Title 40—Protection of Environment--Volume 1
PART 1037—CONTROL OF EMISSIONS FROM NEW HEAVY-DUTY MOTOR VEHICLES
§ 1037.1   Applicability.
(a) The regulations in this part apply for all new heavy-duty vehicles, except as provided in § 1037.5. This includes battery electric vehicles, fuel cell electric vehicles, and vehicles fueled by conventional and alternative fuels.
(b) The provisions of this part apply for alternative fuel conversions as specified in 40 CFR part 85, subpart F.
§ 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 § 1037.801 for the definition of “manufacturer” and § 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.
§ 1037.5   Excluded vehicles.
Except for the definitions specified in § 1037.801, this part does not apply to the following vehicles:
(a) Vehicles not meeting the definition of “motor vehicle” in § 1037.801.
(b) Vehicles excluded from the definition of “heavy-duty vehicle” in § 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 § 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 § 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 emission standards under 40 CFR part 86, subpart S.
(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) 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.
§ 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 § 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.
(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 § 1037.105 or § 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.
§ 1037.15   Do any other regulation parts apply to me?
(a) Parts 1065 and 1066 of this chapter describe procedures and equipment specifications for testing engines and vehicles to measure exhaust emissions. Subpart F of this part 1037 describes how to apply the provisions of part 1065 and part 1066 of this chapter to determine whether vehicles meet the exhaust emission standards in this part.
(b) As described in § 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.
§ 1037.30   Submission of information.
Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1037.801). See § 1037.825 for additional reporting and recordkeeping provisions.
§ 1037.101   Overview of emission standards.
(a) You must show that vehicles meet the following emission standards:
(1) Exhaust emissions of criteria pollutants. Criteria pollutant standards for NO X , HC, PM, and CO apply as described in § 1037.102. 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 pollutants ozone and PM.
(2) Exhaust emissions of greenhouse gases. 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. Emission standards apply as follows for greenhouse gas emissions:
(i) CO 2 emission standards apply as described in §§ 1037.105 and 1037.106. No CH 4 or N 2 O standards apply under this part. See 40 CFR part 1036 for CH 4 or N 2 O standards that apply to engines used in these vehicles.
(ii) Hydrofluorocarbon standards apply as described in § 1037.115(e). These pollutants are also “greenhouse gas pollutants” but are treated separately from exhaust greenhouse gas pollutants listed in paragraph (a)(2)(i) of this section.
(3) Fuel evaporative and refueling emissions. Requirements related to fuel evaporative and refueling emissions are described in § 1037.103.
(b) The regulated heavy-duty vehicles are addressed in different groups as follows:
(1) For criteria pollutants, vehicles are regulated based on gross vehicle weight rating (GVWR), whether they are considered “spark-ignition” or “compression-ignition,” and whether they are first sold as complete or incomplete vehicles.
(2) Greenhouse gas standards apply differently for vocational vehicles and tractors. Greenhouse gas standards also apply differently depending on the vehicle service class as described in § 1037.140. In addition, standards apply differently for vehicles with spark-ignition and compression-ignition engines. References in this part 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 standards under 40 CFR part 1036 is generally subject to requirements under this part that apply for spark-ignition vehicles. However, note that emission standards for Heavy HDE 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. Heavy-duty vehicles with no installed propulsion engine, such as battery electric vehicles, are subject to compression-ignition emission standards under §§ 1037.105 and 1037.106 for the purpose of calculating emission credits.
(3) 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 and refueling emission standards.
§ 1037.102   Criteria exhaust emission standards—NOX, HC, PM, and CO.
(a) Engines installed in heavy-duty vehicles are subject to criteria pollutant standards for NO X , HC, PM, and CO under 40 CFR part 86 through model year 2026 and 40 CFR part 1036 for model years 2027 and later.
(b) Heavy-duty vehicles with no installed propulsion engine, such as battery electric vehicles, are subject to criteria pollutant standards under this part. The emission standards that apply are the same as the standards that apply for compression-ignition engines under 40 CFR 86.007-11 or 1036.104 for a given model year.
(1) You may state in the application for certification that vehicles with no installed propulsion engine comply with all the requirements of this part related to criteria emission standards instead of submitting test data. Tailpipe emissions of criteria pollutants from vehicles with no installed propulsion engine are deemed to be zero.
(2) Vehicles with no installed propulsion engines may not generate NO X credits.
§ 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) and the related provisions in 40 CFR part 86, subpart S, apply to complete vehicles starting in model year 2022. Those standards and related provisions apply for incomplete vehicles starting in model year 2027, or as described in the alternate phase-in schedule described in 40 CFR 86.1813-17(b). If you do not certify all your incomplete heavy-duty vehicles above 14,000 pounds GVWR to the refueling standards in model year 2027, you must use the alternate phase-in schedule described in 40 CFR 86.1813-17(b).
(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.
(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 in this section 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 that vehicles comply with the standards throughout the useful life. 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, see § 1037.810), as modified by this paragraph (e). All pressures noted are gauge pressure. Vehicles with tanks meeting the requirements in this paragraph (e) 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) °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 °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 § 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 and refueling 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 fully assembled 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 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 partially assembled 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.
§ 1037.105   CO2emission 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 not subject to the greenhouse gas standards in 40 CFR part 86, subpart S, or that use engines certified under § 1037.150(m).
(2) Vehicles above 14,000 pounds GVWR and at or below 26,000 pounds GVWR, but not certified to the vehicle greenhouse gas standards in 40 CFR part 86, subpart S.
(3) Vehicles above 26,000 pounds GVWR that are not tractors.
(4) Vocational tractors.
(b) CO 2 standards in this paragraph (b) apply based on modeling and testing as specified in subpart F of this part. The provisions of § 1037.241 specify how to comply with the standards in this paragraph (b). Standards differ based on engine cycle, vehicle size, and intended vehicle duty cycle. See § 1037.510(c) to determine which duty cycle applies. Note that § 1037.230 describes how to divide vehicles into subcategories.
(1) Except as specified in paragraph (b)(2) of this section, model year 2027 and later vehicles are subject to Phase 3 CO 2 standards corresponding to the selected subcategories as shown in the following table:
Table 1 of Paragraph (b)(1) of § 1037.105—Phase 3 CO 2 Standards for Model Year 2027 and Later Vocational Vehicles
(2) Qualifying small manufacturers of model year 2027 and later vehicles may continue to meet Phase 2 CO 2 standards in this paragraph (b)(2) instead of the standards specified in paragraph (b)(1) of this section. If you certify to these Phase 2 CO 2 standards, you may use the averaging provisions of subpart H of this part to demonstrate compliance. You may use other credit provisions of this part only by certifying all vehicle families within a given averaging set to the Phase 3 standards that apply in that model year.
Table 2 of Paragraph ( b )(2) of § 1037.105—Small Manufacturer Phase 2 CO 2 Standards for Model Year 2027 and Later Vocational Vehicles
(3) Model year 2024 through 2026 vehicles are subject to Phase 2 CO 2 standards corresponding to the selected subcategories as shown in the following table:
Table 3 of Paragraph ( b )(3) of § 1037.105—Phase 2 CO 2 Standards for Model Year 2024 Through 2026 Vocational Vehicles
(4) Model year 2021 through 2023 vehicles are subject to Phase 2 CO 2 standards corresponding to the selected subcategories as shown in the following table:
Table 4 of Paragraph ( b )(4) of § 1037.105—Phase 2 CO 2 Standards for Model Year 2021 Through 2023 Vocational Vehicles
(5) Model year 2014 through 2020 vehicles are subject to Phase 1 CO 2 standards as shown in the following table:
Table 5 of Paragraph ( b )(5) of § 1037.105—Phase 1 CO 2 Standards for Model Year 2014 Through 2020 Vocational Vehicles
[g/ton-mile]
(c) [Reserved]
(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 CO 2 for each vehicle subfamily. The FEL may not be less than the result of emission modeling from § 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 § 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 HDE or Medium HDE 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 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 standards as specified in this paragraph (h) instead of the standards specified in paragraph (b) of this section. You may apply the provisions in this paragraph (h) to any qualifying vehicles even though these standards were established for custom-chassis vehicles. 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 specified in § 1037.140(g)(7); 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 the standards in this paragraph (h) must include the following statement on the emission control label: “THIS VEHICLE WAS CERTIFIED AS A [ identify vehicle type as identified in this section ] UNDER 40 CFR 1037.105(h)].” These custom-chassis provisions apply as follows:
(1) The following alternative emission standards apply by vehicle type and model year as follows:
(i) Except as specified in paragraph (h)(1)(ii) of this section, CO 2 standards apply for model year 2021 and later custom-chassis vehicles as shown in the following tables:
Table 6 of Paragraph ( h )(1)( i ) of § 1037.105—Custom-Chassis Standards School Buses, Other Buses, and Refuse Haulers
Table 7 of Paragraph ( h )(1)( i ) of § 1037.105—Custom-Chassis Standards for Motor Homes, Coach Buses, Concrete Mixers, Mixed-Use Vehicles, and Emergency Vehicles
(ii) For qualifying small manufacturers, Phase 2 CO 2 standards apply for model year 2027 and later custom-chassis vehicles instead of the standards specified in paragraph (h)(1)(i) of this section.
