Title 40—Protection of Environment--Volume 1
PART 1036—CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY ENGINES
§ 1036.512   Federal Test Procedure.
(a) Measure emissions using the transient Federal Test Procedure (FTP) as described in this section to determine whether engines meet the emission standards in subpart B of this part. Operate the engine or hybrid powertrain over one of the following transient duty cycles:
(1) For engines subject to spark-ignition standards, use the transient test interval described in paragraph (b) of appendix B to this part.
(2) For engines subject to compression-ignition standards, use the transient test interval described in paragraph (c) of appendix B to this part.
(b) Procedures apply differently for testing certain kinds of engines and powertrains as follows:
(1) The transient test intervals for nonhybrid engine testing are based on normalized speed and torque values. Denormalize speed as described in 40 CFR 1065.512. Denormalize torque as described in 40 CFR 1065.610(d).
(2) Test hybrid powertrains as described in § 1036.510(b)(2), with the following exceptions:
(i) Replace P contrated with P rated, which is the peak rated power determined in § 1036.520.
(ii) Keep the transmission in drive for all idle segments after the initial idle segment.
(iii) For hybrid engines, you may request to change the engine-commanded torque at idle to better represent curb idle transmission torque (CITT).
(iv) For plug-in hybrid powertrains, test over the FTP in both charge-sustaining and charge-depleting operation for both criteria and greenhouse gas pollutant determination.
(c) Except as specified in paragraph (d) of this section for plug-in hybrid powertrains, the FTP duty cycle consists of an initial run through the test interval from a cold start as described in 40 CFR part 1065, subpart F, followed by a (20 ±1) minute hot soak with no engine operation, and then a final hot start run through the same transient test interval. Engine starting is part of both the cold-start and hot-start test intervals. Calculate the total emission mass of each constituent, m, over each test interval as described in 40 CFR 1065.650. Calculate the total work, W, over the test interval as described in 40 CFR 1065.650(d). For hybrid powertrains, calculate W using system power, P sys as described in § 1036.520(f). Determine P sys using § 1036.520(f). For powertrains with automatic transmissions, account for and include the work produced by the engine from the CITT load. Calculate the official transient emission result from the cold-start and hot-start test intervals using the following equation:
(d) Determine criteria pollutant emissions for plug-in hybrid powertrains as follows:
(1) Carry out a charge-sustaining test as described in paragraph (b)(2) of this section.
(2) Carry out a charge-depleting test as described in paragraph (b)(2) of this section, except as follows:
(i) Fully charge the battery after preconditioning.
(ii) Operate the engine or powertrain over one FTP duty cycle followed by alternating repeats of a 20-minute soak and a hot start test interval until you reach the end-of-test criteria defined in 40 CFR 1066.501(a)(3).
(iii) Calculate emission results for each successive pair of test intervals. Calculate the emission result by treating the first of the two test intervals as a cold-start test. Figure 1 to paragraph (d)(4) of this section provides an example of a charge-depleting test sequence where there are three test intervals with engine operation for two overlapping FTP duty cycles.
(3) Report the highest emission result for each criteria pollutant from all tests in paragraphs (d)(1) and (2) of this section, even if those individual results come from different test intervals.
(4) The following figure illustrates an example of an FTP charge-depleting test sequence:
(e) Determine greenhouse gas pollutant emissions for plug-in hybrid engines and powertrains using the emissions results for all the transient duty cycle test intervals described in either paragraph (b) or (c) of appendix B to this part for both charge-depleting and charge-sustaining operation from paragraph (d)(2) of this section. Calculate the utility factor weighted composite mass of emissions from the charge-depleting and charge-sustaining test results, e UF[emission]comp, as described in § 1036.510(e), replacing occurances of “SET” with “transient test interval”. Note this results in composite FTP GHG emission results for plug-in hybrid engines and powertrains without the use of the cold-start and hot-start test interval weighting factors in Eq. 1036.512-1.
(f) Calculate and evaluate cycle-validation criteria as specified in 40 CFR 1065.514 for nonhybrid engines and § 1036.545 for hybrid powertrains.
§ 1036.514   Low Load Cycle.
Measure emissions using the transient Low Load Cycle (LLC) as described in this section to determine whether engines meet the LLC emission standards in § 1036.104. The LLC duty cycle is described in paragraph (d) of appendix B to this part. Procedures apply differently for testing certain kinds of engines and powertrains as follows:
(a) Test nonhybrid engines using the following procedures:
(1) Use the normalized speed and torque values for engine testing in the LLC duty cycle. Denormalize speed and torque values as described in 40 CFR 1065.512 and 1065.610 with the following additional requirements for testing at idle:
(i) Apply the accessory load at idle in paragraph (c) of this section using declared idle power as described in 40 CFR 1065.510(f)(6). Declared idle torque must be zero.
(ii) Apply CITT in addition to accessory load as described in this paragraph (a)(1)(ii). Set reference speed and torque values as described in 40 CFR 1065.610(d)(3)(vi) for all idle segments that are 200 s or shorter to represent the transmission operating in drive. For longer idle segments, set the reference speed and torque values to the warm-idle-in-drive values for the first three seconds and the last three seconds of the idle segment. For the points in between, set the reference speed and torque values to the warm-idle-in-neutral values to represent the transmission being manually shifted from drive to neutral shortly after the extended idle starts and back to drive shortly before it ends.
(2) Calculate and evaluate cycle-validation criteria as described in 40 CFR 1065.514, except as specified in paragraph (e) of this section.
(b) Test hybrid powertrains as described in § 1036.510(b)(2), with the following exceptions:
(1) Replace P contrated with P rated , which is the peak rated power determined in § 1036.520.
(2) Keep the transmission in drive for all idle segments 200 seconds or less. For idle segments more than 200 seconds, leave the transmission in drive for the first 3 seconds of the idle segment, then immediately place the transmission in park or neutral, and shift the transmission into drive again 3 seconds before the end of the idle segment. The end of the idle segment occurs at the first nonzero vehicle speed setpoint.
(3) For hybrid engines, you may request to change the GEM-generated engine reference torque at idle to better represent curb idle transmission torque (CITT).
(4) Adjust procedures in this section as described in § 1036.510(d) and (e) for plug-in hybrid powertrains to determine criteria pollutant and greenhouse gas emissions, replacing “SET” with “LLC”. Note that the LLC is therefore the preconditioning duty cycle for plug-in hybrid powertrains.
(5) Calculate and evaluate cycle-validation criteria as specified in § 1036.545.
(c) Include vehicle accessory loading as follows:
(1) Apply a vehicle accessory load for each idle point in the cycle using the power values in the following table:
Table 1 to Paragraph ( c )(1) of § 1036.514—Accessory Load at Idle
(2) For nonhybrid engine testing, apply vehicle accessory loads in addition to any applicable CITT.
(3) Additional provisions related to vehicle accessory load apply for engines with stop-start technology and hybrid powertrains where the accessory load is applied to the engine shaft. Account for the loss of mechanical work due to the lack of any idle accessory load during engine-off conditions by determining the total loss of mechanical work from idle accessory load during all engine-off intervals over the entire test interval and distributing that work over the engine-on portion of the entire test interval based on a calculated average power. You may determine the engine-off time by running practice cycles or through engineering analysis.
