test Results
                             [DCdA in m\2\]
------------------------------------------------------------------------
                                                            and use the
If a trailer's measured DCdA is   designate the trailer      following
             . . .                       as . . .         value for DCdA
------------------------------------------------------------------------
<=0.09.........................  Bin I..................             0.0
0.10-0.39......................  Bin II.................             0.1
0.40-0.69......................  Bin III................             0.4
0.70-0.99......................  Bin IV.................             0.7
1.00-1.39......................  Bin V..................             1.0
1.40-1.79......................  Bin VI.................             1.4
1.80................  Bin VII................             1.8
------------------------------------------------------------------------

    (d) Weight reduction. Determine weight reduction for a trailer 
configuration by summing all applicable values, as follows:
    (1) Determine weight reduction for using lightweight materials for 
wheels as described in Sec. 1037.520(e).
    (2) Apply weight reductions for other components made with light-
weight materials as shown in the following table:

       Table 3 of Sec. 1037.515--Weight Reductions for Trailers
                                [pounds]
------------------------------------------------------------------------
                                                              Weight
           Component                     Material            reduction
                                                             (pounds)
------------------------------------------------------------------------
Structure for Suspension         Aluminum...............             280
 Assembly \1\.
Hub and Drum (per axle)........  Aluminum...............              80
Floor \2\......................  Aluminum...............             375
Floor \2\......................  Composite (wood and                 245
                                  plastic).
Floor Crossmembers \2\.........  Aluminum...............             250
Landing Gear...................  Aluminum...............              50
Rear Door......................  Aluminum...............             187
Rear Door Surround.............  Aluminum...............             150
Roof Bows......................  Aluminum...............             100
Side Posts.....................  Aluminum...............             300
Slider Box.....................  Aluminum...............             150
Upper Coupler Assembly.........  Aluminum...............             430
------------------------------------------------------------------------
\1\ For tandem-axle suspension sub-frames made of aluminum, apply a
  weight reduction of 280 pounds. Use good engineering judgment to
  estimate a weight reduction for using aluminum sub-frames with other
  axle configurations.
\2\ Calculate a smaller weight reduction for short trailers by
  multiplying the indicated values by 0.528 (28/53).


[[Page 197]]

    (e) Off-cycle. You may apply the off-cycle provisions of Sec. 
1037.610 to trailers as follows:
    (1) You may account for weight reduction based on measured values 
instead of using paragraph (d) of this section. Quantify the weight 
reduction by measuring the weight of a trailer in a certified 
configuration and comparing it to the weight of an equivalent trailer 
without weight-reduction technologies. This qualifies as A to B testing 
under Sec. 1037.610. Use good engineering judgment to select an 
equivalent trailer representing a baseline configuration. Use the 
calculated weight reduction in Eq. 1037.515-1 to calculate the trailer's 
CO2 emission rate.
    (2) If your off-cycle technology reduces emissions in a way that is 
proportional to measured emissions as described in Sec. 1037.610(b)(1), 
multiply the trailer's CO2 emission rate by the appropriate 
improvement factor.
    (3) If your off-cycle technology does not yield emission reductions 
that are proportional to measured emissions, as described in Sec. 
1037.610(b)(2), calculate an adjusted CO2 emission rate for 
your trailers by subtracting the appropriate off-cycle credit.
    (4) Note that these off-cycle provisions do not apply for trailers 
subject to design standards.



Sec. 1037.520  Modeling CO2 emissions to show compliance
for vocational vehicles and tractors.

    This section describes how to use the Greenhouse gas Emissions Model 
(GEM) (incorporated by reference in Sec. 1037.810) to show compliance 
with the CO2 standards of Sec. Sec. 1037.105 and 1037.106 
for vocational vehicles and tractors. Use GEM version 2.0.1 to 
demonstrate compliance with Phase 1 standards; use GEM Phase 2, Version 
3.0 to demonstrate compliance with Phase 2 standards. Use good 
engineering judgment when demonstrating compliance using GEM. See Sec. 
1037.515 for calculation procedures for demonstrating compliance with 
trailer standards.
    (a) General modeling provisions. To run GEM, enter all applicable 
inputs as specified by the model.
    (1) GEM inputs apply for Phase 1 standards as follows:
    (i) Model year and regulatory subcategory (see Sec. 1037.230).
    (ii) Coefficient of aerodynamic drag or drag area, as described in 
paragraph (b) of this section (tractors only).
    (iii) Steer and drive tire rolling resistance, as described in 
paragraph (c) of this section.
    (iv) Vehicle speed limit, as described in paragraph (d) of this 
section (tractors only).
    (v) Vehicle weight reduction, as described in paragraph (e) of this 
section (tractors only for Phase 1).
    (vi) Automatic engine shutdown systems, as described in Sec. 
1037.660 (only for Class 8 sleeper cabs). Enter a GEM input value of 5.0 
g/ton-mile, or an adjusted value as specified in Sec. 1037.660.
    (2) For Phase 2 vehicles, the GEM inputs described in paragraphs 
(a)(1)(i) through (v) of this section continue to apply. Note that the 
provisions related to vehicle speed limiters and automatic engine 
shutdown systems are available for vocational vehicles in Phase 2. The 
rest of this section describes additional GEM inputs for demonstrating 
compliance with Phase 2 standards. Simplified versions of GEM apply for 
limited circumstances as follows:
    (i) You may use default engine fuel maps for glider kits as 
described in Sec. 1037.635.
    (ii) If you certify vehicles to the custom-chassis standards 
specified in Sec. 1037.105(h), run GEM by identifying the vehicle type 
and entering ``NA'' instead of what would otherwise apply for, tire 
revolutions per mile, engine information, transmission information, 
drive axle ratio, axle efficiency, and aerodynamic improvement as 
specified in paragraphs (c)(1), (f), (g)(1), (g)(3), (i), and (m) of 
this section, respectively. Incorporate other GEM inputs as specified in 
this section.
    (b) Coefficient of aerodynamic drag and drag area for tractors. 
Determine the appropriate drag area, CdA, for tractors as 
described in this paragraph (b). Use the recommended method or an 
alternate method to establish a value for CdA expressed in 
m\2\ to one decimal place, as specified in Sec. 1037.525. Where we 
allow you to group multiple configurations together, measure 
CdA of the worst-case configuration.

[[Page 198]]

    (1) Except as specified in paragraph (b)(2) of this section, 
determine the Phase 1 bin level for your vehicle based on measured 
CdA values as shown in the following tables:CdA

                      Table 1 of Sec. 1037.520--Cd Inputs for Phase 1 High-Roof Tractors
----------------------------------------------------------------------------------------------------------------
                                                                                      If your
                                                                                   measured DCdA   Then your Cd
                 Tractor type                              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
----------------------------------------------------------------------------------------------------------------


                Table 2 of Sec. 1037.520--Cd Inputs for Phase 1 Low-Roof and Mid-Roof Tractors
----------------------------------------------------------------------------------------------------------------
                                                                                      If your
                                                                                   measured CdA    Then your Cd
                 Tractor type                              Bin level               (m\2\) is . .  input is . . .
                                                                                         .
----------------------------------------------------------------------------------------------------------------
Low-Roof Day and Sleeper Cabs................  Bin I............................    =            0.77
                                                                                             5.1
                                               Bin II...........................          <= 5.0            0.71
----------------------------------------------------------------------------------------------------------------
Mid-Roof Day and Sleeper Cabs................  Bin I............................    =            0.87
                                                                                             5.6
                                               Bin II...........................          <= 5.5            0.82
----------------------------------------------------------------------------------------------------------------

    (2) For Phase 1 low- and mid-roof tractors, you may instead 
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.
    (3) For Phase 2 tractors other than heavy-haul tractors, determine 
bin levels and CdA inputs as follows:
    (i) Determine bin levels for high-roof tractors based on aerodynamic 
test results as described in the following table:

 Table 3 of Sec. 1037.520--Bin Determinations for Phase 2 High-Roof Tractors Based on Aerodynamic Test Results
                                                  [CdA in m\2\]
----------------------------------------------------------------------------------------------------------------
            Tractor type               Bin I      Bin II    Bin III     Bin IV     Bin V      Bin VI    Bin VII
----------------------------------------------------------------------------------------------------------------
Day Cabs...........................  dA input according to the tractor's 
bin level as described in the following table:

                    Table 5 of Sec. 1037.520--Phase 2 CdA Tractor Inputs Based on Bin Level
----------------------------------------------------------------------------------------------------------------
            Tractor type               Bin I      Bin II    Bin III     Bin IV     Bin V      Bin VI    Bin VII
----------------------------------------------------------------------------------------------------------------
High-Roof Day Cabs.................       7.45       6.85       6.25       5.70       5.20       4.70       4.20
High-Roof Sleeper Cabs.............       7.15        655       5.95       5.40       4.90       4.40       3.90
Low-Roof Cabs......................       6.00       5.60       5.15       4.75       4.40       4.10       3.80
Mid-Roof Cabs......................       7.00       6.65       6.25       5.85       5.50       5.20       4.90
----------------------------------------------------------------------------------------------------------------

    (4) Note that, starting in model year 2027, GEM internally reduces 
CdA for high-roof tractors by 0.3 m\2\ to simulate adding a 
rear fairing to the standard trailer.
    (c) Tire revolutions per mile and rolling resistance. You must have 
a tire revolutions per mile (TRPM) and 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. Determine TRRL input values separately for drive and 
steer tires; determine TRPM only for drive tires.
    (1) Use good engineering judgment to determine a tire's revolutions 
per mile to the nearest whole number as specified in SAE J1025 
(incorporated by reference in Sec. 1037.810). Note that for tire sizes 
that you do not test, we will treat your analytically derived 
revolutions per mile the same as test results, and we may perform our 
own testing to verify your values. We may require you to test a sample 
of additional tire sizes that we select.
    (2) Measure tire rolling resistance in kg per metric ton as 
specified in ISO 28580 (incorporated by reference in Sec. 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 60  2 minutes.
    (3) 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. Calculate the arithmetic mean of 
these results to the nearest 0.1 kg/tonne and use this value or any 
higher value as your GEM input for 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.
    (4) If you obtain your test results from the tire manufacturer or 
another third party, you must obtain a signed statement from the party 
supplying those test results to verify that tests were conducted 
according to the requirements of this part. Such statements are deemed 
to be submissions to EPA.
    (5) For tires marketed as light truck tires that have load ranges C, 
D, or E, use as the GEM input TRRL multiplied by 0.87.

[[Page 200]]

    (6) For vehicles with at least three drive axles or for vehicles 
with more than three axles total, use good engineering judgment to 
combine tire rolling resistance into three values (steer, drive 1, and 
drive 2) for use in GEM. This may require performing a weighted average 
of tire rolling resistance from multiple axles based on the typical load 
on each axle.
    (7) For vehicles with a single rear axle, enter ``NA'' as the TRRL 
value for drive axle 2.
    (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 in Sec. 1037.640. 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. Develop a weight-reduction as a GEM 
input as described in this paragraph (e). Enter the sum of weight 
reductions as described in this paragraph (e), or enter zero if there is 
no 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), an aluminum alloy qualifies as light-weight if 
a dual-wide drive wheel made from this material weighs at least 21 
pounds less than a comparable conventional steel wheel. The inputs are 
listed in Table 6 of this section. For example, a tractor or vocational 
vehicle 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).

       Table 6 of Sec. 1037.520--Wheel-Related Weight Reductions
------------------------------------------------------------------------
                                  Weight reduction--  Weight reduction--
   Weight-reduction technology      Phase 1 (lb per     Phase 2 (lb per
                                        wheel)              wheel)
------------------------------------------------------------------------
Wide-Base Single Drive Tire
 with: \1\
    Steel Wheel.................                  84                  84
    Aluminum Wheel..............                 139                 147
    Light-Weight Aluminum Alloy                  147                 147
     Wheel......................
Wide-Base Single Trailer Tire
 with: \1\
    Steel Wheel.................  ..................                  84
    Aluminum or Aluminum Alloy    ..................                 131
     Wheel......................
Steer Tire, Dual-wide Drive
 Tire, or Dual-wide Trailer Tire
 with:
    High-Strength Steel Wheel...                   8                   8
    Aluminum Wheel..............                  21                  25
    Light-Weight Aluminum Alloy                   30                  25
     Wheel......................
------------------------------------------------------------------------
\1\ The weight reduction for wide-base tires accounts for reduced tire
  weight relative to dual-wide tires.

    (2) Weight reduction inputs for tractor components other than wheels 
are specified in the following table:

     Table 7 of Sec. 1037.520--Nonwheel-Related Weight Reductions From Alternative Materials for Tractors
                                                    [Pounds]
----------------------------------------------------------------------------------------------------------------
                                                                                   High-strength
                  Weight reduction technologies                      Aluminum          steel       Thermoplastic
----------------------------------------------------------------------------------------------------------------
Door............................................................              20               6
Roof............................................................              60              18
Cab rear wall...................................................              49              16
Cab floor.......................................................              56              18
Hood Support Structure System...................................              15               3
Hood and Front Fender...........................................  ..............  ..............              65
Day Cab Roof Fairing............................................  ..............  ..............              18
Sleeper Cab Roof Fairing........................................              75              20              40
Aerodynamic Side Extender.......................................  ..............  ..............              10
Fairing Support Structure System................................              35               6
Instrument Panel Support Structure..............................               5               1

[[Page 201]]

 
Brake Drums--Drive (set of 4)...................................             140              74
Brake Drums--Non Drive (set of 2)...............................              60              42
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
Fairing Support Structure System................................              35               6
Drive Axle Hubs (set of 4)......................................              80              20
Non Drive Hubs (2)..............................................              40               5
Two-piece driveshaft............................................              20               5
Transmission/Clutch Shift Levers................................              20               4  ..............
----------------------------------------------------------------------------------------------------------------

    (3) Weight-reduction inputs for vocational-vehicle components other 
than wheels are specified in the following table:

Table 8 of Sec. 1037.520--Nonwheel-Related Weight Reductions From Alternative Materials for Phase 2 Vocational
                                                    Vehicles
                                                    [Pounds]
----------------------------------------------------------------------------------------------------------------
                                                                                   Vehicle type
               Component                        Material         -----------------------------------------------
                                                                     Light HDV      Medium HDV       Heavy HDV
----------------------------------------------------------------------------------------------------------------
Axle Hubs--Non-Drive..................  Aluminum................                40                            40
Axle Hubs--Non-Drive..................  High Strength Steel.....                 5                             5
Axle--Non-Drive.......................  Aluminum................                60                            60
Axle--Non-Drive.......................  High Strength Steel.....                15                            15
Brake Drums--Non-Drive................  Aluminum................                60                            60
Brake Drums--Non-Drive................  High Strength Steel.....                42                            42
Axle Hubs--Drive......................  Aluminum................                40                            80
Axle Hubs--Drive......................  High Strength Steel.....                10                            20
Brake Drums--Drive....................  Aluminum................                70                           140
Brake Drums--Drive....................  High Strength Steel.....                37                            74
Suspension Brackets, Hangers..........  Aluminum................                67                           100
Suspension Brackets, Hangers..........  High Strength Steel.....                20                            30
----------------------------------------------------------------------------------------------------------------
Crossmember--Cab......................  Aluminum................              10              15              15
Crossmember--Cab......................  High Strength Steel.....               2               5               5
Crossmember--Non-Suspension...........  Aluminum................              15              15              15
Crossmember--Non-Suspension...........  High Strength Steel.....               5               5               5
Crossmember--Suspension...............  Aluminum................              15              25              25
Crossmember--Suspension...............  High Strength Steel.....               6               6               6
Driveshaft............................  Aluminum................              12              40              50
Driveshaft............................  High Strength Steel.....               5              10              12
Frame Rails...........................  Aluminum................             120             300             440
Frame Rails...........................  High Strength Steel.....              40              40              87
----------------------------------------------------------------------------------------------------------------

    (4) Apply vehicle weight inputs for changing technology 
configurations as follows:
    (i) For Class 8 tractors or for Class 8 vocational vehicles with a 
permanent 6 x 2 axle configuration, apply a weight reduction input of 
300 pounds. This

[[Page 202]]

does not apply for coach buses certified to custom-chassis standards 
under Sec. 1037.105(h).
    (ii) For Class 8 tractors with 4 x 2 axle configuration, apply a 
weight reduction input of 400 pounds.
    (iii) For tractors with installed engines with displacement below 
14.0 liters, apply a weight reduction of 300 pounds.
    (iv) For tractors with single-piece driveshafts with a total length 
greater than 86 inches, apply a weight reduction of 43 pounds for steel 
driveshafts and 63 pounds for aluminum driveshafts.
    (5) You may ask to apply the off-cycle technology provisions of 
Sec. 1037.610 for weight reductions not covered by this paragraph (e).
    (f) Engine characteristics. Enter information from the engine 
manufacturer to describe the installed engine and its operating 
parameters as described in 40 CFR 1036.510. The fuel-mapping information 
must apply for the vehicle's GVWR; for example, if you install a medium 
heavy-duty engine in a Class 8 vehicle, the engine must have additional 
fuel-mapping information for the heavier vehicle. Note that you do not 
need fuel consumption at idle for tractors.
    (g) Vehicle characteristics. Enter the following information to 
describe and the vehicle and its operating parameters:
    (1) Transmission make, model, and type. Also identify the gear ratio 
for every available forward gear to two decimal places, and identify the 
lowest gear involving a locked torque converter, if applicable. For 
vehicles with a manual transmission, GEM applies a 2% emission increase 
relative to automated manual transmissions. If your vehicle has a dual-
clutch transmission, use good engineering judgment to determine if it 
can be accurately represented in GEM as an automated manual 
transmission. We may require you to perform a powertrain test with dual-
clutch transmissions to show that they can be properly simulated as an 
automated manual transmission.
    (2) Drive axle configuration. Select a drive axle configuration to 
represent your vehicle for modeling.
    (i) 4 x 2: One drive axle and one non-drive axle.
    (ii) 6 x 2: One drive axle and two non-drive axles.
    (iii) 6 x 4: Two or more drive axles, or more than three total 
axles. Note that this includes, for example, a vehicle with two drive 
axles out of four total axles (otherwise known as an 8x4 configuration).
    (iv) 6 x 4D: An axle that can automatically switch between 6 x 2 and 
6 x 4 configuration. When the axle is in the 6 x 2 configuration the 
input and output of the disconnectable axle must be mechanically 
disconnected from the drive shaft and the wheels to qualify.
    (3) Drive axle ratio, ka. If a vehicle is designed with 
two or more user-selectable axle ratios, use the drive axle ratio that 
is expected to be engaged for the greatest driving distance. If the 
vehicle does not have a drive axle, such as a hybrid vehicle with direct 
electric drive, let ka = 1.
    (4) GEM inputs associated with powertrain testing include powertrain 
family, transmission calibration identifier, test data from Sec. 
1037.550, and the powertrain test configuration (dynamometer connected 
to transmission output or wheel hub). You do not need to identify or 
provide inputs for transmission gear ratios, fuel map data, or engine 
torque curves, which would otherwise be required under paragraph (f) of 
this section.
    (h) Idle-reduction technologies. Identify whether your vehicle has 
qualifying idle-reduction technologies, subject to the qualifying 
criteria in Sec. 1037.660, as follows:
    (1) Stop-start technology and automatic engine shutdown systems 
apply for vocational vehicles. See paragraph (j) of this section for 
automatic engine shutdown systems for tractors.
    (2) Neutral idle applies for tractors and vocational vehicles.
    (i) Axle and transmission efficiency. You may use axle efficiency 
maps as described in Sec. 1037.560 and transmission efficiency maps as 
described in Sec. 1037.565 to replace the default values in GEM. If you 
obtain your test results from the axle manufacturer, transmission 
manufacturer, or another third party, you must obtain a signed statement 
from the party supplying those