Table 8 of Paragraph ( h )(1)( ii ) of § 1037.105— Small Manufacturer Phase 2 CO 2 Standards for Model Year 2027 and Later Custom-Chassis Vocational Vehicles
[g/ton-mile]
(iii) Vehicle types identified in this paragraph (h)(1) are generally defined in § 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 § 1037.631(a)(1) or (2).
(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 CO 2 for each vehicle subfamily. The FEL may not be less than the result of emission modeling as described in § 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 § 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 paragraph (h)(1) 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 paragraphs (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 § 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 N/kN (8.7 N/kN 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 N/kN (7.6 N/kN 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 N/kN (6.7 N/kN 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 § 1037.150(m). This paragraph (h)(8) also applies for vehicles meeting standards under paragraphs (h)(5) through (7) of this section.
§ 1037.106   CO2emission standards for tractors above 26,000 pounds GVWR.
(a) The CO 2 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 § 1037.630.
(b) CO 2 standards in this paragraph (b) apply based on modeling and testing as described in subpart F of this part. The provisions of § 1037.241 specify how to comply with the standards in this paragraph (b). Note that § 1037.230 describes how to divide vehicles into subcategories.
(1) Except as specified in paragraph (b)(2) of this section, model year 2027 and later tractors are subject to Phase 3 CO 2 standards corresponding to the selected subcategories as shown in the following table:
Table 1 of Paragraph (b)(1) of § 1037.106—Phase 3 CO 2 Standards for Model Year 2027 and Later Tractors
(2) Qualifying small manufacturers of model year 2027 and later vehicles may continue to meet Phase 2 CO 2 standards in this paragraph (b)(2) instead of the standards specified in paragraph (b)(1) of this section. If you certify to these Phase 2 CO 2 standards, you may use the averaging provisions of subpart H of this part to demonstrate compliance. You may use other credit provisions of this part only by certifying all vehicle families within a given averaging set to the Phase 3 standards that apply in that model year.
Table 2 of Paragraph ( b )(2) of § 1037.106—Small Manufacturer CO 2 Standards for Model Year 2027 and Later Tractors
(3) Model year 2026 and earlier tractors are subject to CO 2 standards corresponding to the selected subcategory as shown in the following table:
Table 3 of Paragraph ( b )(3) of § 1037.106—CO 2 Standards for Model Year 2026 and Earlier Tractors
[g/ton-mile]
(c) [Reserved]
(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 § 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 HDE 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. This paragraph (f)(2) applies equally for hybrid vehicles, battery electric vehicles, and fuel cell electric vehicles. Credit provisions apply as follows:
(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 § 1037.660(e) for requirements that apply for diesel APUs in model year 2020 and earlier tractors.
§ 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 practically adjustable range. We may require that you set adjustable parameters to any specification within the practically adjustable range during any testing. See 40 CFR 1068.50 for general provisions related to adjustable parameters. You must ensure safe vehicle operation throughout the practically adjustable range of each adjustable parameter, including consideration of production tolerances. Note that adjustable roof fairings are deemed not to be adjustable parameters.
(b) Prohibited controls. You may not design your vehicles with emission control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the vehicle emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk.
(c) [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. 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)] × 100. Round your percent leakage rate to the nearest one-hundredth of a percent. This paragraph (e) applies for all refrigerants.
(1) This paragraph (e) is intended to address air conditioning systems for which the primary purpose is to cool the driver compartment. This would generally include all cab-complete pickups and vans. Similarly, it does not apply for self-contained air conditioning used to cool passengers or refrigeration units used to cool cargo on vocational vehicles. For purposes of this paragraph (e), a self-contained system is an enclosed unit with its own evaporator and condenser even if it draws power from the engine.
(2) For purposes of this paragraph (e), “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.
(3) If air conditioning systems 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.
(f) Battery durability monitor. Model year 2030 and later battery electric vehicles and plug-in hybrid electric vehicles must meet the following requirements to estimate and monitor usable battery energy for batteries serving as Rechargeable Energy Storage Systems:
(1) Create a customer-accessible system that monitors and displays the vehicle's State of Certified Energy ( SOCE ) with an accuracy of ±5%. Display the SOCE from paragraph (f)(2) of this section as a percentage expressed to the nearest whole number. Update the display as needed to reflect the current value of SOCE.
(2) Determine SOCE using the following equation:
(3) For battery electric vehicles, ask us to approve a procedure you develop to determine UBE that meets the following requirements:
(i) Measure UBE by discharging the battery at a constant power that is representative of the vehicle cruising on the highway. For many HDV, the power to cruise on the highway would result in a C-rate between 1/6 C and 1/2 C. Where C-rate is a measure of the rate at which a battery is discharged or charged relative to its maximum capacity and has units of inverse hours. For example, at a 2 C discharge rate, it would take 0.5 hours to fully discharge a battery. For test procedures that involve driving a vehicle, you may discharge the battery at variable rates until the last portion of the test, consistent with good engineering judgment.
(ii) The test is complete when the battery is not able to maintain the target power.
(iii) Use the same procedure for measuring certified and aged UBE.
(iv) Measurements to determine power must meet the requirements in 40 CFR 1036.545(a)(10).
(4) For plug-hybrid electric vehicles, determine UBE as described in 40 CFR 1036.545(p), or you may use a procedure that meets the requirements of paragraph (f)(3) of this section.
§ 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 (except tires).
(ii) 5 years or 100,000 miles for Medium HDV and Heavy HDV (except tires).
(iii) 2 years or 24,000 miles for tires.
(2) You may offer an emission-related warranty more generous than we require. The emission-related warranty for the vehicle may not be shorter than any basic mechanical warranty you provide to that owner without charge for the vehicle. Similarly, the emission-related warranty for any component may not be shorter than any warranty you provide to that owner without charge for that component. This means that your warranty for a given vehicle may not treat emission-related and 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, 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 similarly covers fuel cell stacks, RESS, and other components used with hybrid systems, battery electric vehicles, and fuel cell electric vehicles. The emission-related warranty also covers other added emission-related components to the extent they are included in your application for certification, and any other components whose failure would increase a vehicle's CO 2 emissions. The emission-related warranty covers all components whose failure would increase a vehicle's emissions of air conditioning refrigerants (for vehicles subject to air conditioning leakage standards), and it covers all components whose failure would increase a vehicle's evaporative and refueling emissions (for vehicles subject to evaporative and refueling emission standards). The emission-related warranty covers components that are part of your certified configuration even if another company produces the component.
(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.
§ 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. Critical emission-related maintenance may also include additional emission-related maintenance that you determine is critical if we approve it in advance. You may schedule critical emission-related maintenance on these components if you demonstrate that the maintenance is reasonably likely to be done at the recommended intervals on in-use vehicles. We will accept scheduled maintenance as reasonably likely to occur if you satisfy any of the following conditions:
(1) You present data showing that, if a lack of maintenance increases emissions, it also unacceptably degrades the vehicle's performance.
(2) You present survey data showing that at least 80 percent of vehicles in the field get the maintenance you specify at the recommended intervals.
(3) You provide the maintenance free of charge and clearly say so in your maintenance instructions.
(4) You otherwise show us that the maintenance is reasonably likely to be done at the recommended intervals.