(d) Except as specified in paragraph (b)(4) of this section for plug-in hybrid powertrains, the test sequence consists of preconditioning the engine by running one or two FTPs with each FTP followed by (20 ± 1) minutes with no engine operation and a hot start run through the LLC. You may start any preconditioning FTP with a hot engine. Perform testing as described in 40 CFR 1065.530 for a test interval that includes engine starting. Calculate the total emission mass of each constituent, m, over the test interval as described in 40 CFR 1065.650. For nonhybrid engines, calculate the total work, W, over the test interval as described in 40 CFR 1065.650(d). For hybrid powertrains, calculate total positive work over the test interval using system power, P sys . Determine P sys using § 1036.520(f). For powertrains with automatic transmissions, account for and include the work produced by the engine from the CITT load.
(e) For testing spark-ignition gaseous-fueled engines with fuel delivery at a single point in the intake manifold, you may apply the alternative cycle-validation criteria for the LLC in the following table:
Table 2 to Paragraph ( e ) of § 1036.514—Alternative LLC Cycle Validation Criteria for Spark-Ignition Gaseous-Fueled Engines a
a Cycle-validation criteria apply as specified in 40 CFR 1065.514 unless otherwise specified.
§ 1036.520   Determining power and vehicle speed values for powertrain testing.
This section describes how to determine the system peak power and continuous rated power of hybrid and nonhybrid powertrain systems and the vehicle speed for carrying out duty-cycle testing under this part and § 1036.545.
(a) You must map or re-map an engine before a test if any of the following apply:
(1) If you have not performed an initial engine map.
(2) If the atmospheric pressure near the engine's air inlet is not within ±5 kPa of the atmospheric pressure recorded at the time of the last engine map.
(3) If the engine or emission-control system has undergone changes that might affect maximum torque performance. This includes changing the configuration of auxiliary work inputs and outputs.
(4) If you capture an incomplete map on your first attempt or you do not complete a map within the specified time tolerance. You may repeat mapping as often as necessary to capture a complete map within the specified time.
(b) Set up the powertrain test according to § 1036.545, with the following exceptions:
(1) Use vehicle parameters, other than power, as specified in § 1036.510(b)(2). Use the applicable automatic transmission as specified in § 1036.540(c)(2).
(2) Select a manufacturer-declared value for P contrated to represent system peak power.
(c) Verify the following before the start of each test interval:
(1) The state-of-charge of the rechargeable energy storage system (RESS) must be at or above 90% of the operating range between the minimum and maximum RESS energy levels specified by the manufacturer.
(2) The conditions of all hybrid system components must be within their normal operating range as declared by the manufacturer, including ensuring that no features are actively limiting power or vehicle speed.
(d) Carry out the test as described in this paragraph (d). Warm up the powertrain by operating it. We recommend operating the powertrain at any vehicle speed and road grade that achieves approximately 75% of its expected maximum power. Continue the warm-up until the engine coolant, block, lubricating oil, or head absolute temperature is within ±2% of its mean value for at least 2 min or until the engine thermostat controls engine temperature. Within 90 seconds after concluding the warm-up, operate the powertrain over a continuous trace meeting the following specifications:
(1) Bring the vehicle speed to 0 mi/hr and let the powertrain idle at 0 mi/hr for 50 seconds.
(2) Set maximum driver demand for a full load acceleration at 6.0% road grade with an initial vehicle speed of 0 mi/hr, continuing for 268 seconds. You may increase initial vehicle speed up to 5 mi/hr to minimize clutch slip.
(3) Linearly ramp the grade from 6.0% down to 0.0% over 300 seconds. Stop the test after the acceleration is less than 0.02 m/s 2 .
(e) Record the powertrain system angular speed and torque values measured at the dynamometer at 100 Hz and use these in conjunction with the vehicle model to calculate vehicle system power, P sys,vehicle. Note that P sys, is the corresponding value for system power at a location that represents the transmission input shaft on a conventional powertrain.
(f) Calculate the system power, P sys, for each data point as follows:
(1) For testing with the speed and torque measurements at the transmission input shaft, P sys is equal to the calculated vehicle system power, P sys,vehicle, determined in paragraphs (d) and (e) of this section.
(2) For testing with the speed and torque measurements at the axle input shaft or the wheel hubs, determine P sys for each data point using the following equation:
(g) For each 200-ms (5-Hz) time step, t, determine the coefficient of variation (COV) of as follows:
(1) Calculate the standard deviation, σ ( t ) of the 20 100-Hz data points in each 5-Hz measurement interval using the following equation:
(2) Calculate the 5-Hz values for COV ( t ) for each time step, t, as follows:
(h) Determine rated power, P rated, as the maximum measured power from the data collected in paragraph (d)(2) of this section where the COV determined in paragraph (g) of this section is less than 2%.
(i) Determine continuous rated power, P contrated , as follows:
(1) For nonhybrid powertrains, P contrated equals P rated .
(2) For hybrid powertrains, P contrated is the maximum measured power from the data collected in paragraph (d)(3) of this section where the COV determined in paragraph (g) of this section is less than 2%.
(j) Determine vehicle C speed, v refC , as follows:
(1) If the maximum P sys ( t ) in the highest gear during the maneuver in paragraph (d)(3) of this section is greater than 0.98· P contrated , v refC is the average of the minimum and maximum vehicle speeds where P sys ( t ) is equal to 0.98· P contrated during the maneuver in paragraph (d)(3) where the transmission is in the highest gear, using linear interpolation, as appropriate. If P sys ( t ) at the lowest vehicle speed where the transmission is in the highest gear is greater than 0.98· P contrated , use the lowest vehicle speed where the transmission is in the highest gear as the minimum vehicle speed input for calculating v refC.
(2) Otherwise, v refC is the maximum vehicle speed during the maneuver in paragraph (d)(3) of this section where the transmission is in the highest gear.
(3) You may use a declared v refC instead of measured v refC if the declared v refC is within (97.5 to 102.5)% of the corresponding measured value.
(4) Manufacturers may request approval to use an alternative vehicle C speed in place of the measured vehicle C speed determined in this paragraph (j) for series hybrid applications. Approval will be contingent upon justification that the measured vehicle C speed is not representative of the expected real-world cruise speed.
(k) If P contrated as determined in paragraph (i) of this section is within ±3% of the manufacturer-declared value for P contrated , use the manufacturer-declared value. Otherwise, repeat the procedure in paragraphs (b) through (j) of this section and use P contrated from paragraph (i) instead of the manufacturer-declared value.
§ 1036.525   Clean Idle test.
Measure emissions using the procedures described in this section to determine whether engines and hybrid powertrains meet the clean idle emission standards in § 1036.104(b). For plug-in hybrid powertrains, perform the test with the hybrid function disabled.
(a) The clean idle test consists of two separate test intervals as follows:
(1) Mode 1 consists of engine operation with a speed setpoint at your recommended warm idle speed. Set the dynamometer torque demand corresponding to vehicle power requirements at your recommended warm idle speed that represent in-use operation.