[[Page 203]]

test results to verify that tests were conducted according to the 
requirements of this part. Such statements are deemed to be submissions 
to EPA.
    (j) Additional reduction technologies. Enter input values in GEM as 
follows to characterize the percentage CO2 emission reduction 
corresponding to certain technologies and vehicle configurations, or 
enter 0:
    (1) Intelligent controls. Enter 2 for tractors with predictive 
cruise control. This includes any cruise control system that 
incorporates satellite-based global-positioning data for controlling 
operator demand. For other vehicles, enter 1.5 if they have neutral 
coasting, unless good engineering judgment indicates that a lower 
percentage should apply.
    (2) Accessory load. Enter the following values related to accessory 
loads; if more than one item applies, enter the sum of those values:
    (i) If vocational vehicles have electrically powered pumps for 
steering, enter 0.5 for vocational vehicles certified with the Regional 
duty cycle, and enter 1 for tractors and other vocational vehicles.
    (ii) If tractors have electrically powered pumps for both steering 
and engine cooling, enter 1.
    (iii) If vehicles have a high-efficiency air conditioning 
compressor, enter 0.5 for tractors and vocational Heavy HDV, and enter 1 
for other vocational vehicles. This includes mechanically powered 
compressors meeting the specifications described in 40 CFR 86.1868-
12(h)(5), and all electrically powered compressors.
    (3) Tire-pressure systems. Enter 1.2 for vehicles with automatic 
tire inflation systems on all axles (1.1 for Multi-Purpose and Urban 
vocational vehicles). Enter 1.0 for vehicles with tire pressure 
monitoring systems on all axles (0.9 for Multi-Purpose and Urban 
vocational vehicles). If vehicles use a mix of the two systems, treat 
them as having only tire pressure monitoring systems.
    (4) Extended-idle reduction. Enter values as shown in the following 
table for sleeper cabs equipped with idle-reduction technology meeting 
the requirements of Sec. 1037.660 that are designed to automatically 
shut off the main engine after 300 seconds or less:

      Table 9 of Sec. 1037.520--GEM Input Values for AES Systems
------------------------------------------------------------------------
                                               GEM input values
             Technology              -----------------------------------
                                         Adjustable     Tamper-resistant
------------------------------------------------------------------------
Standard AES system.................                 1                 4
With diesel APU.....................                 3                 4
With battery APU....................                 5                 6
With automatic stop-start...........                 3                 3
Fuel-operated heater................                 2                 3
------------------------------------------------------------------------

    (5) Other. Additional GEM inputs may apply as follows:
    (i) Enter 1.7 and 0.9, respectively, for school buses and coach 
buses that have at least seven available forward gears.
    (ii) If we approve off-cycle technology under Sec. 1037.610 in the 
form of an improvement factor, enter the improvement factor expressed as 
a percentage reduction in CO2 emissions. (Note: In the case 
of approved off-cycle technologies whose benefit is quantified as a g/
ton-mile credit, apply the credit to the GEM result, not as a GEM input 
value.)
    (k) Vehicles with hybrid power take-off. For vocational vehicles, 
determine the delta PTO emission result of your engine and hybrid power 
take-off system as described in Sec. 1037.540.
    (l) [Reserved]
    (m) Aerodynamic improvements for vocational vehicles. For vocational 
vehicles certified using the Regional duty cycle, enter DCdA 
values to account for using aerodynamic devices as follows:
    (1) Enter 0.2 for vocational vehicles with an installed rear fairing 
if the vehicle is at least 7 m long with a minimum frontal area of 8 
m\2\.
    (2) For vehicles at least 11 m long with a minimum frontal area of 9 
m\2\, enter 0.5 if the vehicle has both skirts and a front fairing, and 
enter 0.3 if it has only one of those devices.
    (3) You may determine input values for these or other technologies 
based on aerodynamic measurements as described in Sec. 1037.527.
    (n) Alternate fuels. For fuels other than those identified in GEM, 
perform the simulation by identifying the vehicle as being diesel-fueled 
if the engine is subject to the compression-ignition standard, or as 
being gasoline-fueled if the engine is subject to the spark-ignition 
standards. Correct the engine or powertrain fuel map for mass-specific

[[Page 204]]

net energy content as described in 40 CFR 1036.535(b).



Sec. 1037.525  Aerodynamic measurements for tractors.

    This section describes a methodology for quantifying aerodynamic 
drag for use in determining input values for tractors as described in 
Sec. 1037.520.
    (a) General provisions. The GEM input for a tractor's aerodynamic 
performance is a Cd value for Phase 1 and a CdA 
value for Phase 2. The input value is measured or calculated for a 
tractor in a specific test configuration with a trailer, such as a high-
roof tractor with a box van meeting the requirements for the standard 
trailer.
    (1) Aerodynamic measurements may involve any of several different 
procedures. Measuring with different procedures introduces variability, 
so we identify the coastdown method in Sec. 1037.528 as the primary (or 
reference) procedure. You may use other procedures with our advance 
approval as described in paragraph (d) of this section, but we require 
that you adjust your test results from other test methods to correlate 
with coastdown test results. All adjustments must be consistent with 
good engineering judgment. Submit information describing how you 
quantify aerodynamic drag from coastdown testing, whether or not you use 
an alternate method.
    (2) Test high-roof tractors with a standard trailer as described in 
Sec. 1037.501(g)(1). Note that the standard trailer for Phase 1 
tractors is different from that of later model years. Note also that GEM 
may model a different configuration than the test configuration, but 
accounts for this internally. Test low-roof and mid-roof tractors 
without a trailer; however, you may test low-roof and mid-roof tractors 
with a trailer to evaluate off-cycle technologies.
    (b) Adjustments to correlate with coastdown testing. Adjust 
aerodynamic drag values from alternate methods to be equivalent to the 
corresponding values from coastdown measurements as follows:
    (1) Determine the functional relationship between your alternate 
method and coastdown testing. Unless good engineering judgment dictates 
otherwise, assume that coastdown drag is proportional to drag measured 
using alternate methods. This means you may apply a constant adjustment 
factor, Falt-aero, for a given alternate drag measurement 
method using the following equation, where the effective yaw angle, 
ceff, is assumed to be zero degrees for Phase 1 and is 
determined from coastdown test results for Phase 2:
[GRAPHIC] [TIFF OMITTED] TR25OC16.089

    (2) Determine Falt-aero by performing coastdown testing 
and applying your alternate method on the same vehicles. Consider all 
applicable test data including data collected during selective 
enforcement audits. Where you have test results from multiple vehicles 
expected to have the same Falt-aero, you may either average 
the Falt-aero values or select any greater value. Unless we 
approve another vehicle, one vehicle must be a Class 8 high-roof sleeper 
cab with a full aerodynamics package pulling a standard trailer. Where 
you have more than one tractor model meeting these criteria, use the 
tractor model with the highest projected sales. If you do not have such 
a tractor model, you may use your most comparable tractor model with our 
prior approval. In the case of alternate methods other than those 
specified in this subpart, good engineering judgment may require you to 
determine your adjustment factor

[[Page 205]]

based on results from more than the specified minimum number of 
vehicles.
    (3) Measure the drag area using your alternate method for a Phase 2 
tractor used to determine Falt-aero with testing at yaw 
angles of 0 deg., 1 deg., 3 deg., 4.5 deg., 6 deg., and 9 deg. (you may 
include additional angles), using direction conventions described in 
Figure 2 of SAE J1252 (incorporated by reference in Sec. 1037.810). 
Also, determine the drag area at the coastdown effective yaw angle, 
CdAeffective-yaw-alt, by taking the average drag 
area at [psi]eff and -[psi]eff for your vehicle 
using the same alternate method.
    (4) For Phase 2 testing, determine separate values of 
Falt-aero for a minimum of one high-roof day cab and one 
high-roof sleeper cab for 2021, 2024, and 2027 model years based on 
testing as described in paragraph (b)(2) of this section (six tests 
total). For any untested tractor models, apply the value of 
Falt-aero from the tested tractor model that best represents 
the aerodynamic characteristics of the untested tractor model, 
consistent with good engineering judgment. Testing under this paragraph 
(b)(4) continues to be valid for later model years until you change the 
tractor model in a way that causes the test results to no longer 
represent production vehicles. You must also determine unique values of 
Falt-aero for low-roof and mid-roof tractors if you determine 
CdA values based on low or mid-roof tractor testing as shown 
in Table 4 of Sec. 1037.520. For Phase 1 testing, if good engineering 
judgment allows it, you may calculate a single, constant value of 
Falt-aero for your whole product line by dividing the 
coastdown drag area, CdAcoastdown, by 
CdAalt.
    (5) Determine 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 (or a higher value you declare).
    (6) If a tractor and trailer cannot be configured to meet the gap 
requirements, test with the trailer positioned as close as possible to 
the specified gap dimension and use good engineering judgment to correct 
the results to be equivalent to a test configuration meeting the 
specified gap dimension.
    (c) Yaw sweep corrections. Aerodynamic features can have a different 
effectiveness for reducing wind-averaged drag than is predicted by zero-
yaw drag. The following procedures describe how to determine a tractor's 
CdA values to account for wind-averaged drag and differences 
from coastdown testing:
    (1) For Phase 2 testing with an alternate method, apply the 
following method using your alternate method for aerodynamic testing:
    (i) For all testing, calculate the wind-averaged drag area from the 
alternate method, CdAwa-alt, using an average of 
measurements at -4.5 and +4.5 degrees.
    (ii) Determine your wind-averaged drag area, 
CdAwa, rounded to one decimal place, using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.090

    (2) For Phase 2 coastdown test results, apply the following method:
    (i) For all coastdown testing, determine your effective yaw angle 
from coastdown, CdAeffective-yaw-coastdown.
    (ii) Use an alternate method to calculate the ratio of the wind-
averaged drag area (using an average of measurements at -4.5 and +4.5 
degrees, CdAwa-alt) to the drag area at the 
effective yaw angle, CdAeffective-yaw.
    (iii) Determine your wind-averaged drag area, 
CdAwa, rounded to one decimal place, using the 
following equation:

[[Page 206]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.091

    (3) Different approximations apply for Phase 1. For Phase 1 testing, 
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 
Class 8 high-roof sleeper cab):
    (i) Determine the zero-yaw drag area, 
CdAzero-yaw, and the yaw-sweep drag area for your 
vehicle using the same alternate method as specified in this subpart. 
Measure the 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, 
CdA6.
    (ii) Calculate your yaw-sweep correction factor, CFys, 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.092

    (iii) Calculate your corrected drag area for determining the 
aerodynamic bin by multiplying the measured zero-yaw drag area by 
CFys, as determined using Eq. 1037.525-4, as applicable. You 
may apply the correction factor to drag areas measured using other 
procedures. For example, apply CFys to drag areas measured 
using the coastdown method. If you use an alternate method, apply an 
alternate correction, Falt-aero, and calculate the final drag 
area using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.093

    (iv) You may ask us to apply CFys to similar vehicles 
incorporating the same design features.
    (v) As an alternative, you may calculate the wind-averaged drag area 
according to SAE J1252 (incorporated by reference in Sec. 1037.810) and 
substitute this value into Eq. 1037.525-4 for the 6 deg. drag area.
    (d) Approval of alternate methods. You must obtain preliminary 
approval before using any method other than coastdown testing to 
quantify aerodynamic drag. We will approve your request if you show that 
your procedures produce data that are the same as or better than 
coastdown testing with respect to repeatability and unbiased 
correlation. Note that the correlation is not considered to be biased if 
there is a bias before correction, but you remove the bias using 
Falt-aero. Send your request for approval to the Designated 
Compliance Officer. Keep records of the

[[Page 207]]

information specified in this paragraph (d). Unless we specify 
otherwise, include this information with your request. You must provide 
any information we require to evaluate whether you may apply the 
provisions of this section. Include additional information related to 
your alternate method as described in Sec. Sec. 1037.530 through 
1037.534. If you use a method other than those specified in this 
subpart, include all the following information, as applicable:
    (1) Official name/title of the procedure.
    (2) Description of the procedure.
    (3) Cited sources for any standardized procedures that the method is 
based on.
    (4) Description and rationale for any modifications/deviations from 
the standardized procedures.
    (5) Data comparing the procedure to the coastdown reference 
procedure.
    (6) Additional information specified for the alternate methods 
described in Sec. Sec. 1037.530 through 1037.534 as applicable to this 
method (e.g., source location/address, background/history).



Sec. 1037.526  Aerodynamic measurements for trailers.

    This section describes a methodology for determining aerodynamic 
drag area, CdA for use in determining input values for box 
vans as described in Sec. Sec. 1037.515 and 1037.520.
    (a) A trailer's aerodynamic performance for demonstrating compliance 
with standards is based on a DCdA value relative to a 
baseline trailer. Determine these DCdA values by performing A 
to B testing, as follows:
    (1) Determine a baseline CdA value for a standard tractor 
pulling a test trailer representing a production configuration; use a 
53-foot test trailer to represent long trailers and a 28-foot test 
trailer to represent short trailers. Repeat this testing with the same 
tractor and the applicable baseline trailer. For testing long trailers, 
the baseline trailer is a trailer meeting the specifications for a Phase 
1 standard trailer in Sec. 1037.501(g)(1); for testing refrigerated box 
vans, use a baseline trailer with an installed HVAC unit that properly 
represents a baseline configuration correlated with the production 
configuration. For testing short trailers, use a 28-foot baseline 
trailer with a single axle that meets the same specifications as the 
Phase 1 standard trailer, except as needed to accommodate the reduced 
trailer length.
    (2) Use good engineering judgment to perform paired tests that 
accurately demonstrate the reduction in aerodynamic drag associated with 
the improved design. For example, the gap dimension should be the same 
for all paired tests, and effective yaw angle between paired tests 
should differ by no more than 1.0 deg..
    (3) Measure CdA in m\2\ to two decimal places. Calculate 
DCdA by subtracting the drag area for the test trailer from 
the drag area for the baseline trailer.
    (b) The default method for measuring is the wind-tunnel procedure as 
specified in Sec. 1037.530. You may test using alternate methods as 
follows:
    (1) If we approve it in advance, you may instead use one of the 
alternate methods specified in Sec. Sec. 1037.528 through 1037.532, 
consistent with good engineering judgment, which may require that you 
adjust your test results from the alternate test method to correlate 
with the primary method. If you request our approval to determine 
DCdA using an alternate method, you must submit additional 
information as described in paragraph (d) of this section.
    (2) The principles of 40 CFR 1065.10(c)(1) apply for aerodynamic 
test methods. Specifically, we may require that you use coastdown 
measurements if we determine that certain technologies are not suited to 
evaluation with wind-tunnel testing or CFD, such as nonrigid materials 
whose physical characteristics change in scaled-model testing. You may 
similarly reference 40 CFR 1065.10(c)(1) in your request to use 
coastdown testing as an alternate method.
    (c) The following provisions apply for combining multiple devices 
under this section for the purpose of certifying trailers:
    (1) If the device manufacturer establishes a DCdA value 
in a single test with multiple aerodynamic devices installed, trailer 
manufacturers may use that DCdA value directly for the same 
combination of aerodynamic devices installed on production trailers.

[[Page 208]]

    (2) Trailer manufacturers may combine DCdA values for 
aerodynamic devices that are not tested together, as long as each device 
does not significantly impair the effectiveness of another, consistent 
with good engineering judgment. To approximate the overall benefit of 
multiple devices, calculate a composite DCdA value for 
multiple aerodynamic devices by applying the full DCdA value 
for the device with the greatest aerodynamic improvement, adding the 
second-highest DCdA value multiplied by 0.9, and adding any 
other DCdA values multiplied by 0.8.
    (d) You must send us a description of your plan to perform testing 
under this section before you start testing. We will evaluate whether 
plans for wind-tunnel testing meet the specifications of Sec. 1037.530, 
and will tell you if you may or must use any other method to determine 
drag coefficients. We will approve your request to use an alternate 
method if you show that your procedures produce data that are the same 
as or better than wind-tunnel testing with respect to repeatability and 
unbiased correlation. Note that the correlation is not considered to be 
biased if there is a bias before correction, but you apply a correction 
to remove the bias. Send your testing plan to the Designated Compliance 
Officer. Keep records of the information specified in this paragraph 
(d). Unless we specify otherwise, include this information with your 
request. You must provide any information we require to evaluate whether 
you may apply the provisions of this section. Include additional 
information related to your alternate method as described in Sec. Sec. 
1037.528 through 1037.534.



Sec. 1037.527  Aerodynamic measurements for vocational vehicles.

    This section describes a methodology for determining aerodynamic 
drag area, CdA, for use in determining input values for 
vocational vehicles as described in Sec. 1037.520. This measurement is 
optional.
    (a) Determine DCdA values by performing A to B testing as 
described for trailers in Sec. 1037.526, with any appropriate 
adjustments, consistent with good engineering judgment.
    (b) [Reserved]



Sec. 1037.528  Coastdown procedures for calculating drag area
(CdA).