(b) Recommended additional maintenance. You may recommend any additional amount of maintenance on the components listed in paragraph (a) of this section, as long as you state clearly that these maintenance steps are not necessary to keep the emission-related warranty valid. If operators do the maintenance specified in paragraph (a) of this section, but not the recommended additional maintenance, this does not allow you to disqualify those vehicles from in-use testing or deny a warranty claim. Do not take these maintenance steps during service accumulation on your emission-data vehicles.
(c) Special maintenance. You may specify more frequent maintenance to address problems related to special situations, such as atypical vehicle operation. You must clearly state that this additional maintenance is associated with the special situation you are addressing. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to address vehicle operation that is not atypical, or that the maintenance is unlikely to occur in use. If we determine that certain maintenance items do not qualify as special maintenance under this paragraph (c), you may identify this as recommended additional maintenance under paragraph (b) of this section.
(d) Noncritical emission-related maintenance. Subject to the provisions of this paragraph (d), you may schedule any amount of emission-related inspection or maintenance that is not covered by paragraph (a) of this section (that is, maintenance that is neither explicitly identified as critical emission-related maintenance, nor that we approve as critical emission-related maintenance). Noncritical emission-related maintenance generally includes maintenance on the components we specify in 40 CFR part 1068, appendix A, 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.
§ 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) 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 emission-related diagnostic systems.
(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.
§ 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) [Reserved]
(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) For Phase 1 vehicles, identify the emission control system. Use terms and abbreviations as described in appendix C to this part or other applicable conventions.
(7) Identify any requirements for fuel and lubricants that do not involve fuel-sulfur levels.
(8) State: “THIS VEHICLE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] HEAVY-DUTY VEHICLES.”
(9) 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.
§ 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 a standard trailer's 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 § 1037.225.
(e) If your vehicle is equipped with an adjustable roof fairing, measure the 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 as follows:
(1) Tractors are divided based on GVWR into Class 7 tractors and Class 8 tractors. Where provisions of this part apply to both tractors and vocational vehicles, Class 7 tractors are considered “Medium HDV” and Class 8 tractors are considered “Heavy HDV”. This paragraph (g)(1) applies for hybrid and non-hybrid vehicles.
(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 and later vocational vehicles propelled by engines subject to the spark-ignition standards of 40 CFR part 1036 are divided as follows:
(i) Class 2b through Class 5 vehicles are considered “Light HDV”.
(ii) Class 6 through Class 8 vehicles are considered “Medium HDV”.
(4) Phase 2 and later vocational vehicles propelled by engines subject to the compression-ignition standards in 40 CFR part 1036 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 HDE (see 40 CFR 1036.140), except that Class 8 hybrid vehicles are considered “Heavy HDV” regardless of the engine's primary intended service class.
(iii) All other Class 6 through Class 8 vehicles are considered “Medium HDV”.
(5) Heavy-duty vehicles with no installed propulsion engine, such as battery electric vehicles, are divided as follows:
(i) Class 2b through Class 5 vehicles are considered “Light HDV”.
(ii) Class 6 and 7 vehicles are considered “Medium HDV”.
(iii) Class 8 vehicles are considered “Heavy HDV”.
(6) In certain circumstances, you may certify vehicles to standards that apply for a different vehicle service class. For example, see §§ 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.
(7) Vehicles meeting the custom-chassis standards of § 1037.105(h)(1) are subject to the following vehicle service classes instead of the other provisions in this section:
(i) School buses and motor homes are considered “Medium HDV”.
(ii) All other custom-chassis are considered “Heavy HDV”.
(h) Use good engineering judgment to identify the intended regulatory subcategory (Urban, Multi-Purpose, or Regional) for each of your vocational vehicle configurations based on the expected use of the vehicles.
§ 1037.150   Interim provisions.
The provisions in this section apply instead of other provisions in this part.
(a) Incentives for early introduction. The provisions of this paragraph (a) apply with respect to vehicles produced in model years before 2014. Manufacturers may voluntarily certify in model year 2013 (or earlier model years for electric vehicles) to the greenhouse gas standards of this part.
(1) This paragraph (a)(1) applies for regulatory subcategories subject to the standards of § 1037.105 or § 1037.106. Except as specified in paragraph (a)(3) of this section, to generate early credits under this paragraph (a)(1) for any vehicles other than electric vehicles, you must certify your entire U.S.-directed production volume within the regulatory subcategory to the standards of § 1037.105 or § 1037.106. 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 paragraph (a)(1) 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 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 § 1037.106, the default method for measuring drag area ( C d A ) 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 § 1037.528(b) and submitting information related to your coastdown testing under § 1037.528(h).
(c) Small manufacturers. The following provisions apply for qualifying small manufacturers:
(1) The greenhouse gas standards of §§ 1037.105 and 1037.106 are optional for small manufacturers producing vehicles with a date of manufacture before January 1, 2022. In addition, 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.
(2) Qualifying manufacturers must notify the Designated Compliance Officer each model year before introducing 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. Manufacturers must label excluded vehicles with the following statement: “THIS VEHICLE IS EXCLUDED UNDER 40 CFR 1037.150(c).”
(3) Small manufacturers may meet Phase 1 standards instead of Phase 2 standards in the first year Phase 2 standards apply to them if they voluntarily comply with the Phase 1 standards for the full preceding year. Specifically, small manufacturers may certify their model year 2022 vehicles to the Phase 1 greenhouse gas standards of §§ 1037.105 and 1037.106 if they certify all the vehicles from their annual production volume included in emission credit calculations for the Phase 1 standards starting on or before January 1, 2021.
(4) See paragraphs (r), (t), (u), and (w) of this section for additional allowances for small manufacturers.
(d) Air conditioning leakage for vocational vehicles. The air conditioning leakage standard of § 1037.115 does not apply for model year 2020 and earlier vocational vehicles.
(e) Delegated assembly. The delegated-assembly provisions of § 1037.621 do not apply before January 1, 2018.
(f) Testing exemption for qualifying vehicles. Tailpipe CO 2 emissions from battery electric vehicles, fuel cell electric vehicles, and vehicles with engines fueled with neat hydrogen are deemed to be zero. No CO 2 -related testing is required under this part for these 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 § 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 § 1037.631 based on other criteria that are equivalent to those specified in § 1037.631(a); however, we 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 § 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 § 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 § 1037.635 for related provisions that apply in later model years. The prohibition in § 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 § 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 certification to GHG standards under 40 CFR part 86. The greenhouse gas standards in 40 CFR part 86, subpart S, may apply instead of the standards of § 1037.105 as follows:
(1) Complete or cab-complete vehicles may optionally meet alternative standards as described in 40 CFR 86.1819-14(j).
(2) Complete high-GCWR vehicles must meet the greenhouse gas standards of 40 CFR part 86, subpart S, as described in 40 CFR 1036.635.
(3) Incomplete high-GCWR vehicles may meet the greenhouse gas standards of 40 CFR part 86, subpart S, as described in 40 CFR 1036.635.
(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 § 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 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 § 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. The following provisions describe how you may generate and use credits from vehicles certified with advanced technology:
(1) You may calculate credits you generate from vehicles certified with advanced technology as follows:
(i) For Phase 1 vehicles, multiply the 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.
(ii) For model year 2026 and earlier Phase 2 vehicles, apply multipliers of 3.5 for plug-in hybrid electric vehicles, 4.5 for battery electric vehicles, and 5.5 for fuel cell electric vehicles. Calculate credits relative to the Phase 2 standard.
(iii) For Phase 3 vehicles, the advanced-technology multipliers described in paragraph (p)(1)(ii) of this section apply only in model year 2027. Calculate credits relative to the Phase 3 standard.
(2) You may use credit quantities described in paragraphs (p)(1)(i) and (ii) of this section through model year 2026. The following provisions apply for advanced technology credits starting in model year 2027:
(i) Quantify accumulated credit balances in each model year that result from multiplier credit values. For example, if BEV earns 100 Mg of CO 2 credits that become 450 Mg of credits when multiplied, the base credit value is 100 Mg and the multiplier credit value is 350 Mg. Provide a detailed accounting of base and multiplier credits in your annual ABT reports for the relevant model years.
(ii) For each vehicle family, calculate a credit quantity with no consideration of credit multipliers. Sum these credit quantities for every family within a given averaging set.
(iii) Apply available credits in the following priority order as long as the summed credit quantity is negative.