(2) Mode 2 consists of engine operation with a speed setpoint at 1100 r/min. Set the dynamometer torque demand to account for the sum of the following power loads:
(i) Determine power requirements for idling at 1100 r/min.
(ii) Apply a power demand of 2 kW to account for appliances and accessories the vehicle operator may use during rest periods.
(3) Determine torque demand for testing under this paragraph (a) based on an accessory load that includes the engine cooling fan, alternator, coolant pump, air compressor, engine oil and fuel pumps, and any other engine accessory that operates at the specific test condition. Also include the accessory load from the air conditioning compressor operating at full capacity for Mode 2. Do not include any other load for air conditioning or other cab or vehicle accessories except as specified.
(b) Perform the Clean Idle test as follows:
(1) Warm up the engine by operating it over the FTP or SET duty cycle, or by operating it at any speed above peak-torque speed and at (65 to 85) % of maximum mapped power. The warm-up is complete when the engine thermostat controls engine temperature or when the engine coolant's temperature is within 2% of its mean value for at least 2 minutes.
(2) Start operating the engine in Mode 1 as soon as practical after the engine warm-up is complete.
(3) Start sampling emissions 10 minutes after reaching the speed and torque setpoints and continue emission sampling and engine operation at those setpoints. Stop emission sampling after 1200 seconds to complete the test interval.
(4) Linearly ramp the speed and torque setpoints over 5 seconds to start operating the engine in Mode 2. Sample emissions during Mode 2 as described in paragraph (b)(3) of this section.
(c) Verify that the test speed stays within ±50 r/min of the speed setpoint throughout the test. The torque tolerance is ±2 percent of the maximum mapped torque at the test speed. Verify that measured torque meets the torque tolerance relative to the torque setpoint throughout the test.
(d) Calculate the mean mass emission rate of NO X , m , over each test interval by calculating the total emission mass m NOx and dividing by the total time.
§ 1036.530   Test procedures for off-cycle testing.
(a) General. This section describes the measurement and calculation procedures to perform field testing and determine whether tested engines and engine families meet emission standards under subpart E of this part. Calculate mass emission rates as specified in 40 CFR part 1065, subpart G. Use good engineering judgment to adapt these procedures for simulating vehicle operation in the laboratory.
(b) Vehicle preparation and measurement procedures. (1) Set up the vehicle for testing with a portable emissions measurement system (PEMS) as specified in 40 CFR part 1065, subpart J.
(2) Begin emission sampling and data collection as described in 40 CFR 1065.935(c)(3) before starting the engine at the beginning of the shift-day. Start the engine only after confirming that engine coolant temperature is at or below 40 °C.
(3) Measure emissions over one or more shift-days as specified in subpart E of this part.
(4) For engines subject to compression-ignition standards, record 1 Hz measurements of ambient temperature near the vehicle.
(c) Test Intervals. Determine the test intervals as follows:
(1) Spark-ignition. Create a single test interval that covers the entire shift-day for engines subject to spark-ignition standards. The test interval starts with the first pair of consecutive data points with no exclusions as described in paragraph (c)(3) of this section after the start of the shift-day and ends with the last pair of consecutive data points with no exclusions before the end of the shift day.
(2) Compression-ignition. Create a series of 300 second test intervals for engines subject to compression-ignition standards (moving-average windows) as follows:
(i) Begin and end each test interval with a pair of consecutive data points with no exclusions as described in paragraph (c)(3) of this section. Select the last data point of each test interval such that the test interval includes 300 seconds of data with no exclusions, as described in paragraph (d) of this section. The test interval may be a fraction of a second more or less than 300 seconds to account for the precision of the time stamp in recording 1 Hz data. A test interval may include up to 599 seconds of data with continuous exclusions; invalidate any test interval that includes at least 600 seconds of continuous sampling with excluded data.
(ii) The first 300 second test interval starts with the first pair of consecutive data points with no exclusions. Determine the start of each subsequent 300 second test interval by finding the first pair of consecutive data points with no exclusions after the initial data point of the previous test interval.
(iii) The last 300 second test interval ends with the last pair of consecutive data points with no exclusions before the end of the shift day.
(3) Excluded data. Exclude data from test intervals for any period meeting one or more of the following conditions:
(i) An analyzer or flow meter is performing zero and span drift checks or zero and span calibrations, including any time needed for the analyzer to stabilize afterward, consistent with good engineering judgment.
(ii) The engine is off, except as specified in § 1036.415(g).
(iii) The engine is performing an infrequent regeneration. Do not exclude data related to any other AECDs, except as specified in paragraph (c)(3)(vi) of this section.
(iv) The recorded ambient air temperature is below 5 °C or above the temperature calculated using the following equation.
(v) The vehicle is operating at an elevation more than 5,500 feet above sea level.
(vi) An engine has one or more active AECDs for emergency vehicles under § 1036.115(h)(4).
(vii) A single data point does not meet any of the conditions specified in paragraphs (c)(3)(i) through (vi) of this section, but it is preceded and followed by data points that both meet one or more of the specified exclusion conditions.
(d) Assembling test intervals. A test interval may include multiple subintervals separated by periods with one or more exclusions under paragraph (c)(3) of this section.
(1) Treat these test subintervals as continuous for calculating duration of the test interval for engines subject to compression-ignition standards.
(2) Calculate emission mass during each test subinterval and sum those subinterval emission masses to determine the emission mass over the test interval. Calculate emisson mass as described in 40 CFR 1065.650(c)(2)(i), with the following exceptions and clarifications:
(i) Correct NO X emissions for humidity as specified in 40 CFR 1065.670. Calculate corrections relative to ambient air humidity as measured by PEMS.
(ii) Disregard the provision in 40 CFR 1065.650(g) for setting negative emission mass to zero for test intervals and subintervals.
(iii) Calculation of emission mass in 40 CFR 1065.650 assumes a constant time interval, Δ t. If it is not appropriate to assume Δ t is constant for testing under this section, use good engineering judgment to record time at each data point and adjust the mass calculation from Eq. 1065.650-4 by treating Δ t as a variable.
(e) Normalized CO 2 emission mass over a 300 second test interval. For engines subject to compression-ignition standards, determine the normalized CO 2 emission mass over each 300 second test interval, m CO2,norm,testinterval , to the nearest 0.01% using the following equation:
(f) Binning 300 second test intervals. For engines subject to compression-ignition standards, identify the appropriate bin for each of the 300 second test intervals based on its normalized CO 2 emission mass, m CO2,norm,testinterval, as follows:
Table 1 to Paragraph ( f ) of § 1036.530—Criteria for Off-Cycle Bins
(g) Off-cycle emissions quantities. Determine the off-cycle emissions quantities as follows:
(1) Spark-ignition. For engines subject to spark-ignition standards, the off-cycle emission quantity, e [emission],offcycle, is the value for CO 2 -specific emission mass for a given pollutant over the test interval representing the shift-day converted to a brake-specific value, as calculated for each measured pollutant using the following equation:
Example:
(2) Compression-ignition. For engines subject to compression-ignition standards, determine the off-cycle emission quantity for each bin. When calculating mean bin emissions from ten engines to apply the pass criteria for engine families in § 1036.425(c), set any negative off-cycle emissions quantity to zero before calculating mean bin emissions.