    The coastdown procedures in this section describe how to calculate 
drag area, CdA, for Phase 2 tractors, trailers, and 
vocational vehicles, subject to the provisions of Sec. Sec. 1037.525 
through 1037.527. These procedures are considered the primary procedures 
for tractors, but alternate procedures for trailers. Follow the 
provisions of Sections 1 through 9 of SAE J2263 (incorporated by 
reference in Sec. 1037.810), with the clarifications and exceptions 
described in this section. Several of these exceptions are from SAE 
J1263 (incorporated by reference in Sec. 1037.810). The coastdown 
procedures in 40 CFR 1066.310 apply instead of the provisions of this 
section for Phase 1 tractors.
    (a) The terms and variables identified in this section have the 
meaning given in SAE J1263 (incorporated by reference in Sec. 1037.810) 
and J2263 unless specified otherwise.
    (b) To determine CdA values for a tractor, perform 
coastdown testing with a tractor-trailer combination using the 
manufacturer's tractor and a standard trailer. To determine 
CdA values for a trailer, perform coastdown testing with a 
tractor-trailer combination using a standard tractor. Prepare tractors 
and trailers for testing as follows:
    (1) Install instrumentation for performing the specified 
measurements.
    (2) After adding vehicle instrumentation, verify that there is no 
brake drag or other condition that prevents the wheels from rotating 
freely. Do not apply the parking brake at any point between this 
inspection and the end of the measurement procedure.
    (3) Install tires mounted on steel rims in a dual configuration 
(except for steer tires). The tires must--
    (i) Be SmartWay-Verified or have a coefficient of rolling resistance 
at or below 5.1 kg/metric ton.
    (ii) Have accumulated at least 2,000 miles 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.

[[Page 209]]

    (v) Be inflated to the proper tire pressure as specified in Sections 
6.6 and 8.1 of SAE J2263.
    (vi) Be of the same tire model for a given axle.
    (4) Perform an inspection or wheel alignment for both the tractor 
and the trailer to ensure that wheel position is within the 
manufacturer's specifications.
    (c) The test condition specifications described in Sections 7.1 
through 7.4 of SAE J1263 apply, with the following exceptions and 
additional provisions:
    (1) We recommend that you not perform coastdown testing if winds are 
expected to exceed 6.0 mi/hr.
    (2) The average of the component of the wind speed parallel to the 
road must not exceed 6.0 mi/hr. This constraint is in addition to those 
in Section 7.3 of SAE J1263.
    (3) If road grade is greater than 0.02% over the length of the test 
surface, you must determine elevation as a function of distance along 
the length of the test surface and incorporate this into the analysis.
    (4) Road grade may exceed 0.5% for limited portions of the test 
surface as long as it does not affect coastdown results, consistent with 
good engineering judgment.
    (5) The road surface temperature must be at or below 50  deg.C. Use 
good engineering judgment to measure road surface temperature.
    (d) CdA calculations are based on measured speed values 
while the vehicle coasts down through a high-speed range from 70 to 60 
mi/hr, and through a low-speed range from 20 to 10 mi/hr. Disable any 
vehicle speed limiters that prevent travel above 72 mi/hr. Measure 
vehicle speed at a minimum recording frequency of 10 Hz, in conjunction 
with time-of-day data. Determine vehicle speed using either of the 
following methods:
    (1) Complete coastdown runs. Operate the vehicle at a top speed 
above 72.0 mi/hr and allow the vehicle to coast down to 8.0 mi/hr or 
lower. Collect data for the high-speed range over a test segment that 
includes speeds from 72.0 down to 58.0 mi/hr, and collect data for the 
low-speed range over a test segment that includes speeds from 22.0 down 
to 8.0 mi/hr.
    (2) Split coastdown runs. Collect data during a high-speed coastdown 
while the vehicle coasts through a test segment that includes speeds 
from 72.0 mi/hr down to 58.0 mi/hr. Similarly, collect data during a 
low-speed coastdown while the vehicle coasts through a test segment that 
includes speeds from 22.0 mi/hr down to 8.0 mi/hr. Perform one high-
speed coastdown segment or two consecutive high-speed coastdown segments 
in one direction, followed by the same number of low-speed coastdown 
segments in the same direction, and then perform that same number of 
measurements in the opposite direction. You may not split runs as 
described in Section 9.3.1 of SAE J2263 except as allowed under this 
paragraph (d)(2).
    (e) Measure wind speed, wind direction, air temperature, and air 
pressure at a recording frequency of 10 Hz, in conjunction with time-of-
day data. Use at least one stationary electro-mechanical anemometer and 
suitable data loggers meeting SAE J1263 specifications, subject to the 
following additional specifications for the anemometer placed along the 
test surface:
    (1) You must start a coastdown measurement within 24 hours after 
completing zero-wind and zero-angle calibrations.
    (2) Place the anemometer at least 50 feet from the nearest tree and 
at least 25 feet from the nearest bush (or equivalent features). 
Position the anemometer adjacent to the test surface, near the midpoint 
of the length of the track, between 2.5 and 3.0 body widths from the 
expected location of the test vehicle's centerline as it passes the 
anemometer. Record the location of the anemometer along the test track, 
to the nearest 10 feet.
    (3) Mount the anemometer at a height that is within 6 inches of half 
the test vehicle's body height.
    (4) The height of vegetation surrounding the anemometer may not 
exceed 10% of the anemometer's mounted height, within a radius equal to 
the anemometer's mounted height.
    (f) Measure air speed and relative wind direction (yaw angle) 
onboard the vehicle at a minimum recording frequency of 10 Hz, in 
conjunction with time-of-day data, using an anemometer

[[Page 210]]

and suitable data loggers that meet the requirements of Sections 5.4 of 
SAE J2263. The yaw angle must be measured to a resolution and accuracy 
of 0.5 deg.. Mount the anemometer such that it 
measures air speed at 1.5 meters above the top of the leading edge of 
the trailer. If obstructions at the test site do not allow for this 
mounting height, then mount the anemometer such that it measures air 
speed at least 0.85 meters above the top of the leading edge of the 
trailer.
    (g) Perform the following calculations to filter and correct 
measured data:
    (1) For any measured values not identified as outliers, use those 
measured values directly in the calculations specified in this section. 
Filter air speed, yaw angle, wind speed, wind direction, and vehicle 
speed measurements to replace outliers for every measured value as 
follows:
    (i) Determine a median measured value to represent the measurement 
point and the measurements 3 seconds before and after that point. In the 
first and last three seconds of the coastdown run, use all available 
data to determine the median measured value. The measurement window for 
determining the median value will accordingly include 61 measurements in 
most cases, and will always include at least 31 measurements (for 10 Hz 
recording frequency).
    (ii) Determine the median absolute deviation corresponding to each 
measurement window from paragraph (g)(1)(i) of this section. This 
generally results from calculating 61 absolute deviations from the 
median measured value and determining the median from those 61 
deviations. Calculate the standard deviation for each measurement window 
by multiplying the median absolute deviation by 1.4826; calculate three 
standard deviations by multiplying the median absolute deviation by 
4.4478. Note that the factor 1.4826 is a statistical constant that 
relates median absolute deviations to standard deviations.
    (iii) A measured value is an outlier if the measured value at a 
given point differs from the median measured value by more than three 
standard deviations. Replace each outlier with the median measured value 
from paragraph (g)(1)(i) of this section. This technique for filtering 
outliers is known as the Hampel method.
    (2) For each high-speed and each low-speed segment, correct measured 
air speed using the wind speed and wind direction measurements described 
in paragraph (e) of this section as follows:
    (i) Calculate the theoretical air speed, vair,th, for 
each 10-Hz set of measurements using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.094

Where:

w = filtered wind speed.
v = filtered vehicle speed.
[aslash] w = filtered wind direction. Let [aslash] 
          w = 0 deg. for air flow in the first travel 
          direction, with values increasing counterclockwise. For 
          example, if the vehicle starts by traveling eastbound, then 
          [aslash] w = 270 deg. means a wind from the south.
[aslash] veh = the vehicle direction. Use [aslash] 
          veh = 0 deg. for travel in the first direction, and 
          use [aslash] veh = 180 deg. for travel in the 
          opposite direction.
    Example: 
w = 7.1 mi/hr
v = 64.9 mi/hr
[aslash] w = 47.0 deg.
[aslash] veh = 0 deg.
[GRAPHIC] [TIFF OMITTED] TR25OC16.095


[[Page 211]]


vair,th = 69.93 mi/hr

    (ii) Perform a linear regression using paired values of 
vair,th and measured air speed, vair,meas, to 
determine the air-speed correction coefficients, a0 and 
a1, based on the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.096

    (iii) Correct each measured value of air speed using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.097

    (3) Correct measured air direction using the wind speed and wind 
direction measurements described in paragraph (e) of this section as 
follows:
    (i) Calculate the theoretical air direction, c;air,th, 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.098

    Example: 
w = 7.1 mi/hr
v = 64.9 mi/hr
[aslash] w = 47.0 deg.
[aslash] veh = 0 deg.
[GRAPHIC] [TIFF OMITTED] TR25OC16.099

cair,th = 4.26 deg.

    (ii) Perform a linear regression using paired values of 
cair,th and measured air direction, cair,meas, to 
determine the air-direction correction coefficients, b0 and 
b1, based on the following equation:

[[Page 212]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.100

    (iii) Correct each measured value of air direction using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.101

    (h) Determine drag area, CdA, using the following 
procedure instead of the procedure specified in Section 10 of SAE J1263:
    (1) Calculate the vehicle's effective mass, Me, to 
account for rotational inertia by adding 56.7 kg to the measured vehicle 
mass, M, (in kg) for each tire making road contact.
    (2) Operate the vehicle and collect data over the high-speed range 
and low-speed range as specified in paragraph (d)(1) or (2) of this 
section. If the vehicle has a speed limiter that prevents it from 
exceeding 72 mi/hr, you must disable the speed limiter for testing.
    (3) Calculate mean vehicle speed at each speed start point (70 and 
20 mi/hr) and end point (60 and 10 mi/hr) as follows:
    (i) Calculate the mean vehicle speed to represent the start point of 
each speed range as the arithmetic average of measured speeds throughout 
the speed interval defined as 2.00 mi/hr above the nominal starting 
speed point to 2.00 mi/hr below the nominal starting speed point, 
expressed to at least two decimal places. Determine the timestamp 
corresponding to the starting point of each speed range as the time 
midpoint of the 2.00 mi/hr speed interval.
    (ii) Repeat the calculations described in paragraph (h)(3)(i) of 
this section corresponding to the end point speed (60 or 10 mi/hr) to 
determine the time at which the vehicle reaches the end speed, and the 
mean vehicle speed representing the end point of each speed range.
    (iii) If you incorporate grade into your calculations, use the 
average values for the elevation and distance traveled over each 
interval.
    (4) Calculate the road-load force, F, for each speed range using the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.102

Where:

Me = the vehicle's effective mass.
v = average vehicle speed at the start or end of each speed range, as 
          described in paragraph (h)(3) of this section.

[[Page 213]]

t = timestamp at which the vehicle reaches the starting or ending speed 
          expressed to at least one decimal place.
M = the vehicle's measured mass.
ag = acceleration of Earth's gravity, as described in 40 CFR 
          1065.630.
h = average elevation at the start or end of each speed range expressed 
          to at least two decimal places.
D = distance traveled on the road surface from a fixed reference 
          location along the road to the start or end of each speed 
          range expressed to at least one decimal place.

    Example: 
Me = 17,129 kg (18 tires in contact with the road surface)
vstart = 69.97 mi/hr = 31.28 m/s
vend = 59.88 mi/hr = 26.77 m/s
tstart = 3.05 s
tend = 19.11 s
M = 16,108 kg
ag = 9.8061 m/s\2\
hstart = 0.044 m
hend = 0.547 m
Dstart = 706.8 ft = 215.4 m
Dend = 2230.2 ft = 697.8 m
[GRAPHIC] [TIFF OMITTED] TR25OC16.103

F = 4645.5 N

    (5) For tractor testing, calculate the drive-axle spin loss force at 
high and low speeds, Fspin[speed], and determine 
DFspin as follows:
    (i) Use the results from the axle efficiency test described in Sec. 
1037.560 for the drive axle model installed in the tractor being tested 
for this coastdown procedure.
    (ii) Perform a second-order regression of axle power loss in W from 
only the zero-torque test points with wheel speed, fnwheel, 
in r/s from the axle efficiency test to determine coefficients 
c0, c1, and c2.
[GRAPHIC] [TIFF OMITTED] TR25OC16.104

    (iii) Calculate Fspin[speed] using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.105

Where:

vseg[speed] = the mean vehicle speed of all vehicle speed 
          measurements in each low-speed and high-speed segment.
TRPM = tire revolutions per mile for the drive tire model installed on 
          the tractor being tested according to Sec. 1037.520(c)(1).

    Example: 
vseghi = 28.86 m/s
vseglo = 5.84 m/s
TRPM = 508 r/mi = 0.315657 r/m
c0 = -206.841 W
c1 = 239.8279 W[middot] s/r
c2 = 21.27505 W[middot] s\2\/r\2\

[[Page 214]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.106

Fspinhi = 129.7 N
Fspinlo = 52.7 N

    (iv) Calculate DFspin using the following equation:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.107
    
    Example: 
DFspin = 129.7-52.7 = 77.0 N

    (6) For tractor testing, calculate the tire rolling resistance force 
at high and low speeds for steer, drive, and trailer axle positions, 
FTRR[speed,axle], and determine DFTRR as follows:
    (i) Conduct a stepwise coastdown tire rolling resistance test with 
three tires for each tire model installed on the vehicle using SAE J2452 
(incorporated by reference in Sec. 1037.810) for the following test 
points (which replace the test points in Table 3 of SAE J2452):

     Table 1 of Sec. 1037.528--Stepwise Coastdown Test Points for
       Determining Tire Rolling Resistance as a Function of Speed
------------------------------------------------------------------------
                                                             Inflation
                 Step                      Load (% of    pressure (% of
                                               max)            max)
------------------------------------------------------------------------
1.......................................              20             100
2.......................................              55              70
3.......................................              85             120
4.......................................              85             100
5.......................................             100              95
------------------------------------------------------------------------

    (ii) Calculate FTRR[speed,axle] using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.108

Where:

nt,[axle] = number of tires at the axle position.
P[axle] = the inflation pressure set and measured on the 
          tires at the axle position at the beginning of the coastdown 
          test.
L[axle] = the load over the axle at the axle position on the 
          coastdown test vehicle.
a[axle],b[axle], a[axle], 
          b[axle], and c[axle] = regression 
          coefficients from SAE J2452 that are specific to axle 
          position.

    Example: 
nt,steer = 2
Psteer = 758.4 kPa
Lsteer = 51421.2 N
asteer = -0.2435
bsteer = 0.9576
asteer = 0.0434
bsteer = 5.4[middot] 10-\5\
csteer = 5.53[middot] 10-\7\
nt,drive = 8
Pdrive = 689.5 kPa
Ldrive = 55958.4 N
adrive = -0.3146
bdrive = 0.9914
adrive = 0.0504
bdrive = 1.11[middot] 10-\4\
cdrive = 2.86[middot] 10-\7\
nt,trailer = 8
Ptrailer = 689.5 kPa
Ltrailer = 45727.5 N
atrailer = -0.3982
btrailer = 0.9756
atrailer = 0.0656
btrailer = 1.51[middot] 10-\4\
ctrailer = 2.94[middot] 10-\7\
vseghi = 28.86 m/s = 103.896 km/hr
vseglo = 5.84 m/s = 21.024 km/hr

[[Page 215]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.109

FTRRhi,steer = 365.6 N
FTRRhi,drive = 431.4 N
FTRRhi,trailer = 231.7 N
FTRRlo,steer = 297.8 N
FTRRlo,drive = 350.7 N
FTRRlo,trailer = 189.0 N

    (iii) Calculate FTRR[speed] by summing the tire rolling 
resistance calculations at a given speed for each axle position and 
determine DFTRR as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.110

    Example: 
FTRRhi = 365.6 + 431.4 + 231.7 = 1028.7 N
FTRRlo = 297.8 + 350.7 + 189.0 = 837.5 N

    (iv) Adjust FTRR[speed] to the ambient temperature during 
the coastdown segment as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.111

Where:

Tseg[speed] = the average ambient temperature during the low 
          or high speed segments.

    Example: 
FTRRhi = 1028.7 N
FTRRlo = 837.5 N
Tseghi = 25.5  deg.C
Tseglo = 25.1  deg.C
FTRRhi,adj = 1028.7[middot] [1 + 0.006[middot] (24-25.5)] = 
          1019.4 N
FTRRlo,adj = 837.5[middot] [1 + 0.006[middot] (24-25.1)] = 
          832.0 N

    (v) Determine DFTRR as follows:
    [GRAPHIC] [TIFF OMITTED] TR25OC16.112
    
    Example: 
DFTRR = 1019.4 - 832.0 = 187.4 N

    (7) For trailer testing, determine DFTRR using a default 
value adjusted to the ambient temperature instead of performing a 
rolling resistance test, as follows:

[[Page 216]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.113

Where:

DFTRR,def = default rolling resistance force speed 
          adjustment; Use 215 N for long box vans and 150 N for short 
          box vans.
Tcoast = the average ambient temperature during both low and 
          high speed segments.

    Example: 
DFTRR,def = 215 N
Tcoast = 25.5  deg.C
DFTRR = 215[middot] [1 + 0.0006[middot] (24-25.5)] = 213.1 N

    (8) Square the air speed measurements and calculate average squared 
air speed during each speed range for each run,v\2\air,hi and 
v\2\air,lo.
    (9) Average the Flo and v\2\air,lo values for 
each pair of runs in opposite directions. If running complete coastdowns 
as described in paragraph (d)(1) or one high-speed segment per direction 
as described in paragraph (d)(2), average every two Flo and 
v\2\air,lo values. If running two high-speed segments per 
direction as described in paragraph (d)(2), average every four 
Flo and v\2\air,lo values. Use these values as 
Flo,pair and v\2\air,lo,pair in the calculations 
in this paragraph (h) to apply to each of the two or four high-speed 
segments from the same runs as the low-speed segments used to determine 
Flo,pair and v\2\air,lo,pair.
    (10) Calculate average air temperature T and air pressure 
Pact during each high-speed run.
    (11) Calculate drag area, CdA, in m\2\ for each high-
speed segment using the following equation, expressed to at least three 
decimal places:
[GRAPHIC] [TIFF OMITTED] TR25OC16.114

Where:

Fhi = road load force at high speed determined from Eq. 
          1037.528-7.
Flo,pair = the average of Flo values for a pair of 
          opposite direction runs calculated as described in paragraph 
          (h)(9) of this section.
DFspin = the difference in drive-axle spin loss force between 
          high-speed and low-speed coastdown segments. This is described 
          in paragraph (h)(5) of this section for tractor testing. Let 
          DFspin = 110 N for trailer testing.
DFTRR = the difference in tire rolling resistance force 
          between high-speed and low-speed coastdown segments as 
          described in paragraphs (h)(6) or (7) of this section.
v\2\air,lo,pair = the average of v\2\air,lo values 
          for a pair of opposite direction runs calculated as described 
          in paragraph (h)(9) of this section.
R = specific gas constant = 287.058 J/(kg[middot] K).
T = mean air temperature expressed to at least one decimal place.
Pact = mean absolute air pressure expressed to at least one 
          decimal place.