(A) Base credits banked or traded within the same averaging set.
(B) Base credits earned in the same model year from other averaging sets as specified in paragraph (z) of this section.
(C) Base credits from other averaging sets as specified in paragraph (z) of this section that are banked or traded.
(D) Multiplier credits within the same averaging set for the same model year.
(E) Multiplier credits banked or traded within the same averaging set.
(F) Multiplier credits earned in the same model year from other averaging sets as specified in paragraph (z) of this section.
(G) Multiplier credits from other averaging sets as specified in paragraph (z) of this section that are banked or traded.
(iv) You may no longer use multiplier credits for certifying model year 2030 and later vehicles.
(v) Credit provisions not addressed in this paragraph (p)(2), such as limitations on credit life and credit trading, continue to apply as specified. Note the following:
(A) Unlike multiplier credits, the life of base credits is not limited under this paragraph (p)(2).
(B) You may apply multiplier credits without the restrictions described in this paragraph (p)(2) to resolve a deficit that remains from complying with Phase 2 standards in model years 2026 and earlier.
(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 § 1037.610 or advanced technologies under § 1037.615:
(1) For Phase 1 vehicles, 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 Phase 2 and Phase 3 vehicles, create separate vehicle subfamilies for vehicles that contain advanced or off-cycle technologies; group those vehicles together in a vehicle subfamily if they use the same advanced or off-cycle technologies.
(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 § 1037.250.
(5) Modifications made under this paragraph (r) do not violate 40 CFR 1068.101(b)(1).
(s) Confirmatory testing for F alt-aero . If we conduct coastdown testing to verify your F alt-aero value for Phase 2 and later tractors, we will make our determination using the principles of SEA testing in § 1037.305. We will not replace your F alt-aero value if the tractor passes. If your tractor fails, we will generate a replacement value of F alt-aero based on at least one C d A value and corresponding effective yaw angle, ψ eff, from a minimum of 100 valid runs using the procedures of § 1037.528(h). Note that we intend to minimize the differences between our test conditions and those of the manufacturer by testing at similar times of the year where possible and the same location where possible and when appropriate.
(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 the exemption in this paragraph (t)(1) if you are a small manufacturer and you sold one or more glider vehicles in 2014 under the provisions of paragraph (c) of this section. 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 this paragraph (t)(1), 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 § 1037.250.
(iv) Include the appropriate statement on the label required under § 1037.135, as follows:
(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) The exemption in this paragraph (t)(1) 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 § 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.
(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 § 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 § 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 § 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) Transition to Phase 2 standards. The following provisions allow for enhanced generation and use of emission credits from Phase 1 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 § 1037.740(c). For Class 8 vocational vehicles with Medium HDE, 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 § 1037.140(g)(4).
(2) You may use the off-cycle provisions of § 1037.610 to apply technologies to Phase 1 vehicles as follows:
(i) You may apply an improvement factor of 0.988 for vehicles with automatic tire inflation systems on all axles.
(ii) For vocational vehicles with automatic engine shutdown systems that conform with § 1037.660, you may apply an improvement factor of 0.95.
(iii) For vocational vehicles with stop-start systems that conform with § 1037.660, you may apply an improvement factor of 0.92.
(iv) For vocational vehicles with neutral-idle systems conforming with § 1037.660, you may apply an improvement factor of 0.98. You may adjust this improvement factor if we approve a partial reduction under § 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 (u)(3).
(ii) Use GEM version 2.0.1 to determine a CO 2 emission level for your vehicle, then multiply this value by the engine's Family Certification Level for CO 2 and divide by the engine's applicable CO 2 emission standard.
(4) Phase 1 vocational vehicle credits that small manufacturers generate may be used through model year 2027.
(v) Constraints for vocational regulatory subcategories. The following provisions apply to determinations of vocational regulatory subcategories as described in § 1037.140:
(1) Select the Regional regulatory subcategory for coach buses and motor homes you certify under § 1037.105(b).
(2) You may not select the Urban regulatory subcategory for any vehicle with a manual or single-clutch automated manual transmission.
(3) Starting in model year 2024, you must select the Regional regulatory subcategory for any vehicle with a manual transmission.
(4) You may select the Multi-purpose regulatory subcategory for any vocational vehicle, except as specified in paragraph (v)(1) of this section.
(5) You may select the Urban regulatory subcategory for a hybrid vehicle equipped with regenerative braking, unless it is equipped with a manual transmission.
(6) You may select the Urban regulatory subcategory 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.
(w) Custom-chassis standards for small manufacturers. The following provisions apply uniquely to qualifying small manufacturers under the custom-chassis standards of § 1037.105(h):
(1) You may use emission credits generated under § 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 § 1037.105(h) for “other buses”. The limit in this paragraph (w)(2) applies with respect to vehicles produced by you and your affiliated companies. Treat these drayage tractors as being in their own averaging set.
(x) Transition to updated GEM. (1) Vehicle manufacturers may demonstrate compliance with Phase 2 greenhouse gas standards in model years 2021 through 2023 using GEM Phase 2, Version 3.0, Version 3.5.1, or Version 4.0 (all incorporated by reference, see § 1037.810). Manufacturers may change to a different version of GEM for model years 2022 and 2023 for a given vehicle family after initially submitting an application for certification; such a change must be documented as an amendment under § 1037.225. Manufacturers may submit an end-of-year report for model year 2021 using any of the three regulatory versions of GEM, but only for demonstrating compliance with the custom-chassis standards in § 1037.105(h); such a change must be documented in the report submitted under § 1037.730. Once a manufacturer certifies a vehicle family based on GEM Version 4.0, it may not revert back to using GEM Phase 2, Version 3.0 or Version 3.5.1 for that vehicle family in any model year.
(2) Vehicle manufacturers may certify for model years 2021 through 2023 based on fuel maps from engines or powertrains that were created using GEM Phase 2, Version 3.0, Version 3.5.1, or Version 4.0 (all incorporated by reference, see § 1037.810). Vehicle manufacturers may alternatively certify in those years based on fuel maps from powertrains that were created using GEM Phase 2, Version 3.0, GEM HIL model 3.8, or GEM Phase 2, Version 4.0 (all incorporated by reference, see § 1037.810). Vehicle manufacturers may continue to certify vehicles in later model years using fuel maps generated with earlier versions of GEM for model year 2024 and later vehicle families that qualify for using carryover provisions in § 1037.235(d).
(y) Correcting credit calculations. If you notify us by October 1, 2024, that errors mistakenly decreased your balance of emission credits for 2020 or any earlier model years, you may correct the errors and recalculate the balance of emission credits after applying a 10 percent discount to the credit correction.
(z) Credit exchanges across averaging sets for certain vehicles. The provisions of this paragraph (z) apply for credits generated from model year 2026 and earlier vehicles certified with advanced technology under this part. The provisions of this paragraph (z) also apply for credits generated from model year 2027 through 2032 vehicles, as follows:
(1) Credits generated under this part may be used through model year 2032 for any of the averaging sets identified in § 1037.740(a).
(2) Credits generated from vehicles certified to the standards in 40 CFR 86.1819-14 may be used through model year 2032 to demonstrate compliance with the CO 2 emission standards for Light HDV or Medium HDV in this part.
(3) The following provisions apply for redesignating credits for use in different averaging sets:
(i) The restrictions that apply for trading credits under § 1037.720 also apply for redesignating credits.
(ii) Send us a report by June 30 after model year to describe how you are redesignating credits. Identify the averaging set and number of credits generated from each vehicle family. Also identify the number of redesignated emission credits you intend to apply for each averaging set.
(4) You may trade redesignated credits as allowed under the standard setting part. Credit provisions not addressed in this paragraph (z), such as limitations on credit life and credit multipliers for advanced technology, continue to apply as specified.
(aa) Warranty for advanced technologies. The emission-related warranty requirements in § 1037.120 are optional for fuel cell stacks, RESS, and other components used with battery electric vehicles and fuel cell electric vehicles before model year 2027.
§ 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 § 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 § 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 § 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 F alt-aero under § 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 § 1037.103, except that § 1037.243 describes how to demonstrate compliance with evaporative and refueling 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 § 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 § 1037.205 so we can issue a single certificate of conformity for all the requirements that apply for your vehicle and the installed engine.