(i) Off-cycle emissions quantity for bin 1. The off-cycle emission quantity for bin 1, m NOx,offcycle,bin1 , is the mean NO X mass emission rate from all test intervals associated with bin 1 as calculated using the following equation:
(ii) Off-cycle emissions quantity for bin 2. The off-cycle emission quantity for bin 2, e [emission],offcycle,bin2, is the value for CO 2 -specific emission mass for a given pollutant of all the 300 second test intervals in bin 2 combined and converted to a brake-specific value, as calculated for each measured pollutant using the following equation:
Example:
(h) Shift-day ambient temperature. For engines subject to compression-ignition standards, determine the mean shift-day ambient temperature, T amb , considering only temperature readings corresponding to data with no exclusions under paragraph (c)(3) of this section.
(i) Graphical illustration. Figure 1 of this section illustrates a test interval with interruptions of one or more data points excluded under paragraph (c)(3) of this section. The x-axis is time and the y-axis is the mass emission rate at each data point, m (t) The data points coincident with any exclusion are illustrated with open circles. The shaded area corresponding to each group of closed circles represents the total emission mass over that test subinterval. Note that negative values of m (t) are retained and not set to zero in the numerical integration calculation. The first group of data points without any exclusions is referred to as the first test subinterval and so on.
(j) Fuel other than carbon-containing. The following procedures apply for testing engines using at least one fuel that is not a carbon-containing fuel:
(1) Use the following equation to determine the normalized equivalent CO 2 emission mass over each 300 second test interval instead of Eq. 1036.530-2:
Example:
(2) Determine off-cycle emissions quantities as follows:
(i) For engines subject to spark-ignition standards, use the following equation to determine the off-cycle emission quantity instead of Eq. 1036.530-3:
m [emission] = total emission mass for a given pollutant over the test interval as determined in paragraph (d)(2) of this section.
W testinterval = total positive work over the test interval as determined in 40 CFR 1065.650.
Example:
(ii) For engines subject to compression-ignition standards, use Eq. 1036.530-4 to determine the off-cycle emission quantity for bin 1.
(iii) For engines subject to compression-ignition standards, use the following equation to determine the off-cycle emission quantity for bin 2 instead of Eq. 1036.530-5:
Example:
§ 1036.535   Determining steady-state engine fuel maps and fuel consumption at idle.
The procedures in this section describe how to determine an engine's steady-state fuel map and fuel consumption at idle for model year 2021 and later vehicles; these procedures apply as described in § 1036.505. Vehicle manufacturers may need these values to demonstrate compliance with emission standards under 40 CFR part 1037.
(a) General test provisions. Perform fuel mapping using the procedure described in paragraph (b) of this section to establish measured fuel-consumption rates at a range of engine speed and load settings. Measure fuel consumption at idle using the procedure described in paragraph (c) of this section. Paragraph (d) of this section describes how to apply the steady-state mapping from paragraph (b) of this section for the special case of cycle-average mapping for highway cruise cycles as described in § 1036.540. Use these measured fuel-consumption values to declare fuel-consumption rates for certification as described in paragraph (g) of this section.
(1) Map the engine's torque curve and declare engine idle speed as described in § 1036.505(c)(1) and (3). Perform emission measurements as described in 40 CFR 1065.501 and 1065.530 for discrete-mode steady-state testing. This section uses engine parameters and variables that are consistent with 40 CFR part 1065.
(2) Measure NO X emissions as described in paragraph (f) of this section. Include these measured NO X values any time you report to us your fuel consumption values from testing under this section.
(3) You may use shared data across engine configurations to the extent that the fuel-consumption rates remain valid.
(4) The provisions related to carbon balance error verification in § 1036.543 apply for all testing in this section. These procedures are optional, but we will perform carbon balance error verification for all testing under this section.
(5) Correct fuel mass flow rate to a mass-specific net energy content of a reference fuel as described in paragraph (e) of this section.
(b) Steady-state fuel mapping. Determine steady-state fuel-consumption rates for each engine configuration over a series of paired engine speed and torque setpoints as described in this paragraph (b). For example, if you test a high-output (parent) configuration and create a different (child) configuration that uses the same fueling strategy but limits the engine operation to be a subset of that from the high-output configuration, you may use the fuel-consumption rates for the reduced number of mapped points for the low-output configuration, as long as the narrower map includes at least 70 points. Perform fuel mapping as follows:
(1) Generate the fuel-mapping sequence of engine speed and torque setpoints as follows:
(i) Select the following required speed setpoints: warm idle speed, f nidle the highest speed above maximum power at which 70% of maximum power occurs, n hi, and eight (or more) equally spaced points between f nidle and n hi. (See 40 CFR 1065.610(c)). For engines with adjustable warm idle speed, replace f nidle with minimum warm idle speed f nidlemin.
(ii) Select the following required torque setpoints at each of the selected speed setpoints: zero ( T = 0), maximum mapped torque, T max mapped, and eight (or more) equally spaced points between T = 0 and T max mapped. Select the maximum torque setpoint at each speed to conform to the torque map as follows:
(A) Calculate 5 percent of T max mapped. Subtract this result from the mapped torque at each speed setpoint, T max.
(B) Select T max at each speed setpoint as a single torque value to represent all the required torque setpoints above the value determined in paragraph (b)(1)(ii)(A) of this section. All the other default torque setpoints less than T max at a given speed setpoint are required torque setpoints.
(iii) You may select any additional speed and torque setpoints consistent with good engineering judgment. For example, you may need to select additional points if the engine's fuel consumption is nonlinear across the torque map. Avoid creating a problem with interpolation between narrowly spaced speed and torque setpoints near T max. For each additional speed setpoint, we recommend including a torque setpoint of T max ; however, you may select torque setpoints that properly represent in-use operation. Increments for torque setpoints between these minimum and maximum values at an additional speed setpoint must be no more than one-ninth of T max,mapped. Note that if the test points were added for the child rating, they should still be reported in the parent fuel map. We will test with at least as many points as you. If you add test points to meet testing requirements for child ratings, include those same test points as reported values for the parent fuel map. For our testing, we will use the same normalized speed and torque test points you use, and we may select additional test points.
(iv) Start fuel-map testing at the highest speed setpoint and highest torque setpoint, followed by decreasing torque setpoints at the highest speed setpoint. Continue testing at the next lowest speed setpoint and the highest torque setpoint at that speed setpoint, followed by decreasing torque setpoints at that speed setpoint. Follow this pattern through all the speed and torque points, ending with the lowest speed ( f nidle or f nidlemin ) and torque setpoint ( T = 0). The following figure illustrates an array of test points and the corresponding run order.

(v) The highest torque setpoint for each speed setpoint is an optional reentry point to restart fuel mapping after an incomplete test run.
(vi) The lowest torque setpoint at each speed setpoint is an optional exit point to interrupt testing. Paragraph (b)(7) of this section describes how to interrupt testing at other times.
(2) If the engine's warm idle speed is adjustable, set it to its minimum value, f nidlemin.