    Example: 
Fhi = 4645.5 N
Flo,pair = 1005.0 N
DFspin = 77.0 N
DFTRR = 187.4 N
v\2\air,hi = 933.4 m\2\/s\2\
v\2\air,lo,pair = 43.12 m\2\/s\2\
R = 287.058 J/(kg[middot] K)
T = 285.97 K
Pact = 101.727 kPa = 101727 Pa

[[Page 217]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.115

CdA = 6.120 m\2\

    (12) Calculate your final CdA value from the high-speed 
segments as follows:
    (i) Eliminate all points where there were known equipment problems 
or other measurement problems.
    (ii) Of the remaining points, calculate the median of the absolute 
value of the yaw angles, cmed, and eliminate all 
CdA values that differ by more than 1.0 deg. from 
cmed.
    (iii) Of the remaining points, calculate the mean and standard 
deviation of CdA and eliminate all values that differ by more 
than 2.0 standard deviations from the mean value.
    (iv) There must be at least 24 points remaining. Of the remaining 
points, recalculate the mean yaw angle. Round the mean yaw angle to the 
nearest 0.1 deg.. This final result is the effective yaw angle, 
ceff, for coastdown testing.
    (v) For the same set of points, recalculate the mean CdA. 
This is the final result of the coastdown test, 
CdAeffective-yaw-coastdown.
    (i) [Reserved]
    (j) Include the following information in your application for 
certification:
    (1) 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.
    (2) Test conditions for each test result, including date and time, 
wind speed and direction, ambient temperature and humidity, vehicle 
speed, driving distance, manufacturer name, test vehicle/model type, 
model year, applicable family, tire type and rolling resistance, weight 
of tractor-trailer (as tested), and driver identifier(s).
    (3) Average CdA and yaw angle results and all the 
individual run results (including voided or invalid runs).



Sec. 1037.530  Wind-tunnel procedures for calculating drag area 
(CdA).

    The wind-tunnel procedure specified in this section is considered to 
be the primary procedure for trailers, but is an alternate procedure for 
tractors.
    (a) You may measure drag areas consistent with published SAE 
procedures as described in this section using any wind tunnel recognized 
by the Subsonic Aerodynamic Testing Association, subject to the 
provisions of Sec. Sec. 1037.525 through 1037.527. If your wind tunnel 
does not meet the specifications described in this section, you may ask 
us to approve it as an alternate method under Sec. 1037.525(d) or Sec. 
1037.526(d). All wind tunnels and wind tunnel tests must meet the 
specifications described in SAE J1252 (incorporated by reference in 
Sec. 1037.810), with the following exceptions and additional 
provisions:
    (1) The Overall Vehicle Reynolds number, 
Rew, must be at least 1.0[middot] 10\6\. 
Tests for Reynolds effects described in Section 7.1 of SAE J1252 are not 
required.
    (2) For full-scale wind tunnel tractor testing, use good engineering 
judgment to select a trailer that is a reasonable representation of the 
trailer used for reference coastdown testing. For example, where your 
wind tunnel is not long enough to test the tractor with a standard 53 
foot box van, it may be appropriate to use a shorter box van. In such a 
case, the correlation developed using the shorter trailer would only be 
valid for testing with the shorter trailer.
    (3) For reduced-scale wind tunnel testing, use a one-eighth or 
larger scale model of a tractor and trailer that is sufficient to 
simulate airflow through the radiator inlet grill and across an engine 
geometry that represents engines commonly used in your test vehicle.
    (b) Open-throat wind tunnels must also meet the specifications of 
SAE J2071 (incorporated by reference in Sec. 1037.810).
    (c) To determine CdA values for certifying tractors, 
perform wind-tunnel testing with a tractor-trailer combination using the 
manufacturer's tractor and a standard trailer. To determine

[[Page 218]]

CdA values for certifying trailers, perform wind-tunnel 
testing with a tractor-trailer combination using a standard tractor. Use 
a moving/rolling floor if the facility has one. For Phase 1 tractors, 
conduct the wind tunnel tests at a zero yaw angle. For Phase 2 vehicles, 
conduct the wind tunnel tests by measuring the drag area at yaw angles 
of +4.5 deg. and -4.5 deg. and calculating the average of those two 
values.
    (d) In your request to use wind-tunnel testing for tractors, or in 
your application for certification for trailers, describe how you meet 
all the specifications that apply under this section, using terminology 
consistent with SAE J1594 (incorporated by reference in Sec. 1037.810). 
If you request our approval to use wind-tunnel testing even though you 
do not meet all the specifications of this section, describe how your 
method nevertheless qualifies as an alternate method under Sec. 
1037.525(d) or 1037.526(d) and include all the following information:
    (1) Identify the name and location of the test facility for your 
wind-tunnel method.
    (2) Background and history of the wind tunnel.
    (3) The wind tunnel's layout (with diagram), type, and construction 
(structural and material).
    (4) The wind tunnel's design details: The type and material for 
corner turning vanes, air settling specification, mesh screen 
specification, air straightening method, tunnel volume, surface area, 
average duct area, and circuit length.
    (5) Specifications related to the wind tunnel's 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.
    (6) 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.
    (7) Fan section description: Fan type, diameter, power, maximum 
rotational speed, maximum speed, support type, mechanical drive, and 
sectional total weight.
    (8) 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.
    (9) 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.
    (10) Facility correction factors and purpose.



Sec. 1037.532  Using computational fluid dynamics to calculate drag 
area (CdA).

    This section describes how to use commercially available 
computational fluid dynamics (CFD) software to determine CdA 
values, subject to the provisions of Sec. Sec. 1037.525 through 
1037.527. This is considered to be an alternate method for both tractors 
and trailers.
    (a) For Phase 2 vehicles, use SAE J2966 (incorporated by reference 
in Sec. 1037.810), with the following clarifications and exceptions:
    (1) Vehicles are subject to the requirement to meet standards based 
on the average of testing at yaw angles of +4.5 deg. or -4.5 deg.; 
however, you may submit your application for certification with CFD 
results based on only one of those yaw angles.
    (2) For CFD code with a Navier-Stokes based solver, follow the 
additional steps in paragraph (d) of this section. For Lattice-Boltzmann 
based CFD code, follow the additional steps in paragraph (e) of this 
section.
    (3) Simulate a Reynolds number of 5.1 million and an air speed of 65 
mi/hr.

[[Page 219]]

    (4) Perform the General On-Road Simulation (not the Wind Tunnel 
Simulation).
    (5) Use a free stream turbulence intensity of 0.0%.
    (6) Choose time steps that can accurately resolve intrinsic flow 
instabilities, consistent with good engineering judgment.
    (7) The result must be drag area (CdA), not drag 
coefficient (Cd), based on an air speed of 65 mi/hr.
    (8) Submit information as described in paragraph (g) of this 
section.
    (b) For Phase 1 tractors, apply the procedures as specified in 
paragraphs (c) through (f) of this section. Paragraphs (c) through (f) 
of section apply for Phase 2 vehicles only as specified in paragraph (a) 
of this section.
    (c) To determine CdA values for certifying a tractor, 
perform CFD modeling based on a tractor-trailer combination using the 
manufacturer's tractor and a standard trailer. To determine 
CdA values for certifying a trailer, perform CFD modeling 
based on a tractor-trailer combination using a standard tractor. Perform 
all CFD modeling as follows:
    (1) Specify a blockage ratio at or below 0.2% to simulate open-road 
conditions.
    (2) Assume zero yaw angle.
    (3) Model the tractor with an open grill and representative back 
pressures based on available data describing the tractor's pressure 
characteristics.
    (4) Enable the turbulence model and mesh deformation.
    (5) Model tires and ground plane in motion to simulate a vehicle 
moving forward in the direction of travel.
    (6) Apply the smallest cell size 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 edge, trailer-trailing edge, rear bogey, tires, and tractor-
trailer gap).
    (7) Simulate a vehicle speed of 55 mi/hr.
    (d) Take the following steps for CFD code with a Navier-Stokes 
formula solver:
    (1) Perform an unstructured, time-accurate analysis using a mesh 
grid size with a 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.
    (2) Perform the analysis with a turbulence model and mesh 
deformation enabled (if applicable) with boundary layer resolution of 
95%. Once the results reach this resolution, 
demonstrate the convergence by supplying multiple, successive 
convergence values for the analysis. The turbulence model may use k-
epsilon (k-[egr]), shear stress transport k-omega (SST k-[omega]), or 
other commercially accepted methods.
    (e) For Lattice-Boltzmann 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 the distance from the tractor and 
trailer increases.
    (f) You may ask us to allow you to perform CFD analysis using 
parameters and criteria other than those specified in this section, 
consistent with good engineering judgment. In your request, you must 
demonstrate that you are unable to perform modeling based on the 
specified conditions (for example, you may have insufficient computing 
power, or the computations may require inordinate time), or you must 
demonstrate that different criteria (such as a different mesh cell shape 
and size) will yield better results. In your request, you must also 
describe your recommended alternative parameters and criteria, and 
describe how this approach will produce

[[Page 220]]

results that adequately represent a vehicle's in-use performance. We may 
require that you supply data demonstrating that your selected parameters 
and criteria will provide a sufficient level of detail to yield an 
accurate analysis. If you request an alternative approach because it 
will yield better results, we may require that you perform CFD analysis 
using both your recommended criteria and parameters and the criteria and 
parameters specified in this section to compare the resulting key 
aerodynamic characteristics, such as pressure profiles, drag build-up, 
and turbulent/laminar flow at key points around the tractor-trailer 
combination.
    (g) Include the following information in your request to determine 
CdA values using CFD:
    (1) The name of the software.
    (2) The date and version number of the software.
    (3) The name of the company producing the software and the 
corresponding address, phone number, and Web site.
    (4) Identify whether the software uses Navier-Stokes or Lattice-
Boltzmann equations.
    (5) Describe the input values you will use to simulate the vehicle's 
aerodynamic performance for comparing to coastdown results.



Sec. 1037.534  Constant-speed procedure for calculating drag area
(CdA).

    This section describes how to use constant-speed aerodynamic drag 
testing to determine CdA values, subject to the provisions of 
Sec. 1037.525. This is considered to be an alternate method for 
tractors.
    (a) Test track. Select a test track that meets the specifications 
described in Sec. 1037.528(c)(3).
    (b) Ambient conditions. At least two tests are required. For one of 
the tests, ambient conditions must remain within the specifications 
described in Sec. 1037.528(c) throughout the preconditioning and 
measurement procedure. The other tests must also meet those 
specifications except for the wind conditions. The wind conditions must 
be such that 80 percent of the values of yaw angle, [psi]air, 
from the 50 mi/hr and 70 mi/hr test segments are between 4 deg. and 
10 deg. or between -4 deg. and -10 deg..
    (c) Vehicle preparation. Perform testing with a tractor-trailer 
combination using the manufacturer's tractor and a standard trailer. 
Prepare tractors and trailers for testing as described in Sec. 
1037.528(b). Install measurement instruments meeting the requirements of 
40 CFR part 1065, subpart C, that have been calibrated as described in 
40 CFR part 1065, subpart D, as follows:
    (1) Measure torque at each of the drive wheels using a hub torque 
meter or a rim torque meter. If testing a tractor with two drive axles, 
you may disconnect one of the drive axles from receiving torque from the 
driveshaft, in which case you would measure torque at only the wheels 
that receive torque from the driveshaft. Set up instruments to read 
engine rpm for calculating rotational speed at the point of the torque 
measurements, or install instruments for measuring the rotational speed 
of the wheels directly.
    (2) Install instrumentation to measure vehicle speed at 10 Hz, with 
an accuracy and resolution of 0.1 mi/hr. Also install instrumentation 
for reading engine rpm from the engine's onboard computer.
    (3) Mount an anemometer on the trailer as described in Sec. 
1037.528(f).
    (4) Fill the vehicle's fuel tanks so they are at maximum capacity at 
the start of the measurement procedure.
    (5) Measure the weight over each axle to the nearest 20 kg, with a 
full fuel tank, including the driver and any passengers that will be in 
the vehicle during the test.
    (d) Measurement procedure. The measurement sequence consists of 
vehicle preconditioning followed by stabilization and measurement over 
five consecutive constant-speed test segments with three different speed 
setpoints (10, 50, and 70 mi/hr). Each test segment is divided into 
smaller increments for data analysis.
    (1) Precondition the vehicle and zero the torque meters as follows:
    (i) If you are using rim torque meters, zero the torque meters by 
lifting each instrumented axle and recording torque signals for at least 
30 seconds, and then drive the vehicle at 50 mi/hr for at least 30 
minutes.

[[Page 221]]

    (ii) If you are using any other kind of torque meter, drive the 
vehicle at 50 mi/hr for at least 30 minutes, and then allow the vehicle 
to coast down from full speed to a complete standstill while the clutch 
is disengaged or the transmission is in neutral, without braking. Zero 
the torque meters within 60 seconds after the vehicle stops moving by 
recording the torque signals for at least 30 seconds, and directly 
resume vehicle preconditioning at 50 mi/hr for at least 1.25 mi.
    (iii) You may calibrate instruments during the preconditioning 
drive.
    (2) Perform testing as described in paragraph (d)(3) of this section 
over a sequence of test segments at constant vehicle speed as follows:
    (i) 30030 seconds in each direction at 10 mi/
hr.
    (ii) 45030 seconds in each direction at 70 mi/
hr.
    (iii) 45030 seconds in each direction at 50 
mi/hr.
    (iv) 45030 seconds in each direction at 70 mi/
hr.
    (v) 45030 seconds in each direction at 50 mi/
hr.
    (vi) 30030 seconds in each direction at 10 mi/
hr.
    (3) When the vehicle preconditioning described in paragraph (d)(1) 
of this section is complete, stabilize the vehicle at the specified 
speed for at least 200 meters and start taking measurements. The test 
segment starts when you start taking measurements for all parameters.
    (4) During the test segment, continue to operate the vehicle at the 
speed setpoint, maintaining constant speed and torque within the ranges 
specified in paragraph (e) of this section. Drive the vehicle straight 
with minimal steering; do not change gears. Perform measurements as 
follows during the test segment:
    (i) Measure the rotational speed of the driveshaft, axle, or wheel 
where the torque is measured, or calculate it from engine rpm in 
conjunction with gear and axle ratios, as applicable.
    (ii) Measure vehicle speed in conjunction with time-of-day data.
    (iii) Measure ambient conditions, air speed, and air direction as 
described in Sec. 1037.528(e) and (f). Correct air speed and air 
direction as described in paragraphs (f)(1) and (2) of this section.
    (5) You may divide a test segment into multiple passes by suspending 
and resuming measurements. Stabilize vehicle speed before resuming 
measurements for each pass as described in paragraph (d)(3) of this 
section. Analyze the data from multiple passes by combining them into a 
single sequence of measurements for each test segment.
    (6) Divide measured values into even 10 second increments. If the 
last increment for each test segment is less than 10 seconds, disregard 
measured values from that increment for all calculations under this 
section.
    (e) Validation criteria. Analyze measurements to confirm that the 
test is valid. Analyze vehicle speed and drive torque by calculating the 
mean speed and torque values for each successive 1 second increment, for 
each successive 10 second increment, and for each test segment. The test 
is valid if the data conform to all the following specifications:
    (1) Vehicle speed. The mean vehicle speed for the test segment must 
be within 1.00 mi/hr of the speed setpoint. In addition, for testing at 
50 mi/hr and 70 mi/hr, all ten of the 1 second mean vehicle speeds used 
to calculate a corresponding 10 second mean vehicle speed must be within 
0.2 mi/hr of that 10 second mean vehicle speed. 
Perform the same data analysis for testing at 10 mi/hr, but apply a 
validation threshold of 0.1 mi/hr.
    (2) Drive torque. All ten of the 1 second mean torque values used to 
calculate a corresponding 10 second mean torque value must be within 
50% of that 10 second mean torque value.
    (3) Torque drift. Torque meter drift may not exceed 1%. Determine torque meter drift by repeating the 
procedure described in paragraph (d)(1) of this section after testing is 
complete, except that driving the vehicle is necessary only to get the 
vehicle up to 50 mi/hr as part of coasting to standstill.
    (f) Calculations. Analyze measured data for each time segment after 
time-aligning all the data. Use the following calculations to determine 
CdA:
    (1) Onboard air speed. Correct onboard anemometer measurements for 
air

[[Page 222]]

speed using onboard measurements and measured ambient conditions as 
described in Sec. 1037.528(f), except that you must first divide the 
test segment into consecutive 10 second increments. Disregard data from 
the final increment of the test segment if it is less than 10 seconds. 
This analysis results in the following equation for correcting air speed 
measurements:
[GRAPHIC] [TIFF OMITTED] TR25OC16.116

    (2) Yaw angle. Correct the onboard anemometer measurements for air 
direction for each test segment as follows:
    (i) Calculate arithmetic mean values for vehicle speed, v, wind 
speed, w, and wind direction, [phiv]w, over each 10 second 
increment for each test segment. Disregard data from the final increment 
of the test segment if it is less than 10 seconds.
    (ii) Calculate the theoretical air direction, 
[psi]air,th, for each 10 second increment using the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.117

Where:

[phiv]veh = the vehicle direction, as described in Sec. 
          1037.528(f)(2).

    Example: 
w = 7.1 mi/hr
v = 69.9 mi/hr
[phiv]w = 47.0 deg.
[phiv]veh = 0 deg.
[GRAPHIC] [TIFF OMITTED] TR25OC16.118

[psi]air,th = 3.97 deg.

    (iii) Perform a linear regression using paired values of 
[psi]air,th and measured air direction, 
[psi]air,meas, from each 10 second increment for all 50 mi/hr 
and 70 mi/hr test segments to determine the air-direction correction 
coefficients, b0 and b1, based on the following 
equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.119


[[Page 223]]


    (iv) For all 50 mi/hr and 70 mi/hr test segments, correct each 
measured value of air direction using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.120

    (3) Road load force. (i) Average the sum of the corrected torques, 
the average of the wheel speed measurements, and the vehicle speed over 
every 10 second increment to determine, Ttotal, 
fnwheel, and v.
    (ii) Calculate a mean road load force, FRL[speed], for 
each 10 second increment using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.121

Where:

Ttotal = mean of all corrected torques at a point in time.
v = mean vehicle speed.
fnwheel = mean wheel speed.
M = the measured vehicle mass.
ag = acceleration of Earth's gravity, as described in 40 CFR 
          1065.630.
hinc = elevation at the start or end of each 10 second 
          increment expressed to at least two decimal places.
Dinc = distance traveled on the road surface from a fixed 
          reference location along the road to the start or end of each 
          10 second increment, expressed to at least one decimal place.