§ 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 § 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 § 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 vehicles are designed to operate (for example, ultra-low-sulfur diesel fuel).
(b) Explain how the emission control system operates. As applicable, describe in detail all system components for controlling greenhouse gas emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production vehicle. For any vehicle using RESS (such as hybrid vehicles, fuel cell electric vehicles, and battery electric vehicles), describe in detail all components needed to charge the system, store energy, and transmit power to move the 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 § 1037.520, with the following additional information if it applies for your vehicles:
(1) Describe your design for vehicle speed limiters, consistent with § 1037.640.
(2) Describe your design for predictive cruise control.
(3) Describe your design for automatic engine shutdown systems, consistent with § 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 § 1037.660.
(6) If you perform powertrain testing under 40 CFR 1036.545, report both CO 2 and NO X 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 § 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 § 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 § 1037.501). Include information describing the procedures you used to determine C d A values as specified in §§ 1037.525 and 1037.527. Describe which type of data you are using for engine fuel maps (see 40 CFR 1036.505).
(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, and any practices or specifications that should apply for our testing.
(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 give to the ultimate purchaser of each new vehicle (see §§ 1037.120 and 1037.125).
(j) Describe your emission control information label (see § 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 § 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 for ten configurations. Include modeling inputs and detailed descriptions of how they were derived. Unless we specify otherwise, include the configuration with the highest modeling result, the lowest modeling result, and the configurations with the highest projected sales.
(p) Where applicable, describe all adjustable operating parameters (see § 1037.115), including production tolerances. For any operating parameters that do not qualify as adjustable parameters, include a description supporting your conclusion (see 40 CFR 1068.50(c)). Include the following in your description of each adjustable parameter:
(1) The nominal or recommended setting.
(2) The intended practically adjustable range.
(3) The limits or stops used to establish adjustable ranges.
(4) Information showing why the limits, stops, or other means of inhibiting adjustment are effective in preventing adjustment of parameters on in-use engines to settings outside your intended practically adjustable ranges.
(q) For battery electric vehicles and plug-in hybrid electric vehicles, describe the recharging procedures and methods for determining battery performance, such as state of charge and charging capacity. Also include the certified usable battery energy for each battery durability subfamily.
(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 § 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.
§ 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.
§ 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 § 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).
§ 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 any time before the end of the model year 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 § 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 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 § 1037.820).
(e) The amended application applies starting with the date you submit the amended application, as follows:
(1) For vehicle families already covered by a certificate of conformity, you may start producing a 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 in this part, 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 in this part 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.
(2) [Reserved]
(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 or modify in-use vehicles as described in your amended application for certification and consider those vehicles to be in a certified configuration. 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 § 1037.621(g) for special provisions that apply for changing to a different certified configuration in certain circumstances.
§ 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 § 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 and later vehicles to account for engine characteristics, GVWR, and the selection of duty cycle for vocational vehicles as specified in § 1037.510; vehicles may additionally fall into one of the subcategories defined by the custom-chassis standards in § 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 § 1037.230—Vocational Vehicle Subcategories
(2) Apply subcategories for tractors (other than vocational tractors) as shown in Table 2 of this section.
(i) For vehicles certified to the optional tractor standards in § 1037.670, assign the subcategories as described in § 1037.670.
(ii) For vehicles intended for export to Canada, you may assign the subcategories as specified in the Canadian regulations.
(iii) Table 2 follows:
Table 2 of § 1037.230—Tractor Subcategories
(b) If the vehicles in your family are being certified to more than one FEL, subdivide your greenhouse gas vehicle families into subfamilies that include vehicles with identical FELs. Note that you may add subfamilies at any time during the model year.
(c) Group vehicles into configurations consistent with the definition of “vehicle configuration” in § 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 final ABT 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 or later 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 CO 2 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 CO 2 emission standard. For a Phase 2 or later 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 C d A 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 C d A 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 .
(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.
§ 1037.231   Powertrain families.
(a) If you choose to perform powertrain testing as specified in 40 CFR 1036.545, use good engineering judgment to divide your product line into powertrain families that are expected to have similar fuel consumptions and CO 2 emission characteristics throughout the useful life. Your powertrain 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 as specified in 40 CFR 1036.230.
(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. Count forward gears as being available only if the vehicle has the hardware and software to allow operation in those gears.
(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·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.
§ 1037.232   Axle and transmission families.
(a) If you choose to perform axle testing as specified in § 1037.560 or transmission testing as specified in § 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).
(d) You may subdivide a group of axles or powertrains with shared attributes under paragraph (b) or (c) of this section into different families.
§ 1037.235   Testing requirements for certification.
This section describes the emission testing you must perform to show compliance with respect to the greenhouse gas standards in subpart B of this part, and to determine any input values from § 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 §§ 1037.205(o) 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 40 CFR 1036.545, select a test engine, test hybrid components, test axle and test transmission as applicable, by considering the whole range of vehicle models covered by the powertrain family and the mix of duty cycles specified in § 1037.510. If the powertrain has more than one transmission calibration, for example economy vs. performance, you may weight the results from the powertrain testing in 40 CFR 1036.545 by the percentage of vehicles in the family by prior model year for each configuration. This can be done, for example, through the use of survey data or based on the previous model year's sales volume. Weight the results of M fuel[cycle] , f npowertrain / v powertrain , and W [cycle] from table 5 to paragraph (o)(8)(i) of 40 CFR 1036.545 according to the percentage of vehicles in the family that use each transmission calibration.
(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. These results will only affect your vehicle FEL if the results of our confirmatory testing result in a GEM vehicle emission value that is higher than the vehicle FEL declared by the manufacturer. Unless we later invalidate these data, we may decide not to consider your data in determining if your vehicle family meets applicable requirements in this part.
(3) Before we test one of your vehicles or components, we may set its adjustable parameters to any point within the practically 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 § 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 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 F alt-aero as specified in subpart F of this part.
(h) You may ask us to use analytically derived GEM inputs for untested configurations (such as untested axle ratios within an axle family) 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 based on prevailing industry practice. If we allow this, we may test any configuration. We may also require you to test any configuration as part of a selective enforcement audit.
§ 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 CO 2 emission standards in §§ 1037.105 and 1037.106 if all vehicle configurations in the family have modeled CO 2 emission rates from § 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 modeled CO 2 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 CO 2 emission standards in §§ 1037.105 and 1037.106 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 by § 1037.745. Note that the FEL is considered to be the applicable emission standard for an individual configuration.
(b) 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 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.
§ 1037.243   Demonstrating compliance with evaporative and refueling emission standards.
(a) For purposes of certification, your vehicle family is considered in compliance with the evaporative and refueling 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 refueling 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) Apply deterioration factors to measured emission levels for comparing to the emission standard in subpart B of this part. 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.
§ 1037.250   Reporting and recordkeeping.
(a) By September 30 following 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 § 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 of the certified configuration for each vehicle before you produce it.
§ 1037.255   What decisions may EPA make regarding my certificate of conformity?
(a) If we determine an 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 the vehicle family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that a 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 an application, we will explain why in writing.
(c) In addition, we may deny an application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become 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 an application to include all vehicles being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity 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 a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1037.820).
§ 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 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 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 § 1037.315 for selective enforcement audit provisions applicable to powertrain fuel maps.
(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.
§ 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 § 1037.525; we may instead require you to use the same method you used for certification. The following provisions apply instead of 40 CFR 1068.415 through 1068.425 for a selective enforcement audit with respect to drag area:
(a) Determine whether a tractor meets standards as follows:
(1) We will select a vehicle configuration for testing. Perform a coastdown measurement according to § 1037.528 with the vehicle in its production configuration. If the production configuration cannot be connected to a standard trailer, you may ask us to approve trailer specifications different than § 1037.501(g)(1) based on good engineering judgment. Instead of the process described in § 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 § 1037.525(b)(3). You do not need to test at the coastdown effective yaw angle. You may use a previously established yaw curve from your certification testing if it is available.
(3) Using the yaw curve, perform a regression using values of drag area, C d A alt , and yaw angle, ψ alt , to determine the air-direction correction coefficients, a 0 , a 1 , a 2 , a 3 , and a 4 , for the following equation:
(4) Adjust the drag area value from each coastdown run, C d A run , from the yaw angle of each run, ψ run , to ±4.5° to represent a wind-averaged drag area value, C d A wa by applying Eq. 1037.305-1 as follows:
(5) Perform additional coastdown measurements until you reach a pass or fail decision under this paragraph (a). The minimum number of runs to pass is 24. The minimum number of runs to fail is 100.