(3) The measurement at each unique combination of speed and torque setpoints constitutes a test interval. Unless we specify otherwise, you may program the dynamometer to control either speed or torque for a given test interval, with operator demand controlling the other parameter. Control speed and torque so that all recorded speed points are within ±1% of n hi from the target speed and all recorded engine torque points are within ±5% of T max mapped from the target torque during each test interval, except as follows:
(i) For steady-state engine operating points that cannot be achieved, and the operator demand stabilizes at minimum; program the dynamometer to control torque and let the engine govern speed (see 40 CFR 1065.512(b)(1)). Control torque so that all recorded engine torque points are within ±25 N·m from the target torque. The specified speed tolerance does not apply for the test interval.
(ii) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at maximum and the speed setpoint is below 90% of n hi even with maximum operator demand, program the dynamometer to control speed and let the engine govern torque (see 40 CFR 1065.512(b)(2)). The specified torque tolerance does not apply for the test interval.
(iii) For steady-state engine operating points that cannot be achieved and the operator demand stabilizes at maximum and the speed setpoint is at or above 90% of n hi even with maximum operator demand, program the dynamometer to control torque and let the engine govern speed (see 40 CFR 1065.512(b)(1)). The specified speed tolerance does not apply for the test interval.
(iv) For the steady-state engine operating points at the minimum speed setpoint and maximum torque setpoint, you may program the dynamometer to control speed and let the engine govern torque. The specified torque tolerance does not apply for this test interval if operator demand stabilizes at its maximum or minimum limit.
(4) Record measurements using direct and/or indirect measurement of fuel flow as follows:
(i) Direct fuel-flow measurement. Record speed and torque and measure fuel consumption with a fuel flow meter for (30 ± 1) seconds. Determine the corresponding mean values for the test interval. Use of redundant direct fuel-flow measurements requires our advance approval.
(ii) Indirect fuel-flow measurement. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for (30 ± 1) seconds. Determine the corresponding mean values for the test interval. Use of redundant indirect fuel-flow measurements requires our advance approval. Measure background concentration as described in 40 CFR 1065.140, except that you may use one of the following methods to apply a single background reading to multiple test intervals:
(A) For batch sampling, you may sample periodically into the bag over the course of multiple test intervals and read them as allowed in paragraph (b)(7)(i) of this section. You must determine a single background reading for all affected test intervals if you use the method described in this paragraph (b)(4)(ii)(A).
(B) You may measure background concentration by sampling from the dilution air during the interruptions allowed in paragraph (b)(7)(i) of this section or at other times before or after test intervals. Measure background concentration within 30 minutes before the first test interval and within 30 minutes before each reentry point. Measure the corresponding background concentration within 30 minutes after each exit point and within 30 minutes after the final test interval. You may measure background concentration more frequently. Correct measured emissions for test intervals between a pair of background readings based on the average of those two values. Once the system stabilizes, collect a background sample over an averaging period of at least 30 seconds.
(5) Warm up the engine as described in 40 CFR 1065.510(b)(2). Within 60 seconds after concluding the warm-up, linearly ramp the speed and torque setpoints over 5 seconds to the starting test point from paragraph (b)(1) of this section.
(6) Stabilize the engine by operating at the specified speed and torque setpoints for (70 ± 1) seconds and then start the test interval. Record measurements during the test interval. Measure and report NO X emissions over each test interval as described in paragraph (f) of this section.
(7) After completing a test interval, linearly ramp the speed and torque setpoints over 5 seconds to the next test point.
(i) You may interrupt the fuel-mapping sequence before a reentry point as noted in paragraphs (b)(1)(v) and (vi) of this section. If you zero and span analyzers, read and evacuate background bag samples, or sample dilution air for a background reading during the interruption, the maximum time to stabilize in paragraph (b)(6) of this section does not apply. If you shut off the engine, restart with engine warm-up as described in paragraph (b)(5) of this section.
(ii) You may interrupt the fuel-mapping sequence at a given speed setpoint before completing measurements at that speed. If this happens, you may measure background concentration and take other action as needed to validate test intervals you completed before the most recent reentry point. Void all test intervals after the last reentry point. Restart testing at the appropriate reentry point in the same way that you would start a new test. Operate the engine long enough to stabilize aftertreatment thermal conditions, even if it takes more than 70 seconds. In the case of an infrequent regeneration event, interrupt the fuel-mapping sequence and allow the regeneration event to finish with the engine operating at a speed and load that allows effective regeneration.
(iii) If you void any one test interval, all the testing at that speed setpoint is also void. Restart testing by repeating the fuel-mapping sequence as described in this paragraph (b); include all voided speed setpoints and omit testing at speed setpoints that already have a full set of valid results.
(8) If you determine fuel-consumption rates using emission measurements from the raw or diluted exhaust, calculate the mean fuel mass flow rate, m fuel , for each point in the fuel map using the following equation:
Example:
(9) If you determine fuel-consumption rates using emission measurements with engines that utilize diesel exhaust fluid for NO X control and you correct for the mean CO 2 mass emission rate resulting from diesel exhaust fluid decomposition as described in paragraph (b)(8) of this section, perform this correction at each fuel map setpoint using the following equation:
(10) Correct the measured or calculated mean fuel mass flow rate, at each of the operating points to account for mass-specific net energy content as described in paragraph (e) of this section.
(c) Fuel consumption at idle. Determine fuel-consumption rates at idle for each engine configuration that is certified for installation in vocational vehicles. Determine fuel-consumption rates at idle by testing engines over a series of paired engine speed and torque setpoints as described in this paragraph (c). Perform measurements as follows:
(1) The idle test sequence consists of measuring fuel consumption at four test points representing each combination of the following speed and torque setpoints in any order.
(i) Speed setpoints for engines with adjustable warm idle speed are minimum warm idle speed, f nidlemin , and maximum warm idle speed, f nidlemax . Speed setpoints for engines with no adjustable warm idle speed (with zero torque on the primary output shaft) are f nidle and 1.15 times f nidle .
(ii) Torque setpoints are 0 and 100 N·m.
(2) Control speed and torque as follows:
(i) Adjustable warm idle speed. Set the engine's warm idle speed to the next speed setpoint any time before the engine reaches the next test point. Control both speed and torque when the engine is warming up and when it is transitioning to the next test point. Start to control both speed and torque. At any time prior to reaching the next engine-idle operating point, set the engine's adjustable warm idle speed setpoint to the speed setpoint of the next engine-idle operating point in the sequence. This may be done before or during the warm-up or during the transition. Near the end of the transition period control speed and torque as described in paragraph (b)(3)(i) of this section shortly before reaching each test point. Once the engine is operating at the desired speed and torque setpoints, set the operator demand to minimum; control torque so that all recorded engine torque points are within ±25 N·m from the target torque.
(ii) Nonadjustable warm idle speed. For the lowest speed setpoint, control speed and torque as described in paragraph (c)(2)(i) of this section, except for adjusting the warm idle speed. For the second-lowest speed setpoint, control speed and torque so that all recorded speed points are within ±1% of n hi from the target speed and engine torque within ±5% of T max mapped from the target torque.