    Example: 
Ttotal = 2264.9 N[middot] m
v = 31.6 m/s
fnwheel =598.0 r/min
M = 16508 kg
ag = 9.8061 m/s\2\
hinc,start = 0.044 m
hinc,end = 0.574 m
Dinc,start = 215.4 m
Dinc,end = 697.8 m
[GRAPHIC] [TIFF OMITTED] TR25OC16.122

FRL70 = 4310.6 N

    (4) Determination of drag area. Calculate a vehicle's drag area as 
follows:
    (i) Calculate the mean road load force from all 10 second increments 
from the 10 mi/hr test segments from the test that was within the wind 
limits specified in Sec. 1037.528(c), FRL10,test. This value 
represents the mechanical drag force acting on the vehicle.
    (ii) Calculate the mean aerodynamic force for each 10 second 
increment, Faero[speed], from the 50 mi/hr and 70 mi/hr test 
segments by subtracting FRL10,test from 
FRL[speed].
    (iii) Average the corrected air speed and corrected yaw angle over 
every 10 second segment from the 50 mi/hr and 70 mi/hr test segments to 
determine vair and [psi]air.

[[Page 224]]

    (iv) Calculate CdA for each 10 second increment from the 
50 mi/hr and 70 mi/hr test segments using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.123

Where:

CdAi[speed] = the mean drag area for each 10 
          second increment, i.
Faero[speed] = mean aerodynamic force over a given 10 second 
          increment = FRL[speed] - FRL10,test.
vair[speed] = mean aerodynamic force over a given 10 second 
          increment.
R = specific gas constant = 287.058 J/(kg[middot] K).
T = mean air temperature.
Pact = mean absolute air pressure.

    Example: 
FRL70 = 4310.6 N
FRL10,test = 900.1 N
Faero70 = 4310.6 - 900.1 = 3410.5 N
v\2\air70 = 1089.5 m\2\/s\2\
R = 287.058 J/(kg[middot] K)
T = 293.68 K
Pact = 101300 Pa
[GRAPHIC] [TIFF OMITTED] TR25OC16.124

CdAi70 = 5.210 m\2\

    (v) Plot all CdA values from the 50 mi/hr and 70 mi/hr 
test segments against the corresponding values for corrected yaw angle 
for each 10 second increment. Create a regression based on a fourth-
order polynomial regression equation of the following form:
[GRAPHIC] [TIFF OMITTED] TR25OC16.125

    (vi) Determine CdAwa-alt as the average of 
CdA values at 4.5 deg. and -4.5 deg. by applying Eq. 
1037.534-7 at those angles.
    (g) Documentation. Keep the following records related to the 
constant-speed procedure for calculating drag area:
    (1) The measurement data for calculating CdA as described 
in this section.
    (2) A general description and pictures of the vehicle tested.
    (3) The vehicle's maximum height and width.
    (4) The measured vehicle mass.
    (5) Mileage at the start of the first test segment and at the end of 
the last test segment.
    (6) The date of the test, the starting time for the first test 
segment, and the ending time for the last test segment.
    (7) The transmission gear used for each test segment.
    (8) The data describing how the test was valid relative to the 
specifications and criteria described in paragraphs (b) and (e) of this 
section.
    (9) A description of any unusual events, such as a vehicle passing 
the

[[Page 225]]

test vehicle, or any technical or human errors that may have affected 
the CdA determination without invalidating the test.



Sec. 1037.540  Special procedures for testing vehicles with hybrid
power take-off.

    This section describes optional procedures for quantifying the 
reduction in greenhouse gas emissions for vehicles as a result of 
running power take-off (PTO) devices with a hybrid energy delivery 
system. See Sec. 1037.550 for powertrain testing requirements that 
apply for drivetrain hybrid systems. 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 (charge-sustaining), and for plug-in hybrid 
vehicles, also allowing for drawing down the stored energy (charge-
depleting). The full charge-sustaining 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. 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. For plug-in 
hybrids, use a utility factor to properly weight charge-sustaining and 
charge-depleting operation as described in paragraph (f)(3) of this 
section.
    (a) Select two vehicles for testing as follows:
    (1) Select a vehicle with a hybrid energy delivery system to 
represent the range of PTO configurations that will be covered by the 
test data. If your test data will represent more than one PTO 
configuration, use good engineering judgment to select the configuration 
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 in Sec. 
1037.615.
    (b) Measure PTO emissions from the fully warmed-up conventional 
vehicle as follows:
    (1) Without adding a restriction, instrument the vehicle with 
pressure transducers at the outlet of the hydraulic pump for each 
circuit. Perform pressure measurements with a frequency of at least 1 
Hz.
    (2) Operate the PTO system with no load for at least 15 seconds. 
Measure gauge pressure and record the average value over the last 10 
seconds (pmin). For hybrid PTO systems the measured pressure 
with no load is typically zero. Apply maximum operator demand to the PTO 
system until the pressure relief valve opens and pressure stabilizes; 
measure gauge 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:
[GRAPHIC] [TIFF OMITTED] TR25OC16.126

Where:

prefi = the reference pressure at each point i in the PTO 
          cycle.
pi = the normalized pressure at each point i in the PTO cycle 
          (relative to pmax).
pmax = the mean maximum pressure measured in paragraph (b)(2) 
          of this section.
pmin = the mean 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) Depending on the number of circuits the PTO system has, operate 
the vehicle over one or concurrently over

[[Page 226]]

both of the denormalized PTO duty cycles in Appendix II of this part. 
Measure emissions during operation over each duty cycle using the 
provisions of 40 CFR part 1066.
    (8) Measured pressures must meet the cycle-validation specifications 
in the following table for each test run over the duty cycle:

  Table 1 of Sec. 1037.540--Statistical Criteria for Validating Each
                      Test Run Over the Duty Cycle
------------------------------------------------------------------------
               Parameter \1\                          Pressure
------------------------------------------------------------------------
Slope, a1.................................  0.950 <= a1 <= 1.030.
Absolute value of intercept,                <= 2.0% of maximum mapped
 [verbar]a0[verbar].                         pressure.
Standard error of estimate, SEE...........  <= 10% of maximum mapped
                                             pressure.
Coefficient of determination, r\2\........  = 0.970.
------------------------------------------------------------------------
\1\ Determine values for specified parameters as described in 40 CFR
  1065.514(e) by comparing measured values to denormalized pressure
  values from the duty cycle in Appendix II of this part.

    (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 RESS at a full state of charge (or equivalent for non-
electric RESS).
    (i) For plug-in hybrid electric vehicles, we recommend charging the 
battery with an external electrical source.
    (ii) For other vehicles, we recommend running back-to-back PTO tests 
until engine operation is initiated to charge the RESS. The RESS 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 one or both of the denormalized PTO 
duty cycles without turning the vehicle off, until the engine starts and 
then shuts down. This may require running multiple repeats of the PTO 
duty cycles. For non-PHEV systems the test cycle is completed once the 
engine shuts down. For plug-in hybrid systems, continue running until 
the PTO hybrid is running in a charge-sustaining mode such that the 
``End of Test'' requirements defined in 40 CFR 1066.501 are met. Measure 
emissions as described in paragraph (b)(7) of this section. Use good 
engineering judgment to minimize the variability in testing between the 
two types of vehicles.
    (6) For plug-in hybrid electric vehicles, follow 40 CFR 1066.501 to 
divide the test into charge-depleting and charge-sustaining operation.
    (7) Apply cycle-validation criteria as described in paragraph (b)(8) 
of this section to both charge-sustaining and charge-depleting 
operation.
    (d) Calculate the equivalent distance driven based on operating time 
for each section of the PTO portion of the test as applicable by 
determining the time of the test and applying the conversion factor in 
paragraph (d)(4) of this section. 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), calculate the time of the test, ttest, as 
follows:
    (1) Add up the time run for all complete tests.
    (2) For fractions of a test, use the following equation to calculate 
the time:
[GRAPHIC] [TIFF OMITTED] TR25OC16.127


[[Page 227]]


Where:

i = an indexing variable that represents one recorded value.
N = number of measurement intervals.
pcircuit-1,i = normalized pressure command from circuit 1 of 
          the PTO cycle for each point, i, starting from i = 1.
pcircuit-2,i = normalized pressure command from circuit 2 of 
          the PTO cycle for each point, i, starting from i = 1. Let 
          pcircuit-2 = 0 if there is only one circuit.
pcircuit-1 = the mean normalized pressure command from 
          circuit 1 over the entire PTO cycle.
pcircuit-2 = the mean normalized pressure command from 
          circuit 2 over the entire PTO cycle. Let pcircuit-2 
          = 0 if there is only one circuit.
Dt = the time interval between measurements. For example, at 100 Hz, Dt 
          = 0.0100 seconds.

    (3) Sum the time from the complete cycles and from the partial 
cycle.
    (4) Divide the total PTO operating time from paragraph (d)(3) of 
this section by a conversion factor of 0.0144 hr/mi for Phase 1 and 
0.0217 hr/mi for Phase 2 to determine the equivalent distance driven. 
The conversion factors are based on estimates of average vehicle speed 
and PTO operating time as a percentage of total engine operating time; 
the Phase 2 conversion factor is calculated from an average speed of 
27.1 mi/hr and PTO operation 37% of engine operating time, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.128

    (e) For Phase 1, calculate combined cycle-weighted emissions of the 
four duty cycles for vocational vehicles, for both the conventional and 
hybrid PTO vehicle tests, as follows:
    (1) Calculate the CO2 emission rates in grams per test 
without rounding for both the conventional vehicle and the charge-
sustaining and charge-depleting portions of the test for the hybrid 
vehicle as applicable.
    (2) Divide the CO2 mass from the PTO cycle by the 
distance determined in paragraph (d)(4) of this section and the standard 
payload to get the CO2 emission rate in g/ton-mile. For plug-
in hybrid electric vehicles follow paragraph (f)(3) of this section to 
calculate utility factor weighted CO2 emissions in g/ton-
mile.
    (3) Calculate the g/ton-mile emission rate for the driving portion 
of the test specified in Sec. 1037.510 and add this to the 
CO2 g/ton-mile emission rate for the PTO portion of the test.
    (4) Follow the provisions of Sec. 1037.615 to calculate improvement 
factors and benefits for advanced technologies.
    (f) For Phase 2, calculate the delta PTO fuel results for input into 
GEM during vehicle certification as follows:
    (1) Calculate fuel consumption in grams per test, 
mfuelPTO, without rounding, as described in 40 CFR 
1036.540(d)(4) and (5) for both the conventional vehicle and the charge-
sustaining and charge-depleting portions of the test for the hybrid 
vehicle as applicable.
    (2) Divide the fuel mass by the applicable distance determined in 
paragraph (d)(4) of this section and the appropriate standard payload to 
determine the fuel rate in g/ton-mile.
    (3) For plug-in hybrid electric vehicles calculate the utility 
factor weighted fuel consumption in g/ton-mile, as follows:
    (i) Determine the utility factor fraction for the PTO system from 
the table in Appendix V of this part using interpolation based on the 
total time of the charge-depleting portion of the test as determined in 
paragraphs (c)(6) and (d)(3) of this section.
    (ii) Weight the emissions from the charge-sustaining and charge-
depleting portions of the test using the following equation:

[[Page 228]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.129

Where:

mPTO,CD = mass of fuel per ton-mile while in charge-depleting 
          mode.
UFtCD = utility factor fraction at time tCD as 
          determined in paragraph (f)(3)(i) of this section.
mPTO,CS = mass of fuel per ton-mile while in charge-
          sustaining mode.

    (4) Calculate the difference between the conventional PTO emissions 
result and the hybrid PTO emissions result for input into GEM.
    (g) If the PTO system has more than two circuits, apply the 
provisions of this section using good engineering judgment.



Sec. 1037.550  Powertrain testing.

    (a) This section describes how to determine engine fuel maps using a 
measurement procedure that involves testing an engine coupled with a 
powertrain to simulate vehicle operation. Engine fuel maps are part of 
demonstrating compliance with Phase 2 vehicle standards under this part 
1037; this fuel-mapping information may come from different types of 
testing as described in 40 CFR 1036.510.
    (b) Perform powertrain testing to establish measured fuel-
consumption rates over applicable duty cycles for several different 
vehicle configurations. The following general provisions apply:
    (1) Measure NOX emissions for each sampling period in 
grams. You may perform these measurements using a NOX 
emission-measurement system that meets the requirements of 40 CFR part 
1065, subpart J. Include these measured NOX values any time 
you report to us your greenhouse gas emissions or fuel consumption 
values from testing under this section. If a system malfunction prevents 
you from measuring NOX emissions during a test under this 
section but the test otherwise gives valid results, you may consider 
this a valid test and omit the NOX emission measurements; 
however, we may require you to repeat the test if we determine that you 
inappropriately voided the test with respect to NOX emission 
measurement.
    (2) This section uses engine parameters and variables that are 
consistent with 40 CFR part 1065.
    (3) While this section includes the detailed equations, you need to 
develop your own driver model and vehicle model; we recommend that you 
use the MATLAB/Simulink code provided at www.epa.gov/otaq/climate/
gem.htm.
    (c) Select an engine and powertrain for testing as described in 
Sec. 1037.231.
    (d) Set up the engine according to 40 CFR 1065.110. The default test 
configuration involves connecting the powertrain's transmission output 
shaft directly to the dynamometer. You may instead set up the 
dynamometer to connect at the wheel hubs if your powertrain 
configuration requires it, such as for hybrid powertrains, or if you 
want to represent the axle performance with powertrain test results. If 
you connect at the wheel hubs, input your test results into GEM to 
reflect this.
    (e) Cool the powertrain during testing so temperatures for intake-
air, oil, coolant, block, head, transmission, battery, and power 
electronics are within their expected ranges for normal operation. You 
may use auxiliary coolers and fans.
    (f) Set the dynamometer to operate in speed-control mode. Record 
data as described in 40 CFR 1065.202. Command and control dynamometer 
speed at a minimum of 5 Hz. If you choose to command the dynamometer at 
a slower rate than the calculated dynamometer speed setpoint, use good 
engineering judgment to subsample the calculated setpoints for use in 
commanding the dynamomemter speed setpoint. Design a vehicle model to 
use the measured torque and calculate the dynamometer speed setpoint at 
a rate of at least 100 Hz, as follows:

[[Page 229]]

    (1) Calculate the dynamometer's angular speed target, 
[fnof]nref,dyno, based on the simulated linear speed of the 
tires:
[GRAPHIC] [TIFF OMITTED] TR25OC16.130

Where:

ka[speed] = drive axle ratio as determined in paragraph (h) 
          of this section.
vrefi = simulated vehicle reference speed. Use the unrounded 
          result for calculating [fnof]nrefi,dyno.
r[speed] = tire radius as determined in paragraph (h) of this 
          section.
          [GRAPHIC] [TIFF OMITTED] TR25OC16.131
          
Where:

i = a time-based counter corresponding to each measurement during the 
          sampling period. Let vref1 = 0; start calculations 
          at i = 2. A 10-minute sampling period will generally involve 
          60,000 measurements.
T = instantaneous measured torque.
E[fnof][fnof]axle = axle efficiency. Use 
          E[fnof][fnof]axle = 0.955 for T  0, and 
          use E[fnof][fnof]axle = 1/0.955 for T < 0. To 
          calculate [fnof]nrefi,dyno for a dynamometer 
          connected at the wheel hubs, as described in paragraph (f)(2) 
          of this section, use E[fnof][fnof]axle = 1.0.
M = vehicle mass for a vehicle class as determined in paragraph (h) of 
          this section.
g = gravitational constant = 9.81 m/s\2\.
Crr = coefficient of rolling resistance for a vehicle class 
          as determined in paragraph (h) of this section.
Gi-1 = the percent grade interpolated at distance, 
          Di-1, from the duty cycle in Appendix IV 
          corresponding to measurement (i-1).
          [GRAPHIC] [TIFF OMITTED] TR25OC16.132
          
r = air density at reference conditions. Use [rho] = 1.20 kg/m\3\.
CdA = drag area for a vehicle class as determined in 
          paragraph (h) of this section.
Fbrake = instantaneous braking force applied by the driver 
          model.

[[Page 230]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.310

Dt = the time interval between measurements. For example, at 100 Hz, Dt 
          = 0.0100 seconds.
Mrotating = inertial mass of rotating components. Let 
          Mrotating = 340 kg for vocational Light HDV or 
          vocational Medium HDV. See paragraph (h) of this section for 
          tractors and for vocational Heavy HDV.

    Example: 
    This example is for a vocational Light HDV or vocational Medium HDV 
with 6 speed automatic transmission at B speed (Test 4 in Table 2 of 40 
CFR 1036.540).
kaB = 4.0
rB = 0.399 m
T1000-1 = 500.0 N[middot] m
Crr = 6.9 kg/tonne = 6.9[middot] 10\-3\ kg/kg
M = 11408 kg
CdA = 5.4 m\2\
G1000-1 = 1.0% = 0.018
[GRAPHIC] [TIFF OMITTED] TR25OC16.133

Fbrake1000-1 = 0 N
vref1000-1 = 20.0 m/s
Fgrade1001-1 = 11408[middot] 9.81[middot] sin(atan(0.018)) = 
2014.1N
Dt = 0.0100 s
Mrotating = 340 kg
[GRAPHIC] [TIFF OMITTED] TR25OC16.134

vref1000 = 20.00129 m/s
[GRAPHIC] [TIFF OMITTED] TR25OC16.311

    (2) For testing with the dynamometer connected at the wheel hubs, 
calculate fnref,dyno using the following equation:

[[Page 231]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.312

    (g) Design a driver model to simulate a human driver modulating the 
throttle and brake pedals to follow the test cycle as closely as 
possible. The driver model must meet the speed requirements for 
operation over the highway cruise cycles as described in Sec. 1037.510 
and for operation over the transient cycle as described in 40 CFR 
1066.425(b). The exceptions in 40 CFR 1066.425(b)(4) apply to the 
transient cycle and the highway cruise cycles. Design the driver model 
to meet the following specifications:
    (1) Send a brake signal when throttle position is zero and vehicle 
speed is greater than the reference vehicle speed from the test cycle. 
Include a delay before changing the brake signal to prevent dithering, 
consistent with good engineering judgment.
    (2) Allow braking only if throttle position is zero.
    (3) Compensate for the distance driven over the duty cycle over the 
course of the test. Use the following equation to perform the 
compensation in real time to determine your time in the cycle:
[GRAPHIC] [TIFF OMITTED] TR25OC16.135

Where:

vvehicle = measured vehicle speed.
vcycle = reference speed from the test cycle. If 
          vcycle,i-1 < 1.0 m/s, set vcycle,i-1 = 
          vvehicle,i-1.