(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 C d A wa by averaging all C d A wa-run values for all days of testing. Determine the upper and lower bounds of the drag area value, C d A wa-bounded , expressed to two decimal places, using a confidence interval as follows:
(7) Determine compliance based on the values of C d A wa-upper and C d A wa-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 m 2 . The vehicle passes or fails relative to the adjusted bin boundary based on one of the following criteria:
(i) The vehicle passes if C d A wa-upper is less than or equal to the upper limit of the bin to which you certified the vehicle.
(ii) The vehicle fails if C d A wa-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 C d A wa-upper is greater than and C d A wa-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).
(v) You may continue testing beyond the stopping point specified in this paragraph (a)(7). We may consider the additional data in making pass/fail determinations.
(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 F alt-aero or make other changes to your testing methodology to properly correlate your testing to the reference method specified in § 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 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 C d A bin for your compliance demonstration at the end of the model year for every configuration you tested that failed under this section.
§ 1037.315   Audit procedures related to powertrain testing.
(a) For vehicles certified based on powertrain testing as specified in 40 CFR 1036.545, 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 § 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.
§ 1037.320   Audit procedures for axles and transmissions.
Selective enforcement audit provisions apply for axles and transmissions relative to the efficiency demonstrations of §§ 1037.560 and 1037.565 as specified in this section. The following provisions apply instead of 40 CFR 1068.415 through 1068.445 for the selective enforcement audit.
(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 axle or transmission 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 with the define vehicles to determine whether the transmission or axle family passes the audit.
(1) For transmission audits, run GEM for each applicable vehicle configuration and GEM regulatory subcategory identified in 40 CFR 1036.540 and for each vehicle class as defined in § 1037.140(g) using the applicable default engine map in appendix C of 40 CFR part 1036, the cycle-average fuel map in Table 1 of this section, the torque curve in Table 2 of this section for both the engine full-load torque curve and parent engine full-load torque curve, the motoring torque curve in Table 3 of this section, the idle fuel map in Table 4 of this section. For transmission testing, use the test transmission's gear ratios in place of the gear ratios defined in 40 CFR 1036.540. Table 1 through Table 4 follow:
Table 1 to Paragraph ( b )(1) of § 1037.320—Transient Cycle-Average Fuel Map by Vehicle Class
Table 2 to Paragraph ( b )(1) of § 1037.320—Full-Load Torque Curves by Vehicle Class
Table 3 to Paragraph ( b )(1) of § 1037.320—Motoring Torque Curves by Vehicle Class
Table 4 to Paragraph ( b )(1) of § 1037.320—Engine Idle Fuel Maps by Vehicle Class
(2) Follow the procedure in paragraph (b)(1) of this section for axle audits, but cover the range of tire sizes by using good engineering judgment to select three representative tire sizes for each axle ratio for each vehicle configuration instead of using the tire size determined in 40 CFR 1036.540.
(3) The GEM “Default FEL CO 2 Emissions” result for each vehicle configuration counts as a separate test for determining whether the family passes the audit. For vocational vehicles, use the GEM “Default FEL CO 2 Emissions” result for the Regional subcategory.
(c) If the initial axle or transmission passes, the family passes and no further testing is required. If the initial axle or transmission does not pass, select two additional production axles or transmissions, as applicable, to perform additional tests. Note that these could be different axle and transmission configurations within the family. These become official test results for the family. Use good engineering judgment to use the results of these tests to update the declared maps for the axle or transmission family. For example, if you fail the audit test for any of the axles or transmissions tested, the audit result becomes the declared map. This may also require revising any analytically derived maps.
§ 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 §§ 1037.525 and 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.
§ 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 § 1037.520. This modeling depends on several measured values as described in this subpart. 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 40 CFR 1036.545.
(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 § 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 or later 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 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) Note that declared GEM inputs for fuel maps and aerodynamic drag area typically includes compliance margins to account for testing variability; for other measured GEM inputs, the declared values are typically the measured values without adjustment.
§ 1037.510   Duty-cycle exhaust testing.
This section applies for powertrain testing, cycle-average engine fuel mapping, certain off-cycle testing under § 1037.610, and the advanced-technology provisions of § 1037.615.
(a) Measure emissions by testing 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 A to 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) Perform cycle-average engine fuel mapping for Phase 2 and later vehicles as described in 40 CFR 1036.540. For powertrain testing under 40 CFR 1036.545 or § 1037.555, perform testing as described in this paragraph (a)(2) to generate GEM inputs for each simulated vehicle configuration, and test runs representing different idle conditions. Perform testing as follows:
(i) Transient cycle. The transient cycle is specified in appendix A to this part.
(ii) Highway cruise cycles. The grade portion of the route corresponding to the 55 mi/hr and 65 mi/hr highway cruise cycles is specified in appendix D to this part. Maintain 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. For engines with an adjustable warm idle speed setpoint, test at the minimum warm idle speed and the maximum warm idle speed; otherwise simply test at the engine's warm idle speed. Warm up the powertrain as described in 40 CFR 1036.520(d). Within 60 seconds after concluding the warm-up, linearly ramp the powertrain down to zero vehicle speed over 20 seconds. Apply the brake and keep the transmission in drive (or clutch depressed for manual transmission). Stabilize the powertrain for (60±1) seconds and then sample emissions for (30±1) seconds.
(iv) Parked idle. Perform testing at a no-load idle condition for Phase 2 vocational vehicles. For engines with an adjustable warm idle speed setpoint, test at the minimum warm idle speed and the maximum warm idle speed; otherwise simply test at the engine's warm idle speed. Warm up the powertrain as described in 40 CFR 1036.520(d). Within 60 seconds after concluding the warm-up, linearly ramp the powertrain down to zero vehicle speed in 20 seconds. Put the transmission in park (or neutral for manual transmissions and apply the parking brake if applicable). Stabilize the powertrain for (180±1) seconds and then sample emissions for (600±1) seconds.
(3) Where applicable, perform testing on a chassis dynamometer as follows:
(i) Transient cycle. The transient cycle is specified in appendix A to 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 D to 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:
Example: Class 7 vocational vehicle meeting the Phase 2 standards based on the Regional duty cycle.
(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 to paragraph (c)(3) of this section.
(2) GEM applies weighting factors for vocational vehicles as shown in table 1 to paragraph (c)(3) 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 §§ 1037.140 and 1037.150.
(3) Table 1 to this paragraph (c)(3) follows:
Table 1 to Paragraph ( c )(3) of § 1037.510—Weighting Factors for Duty Cycles
a 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.
b These values apply even for vehicles not following the specified speed traces.
(d) For highway cruise and 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 1036.545(g)(1). If the speeds are not consistent with the criteria as specified in 40 CFR 1036.545(g)(1), the test is not valid and must be repeated.
(e) Run test cycles as specified in 40 CFR part 1066. For testing vehicles equipped with cruise control over the highway cruise cycles, you may 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(a)(3).
§ 1037.520   Modeling CO2emissions to show that vehicles comply with standards.
This section describes how to use the Greenhouse gas Emissions Model (GEM) to show compliance with the CO 2 standards of §§ 1037.105 and 1037.106. Use GEM version 2.0.1 to demonstrate compliance with Phase 1 standards; use GEM Phase 2, Version 4.0 to demonstrate compliance with Phase 2 and Phase 3 standards (both incorporated by reference, see § 1037.810). Use good engineering judgment when demonstrating compliance using GEM.
(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 § 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 § 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 § 1037.660.
(2) For Phase 2 and later vehicles, the GEM inputs described in paragraphs (a)(1)(i) through (v) of this section continue to apply. Note that the provisions in this part related to vehicle speed limiters and automatic engine shutdown systems are available for Phase 2 and later vocational vehicles. The rest of this section describes additional GEM inputs for demonstrating compliance with Phase 2 and later 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 § 1037.635.
(ii) If you certify vehicles to the custom-chassis standards specified in § 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) and (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, C d A , for tractors as described in this paragraph (b). Use the recommended method or an alternate method to establish a value for C d A , expressed in m 2 to one decimal place, as specified in § 1037.525. Where we allow you to group multiple configurations together, measure C d A of the worst-case configuration.