(3) Record measurements using direct and/or indirect measurement of fuel flow as follows:
(i) Direct fuel flow measurement. Record speed and torque and measure fuel consumption with a fuel flow meter for (600 ±1) seconds. Determine the corresponding mean values for the test interval. Use of redundant direct fuel-flow measurements require prior EPA approval.
(ii) Indirect fuel flow measurement. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for (600 ±1) seconds. Determine the corresponding mean values for the test interval. Use of redundant indirect fuel-flow measurements require prior EPA approval. Measure background concentration as described in paragraph (b)(4)(ii) of this section. We recommend setting the CVS flow rate as low as possible to minimize background, but without introducing errors related to insufficient mixing or other operational considerations. Note that for this testing 40 CFR 1065.140(e) does not apply, including the minimum dilution ratio of 2:1 in the primary dilution stage.
(4) Warm up the engine as described in 40 CFR 1065.510(b)(2). Within 60 seconds after concluding the warm-up, linearly ramp the speed and torque over 20 seconds to the first speed and torque setpoint.
(5) The measurement at each unique combination of speed and torque setpoints constitutes a test interval. Operate the engine at the selected speed and torque set points for (180 ±1) seconds, and then start the test interval. Record measurements during the test interval. Measure and report NO X emissions over each test interval as described in paragraph (f) of this section.
(6) After completing each test interval, repeat the steps in paragraphs (c)(4) and (5) of this section for all the remaining engine-idle test points.
(7) Each test point represents a stand-alone measurement. You may therefore take any appropriate steps between test intervals to process collected data and to prepare engines and equipment for further testing. Note that the allowances for combining background in paragraph (b)(4)(ii)(B) of this section do not apply. If an infrequent regeneration event occurs, allow the regeneration event to finish; void the test interval if the regeneration starts during a measurement.
(8) Correct the measured or calculated mean fuel mass flow rate, at each of the engine-idle operating points to account for mass-specific net energy content as described in paragraph (e) of this section.
(d) Steady-state fuel maps used for cycle-average fuel mapping of the highway cruise cycles. Determine steady-state fuel-consumption rates for each engine configuration over a series of paired engine speed and torque setpoints near idle as described in this paragraph (d). Perform fuel mapping as described in paragraph (b) of this section with the following exceptions:
(1) Select speed setpoints to cover a range of values to represent in-use operation at idle. Speed setpoints for engines with adjustable warm idle speed must include at least minimum warm idle speed, f nidlemin , and a speed at or above maximum warm idle speed, f nidlemax . Speed setpoints for engines with no adjustable idle speed must include at least warm idle speed (with zero torque on the primary output shaft), f nidle , and a speed at or above 1.15 · f nidle .
(2) Select the following torque setpoints at each speed setpoint to cover a range of values to represent in-use operation at idle:
(i) The minimum torque setpoint is zero.
(ii) Choose a maximum torque setpoint that is at least as large as the value determined by the following equation:
(iii) Select one or more equally spaced intermediate torque setpoints, as needed, such that the increment between torque setpoints is no greater than one-ninth of T max,mapped .
(e) Correction for net energy content. Correct the measured or calculated mean fuel mass flow rate, m fuel , for each test interval to a mass-specific net energy content of a reference fuel using the following equation:
E mfuelmeas = the mass-specific net energy content of the test fuel as determined in § 1036.550(b)(1). Note that dividing this value by w Cref (as is done in this equation) equates to a carbon-specific net energy content having the same units as E mfuelCref.
E mfuelCref = the reference value of carbon-mass-specific net energy content for the appropriate fuel. Use the values shown in table 1 to paragraph (b)(4) of § 1036.550 for the designated fuel types, or values we approve for other fuel types.
W Cref = the reference value of carbon mass fraction for the test fuel as shown in table 1 to paragraph (b)(4) of § 1036.550 for the designated fuels. For any fuel not identified in the table, use the reference carbon mass fraction of diesel fuel for engines subject to compression-ignition standards, and use the reference carbon mass fraction of gasoline for engines subject to spark-ignition standards.
Example:
(f) Measuring NO X emissions. Measure NO X emissions for each sampling period in g/s. You may perform these measurements using a NO X emission-measurement system that meets the requirements of 40 CFR part 1065, subpart J. If a system malfunction prevents you from measuring NO X emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO X emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO X emission measurement.
(g) Measured vs. declared fuel consumption. Determine declared fuel consumption as follows:
(1) Select fuel consumption rates in g/s to characterize the engine's fuel maps. You must select a declared value for each test point that is at or above the corresponding value determined in paragraphs (b) through (d) of this section, including those from redundant measurements.
(2) Declared fuel consumption serves as emission standards under § 1036.108. These are the values that vehicle manufacturers will use for certification under 40 CFR part 1037. Note that production engines are subject to GEM cycle-weighted limits as described in § 1036.301.
(3) If you perform the carbon balance error verification, select declared values that are at or above the following emission measurements:
(i) If you pass the ε rC verification, you may use the average of the values from direct and indirect fuel measurements.
(ii) If you fail ε rC verification, but pass either the ε aC or ε aCrate verification, use the value from indirect fuel measurement.
(iii) If you fail all three verifications, you must either void the test interval or use the highest value from direct and indirect fuel measurements. Note that we will consider our test results to be invalid if we fail all three verifications.
§ 1036.540   Determining cycle-average engine fuel maps.
(a) Overview. This section describes how to determine an engine's cycle-average fuel maps for model year 2021 and later vehicles. Vehicle manufacturers may need cycle-average fuel maps for transient duty cycles, highway cruise cycles, or both to demonstrate compliance with emission standards under 40 CFR part 1037. Generate cycle-average engine fuel maps as follows:
(1) Determine the engine's torque maps as described in § 1036.505(c).
(2) Determine the engine's steady-state fuel map and fuel consumption at idle as described in § 1036.535. If you are applying cycle-average fuel mapping for highway cruise cycles, you may instead use GEM's default fuel map instead of generating the steady-state fuel map in § 1036.535(b).
(3) Simulate several different vehicle configurations using GEM (see 40 CFR 1037.520) to create new engine duty cycles as described in paragraph (c) of this section. The transient vehicle duty cycles for this simulation are in 40 CFR part 1037, appendix A; the highway cruise cycles with grade are in 40 CFR part 1037, appendix D. Note that GEM simulation relies on vehicle service classes as described in 40 CFR 1037.140.
(4) Test the engines using the new duty cycles to determine fuel consumption, cycle work, and average vehicle speed as described in paragraph (d) of this section and establish GEM inputs for those parameters for further vehicle simulations as described in paragraph (e) of this section.
(b) General test provisions. The following provisions apply for testing under this section:
(1) Measure NO X emissions for each specified sampling period in grams. You may perform these measurements using a NO X emission-measurement system that meets the requirements of 40 CFR part 1065, subpart J. Include these measured NO X values any time you report to us your fuel-consumption values from testing under this section. If a system malfunction prevents you from measuring NO X emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO X emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO X emission measurement.
(2) The provisions related to carbon balance error verification in § 1036.543 apply for all testing in this section. These procedures are optional, but we will perform carbon balance error verification for all testing under this section.
(3) Correct fuel mass to a mass-specific net energy content of a reference fuel as described in paragraph (d)(13) of this section.