    (h) Configure the vehicle model in the test cell to test the 
powertrain using at least three equally spaced axle ratios or tire sizes 
and three different road loads (nine configurations), or at least four 
equally spaced axle ratios or tire sizes and two different road loads 
(eight configurations) to cover the range of intended vehicle 
applications. Select axle ratios to represent the full range of expected 
vehicle installations. Determine the vehicle model inputs for vehicle 
mass, CdA, and Crr for a set of vehicle 
configurations as described in 40 CFR 1036.540(c)(3). You may instead 
test to simulate eight or nine vehicle configurations from different 
vehicle categories if you limit your powertrains to a certain range of 
vehicles. For example, if your powertrain will be installed only in 
vocational Medium HDV and vocational Heavy HDV, you may perform testing 
to represent eight or nine vehicle configurations using vehicle masses 
for Medium HDV and Heavy HDV, the predefined CdA for those 
vehicles, and the lowest and highest Crr of the tires that 
will be installed on those vehicles. Also, instead of selecting specific 
axle ratios and tire size as described in this paragraph (h), you may 
select equally spaced axle ratios and tire sizes that cover the range of 
minimum and maximum engine speed over vehicle speed when the 
transmission is in top gear for the vehicles the powertrain will be 
installed in.
    (i) Operate the powertrain over each of the duty cycles specified in 
Sec. 1037.510(a)(2), and for each applicable

[[Page 232]]

test configuration identified in 40 CFR 1036.540(c). For each duty 
cycle, precondition the powertrain using the Test 1 vehicle 
configuration and test the different configurations in numerical order 
starting with Test 1. If an infrequent regeneration event occurs during 
testing, void the test, but continue operating the vehicle to allow the 
regeneration event to finish, then precondition the engine to the same 
condition as would apply for normal testing and restart testing at the 
start of the same duty cycle for that test configuration. For PHEV 
powertrains, precondition the battery and then complete all back to back 
tests for each test configuration according to 40 CFR 1066.501 before 
moving to the next test configuration. You may send signals to the 
engine controller during the test, such as cycle road grade and vehicle 
speed, if that allows powertrain operation during the test to better 
represent real-world operation.
    (j) Collect and measure emissions as described in 40 CFR part 1065. 
For hybrid powertrains with no plug-in capability, correct for the net 
energy change of the energy storage device as described in 40 CFR 
1066.501. For PHEV powertrains, follow 40 CFR 1066.501 to determine End-
of-Test for charge-depleting operation. You must get our approval in 
advance for your utility factor curve; we will approve it if you can 
show that you created it from sufficient in-use data of vehicles in the 
same application as the vehicles in which the PHEV powertrain will be 
installed.
    (k) For each test point, validate the measured output speed with the 
corresponding reference values. If the range of reference speed is less 
than 10 percent of the mean reference speed, you need to meet only the 
standard error of estimate in Table 1 of this section. You may delete 
points when the vehicle is stopped. Apply cycle-validation criteria for 
each separate transient or highway cruise cycle based on the following 
parameters:

  Table 1 of Sec. 1037.550--Statistical Criteria for Validating Duty
                                 Cycles
------------------------------------------------------------------------
               Parameter \1\                        Speed control
------------------------------------------------------------------------
Slope, a1.................................  0.990 <= a1 <= 1.010.
Absolute value of intercept,                <=2.0% of maximum test
 [bond]a0[bond].                             speed.
Standard error of estimate, SEE...........  <=2.0% of maximum test
                                             speed.
Coefficient of determination, r\2\........  =0.990.
------------------------------------------------------------------------
\1\ Determine values for specified parameters as described in 40 CFR
  1065.514(e) by comparing measured and reference values for fnref,dyno.

    (l) [Reserved]
    (m) Calculate mass of fuel consumed for all duty cycles except idle 
as described in 40 CFR 1036.540(d)(4).
    (n) Determine the mass of fuel consumed at idle for the applicable 
duty cycles as follows:
    (1) Measure fuel consumption with a fuel flow meter and report the 
mean fuel mass flow rate for each duty cycle as applicable, 
mifuelidle.
    (2) For measurements that do not involve measured fuel mass flow 
rate, calculate the fuel mass flow rate for each duty cycle, 
mifuelidle, for each set of vehicle settings, as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.136

Where:

MC = molar mass of carbon.
wCmeas = carbon mass fraction of fuel (or mixture of test 
          fuels) as determined by in CFR 1065.655(d), except that you 
          may not use the default properties in Table 1 of 40 CFR 
          1065.655 to determine [alpha], [beta], and wC for 
          liquid fuels.

[[Page 233]]

niexh = the mean raw exhaust molar flow rate from which you 
          measured emissions according to 40 CFR 1065.655.
xCcombdry = the mean concentration of carbon from fuel and 
          any injected fluids in the exhaust per mole of dry exhaust.
xH2Oexhdry = the mean concentration of H2O in 
          exhaust per mole of dry exhaust.
miH2O2DEF= the mean CO2 mass emission rate 
          resulting from diesel exhaust fluid decomposition over the 
          duty cycle as determined in 40 CFR 1036.535(b)(10). If your 
          engine does not use diesel exhaust fluid, or if you choose not 
          to perform this correction, set miCO2DEF equal to 
          0.
MCO2 = molar mass of carbon dioxide.

    Example: 
MC = 12.0107 g/mol
wCmeas = 0.867
niexh = 25.534 mol/s
xCcombdry = 2.805[middot] 10-\3\ mol/mol
xH2Oexhdry = 3.53[middot] 10-\2\ mol/mol
miCO2DEF = 0.0726 g/s
MCO2 = 44.0095
[GRAPHIC] [TIFF OMITTED] TR25OC16.137

mifuelidle = 0.405 g/s = 1458.6 g/hr

    (o) Use the results of powertrain testing to determine GEM inputs 
for the different simulated vehicle configurations as follows:
    (1) Select fuel-consumption rates, mfuel[cycle], in g/
cycle. In addition, declare a fuel mass consumption rate for each 
applicable idle duty cycle, mifuelidle. These declared values 
may not be lower than any corresponding measured values determined in 
this section. You may select any value that is at or above the 
corresponding measured value. These declared fuel-consumption rates, 
which serve as emission standards, represent collectively as the 
certified powertrain fuel map.
    (2) Powertrain output speed per unit of vehicle speed. If the test 
is done with the dynamometer connected at the wheel hubs set 
ka to the axle ratio of the rear axle that was used in the 
test. If the vehicle does not have a drive axle, such as hybrid vehicles 
with direct electric drive, let ka = 1.
[GRAPHIC] [TIFF OMITTED] TR25OC16.138

    (3) Positive work, W[cycle], over the duty cycle at the 
transmission output or wheel hubs from the powertrain test.
    (4) The following table illustrates the GEM data inputs 
corresponding to the different vehicle configurations:

[[Page 234]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.139

    (p) Correct the measured or calculated fuel mass, mfuel, 
and idle fuel mass flow rate, mifuelidle if applicable, for 
each test result to a mass-specific net energy content of a reference 
fuel as described in Sec. 1036.535(b)(11), replacing mifuel 
with mfuel where applicable in Eq. 1036.535-3.
    (q) For each test run, record the engine speed and torque as defined 
in 40 CFR 1065.915(d)(5) with a minimum sampling frequency of 1 Hz. 
These engine speed and torque values represent a duty cycle that can be 
used for separate testing with an engine mounted on an engine 
dynamometer, such as for a selective enforcement audit as described in 
Sec. 1037.301.

[81 FR 74048, Oct. 25, 2016; 82 FR 29762, June 30, 2017]



Sec. 1037.551  Engine-based simulation of powertrain testing.

    Section 1037.550 describes how to measure fuel consumption over 
specific duty cycles with an engine coupled to a transmission; Sec. 
1037.550(q) describes how to create equivalent duty cycles for repeating 
those same measurements with just the engine. This Sec. 1037.551 
describes how to perform this engine testing to simulate the powertrain 
test. These engine-based measurements may be used for confirmatory 
testing as described in Sec. 1037.235, or for selective enforcement 
audits as described in Sec. 1037.301, as long as the test engine's 
operation represents the engine operation observed in the powertrain 
test. If we use this approach for confirmatory testing, when making 
compliance determinations, we will consider the uncertainty associated 
with this approach relative to full powertrain testing. Use of this 
approach for engine SEAs is optional for engine manufacturers.
    (a) Use the procedures of 40 CFR part 1065 to set up the engine, 
measure emissions, and record data. Measure individual parameters and 
emission constituents as described in this section. Measure 
NOX emissions for each sampling period in grams. You may 
perform these measurements using a NOX emission-measurement 
system that meets the requirements of 40 CFR part 1065, subpart J. 
Include these measured NOX values any time you report to us 
your greenhouse gas emissions or fuel consumption values from testing 
under this section. If a system malfunction prevents you from measuring 
NOX emissions during a test under this section but the test 
otherwise gives valid results, you may consider this a valid test and 
omit the NOX emission measurements; however, we may require 
you to repeat the test if we determine that you inappropriately voided 
the test with respect to NOX emission measurement. For hybrid 
powertrains, correct for the net energy change of the energy storage 
device as described in 40 CFR 1066.501.
    (b) Operate the engine over the applicable engine duty cycles 
corresponding to the vehicle cycles specified in Sec. 1037.510(a)(2) 
for powertrain testing over the applicable vehicle simulations described 
in Sec. 1037.550(h). Warm up the engine to prepare for the transient 
test or one of the highway cruise cycles by operating it one time over 
one of the simulations of the corresponding duty cycle. Warm up the 
engine to prepare for the idle test by operating it over a simulation of 
the 65-mi/hr highway cruise cycle for 600 seconds. Within 60 seconds 
after concluding the warm up cycle, start emission sampling while the 
engine operates over the duty cycle. You may perform any number of test 
runs directly in succession once

[[Page 235]]

the engine is warmed up. Perform cycle validation as described in 40 CFR 
1065.514 for engine speed, torque, and power.
    (c) Calculate the mass of fuel consumed as described in Sec. 
1037.550(m) and (n). Correct each measured value for the test fuel's 
mass-specific net energy content as described in 40 CFR 1036.530. Use 
these corrected values to determine whether the engine's emission levels 
conform to the declared fuel-consumption rates from the powertrain test.



Sec. 1037.555  Special procedures for testing Phase 1 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 of Phase 1 vehicles. These procedures may also be used to 
perform A to B testing with non-hybrid systems. See Sec. 1037.550 for 
Phase 2 hybrid systems.
    (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 in Sec. 1037.510(a)(1).
    (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, ka, 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] TR25OC16.140

Where:

vcyclei = vehicle speed of the test cycle for each point, i, 
          starting from i = 1.
ka = drive axle ratio, 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] TR25OC16.141

Where:


[[Page 236]]


[GRAPHIC] [TIFF OMITTED] TR25OC16.142

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 mi/hr and 65 mi/hr 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 of Sec. 1037.555--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
 [bond]a0[bond].                             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 of Sec. 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.
    (h) Correct for the net energy change of the energy storage device 
as described in 40 CFR 1066.501.
    (i) Follow the provisions of Sec. 1037.510 to weight the cycle 
results and Sec. 1037.615 to calculate improvement factors and benefits 
for advanced technologies for Phase 1 vehicles.



Sec. 1037.560  Axle efficiency test.

    This section describes a procedure for mapping axle efficiency 
through a determination of axle power loss.
    (a) You may establish axle power loss maps based on testing any 
number of axle configurations within an axle family as specified in 
Sec. 1037.232. You may share data across a family of axle 
configurations, as long as you test the axle configuration with the 
lowest efficiency from the axle family; this will generally involve 
testing the axle with the highest axle ratio. For vehicles with tandem 
drive axles, always test each drive axle separately. For tandem axles 
that can be disconnected, test both single-drive and tandem axle 
configurations. Alternatively, you may ask us to approve power loss maps 
for untested configurations that are analytically derived from tested 
configurations within the same family (see Sec. 1037.235(h)).
    (b) Prepare an axle assembly for testing as follows:
    (1) Select an axle assembly with less than 500 hours of operation 
before testing. Assemble the axle in its housing, along with wheel ends 
and bearings.
    (2) If you have a family of axle assemblies with different axle 
ratios, you may test multiple configurations using a common axle 
housing, wheel ends, and bearings.
    (3) Install the axle on the dynamometer with an input shaft angle 
perpendicular to the axle.
    (i) For axle assemblies with or without a locking main differential, 
test

[[Page 237]]

the axle using one of the following methods:
    (A) Lock the main differential and test it with one electric motor 
on the input shaft and a second electric motor on the output side of the 
output shaft that has the speed-reduction gear attached to it.
    (B) Test with the main differential unlocked and with one electric 
motor on the input shaft and electric motors on the output sides of each 
of the output shafts.
    (ii) For drive-through tandem-axle setups, lock the longitudinal and 
inter-wheel differentials.
    (4) Add gear oil according to the axle manufacturer's instructions. 
If the axle manufacturer specifies multiple gear oils, select the one 
with the highest viscosity at operating temperature. You may use a 
lower-viscosity gear oil if we approve that as critical emission-related 
maintenance under Sec. 1037.125. Fill the gear oil to a level that 
represents in-use operation. You may use an external gear oil 
conditioning system, as long as it does not affect measured values.
    (5) Install equipment for measuring the bulk temperature of the gear 
oil in the oil sump or a similar location.
    (6) Break in the axle assembly using good engineering judgment. 
Maintain gear oil temperature at or below 100  deg.C throughout the 
break-in period.
    (7) Drain the gear oil following the break-in procedure and repeat 
the filling procedure described in paragraph (b)(3) of this section.
    (c) Measure input and output speed and torque as described in 40 CFR 
1065.210(b), except that you may use a magnetic or optical shaft-
position detector with only one count per revolution. Use a speed-
measurement system that meets an accuracy of 0.05% 
of point. Use torque transducers that meet an accuracy requirement of 
0.2% of the maximum axle input torque or output 
torque tested for loaded test points, and 1.0 
N[sdot]m for unloaded test points. Calibrate and verify measurement 
instruments according to 40 CFR part 1065, subpart C. Command speed and 
torque at a minimum of 10 Hz, and record all data, including bulk oil 
temperature, as 1 Hz mean values.
    (d) The test matrix consists of output torque and wheel speed values 
meeting the following specifications:
    (1) Output torque includes both loaded and unloaded operation. For 
measurement involving unloaded output torque, also called spin loss 
testing, the wheel end is not connected to the dynamometer and is left 
to rotate freely; in this condition the input torque (to maintain 
constant wheel speed) equals the power loss. Test axles at a range of 
output torque values, as follows:
    (i) 0, 500, 1000, 2000, 3000, and 4000 N[sdot]m for single drive 
axle applications for tractors and for vocational Heavy HDV with a 
single drive axle.
    (ii) 0, 250, 500, 1000, 1500, and 2000 N[sdot]m for tractors, for 
vocational Heavy HDV with tandem drive axles, and for all vocational 
Light HDV or vocational Medium HDV.
    (iii) You may exclude values that exceed your axle's maximum torque 
rating.
    (2) Determine maximum wheel speed corresponding to a vehicle speed 
of 65 mi/hr based on the smallest tire (as determined using Sec. 
1037.520(c)(1)) that will be used with the axle. If you do not know the 
smallest tire size, you may use a default size of 650 r/mi. Use wheel 
rotational speeds for testing that include 50 r/min and speeds in 100 r/
min increments that encompass the maximum wheel speed (150, 250, etc.).
    (3) You may test the axle at additional speed and torque setpoints.
    (e) Determine axle efficiency using the following procedure:
    (1) Maintain ambient temperature between (15 and 35)  deg.C 
throughout testing. Measure ambient temperature within 1.0 m of the axle 
assembly. Verify that critical axle settings (such as bearing preload, 
backlash, and oil sump level) are within specifications before and after 
testing.
    (2) Maintain gear oil temperature at (81 to 83)  deg.C. Measure gear 
oil temperature at the drain of the sump. You may use an external gear 
oil conditioning system, as long as it does not affect measured values.
    (3) Use good engineering judgment to warm up the axle by operating 
it until the gear oil is within the specified temperature range.

[[Page 238]]

    (4) Stabilize operation at each point in the test matrix for at 
least 10 seconds, then measure the input torque, output torque, and 
wheel speed for at least 10 seconds, recording the mean values for all 
three parameters. Calculate power loss as described in paragraph (f) of 
this section based on torque and speed values at each test point.
    (5) Perform the map sequence described in paragraph (e)(4) of this 
section three times. Remove torque from the input shaft and allow the 
axle to come to a full stop before each repeat measurement.
    (6) You may need to perform additional testing based on a 
calculation of repeatability at a 95% confidence level. Make a separate 
repeatability calculation for the three data points at each operating 
condition in the test matrix. If the confidence limit is greater than 
0.10% for loaded tests or greater than 0.05% for unloaded tests, perform 
another repeat of the axle power loss map and recalculate the 
repeatability for the whole set of test results. Continue testing until 
the repeatability is at or below the specified values for all operating 
conditions.
    Calculate a confidence limit representing the repeatability in 
establishing a 95% confidence level using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.143

Where:

sPloss = standard deviation of power loss values at a given 
          torque-speed setting (see 40 CFR 1065.602(c)).
N = number of repeat tests.
Pmax = maximum output torque setting from the test matrix.

    Example: 
sPloss = 165.0 W
N = 3
Pmax = 314200 W
[GRAPHIC] [TIFF OMITTED] TR25OC16.144


    (7) Calculate mean input torque, Tin mean output torque, 
Tout, and mean wheel rotational speed, fnwheel, 
for each point in the test matrix using the results from all the repeat 
tests.
    (f) Calculate the mean power loss, Ploss, at each 
operating condition in the test matrix as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.320

    (2) For each test calculate the mean power loss, Ploss, 
as follows:

[[Page 239]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.145

Where:

Tin = mean input torque.
fnwheel = mean wheel rotational speed.
ka = drive axle ratio, expressed to at least the nearest 
          0.001.
Tout = mean output torque. Let Tout = 0 for all 
          unloaded tests.