(1) Except as specified in paragraph (b)(2) of this section, determine the Phase 1 bin level for your vehicle based on measured C d A values as shown in the following tables:
Table 1 to § 1037.520— C d Inputs for Phase 1 High-Roof Tractors
Table 2 to § 1037.520— C d Inputs for Phase 1 Low-Roof and Mid-Roof Tractors
(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 and later tractors other than heavy-haul tractors, determine bin levels and C d A inputs as follows:
(i) Determine bin levels for high-roof tractors based on aerodynamic test results as specified in § 1037.525 and summarized in the following table:
Table 3 to Paragraph ( b )(3)( i ) of § 1037.520—Bin Determinations for Phase 2 and Later High-Roof Tractors Based on Aerodynamic Test Results
[ C d A in m 2 ]
(ii) For low- and mid-roof tractors, you may either use the same bin level that applies for an equivalent high-roof tractor as shown in table 3 to paragraph (b)(3)(i) of this section, or you may determine your bin level based on aerodynamic test results as described in table 4 to this paragraph (b)(3)(ii).
Table 4 to Paragraph ( b )(3)( ii ) of § 1037.520—Bin Determinations for Phase 2 and Later Low-Roof and Mid-Roof Tractors Based on Aerodynamic Test Results
[ C d A in m 2 ]
(iii) Determine the C d A input according to the tractor's bin level as described in the following table:
Table 5 to Paragraph ( b )(3)( iii ) of § 1037.520—Phase 2 and Later C d A Tractor Inputs Based on Bin Level
(4) Note that, starting in model year 2027, GEM internally reduces C d A for high-roof tractors by 0.3 m2 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, see § 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 newton per kilonewton as specified in ISO 28580 (incorporated by reference, see § 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 N/kN 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.
(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. For liftable axles, calculate load- and time-weighted values to represent the load and the amount of time these tires are in contact with the ground during typical in-use operation.
(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 § 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 to this paragraph (e)(1). For example, a tractor or vocational vehicle with aluminum steer wheels and eight (4×2) dual-wide aluminum drive wheels would have an input of 210 pounds (2×21 + 8×21).
Table 6 to Paragraph ( e )(1) of § 1037.520—Wheel-Related Weight Reductions
a 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 to § 1037.520—Nonwheel-Related Weight Reductions From Alternative Materials for Tractors
[Pounds]
(3) Weight-reduction inputs for vocational-vehicle components other than wheels are specified in the following table:
Table 8 to Paragraph ( e )(3) of § 1037.520—Nonwheel-Related Weight Reductions From Alternative Materials for Phase 2 and Later Vocational Vehicles
[Pounds] a
a Weight-reduction values apply per vehicle unless otherwise noted.
b For Medium HDV with 6×4 or 6×2 axle configurations, use the values for Heavy HDV.
(4) GEM inputs associated with powertrain testing include powertrain family, transmission calibration identifier, test data from 40 CFR 1036.545, 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.
(5) You may ask to apply the off-cycle technology provisions of § 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 1036.505. Note that you do not need fuel consumption at idle for tractors.
(g) Vehicle characteristics. Enter the following information to describe 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, the input torque limit for each of the forward gears, and, if applicable, the lowest gear involving a locked torque converter. Count forward gears as being available only if the vehicle has the hardware and software to allow operation in those gears. 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 make, model, and configuration. Select a drive axle configuration to represent your vehicle for modeling.
(i) 4x2: One drive axle and one non-drive axle. This includes vehicles with two drive axles where one of the drive axles is disconnectable and that disconnectable drive axle is designed to be connected only when the vehicle is driven off-road or in slippery conditions if at least one of the following is true:
(A) The input and output of the disconnectable axle is mechanically disconnected from the drive shaft and the wheels when the axle is in 4x2 configuration.
(B) You provide power loss data generated according to § 1037.560 for the combination of both drive axles, where the disconnectable drive axle is in the disconnected configuration.
(ii) 6x2: One drive axle and two non-drive axles.
(iii) 6x4: 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) 6x4D: One non-drive axle and two drive axles where one of the two drive axles is automatically disconnectable such that the axle can switch between 6x2 and 6x4 configurations. You may select this configuration only if at least one of the following is true:
(A) The input and output of the disconnectable axle is mechanically disconnected from the drive shaft and the wheels when the axle is in the 6x2 configuration.
(B) You provide power loss data generated according to § 1037.560 for the combination of both drive axles, where the disconnectable drive axle is in the disconnected configuration.
(3) Drive axle ratio, k a . 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 k a = 1.
(4) GEM inputs associated with powertrain testing include powertrain family, transmission calibration identifier, test data from 40 CFR 1036.545, 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 speed and idle-reduction technologies. The following provisions apply for engine idling:
(1) For engines with no adjustable warm idle speed, input vehicle idle speed as the manufacturer's declared warm idle speed. For engines with adjustable warm idle speed, input your vehicle idle speed as follows:
a If the default idle speed is above or below the engine manufacturer's whole range of declared warm idle speeds, use the manufacturer's maximum or minimum declared warm idle speed, respectively, instead of the default value.
(2) Identify whether your vehicle has qualifying idle-reduction technologies, subject to the qualifying criteria in § 1037.660, as follows:
(i) 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.
(ii) Neutral idle applies for tractors and vocational vehicles.
(i) Axle, transmission, and torque converter characterization. You may characterize the axle, transmission, and torque converter using axle efficiency maps as described in § 1037.560, transmission efficiency maps as described in § 1037.565, and torque converter capacity factors and torque ratios as described in § 1037.570 to replace the default values in GEM. If you obtain your test results from the axle manufacturer, transmission manufacturer, torque converter 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.
(j) Additional reduction technologies. Enter input values in GEM as follows to characterize the percentage CO 2 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 tractors without predictive cruise control and for all vocational vehicles, enter 1.5 if they have neutral coasting or the installed engine deactivates all cylinders closing all intake and exhaust valves when operator demand is zero while the vehicle is in motion, 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 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, 0.5 for vocational Heavy HDV, and 1 for other vocational vehicles. This includes all electrically powered compressors. It also include mechanically powered compressors if the coefficient of performance improves by 10 percent or greater over the baseline design, consistent with the provisions for improved evaporators and condensers in 40 CFR 86.1868-12(h)(5).
(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 § 1037.660 that are designed to automatically shut off the main engine after 300 seconds or less:
Table 9 to § 1037.520—GEM Input Values for AES Systems
(5) Other. Additional GEM inputs may apply as follows:
(i) Enter 0.9 and 1.7, respectively, for school buses and coach buses that have at least seven available forward gears.
(ii) If we approve off-cycle technology under § 1037.610 in the form of an improvement factor, enter the improvement factor expressed as a percentage reduction in CO 2 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 § 1037.540.
(l) [Reserved]
(m) Aerodynamic improvements for vocational vehicles. For vocational vehicles certified using the Regional duty cycle, enter Δ C d A 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 § 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 net energy content as described in 40 CFR 1036.535(b).
§ 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 § 1037.520. This coastdown testing is the reference method for aerodynamic measurements.
(a) General provisions. The GEM input for a tractor's aerodynamic performance is a C d value for Phase 1 and a C d A value for Phase 2 and later. 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 § 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 § 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. Specify this functional relationship as F alt-aero for a given alternate drag measurement method. The effective yaw angle, C eff , is assumed to be zero degrees for Phase 1. For Phase 2 and later, determine C eff from coastdown test results using the following equation:
(2) Unless good engineering judgment dictates otherwise, assume that coastdown drag is proportional to drag measured using alternate methods and apply a constant adjustment factor, F alt-aero , for a given alternate drag measurement method of similar vehicles.
(3) Determine F alt-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. 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 based on results from more than the specified minimum number of vehicles.
(4) Measure the drag area using your alternate method for a Phase 2 and later tractor used to determine F alt-aero with testing at yaw angles of 0°, ±1°, ±3°, ±4.5°, ±6°, and ±9° (you may include additional angles), using direction conventions described in Figure 2 of SAE J1252 (incorporated by reference, see § 1037.810). Also, determine the drag area at the coastdown effective yaw angle, C d A alt ( C eff ), by taking the average drag area at C eff and− C eff for your vehicle using the same alternate method.