(4) This section uses engine parameters and variables that are consistent with 40 CFR part 1065.
(c) Create engine duty cycles. Use GEM to simulate your engine operation with several different vehicle configurations to create transient and highway cruise engine duty cycles corresponding to each vehicle configuration as follows:
(1) Set up GEM to simulate your engine's operation based on your engine's torque maps, steady-state fuel maps, warm-idle speed as defined in 40 CFR 1037.520(h)(1), and fuel consumption at idle as described in paragraphs (a)(1) and (2) of this section.
(2) Set up GEM with transmission parameters for different vehicle service classes and vehicle duty cycles. Specify the transmission's torque limit for each gear as the engine's maximum torque as determined in 40 CFR 1065.510. Specify the transmission type as Automatic Transmission for all engines and for all engine and vehicle duty cycles, except that the transmission type is Automated Manual Transmission for Heavy HDE operating over the highway cruise cycles or the SET duty cycle. For automatic transmissions set neutral idle to “Y” in the vehicle file. Select gear ratios for each gear as shown in the following table:
Table 1 to Paragraph ( c )(2) of § 1036.540—GEM Input for Gear Ratio
(3) Run GEM for each simulated vehicle configuration and use the GEM outputs of instantaneous engine speed and engine flywheel torque for each vehicle configuration to generate a 10 Hz transient duty cycle corresponding to each vehicle configuration operating over each vehicle duty cycle. Run GEM for the specified number of vehicle configurations. You may run additional vehicle configurations to represent a wider range of in-use vehicles. Run GEM as follows:
(i) Determining axle ratio and tire size. Set the axle ratio, k a, and tire size,
for each vehicle configuration based on the corresponding designated engine speed ( f nrefA , f nrefB , f nrefC , f nrefD , or f ntest as defined in 40 CFR 1065.610(c)(2)) at 65 mi/hr for the transient duty cycle and for the 65 mi/hr highway cruise cycle. Similarly, set these parameters based on the corresponding designated engine speed at 55 mi/hr for the 55 mi/hr highway cruise cycle. Use one of the following equations to determine
(ii) Vehicle configurations for Spark-ignition HDE, Light HDE, and Medium HDE. Test at least eight different vehicle configurations for engines that will be installed in vocational Light HDV or vocational Medium HDV using vehicles in the following table:
(iii) Vehicle configurations for Heavy HDE. Test at least nine different vehicle configurations for engines that will be installed in vocational Heavy HDV and for tractors that are not heavy-haul tractors. Test six different vehicle configurations for engines that will be installed in heavy-haul tractors. Use the settings specific to each vehicle configuration as shown in Table 3 or Table 4 in this section, as appropriate. Engines subject to testing under both Table 3 and Table 4 in this section need not repeat overlapping vehicle configurations, so complete fuel mapping requires testing 12 (not 15) vehicle configurations for those engines. However, the preceding sentence does not apply if you choose to create two separate maps from the vehicle configurations defined in Table 3 and Table 4 in this section. Tables 3 and 4 follow:
(iv) Vehicle configurations for mixed-use engines. If the engine will be installed in a combination of vehicles defined in paragraphs (c)(3)(ii) and (iii) of this section, use good engineering judgment to select at least nine vehicle configurations from Table 2 and Table 3 in this section that best represent the range of vehicles your engine will be sold in. This may require you to define additional representative vehicle configurations. For example, if your engines will be installed in vocational Medium HDV and vocational Heavy HDV, you might select Tests 2, 4, 6 and 8 of Table 2 in this section to represent vocational Medium HDV and Tests 3, 6, and 9 of Table 3 in this section to represent vocational Heavy HDV and add two more vehicle configurations that you define.
(v) Defining GEM inputs. Use the defined values in Tables 1 through 4 in this section to set up GEM with the correct regulatory subcategory and vehicle weight reduction.
(d) Test the engine with GEM cycles. Test the engine over each of the engine duty cycles generated in paragraph (c) of this section as follows:
(1) Operate the engine over a sequence of required and optional engine duty cycles as follows:
(i) Sort the list of engine duty cycles into three separate groups by vehicle duty cycle: transient vehicle cycle, 55 mi/hr highway cruise cycle, and 65 mi/hr highway cruise cycle.
(ii) Within each group of engine duty cycles derived from the same vehicle duty cycle, first run the engine duty cycle with the highest reference cycle work, followed by the cycle with the lowest cycle work; followed by the cycle with second-highest cycle work, followed by the cycle with the second-lowest cycle work; continuing through all the cycles for that vehicle duty cycle. The series of engine duty cycles to represent a single vehicle duty cycle is a single fuel-mapping sequence. Each engine duty cycle represents a different interval. Repeat the fuel-mapping sequence for the engine duty cycles derived from the other vehicle duty cycles until testing is complete.
(iii) Operate the engine over two full engine duty cycles to precondition before each interval in the fuel-mapping sequence. Precondition the engine before the first and second engine duty cycle in each fuel-mapping sequence by repeating operation with the engine duty cycle with the highest reference cycle work over the relevant vehicle duty cycle. The preconditioning for the remaining cycles in the fuel-mapping sequence consists of operation over the preceding two engine duty cycles in the fuel-mapping sequence (with or without measurement). For transient vehicle duty cycles, start each engine duty cycle within 10 seconds after finishing the preceding engine duty cycle (with or without measurement). For highway cruise cycles, start each engine duty cycle and interval after linearly ramping to the speed and torque setpoints over 5 seconds and stabilizing for 15 seconds.
(2) If the engine has an adjustable warm idle speed setpoint, set it to the value defined in 40 CFR 1037.520(h)(1).
(3) Control speed and torque to meet the cycle validation criteria in 40 CFR 1065.514 for each interval, except that the standard error of the estimate in 40 CFR 1065.514(f)(3) is the only speed criterion that applies if the range of reference speeds is less than 10 percent of the mean reference speed. For spark-ignition gaseous-fueled engines with fuel delivery at a single point in the intake manifold, you may apply the alternative cycle-validation criteria in table 5 to this paragraph (c)(3) for transient testing. Note that 40 CFR part 1065 does not allow reducing cycle precision to a lower frequency than the 10 Hz reference cycle generated by GEM.
Table 5 to Paragraph ( c )(3) of § 1036.540— Alternative Fuel-Mapping Cycle-Validation Criteria for Spark-Ignition Gaseous-Fueled Engines a
a Cycle-validation criteria apply as specified in 40 CFR 1065.514 unless otherwise specified.
(4) Record measurements using direct and/or indirect measurement of fuel flow as follows:
(i) Direct fuel-flow measurement. Record speed and torque and measure fuel consumption with a fuel flow meter for the interval defined by the engine duty cycle. Determine the corresponding mean values for the interval. Use of redundant direct fuel-flow measurements requires our advance approval.
(ii) Indirect fuel-flow measurement. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c) for the interval defined by the engine duty cycle. Determine the corresponding mean values for the interval. Use of redundant indirect fuel-flow measurements requires our advance approval. Measure background concentration as described in 40 CFR 1065.140, except that you may use one of the following methods to apply a single background reading to multiple intervals:
(A) If you use batch sampling to measure background emissions, you may sample periodically into the bag over the course of multiple intervals. If you use this provision, you must apply the same background readings to correct emissions from each of the applicable intervals.