    Example: 
Tin = 845.1 N[middot] m fnwheel = 100 r/min = 
          10.472 rad/s
ka = 3.731
Tout = 3000 N[middot] m
Ploss = 845.1[middot] 10.472[middot] 3.731 - 3000[middot] 
          10.472
Ploss = 1602.9 W = 1.6029 kW
Ploss,2 = 1601.9 W = 1.6019 kW
Ploss,3 = 1603.9 W = 1.6039 kW
[GRAPHIC] [TIFF OMITTED] TR25OC16.146

    (g) Create a table showing the mean power loss,
    [GRAPHIC] [TIFF OMITTED] TR25OC16.322
    

corresponding to each mean output torque and mean wheel speed for input 
into GEM. Express wheel speed in r/min to one decimal place; express 
output torque in N[middot] m to two decimal places; express power loss 
in kW to four decimal places. Select mean power loss values at or above 
the corresponding value calculated in paragraph (f) of this section. Use 
good engineering judgment to select values that will be at or above the 
mean power loss values for your production axles. For vehicles with 
tandem drive axles, sum the power losses and output torques of the 
individual axles when creating your table. For tandem axles with a 
disconnect, input a separate table into GEM for the single and tandem 
drive axle configurations. Vehicle manufacturers will use these declared 
mean power loss values for certification.



Sec. 1037.565  Transmission efficiency test.

    This section describes a procedure for mapping transmission 
efficiency through a determination of transmission power loss.
    (a) You may establish transmission power loss maps based on testing 
any number of transmission configurations within a transmission family 
as specified in Sec. 1037.232. You may share data across any 
configurations within the family, as long as you test the transmission 
configuration with the lowest efficiency from the emission family. 
Alternatively, you may ask us to approve power loss maps for untested 
configurations that are analytically derived from tested configurations 
within the same family (see Sec. 1037.235(h)).
    (b) Prepare a transmission for testing as follows:
    (1) Select a transmission with less than 500 hours of operation 
before testing.
    (2) Mount the transmission to the dynamometer such that the geared 
shaft in the transmission is aligned with the input shaft from the 
dynamometer.

[[Page 240]]

    (3) Add transmission oil according to the transmission 
manufacturer's instructions. If the transmission manufacturer specifies 
multiple transmission oils, select the one with the highest viscosity at 
operating temperature. You may use a lower-viscosity transmission oil if 
we approve that as critical emission-related maintenance under Sec. 
1037.125. Fill the transmission oil to a level that represents in-use 
operation. You may use an external transmission oil conditioning system, 
as long as it does not affect measured values.
    (4) Include any internal and external pumps for hydraulic fluid and 
lubricating oil in the test. Determine the work required to drive an 
external pump according to 40 CFR 1065.210.
    (5) Install equipment for measuring the bulk temperature of the 
transmission oil in the oil sump or a similar location.
    (6) If the transmission is equipped with a torque converter, lock it 
for all testing performed in this section.
    (7) Break in the transmission using good engineering judgment. 
Maintain transmission oil temperature at (87 to 93)  deg.C for automatic 
transmissions and transmissions having more than two friction clutches, 
and at (77 to 83)  deg.C for all other transmissions. You may ask us to 
approve a different range of transmission oil temperatures if you have 
data showing that it better represents in-use operation.
    (c) Measure input and output shaft speed and torque as described in 
40 CFR 1065.210(b), except that you may use a magnetic or optical shaft-
position detector with only one count per revolution. Use a-speed 
measurement system that meets an accuracy of 0.05% 
of point. Use torque transducers that meet an accuracy requirement of 
0.2% of the transmission's maximum rated input 
torque or output torque for the selected gear ratio, for loaded test 
points, and 0.1% of the transmission's maximum 
rated input torque for unloaded test points. Calibrate and verify 
measurement instruments according to 40 CFR part 1065, subpart C. 
Command speed and torque at a minimum of 10 Hz, and record all data, 
including bulk oil temperature, at a minimum of 1 Hz mean values.
    (d) The test matrix consists of transmission input shaft speeds and 
torque setpoints meeting the following specifications for each gear 
tested:
    (1) Include transmission input shaft speeds at the maximum rated 
input shaft speed, 600 r/min, and three equally spaced intermediate 
speeds. The intermediate speed points may be adjusted to the nearest 50 
or 100 r/min.
    (2) Include one loaded torque setpoint between 75% and 105% of the 
maximum transmission input torque and one unloaded (zero-torque) 
setpoint. You may test at any number of additional torque setpoints to 
improve accuracy. Note that GEM calculates power loss between tested or 
default values by linear interpolation.
    (3) In the case of transmissions that automatically go into neutral 
when the vehicle is stopped, also perform tests at 600 r/min and 800 r/
min with the transmission in neutral and the transmission output fixed 
at zero speed.
    (e) Determine transmission torque loss using the following 
procedure:
    (1) Maintain ambient temperature between (15 and 35)  deg.C 
throughout testing. Measure ambient temperature within 1.0 m of the 
transmission.
    (2) Maintain transmission oil temperature as described in paragraph 
(b)(7) of this section. You may use an external transmission oil 
conditioning system, as long as it does not affect measured values.
    (3) Use good engineering judgment to warm up the transmission 
according to the transmission manufacturer's specifications.
    (4) Perform unloaded transmission tests by disconnecting the 
transmission output shaft from the dynamometer and letting it rotate 
freely. If the transmission adjusts pump pressure based on whether the 
vehicle is moving or stopped, set up the transmission for unloaded tests 
to operate as if the vehicle is moving.
    (5) For transmissions that have multiple configurations for a given 
gear ratio, such as dual-clutch transmissions that can pre-select an 
upshift or downshift, set the transmission to operate in the 
configuration with the greatest power loss. Alternatively, test in each 
configuration and use good engineering judgment to calculate a

[[Page 241]]

weighted power loss for each test point under this section based on 
field data that characterizes the degree of in-use operation in each 
configuration.
    (6) Operate the transmission in the top gear at a selected torque 
setpoint with the input shaft speed at one of the speed setpoints for at 
least 10 seconds, then measure the speed and torque of the input and 
output shafts for at least 10 seconds. You may omit measurement of 
output shaft speeds if your transmission is configured is a way that 
does not allow slip. Calculate arithmetic mean values for all speed and 
torque values over each measurement period. Repeat this stabilization, 
measurement, and calculation for the other speed and torque setpoints 
from the test matrix in any sequence. Calculate power loss as described 
in paragraph (f) of this section based on torque and speed values at 
each test point.
    (7) Repeat the procedure described in paragraph (e) for all gears, 
or for all gears down to a selected gear. GEM will use default values 
for any gears not tested.
    (8) Perform the test sequence described in paragraphs (d)(6) and (7) 
of this section three times. You may do this repeat testing at any given 
test point before you perform measurements for the whole test matrix. 
Remove torque from the transmission input shaft and bring the 
transmission to a complete stop before each repeat measurement.
    (9) You may need to perform additional testing based on a 
calculation of repeatability at a 95% confidence level. Make a separate 
repeatability calculation for the three data points at each operating 
condition in the test matrix. If the confidence limit is greater than 
0.10% for loaded tests or greater than 0.05% for unloaded tests, perform 
another repeat of measurements at that operating condition and 
recalculate the repeatability for the whole set of test results. 
Continue testing until the repeatability is at or below the specified 
values for all operating conditions. Calculate a confidence limit 
representing the repeatability in establishing a 95% confidence level 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.147

Where:

[sigma]Ploss = standard deviation of power loss values at a 
          given test point (see 40 CFR 1065.602(c)).
N = number of repeat tests.
Prated = the transmission's rated input power for a given 
          gear. For testing in neutral, use the value of 
          Prated for the top gear.

    Example: 
[sigma]Ploss = 120.0 W
N = 3
Prated = 314200 W
[GRAPHIC] [TIFF OMITTED] TR25OC16.148

Confidence Limit = 0.0432%

    (10) Calculate mean input shaft torque, Tin, mean output 
shaft torque, Tout, mean input shaft speed, fnin, 
and mean output shaft speed, fnout, for each point in the 
test matrix using the results from all the repeat tests.

[[Page 242]]

    (f) Calculate the mean power loss, Ploss, at each 
operating condition in the test matrix as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.321

    (2) For each test calculate the mean power loss, Ploss, 
as follows:
[GRAPHIC] [TIFF OMITTED] TR25OC16.149


Where:

Tin = mean input shaft torque.
fnin = mean input shaft speed.
Tout = mean output shaft torque. Let Tout = 0 for 
          all unloaded tests.
fnout = mean output shaft speed. Let f;nout= 0 for 
          all tests with the transmission in neutral. See paragraph 
          (f)(3) of this section for calculating for certain 
          transmission configurations.

    Example: 
Tin = 1000.0 N[middot] m
fnin = 1000 r/min = 104.72 rad/sec
Tout = 2654.5 N[middot] m
fnout = 361.27 r/min = 37.832 rad/s
Ploss,1 =1000.0[middot] 104.72 - 2654.5[middot] 37.832
Ploss = 4295 W = 4.295 kW
Ploss,2 = 4285 W = 4.285 kW
Ploss,3 = 4292 W = 4.292 kW
[GRAPHIC] [TIFF OMITTED] TR25OC16.150

    (3) For transmissions that are configured in a way that does not 
allow slip, you may calculate fnout based on the gear ratio 
using the following equation:
[GRAPHIC] [TIFF OMITTED] TR25OC16.151

Where:

kg = transmission gear ratio, expressed to at least the 
          nearest 0.001.

    (g) Create a table showing the mean power loss,

[[Page 243]]

[GRAPHIC] [TIFF OMITTED] TR25OC16.322


corresponding to each mean transmission input speed and mean input 
torque for input into GEM. Also include mean power loss in neutral for 
each tested engines speed, if applicable. Express transmission input 
speed in r/min to one decimal place; express input torque in N[middot] m 
to two decimal places; express power loss in kW to four decimal places. 
Select mean power loss values at or above the corresponding value 
calculated in paragraph (f) of this section. Use good engineering 
judgment to select values that will be at or above the mean power loss 
values for your production axles. Vehicle manufacturers will use these 
declared mean power loss values for certification.



                 Subpart G_Special Compliance Provisions



Sec. 1037.601  General compliance provisions.

    (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 applicable 
provisions of 40 CFR part 1068, and the applicable provisions of the 
Clean Air Act. The provisions of 40 CFR part 1068 apply for heavy-duty 
vehicles as specified in that part, subject to the provisions:
    (1) Except as specifically allowed by this part or 40 CFR part 1068, 
it is a violation of Sec. 1068.101(a)(1) to introduce into U.S. 
commerce a tractor or vocational vehicle containing an engine not 
certified to the applicable requirements of this part and 40 CFR part 
86. Further, it is a violation to introduce into U.S. commerce a Phase 1 
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. These prohibitions apply especially to the vehicle 
manufacturer. Note that this paragraph (a)(1) allows the use of Heavy 
heavy-duty tractor engines in vocational vehicles.
    (2) The provisions of 40 CFR 1068.105(a) apply for vehicle 
manufacturers installing engines certified under 40 CFR part 1036 as 
further limited by this paragraph (a)(2). If new engine emission 
standards apply in a given model year, you may install normal 
inventories of engines from the preceding model year under the 
provisions of 40 CFR 1068.105(a) through March 31 of that year without 
our approval; you may not install such engines after March 31 of that 
year unless we approve it in advance. Installing such engines after 
March 31 without our prior approval is considered to be prohibited 
stockpiling of engines. In a written request for our approval, you must 
describe how your circumstances led you and your engine supplier to have 
normal inventories of engines that were not used up in the specified 
time frame. We will approve your request for up to three additional 
months to install up to 50 engines under this paragraph (a)(2) if we 
determine that the excess inventory is a result of unforeseeable 
circumstances and should not be considered circumvention of emission 
standards. Note that 40 CFR 1068.105(a) allows vehicle manufacturers to 
use up only normal inventories of engines meeting less stringent 
standards; if, for example, a vehicle manufacturer's normal practice is 
to receive a shipment of engines every two weeks, it will deplete its 
potential to install previous-tier engines under this paragraph (a)(2) 
well before March 31 in the year that new standards apply.
    (3) The exemption provisions of 40 CFR 1068.201 through 1068.230, 
1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicles. 
Other exemption provisions, which are specific to nonroad engines, do 
not apply for heavy-duty vehicles or heavy-duty engines.

[[Page 244]]

    (4) The tampering prohibition in 40 CFR 1068.101(b)(1) applies for 
alternative fuel conversions as specified in 40 CFR part 85, subpart F.
    (5) The warranty-related prohibitions in section 203(a)(4) of the 
Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty 
highway vehicles in addition to the prohibitions described in 40 CFR 
1068.101(b)(6). We may assess a civil penalty up to $44,539 for each 
engine or vehicle in violation.
    (6) 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 completed at the place 
of main assembly, consistent with provisions of 49 CFR 567.4. Note that 
such staged assembly is subject to the corresponding provisions of 40 
CFR 1068.260. 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.
    (7) The provisions for selective enforcement audits apply as 
described in 40 CFR part 1068, subpart E, and subpart D of this part.
    (b) Vehicles exempted from the applicable standards of 40 CFR part 
86 other than glider vehicles are exempt from the standards of this part 
without request. Similarly, vehicles other than glider 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 1068.101 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) The emergency vehicle field modification provisions of 40 CFR 
85.1716 apply with respect to the standards of this part.
    (e) Under Sec. 1037.801, certain vehicles are considered to be new 
vehicles when they are imported into the United States, even if they 
have previously been used outside the country. Independent Commercial 
Importers may use the provisions of 40 CFR part 85, subpart P, and 40 
CFR 85.1706(b) to receive a certificate of conformity for engines and 
vehicles meeting all the requirements of 40 CFR part 1036 and this part 
1037.
    (f) Standards apply to multi-fuel vehicles as described for engines 
in 40 CFR 1036.601(d).



Sec. 1037.605  Installing engines certified to alternate standards 
for specialty vehicles.

    (a) General provisions. This section allows vehicle manufacturers to 
introduce into U.S. commerce certain new motor vehicles using engines 
certified to alternate emission standards specified in 40 CFR part 86 
for motor vehicle engines used in specialty vehicles. You may not 
install an engine certified to these alternate standards if there is an 
engine certified to the full set of requirements of 40 CFR part 86 that 
has the appropriate physical and performance characteristics to power 
the vehicle. Note that, although these alternate emission standards are 
mostly equivalent to standards that apply for nonroad engines under 40 
CFR part 1039 or 1048, they are specific to motor vehicle engines. The 
alternate standards for compression-ignition engines at or above 56 kW 
are described in 40 CFR 86.007-11(g); the alternate standards for spark-
ignition engines are described in 40 CFR 86.008-10(g). The provisions of 
this section apply for the following types of specialty vehicles:
    (1) All-terrain motor vehicles with portal axles (i.e., axles that 
are offset from the corresponding wheel centerline by a gear assembly) 
or any axle configuration involving gear reduction such that the wheels 
rotate more slowly than the axle.
    (2) Amphibious vehicles.
    (3) Vehicles with maximum speed at or below 45 miles per hour. If 
your vehicle is speed-limited to meet this specification by reducing 
maximum

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speed below what is otherwise possible, this speed limitation must be 
programmed into the engine or vehicle's electronic control module in a 
way that is tamper-proof. If your vehicles are not inherently limited to 
a maximum speed at or below 45 miles per hour, they may qualify under 
this paragraph (a)(3) only if we approve your design to limit maximum 
speed as being tamper-proof in advance.
    (4) Through model year 2027, vehicles with a hybrid powertrain in 
which the engine provides energy for the Rechargeable Energy Storage 
System.
    (b) Notification and reporting requirements. Send the Designated 
Compliance Officer written notification describing your plans before 
using the provisions of this section. In addition, by February 28 of 
each calendar year (or less often if we tell you), send the Designated 
Compliance Officer a report with all the following information:
    (1) Identify your full corporate name, address, and telephone 
number.
    (2) List the vehicle models for which you used this exemption in the 
previous year and identify the engine manufacturer and engine model for 
each vehicle model. Also identify the total number of vehicles produced 
in the previous year.
    (c) Production limits. You may produce up to 1,000 hybrid vehicles 
in a given model year through model year 2027, and up to 200 of each 
type of vehicle identified in paragraph (a)(1) through (3) of this 
section in a given model year. This includes vehicles produced by 
affiliated companies. If you exceed this limit, the number of vehicles 
that exceed the limit for the model year will not be covered by a valid 
certificate of conformity. For the purpose of this paragraph (c), we 
will count all vehicles labeled or otherwise identified as exempt under 
this section.
    (d) Vehicle standards. The vehicle standards of this part apply as 
follows for these vehicles:
    (1) Vehicles qualifying under paragraphs (a)(1) through (3) of this 
section are subject to evaporative emission standards of Sec. 1037.103, 
but are exempt from the other requirements of this part, except as 
specified in this section and in Sec. 1037.601. These vehicles must 
include a label as specified in Sec. 1037.135(a) with the information 
from Sec. 1037.135(c)(1) and (2) and the following statement: ``THIS 
VEHICLE IS EXEMPT FROM GREENHOUSE GAS STANDARDS UNDER 40 CFR 1037.605.''
    (2) Hybrid vehicles using the provisions of this section remain 
subject to the vehicle standards and all other requirements of this part 
1037. For example, you may need to use GEM in conjunction with 
powertrain testing to demonstrate compliance with emission standards 
under subpart B of this part.