(5) For Phase 2 and later testing, determine separate values of F alt-aero for at least one high-roof day cab and one high-roof sleeper cab for model year 2021, at least two high-roof day cabs and two high-roof sleeper cabs for model year 2024, and at least three high-roof day cabs and three high-roof sleeper cabs for model year 2027. These test requirements are cumulative; for example, you may meet these requirements by testing two vehicles to support model year 2021 certification and four additional vehicles to support model year 2023 certification. For any untested tractor models, apply the value of F alt-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)(5) 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 F alt-aero for low-roof and mid-roof tractors if you determine C d A values based on low or mid-roof tractor testing as shown in § 1037.520(b)(3)(ii). For Phase 1 testing, if good engineering judgment allows it, you may calculate a single, constant value of F alt-aero for your whole product line by dividing the coastdown drag area, C d A coastdown , by drag area from your alternate method, C d A alt.
(6) Determine F alt-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, F alt-aero would be 1.037 (or a higher value you declare).
(7) If a tractor and trailer cannot be configured to meet the gap requirements specified in § 1037.501(g)(1)(ii), 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. For example, we may allow you to correct your test output using an approved alternate method or substitute a test vehicle that is capable of meeting the required specifications and is otherwise aerodynamically equivalent. The allowance in this paragraph (b)(7) applies for certification, confirmatory testing, SEA, and all other testing to demonstrate compliance with standards.
(8) You may ask us for preliminary approval of your coastdown testing under § 1037.210. We may witness the testing.
(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 C d A values to account for wind-averaged drag as specified in § 1037.520:
(1) Apply the following method for all Phase 2 and later testing with an alternate method:
(i) Calculate the wind-averaged drag area from the alternate method, C d A wa-alt , using an average of measurements at −4.5 and +4.5 degrees.
(ii) Determine your wind-averaged drag area, C d A wa , rounded to one decimal place, using the following equation:
(2) Apply the following method for Phase 2 and later coastdown testing other than coastdown testing used to establish F alt-aero :
(i) Determine your drag area at the effective yaw angle from coastdown, C d A coastdown (ψ eff ).
(ii) Use an alternate method to calculate the ratio of the wind-averaged drag area, C d A wa-alt (using an average of measurements at −4.5 and +4.5 degrees) to the drag area at the effective yaw angle, C d A alt (ψ eff ).
(iii) Determine your wind-averaged drag area, C d A wa , rounded to one decimal place, using the following equation:
(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, C d A zero-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°, −6°, and +6°. Use the arithmetic mean of the −6° and +6° drag areas as the ±6° drag area, C d A ±6 .
(ii) Calculate your yaw-sweep correction factor, CF ys , using the following equation:
(iii) Calculate your corrected drag area for determining the aerodynamic bin by multiplying the measured zero-yaw drag area by CF ys , 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 CF ys to drag areas measured using the coastdown method. If you use an alternate method, apply an alternate correction, F alt-aero , and calculate the final drag area using the following equation:
(iv) You may ask us to apply CF ys 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, see § 1037.810) and substitute this value into Eq. 1037.525-4 for the ±6° 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 F alt-aero . Send your request for approval 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 §§ 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 §§ 1037.530 through 1037.534 as applicable to this method ( e.g., source location/address, background/history).
§ 1037.527   Aerodynamic measurements for vocational vehicles.
This section describes an optional methodology for determining improved aerodynamic drag area, C d A , for vocational vehicles, as described in § 1037.520(m), rather than using the assigned values. A vocational vehicle's aerodynamic performance is based on a D C d A value relative to a baseline vehicle. Determine a D d A value by performing A to B testing as follows:
(a) Use any of the procedures described in this subpart, with appropriate adjustments, for calculating drag area.
(b) Determine a baseline C d A value for a vehicle representing a production configuration without the aerodynamic improvement. Repeat this testing and measure C d A for a vehicle with the improved aerodynamic design.
(c) Use good engineering judgment to perform paired tests that accurately demonstrate the reduction in aerodynamic drag associated with the improved design.
(d) Measure C d A in m 2 to two decimal places. Calculate D d A by subtracting the drag area for the test vehicle from the drag area for the baseline vehicle.
§ 1037.528   Coastdown procedures for calculating drag area (CdA).
This section describes the reference method for calculating drag area, C d A , for tractors using coastdown testing. Follow the provisions of Sections 1 through 9 of SAE J2263 (incorporated by reference, see § 1037.810), with the clarifications and exceptions described in this section. Several of the exceptions in this section are from SAE J1263 (incorporated by reference, see § 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 and SAE J2263 unless specified otherwise.
(b) To determine C d A values for a, perform coastdown testing with a tractor-trailer combination using the manufacturer's tractor and a standard trailer. Prepare the tractor-trailer combination 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.
(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 certain exceptions and additional provisions as described in this paragraph (c). These conditions apply to each run separately.
(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 °C. Use good engineering judgment to measure road surface temperature.
(d) C d A 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 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 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°. 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, v air,th, for each 10-Hz set of measurements using the following equation:
(ii) Perform a linear regression using paired values of v air,th and measured air speed, v air,meas , to determine the air-speed correction coefficients, a 0 and a 1, based on the following equation:
(iii) Correct each measured value of air speed using the following equation:
(3) Correct measured air direction from all the high-speed segments 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:
(ii) Perform a linear regression using paired values of c air,th and measured air direction, c air,meas , to determine the air-direction correction coefficients, b 0 and b 1, based on the following equation:
(iii) Correct each measured value of air direction using the following equation:
(h) Determine drag area, C d A , using the following procedure instead of the procedure specified in Section 10 of SAE J1263:
(1) Calculate the vehicle's effective mass, M e , 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 continuous time interval that begins when measured vehicle speed is less than 2.00 mi/hr above the nominal starting speed point and ends when measured vehicle speed reaches 2.00 mi/hr below the nominal starting speed point, expressed to at least two decimal places. Calculate the timestamp corresponding to the starting point of each speed range as the average timestamp of the 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:
(5) Calculate the drive-axle spin loss force at high and low speeds, F spin[speed] , and determine D F spin as follows:
(i) Use the results from the axle efficiency test described in § 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, f nwheel , in r/s from the axle efficiency test to determine coefficients c 0 , c 1 , and c 2 .
(iii) Calculate F spin[speed] using the following equation:
(iv) Calculate D F spin using the following equation:
Example:
(6) Calculate the tire rolling resistance force at high and low speeds for steer, drive, and trailer axle positions, F TRR[speed,axle] , and determine D F TRR , the rolling resistance difference between 65 mi/hr and 15 mi/hr, for each tire 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 § 1037.810) for the following test points (which replace the test points in Table 3 of SAE J2452):
Table 1 of § 1037.528—Stepwise Coastdown Test Points for Determining Tire Rolling Resistance as a Function of Speed
(ii) Calculate FTRR[speed,axle] using the following equation:
(iii) Calculate F TRR[speed] by summing the tire rolling resistance calculations at a given speed for each axle position:
(iv) Adjust F TRR[speed] to the ambient temperature during the coastdown segment as follows:
(v) Determine the difference in rolling resistance between 65 mph and 15 mph, Δ F TRR , for each tire. Use good engineering judgment to consider the multiple results. For example, you may ignore the test results for the tires with the highest and lowest differences and use the result from the remaining tire. Determine Δ F TRR as follows:
(7) 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 .
(8) Average the F lo 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 F lo and v 2 air,lo values. If running two high-speed segments per direction as described in paragraph (d)(2), average every four F lo and v 2 air,lo values. Use these values as F lo,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 F lo,pair and v 2 air,lo,pair .
(9) Calculate average air temperature T and air pressure P act during each high-speed run.
(10) Calculate drag area, C d A, in m 2 for each high-speed segment using the following equation, expressed to at least three decimal places:
Example:
(11) Calculate your final C d A 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, c med , and eliminate all C d A values that differ by more than 1.0° from c med .
(iii) Of the remaining points, calculate the mean and standard deviation of C d A 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°. This final result is the effective yaw angle, c eff , for coastdown testing.
(v) For the same set of points, recalculate the mean C d A . This is the final result of the coastdown test, C d A coastdown (ψ eff ).
(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 C d A and yaw angle results and all the individual run results (including voided or invalid runs).