Sec. 1037.610  Vehicles with off-cycle 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 GEM. While you are not required to prove 
that such technologies were not in common use with heavy-duty vehicles 
before model year 2010, we will not approve your request if we determine 
that they do not qualify. These may be described as off-cycle or 
innovative technologies. You may apply these provisions for 
CO2 emission reductions reflected in the specified test 
procedures if they are not reflected in GEM, except as allowed under 
paragraph (g) of this section. 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. Note that the term ``credit'' in this section 
describes an additive adjustment to emission rates and is not equivalent 
to an emission credit in the ABT program of subpart H of this part. 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

[[Page 246]]

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. Subtract this value from your GEM 
result and use this adjusted value to determine your FEL. 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) You may perform A to B testing by measuring emissions from the 
vehicles during chassis testing or from in-use on-road testing. You may 
also ask to use modified powertrain testing. If you use on-road testing, 
we recommend that you test according to SAE J1321, Fuel Consumption Test 
Procedure--Type II, revised February 2012, or SAE J1526, SAE Fuel 
Consumption Test Procedure (Engineering Method), Revised September 2015 
(see Sec. 1037.810 for information on 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) Control vehicle speed over the route to be representative of the 
drive-cycle weighting adopted for each regulatory subcategory, as 
specified in Sec. 1037.510(c), or apply a correction to account for the 
appropriate weighting. For example, if the route selected for an 
evaluation of a combination tractor with a sleeper cab contains only 
interstate driving at 65 mi/hr, 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. 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 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. Your request must contain the following items:
    (1) A detailed description of the off-cycle technology and how it 
functions to reduce CO2 emissions under conditions not 
represented on the duty cycles required for certification.
    (2) A list of the vehicle configurations that will be equipped with 
the technology.
    (3) A detailed description and justification of the selected test 
vehicles.
    (4) All testing and simulation data required under this section, 
plus any other data you have considered in your analysis. You may ask 
for our preliminary approval of your test plan under Sec. 1037.210.
    (5) A complete description of the methodology used to estimate the 
off-cycle benefit of the technology and all supporting data, including 
vehicle testing and in-use activity data. Also include a statement 
regarding your recommendation for applying the provisions of this 
section for the given technology as an improvement factor or a credit.
    (6) An estimate of the off-cycle benefit by vehicle model, and the 
fleetwide benefit based on projected sales of vehicle models equipped 
with the technology.
    (7) A demonstration of the in-use durability of the off-cycle 
technology, based on any available engineering analysis or durability 
testing data (either by testing components or whole vehicles).
    (8) A recommended method for auditing production vehicles consistent 
with the intent of 40 CFR part 1068, subpart

[[Page 247]]

E. We may approve your recommended method or specify a different method.
    (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.
    (f) We may approve an improvement factor or credit for any 
configuration that is properly represented by your testing.
    (1) For model years before 2021, you may continue to use an approved 
improvement factor or credit for any appropriate vehicle families in 
future model years through 2020.
    (2) For model years 2021 and later, you may not rely on an approval 
for model years before 2021. You must separately request our approval 
before applying an improvement factor or credit under this section for 
Phase 2 vehicles, even if we approved an improvement factor or credit 
for similar vehicle models before model year 2021. Note that Phase 2 
approval may carry over for multiple years.
    (g) You normally may not calculate off-cycle credits or improvement 
factors under this section for technologies represented by GEM, but we 
may allow you to do so by averaging multiple GEM runs for special 
technologies for which a single GEM run cannot accurately reflect in-use 
performance. For example, if you use an idle-reduction technology that 
is effective 80 percent of the time, we may allow you to run GEM with 
the technology active and with it inactive, and then apply an 80% 
weighting factor to calculate the off-cycle credit or improvement 
factor. You may need to perform testing to establish proper weighting 
factors or otherwise quantify the benefits of the special technologies.



Sec. 1037.615  Advanced technologies.

    (a) This section applies in Phase 1 for hybrid vehicles with 
regenerative braking, vehicles equipped with Rankine-cycle engines, 
electric vehicles, and fuel cell vehicles, and in Phase 2 through model 
year 2027 for plug-in hybrid electric vehicles, electric vehicles, and 
fuel cell vehicles. You may not generate credits for Phase 1 engine 
technologies for which the engines generate credits under 40 CFR part 
1036.
    (b) Generate Phase 1 advanced-technology credits for vehicles other 
than electric vehicles 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, or by testing the hybrid systems and the 
equivalent non-hybrid systems as described in Sec. 1037.555. 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 use Sec. 1037.540 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.
    (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 in Sec. 
1037.520.
    (3) If you apply an improvement factor to multiple vehicle 
configurations using the same advanced technology, use the vehicle 
configuration with the

[[Page 248]]

smallest potential reduction in greenhouse gas emissions resulting from 
the hybrid capability.
    (4) Use the equations of Sec. 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) See Sec. 1037.540 for special testing provisions related to 
Phase 1 vehicles equipped with hybrid power take-off units.
    (d) For Phase 2 plug-in hybrid electric vehicles and for fuel cells 
powered by any fuel other than hydrogen, calculate CO2 
credits using an FEL based on emission measurements from powertrain 
testing. Phase 2 advanced-technology credits do not apply for hybrid 
vehicles that have no plug-in capability.
    (e) You may use an engineering analysis to calculate an improvement 
factor for fuel cell vehicles based on measured emissions from the fuel 
cell vehicle.
    (f) For electric vehicles, calculate CO2 credits using an 
FEL of 0 g/ton-mile.
    (g) As specified in subpart H of this part, advanced-technology 
credits generated from Phase 1 vehicles under this section may be used 
under this part 1037 outside of the averaging set in which they were 
generated, or they may be used under 40 CFR 86.1819 or 40 CFR part 1036. 
Advanced-technology credits generated from Phase 2 vehicles are subject 
to all the averaging-set restrictions that apply to other emission 
credits.
    (h) You may certify using both provisions of this section and the 
off-cycle technology provisions of Sec. 1037.610, provided you do not 
double count emission benefits.



Sec. 1037.620  Responsibilities for multiple manufacturers.

    This section describes certain circumstances in which multiple 
manufacturers share responsibilities for vehicles they produce together. 
This section does not limit responsibilities that apply under the Act or 
these regulations for anyone meeting the definition of ``manufacturer'' 
in Sec. 1037.801. Note that the definition of manufacturer is broad and 
can include persons not commercially considered to be manufacturers.
    (a) The following provisions apply when there are multiple persons 
meeting the definition of manufacturer in Sec. 1037.801:
    (1) Each person meeting the definition of manufacturer must comply 
with the requirements of this part that apply to manufacturers. However, 
if one person complies with a specific requirement for a given vehicle, 
then all manufacturers are deemed to have complied with that specific 
requirement.
    (2) We will apply the requirements of subparts C and D of this part 
to the manufacturer that obtains the certificate of conformity for the 
vehicle. Other manufacturers are required to comply with the 
requirements of subparts C and D 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. See 
Sec. 1037.601 for the applicability of 40 CFR part 1068 to these other 
manufacturers and remanufacturers.
    (b) The provisions of Sec. 1037.621, including delegated assembly, 
apply for certifying manufacturers that rely on other manufacturers to 
finish assembly in a certified configuration. The provisions of Sec. 
1037.622 generally apply for manufacturers that ship vehicles subject to 
the requirements of this part to a certifying secondary vehicle 
manufacturer. The provisions of Sec. 1037.622 also apply to the 
secondary vehicle manufacturer. If you hold the certificate of 
conformity for a vehicle only with respect to exhaust or evaporative 
emissions, and a different company holds the other certificate of 
conformity for that vehicle, the provisions of Sec. 1037.621 apply with 
respect to the certified configuration as described in your application 
for certification, and the provisions of Sec. 1037.622 apply with 
respect to the certified configuration as described in the other 
manufacturer's application for certification.
    (c) Manufacturers of aerodynamic devices may perform the aerodynamic 
testing described in Sec. 1037.526 to quantify DCdA values 
for trailers and submit that data to EPA verification under Sec. 
1037.211. Trailer manufacturers may

[[Page 249]]

use such verified data to establish input parameters for certifying 
their trailers. Both device manufacturers and trailer manufacturers are 
subject to 40 CFR part 1068, including the recall provisions described 
in 40 CFR part 1068, subpart F.
    (d) Component manufacturers (such as tire manufacturers) providing 
test data to certifying vehicle manufacturers are responsible as follows 
for test components and emission test results provided to vehicle 
manufacturers for the purpose of certification under this part:
    (1) Such test results are deemed under Sec. 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 certifying 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 components you provide) 
to the vehicle manufacturer (see 40 CFR 1068.101(c)).
    (3) Your provision of test components and/or emission test results 
to vehicle manufacturers for the purpose of certifying under this part 
are deemed to be an agreement to provide components to EPA for 
confirmatory testing under Sec. 1037.235.
    (e) Component manufacturers may contractually agree to process 
emission warranty claims on behalf of the certifying manufacturer with 
respect to those components, as follows:
    (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 components covered by your warranty.
    (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 (see 40 CFR 1068.101(c)).
    (f) We may require component manufacturers to provide information or 
take other actions under 42 U.S.C. 7542. For example, we may require 
component manufacturers to test components they produce.



Sec. 1037.621  Delegated assembly.

    (a) This section describes provisions that allow certificate holders 
to sell or ship vehicles that are missing certain emission-related 
components if those components will be installed by a secondary vehicle 
manufacturer. Paragraph (g) of this section similarly describes how 
dealers and distributors may modify new vehicles with your advance 
approval. (Note: See Sec. 1037.622 for provisions related to 
manufacturers introducing into U.S. commerce partially complete vehicles 
for which a secondary vehicle manufacturer holds the certificate of 
conformity.)
    (b) You do not need an exemption to ship a vehicle that does not 
include installation or assembly of certain emission-related components 
if those components are shipped along with the vehicle. For example, you 
may generally ship fuel tanks and aerodynamic devices along with 
vehicles rather than installing them on the vehicle before shipment. We 
may require you to describe how you plan to use this provision.
    (c) You may ask us at the time of certification for an exemption to 
allow you to ship your vehicles without emission-related components. If 
we allow this, you must provide emission-related installation 
instructions as specified in Sec. 1037.130. You must follow delegated-
assembly requirements in 40 CFR 1068.261 if you rely on secondary 
vehicle manufacturers to install certain technologies or components as 
specified in paragraph (d) of this section. For other technologies or 
components, we may specify conditions that we determine are needed to 
ensure that shipping the vehicle without such components will not result 
in the vehicle being operated outside of its certified configuration; 
this may include a requirement to comply with the delegated-assembly 
provisions in paragraph (d) of this section. We may consider your past 
performance when we specify the conditions that apply.
    (d) Delegated-assembly provisions apply as specified in this 
paragraph (d) if the certifying vehicle manufacturer relies on a 
secondary vehicle manufacturer to procure and install auxiliary power 
units, aerodynamic devices, hybrid components (for powertrain or

[[Page 250]]

power take-off), or natural gas fuel tanks. These provisions do not 
apply for other systems or components, such as air conditioning lines 
and fittings, except as specified in paragraph (c) of this section. 
Apply the provisions of 40 CFR 1068.261, with the following exceptions 
and clarifications:
    (1) Understand references to ``engines'' to refer to vehicles.
    (2) Understand references to ``aftertreatment components'' to refer 
to any relevant emission-related components under this paragraph (d).
    (3) Understand ``equipment manufacturers'' to be secondary vehicle 
manufacturers.
    (4) The provisions of 40 CFR 1068.261(b), (c)(7), (d), and (e) do 
not apply. Accordingly, the provisions of 40 CFR 1068.261(c) apply 
regardless of pricing arrangements.
    (e) Secondary vehicle manufacturers must follow the engine 
manufacturer's emission-related installation instructions. Not meeting 
the manufacturer's emission-related installation instructions is a 
violation of one or more of the prohibitions of Sec. 1068.101. We may 
also require secondary vehicle manufacturers to recall defective 
vehicles under 40 CFR 1068.505 if we determine that their manufacturing 
practices caused vehicles to not conform to the regulations. Secondary 
vehicle manufacturers may be required to meet additional requirements if 
the certifying vehicle manufacturer delegates final assembly of emission 
controls as described in paragraph (d) of this section.
    (f) Except as allowed by Sec. 1037.622, the provisions of this 
section apply to manufacturers for glider kits they produce. Note that 
under Sec. 1037.620, glider kit manufacturers are generally presumed to 
be responsible (in whole or in part) for compliance with respect to 
vehicles produced from their glider kits, even if a secondary vehicle 
manufacturer holds the certificate under Sec. 1037.622.
    (g) We may allow certifying vehicle manufacturers to authorize 
dealers or distributors to reconfigure vehicles after the vehicles have 
been introduced into commerce if they have not yet been delivered to the 
ultimate purchaser as follows:
    (1) This allowance is limited to changes from one certified 
configuration to another, as noted in the following examples:
    (i) If your vehicle family includes certified configurations with 
different axle ratios, you may authorize changing from one certified 
axle ratio to another.
    (ii) You may authorize adding a certified APU to a tractor.
    (2) Your final ABT report must accurately describe the vehicle's 
certified configuration as delivered to the ultimate purchaser. This 
means that the allowance no longer applies after you submit the final 
ABT report.
    (3) The vehicle label must accurately reflect the final vehicle 
configuration.
    (4) You must keep records to document modifications under this 
paragraph (g).
    (5) Dealers and distributors must keep a record of your authorizing 
instructions. Dealers and distributors that fail to follow your 
instructions or otherwise make unauthorized changes may be committing a 
tampering violation as described in 40 CFR 1068.105(b).



Sec. 1037.622  Shipment of partially complete vehicles to secondary
vehicle manufacturers.

    This section specifies how manufacturers may introduce partially 
complete vehicles into U.S. commerce (or in the case of certain custom 
vehicles, introduce complete vehicles into U.S. commerce for 
modification by a small manufacturer). The provisions of this section 
are generally not intended for trailers, but they may apply in unusual 
circumstances, such as when a secondary vehicle manufacturer will modify 
a trailer in a way that makes it exempt. The provisions of this section 
are intended to accommodate normal business practices without 
compromising the effectiveness of certified emission controls. You may 
not use the provisions of this section to circumvent the intent of this 
part. For vehicles subject to both exhaust GHG and evaporative 
standards, the provisions of this part apply separately for each 
certificate.
    (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:

[[Page 251]]

    (1) Certified vehicles. Manufacturers may introduce partially 
complete tractors into U.S. commerce if they are covered by certificates 
of conformity and are in certified configurations. See Sec. 1037.621 
for vehicles not yet in a certified configuration when introduced into 
U.S. commerce.
    (2) 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 the required certificate of 
conformity only as allowed by paragraph (b) of this section; however, 
the requirements of this section do not apply for tractors or vocational 
vehicles with a date of manufacture before January 1, 2022, that are 
produced by a secondary vehicle manufacturer if they are excluded from 
the standards of this part under Sec. 1037.150(c).
    (3) Exempted vehicles. Manufacturers may introduce into U.S. 
commerce partially complete vehicles without a certificate of conformity 
if the vehicles are exempt under this part or under 40 CFR part 1068. 
This may involve the secondary vehicle manufacturer qualifying for the 
exemption.
    (4) Small manufacturers modifying certified tractors. Small 
manufacturers that build custom sleeper cabs or natural gas-fueled 
tractors may modify complete or incomplete vehicles certified as 
tractors, as specified by paragraph (d) 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. They also apply where a secondary 
vehicle manufacturer qualifies for a permanent exemption. In unusual 
circumstances we may allow other secondary vehicle manufacturers to use 
these provisions. 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 vehicle manufacturer would be 
able to ensure that the engine and vehicle will conform to the 
regulations in their final configurations.
    (1) A secondary vehicle 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 or exempted 
configuration. For example, this would apply where a glider vehicle 
assembler holds a certificate that allows the assembler to produce 
certified glider vehicles from glider kits.
    (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 
vehicle 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(b) that 
identifies the corporate name of the original manufacturer and states 
that the vehicle is exempt under the provisions of Sec. 1037.622. 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. Note that an exemption allowing a glider 
assembler to install an exempt engine does not necessarily exempt the 
vehicle from the requirements of this part.
    (3) If you are the secondary vehicle manufacturer and you will hold 
the

[[Page 252]]

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 vehicle 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 
vehicle 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) The provisions of this section also apply for shipping partially 
complete vehicles if the vehicle is covered by a valid exemption and 
there is no valid family name that could be used to represent the 
vehicle model. Unless we approve otherwise in advance, you may do this 
only when shipping engines to secondary vehicle manufacturers that are 
certificate holders. In this case, the secondary vehicle manufacturer 
must identify the regulatory cite identifying the applicable exemption 
instead of a valid family name when ordering engines from the original 
vehicle manufacturer.
    (6) Both original and secondary vehicle 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.
    (7) These provisions are intended only to allow secondary vehicle 
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.
    (8) 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.
    (9) 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 vehicle 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 vehicle manufacturer or set 
additional conditions to ensure that vehicles will be assembled in the 
certified configuration.

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    (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 vehicle manufacturer that is not in compliance 
with the requirements of this section.
    (iv) The secondary vehicle 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 vehicle 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.
    (d) Small manufacturers that build custom sleeper cabs or natural 
gas-fueled tractors may modify complete or incomplete vehicles certified 
as tractors, subject to the provisions of this paragraph (d). Such 
businesses are secondary vehicle manufacturers.
    (1) Secondary vehicle manufacturers may not modify the vehicle body 
in front of the b-pillar or increase the effective frontal area of the 
certified configuration including consideration of the frontal area of 
the standard trailer. For high-roof custom sleeper tractors, this would 
generally mean that no part of the added sleeper compartment may extend 
beyond 102 inches wide or 162 inches high (measured from the ground), 
which are the dimensions of the standard trailer for high-roof tractors 
under this part. Note that these dimensions have a tolerance of 2 inches.
    (2) The certifying manufacturer may have responsibilities for the 
vehicle under this section, as follows:
    (i) If the vehicle being modified is a complete tractor in a 
certified configuration, the certifying manufacturer has no additional 
responsibilities for the vehicle under this section.
    (ii) If the vehicle being modified is partially complete only 
because it lacks body components to the rear of the b-pillar (but is 
otherwise a complete tractor in a certified configuration), the 
certifying manufacturer has no additional responsibilities for the 
vehicle under this section.
    (iii) If the vehicle being modified is an incomplete tractor not in 
a certified configuration, the certifying manufacturer must comply with 
the provisions of Sec. 1037.621 for the vehicle.
    (3) The secondary vehicle manufacturer must add a permanent 
supplemental label to the vehicle near the original manufacturer's 
emission control information label. On the label identify your corporate 
name and include the statement: ``THIS TRACTOR WAS MODIFIED UNDER 40 CFR 
1037.622.''
    (4) See Sec. 1037.150 for additional interim options that may 
apply.
    (5) The provisions of this paragraph (d) may apply separately for 
vehicle GHG and evaporative emission standards.
    (6) Modifications under this paragraph (d) do not violate 40 CFR 
1068.101(b)(1).



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 of Sec. 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 that does not qualify for an exemption under Sec. 
1037.631), such as those with reinforced frames and increased ground 
clearance. This includes drayage tractors.
    (iii) Model year 2020 and earlier tractors with a gross combination 
weight rating (GCWR) at or above 120,000

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pounds. Note that Phase 2 tractors meeting the definition of ``heavy-
haul'' in Sec. 1037.801 must be certified to the heavy-haul standards 
in Sec. Sec. 1037.106 or 1037.670.
    (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 subcategory and averaging set that applies for their service 
class.
    (3) You must include the following additional statement on the 
vehicle's emission control information label under Sec. 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 
Phase 1 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 Phase 1 tractors 
certified or exempted as vocational tractors. No production limit 
applies for tractors subject to Phase 2 standards.
    (d) Off-road exemption. All the provisions of this section apply for 
vocational tractors exempted under Sec. 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 of Sec. 
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 under Sec. 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 (including certain 
vocational tractors) that are intended to be used extensively in off-
road environments such as forests, oil fields, and construction sites. 
This section does not exempt engines used in vocational vehicles 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 are exempt without request, subject to the provisions of this 
section, if they are primarily designed to perform work off-road (such