(B) You may determine background emissions by sampling from the dilution air over multiple engine duty cycles. If you use this provision, you must allow sufficient time for stabilization of the background measurement; followed by an averaging period of at least 30 seconds. Use the average of the two background readings to correct the measurement from each engine duty cycle. The first background reading must be taken no greater than 30 minutes before the start of the first applicable engine duty cycle and the second background reading must be taken no later than 30 minutes after the end of the last applicable engine duty cycle. Background readings may not span more than a full fuel-mapping sequence for a vehicle duty cycle.
(5) Warm up the engine as described in 40 CFR 1065.510(b)(2). Within 60 seconds after concluding the warm-up, start the linear ramp of speed and torque over 20 seconds to the first speed and torque setpoint of the preconditioning cycle.
(6) Precondition the engine before the start of testing as described in paragraph (d)(1)(iii) of this section.
(7) Operate the engine over the first engine duty cycle. Record measurements during the interval. Measure and report NO X emissions over each interval as described in paragraph (b)(2) of this section.
(8) Continue testing engine duty cycles that are derived from the other vehicle duty cycles until testing is complete.
(9) You may interrupt the fuel-mapping sequence after completing any interval. You may calibrate analyzers, read and evacuate background bag samples, or sample dilution air for measuring background concentration before restarting. Shut down the engine during any interruption. If you restart the sequence within 30 minutes or less, restart the sequence at paragraph (d)(6) of this section and then restart testing at the next interval in the fuel-mapping sequence. If you restart the sequence after more than 30 minutes, restart the sequence at paragraph (d)(5) of this section and then restart testing at the next interval in the fuel-mapping sequence.
(10) The following provisions apply for infrequent regeneration events, other interruptions during intervals, and otherwise voided intervals:
(i) Stop testing if an infrequent regeneration event occurs during an interval or an interval is interrupted for any other reason. Void the interrupted interval and any additional intervals for which you are not able to meet requirements for measuring background concentration. If the infrequent regeneration event occurs between intervals, void completed intervals only if you are not able to meet requirements for measuring background concentration for those intervals.
(ii) If an infrequent regeneration event occurs, allow the regeneration event to finish with the engine operating at a speed and load that allows effective regeneration.
(iii) If you interrupt testing during an interval, if you restart the sequence within 30 minutes or less, restart the sequence at paragraph (d)(6) of this section and then restart testing at the next interval in the fuel-mapping sequence. If you restart the sequence after more than 30 minutes, restart the sequence at paragraph (d)(5) of this section and then restart testing at the next interval in the fuel-mapping sequence.
(iv) If you void one or more intervals, you must perform additional testing to get results for all intervals. You may rerun a complete fuel-mapping sequence or any contiguous part of the fuel-mapping sequence. If you get a second valid measurement for any interval, use only the result from the last valid interval. If you restart the sequence within 30 minutes or less, restart the sequence at paragraph (d)(6) of this section and then restart testing at the first selected interval in the fuel-mapping sequence. If you restart the sequence after more than 30 minutes, restart the sequence at paragraph (d)(5) of this section and then restart testing at the first selected interval in the fuel-mapping sequence. Continue testing until you have valid results for all intervals. The following examples illustrate possible scenarios for a partial run through a fuel-mapping sequence:
(A) If you voided only the interval associated with the fourth engine duty cycle in the sequence, you may restart the sequence using the second and third engine duty cycles as the preconditioning cycles and stop after completing the interval associated with the fourth engine duty cycle.
(B) If you voided the intervals associated with the fourth and sixth engine duty cycles, you may restart the sequence using the second and third engine duty cycles for preconditioning and stop after completing the interval associated with the sixth engine duty cycle.
(11) You may send signals to the engine controller during the test, such as current transmission gear and vehicle speed, if that allows engine operation to better represent in-use operation.
(12) Calculate the fuel mass, m fuel , for each duty cycle using one of the following equations:
(i) Determine fuel-consumption using emission measurements from the raw or diluted exhaust. Calculate the mass of fuel for each duty cycle, m fuel[cycle] , as follows:
(A) For calculations that use continuous measurement of emissions and continuous CO 2 from urea, calculate m fuel[cycle] using the following equation:
Example:
(B) If you measure batch emissions and continuous CO 2 from urea, calculate m fuel[cycle] using the following equation:
(C) If you measure continuous emissions and batch CO 2 from urea, calculate m fuel[cycle] using the following equation:
(D) If you measure batch emissions and batch CO 2 from urea, calculate m fuel[cycle] using the following equation:
(ii) Manufacturers may choose to measure fuel mass flow rate. Calculate the mass of fuel for each duty cycle, m fuel[cycle], as follows:
(13) Correct the measured or calculated fuel mass, m fuel, for each result to a mass-specific net energy content of a reference fuel as described in § 1036.535(e), replacing m fuel with m fuel in Eq. 1036.535-4.
(e) Determine GEM inputs. Use the results of engine testing in paragraph (d) of this section to determine the GEM inputs for the transient duty cycle and optionally for each of the highway cruise cycles corresponding to each simulated vehicle configuration as follows:
(1) Using the calculated fuel mass consumption values, m fuel[cycle] , described in paragraph (d) of this section, declare values using the methods described in § 1036.535(g)(2) and (3).
(2) We will determine m fuel[cycle] values using the method described in § 1036.535(g)(3).
(3) For the transient cycle, calculate engine output speed per unit vehicle speed,
by taking the average engine speed measured during the engine test while the vehicle is moving and dividing it by the average vehicle speed provided by GEM. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.
(4) Determine engine idle speed and torque, by taking the average engine speed and torque measured during the engine test while the vehicle is not moving. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.
(5) For the cruise cycles, calculate the average engine output speed, f nengine , and the average engine output torque (positive torque only), T engine , while the vehicle is moving. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.
(6) Determine positive work according to 40 CFR part 1065, W [cycle], by using the engine speed and engine torque measured during the engine test while the vehicle is moving. Note that the engine cycle created by GEM has a flag to indicate when the vehicle is moving.
(7) The following tables illustrate the GEM data inputs corresponding to the different vehicle configurations for a given duty cycle:
(i) For the transient cycle:
(ii) For the cruise cycles:
Table 7 to Paragraph ( e )(7)( ii ) of § 1036.540—Generic Example of an Output Matrix for Cruise Cycle Vehicle Configurations
§ 1036.543   Carbon balance error verification.
The optional carbon balance error verification in 40 CFR 1065.543 compares independent assessments of the flow of carbon through the system (engine plus aftertreatment). This procedure applies for each individual interval in §§ 1036.535(b), (c), and (d), 1036.540, and 1036.545.
§ 1036.545   Powertrain testing.
This section describes the procedure to measure fuel consumption and create engine fuel maps by testing a powertrain that includes an engine coupled with a transmission, drive axle, and hybrid components or any assembly with one or more of those hardware elements. Engine fuel maps are part of demonstrating compliance with Phase 2 and Phase 3 vehicle standards under 40 CFR part 1037; the powertrain test procedure in this section is one option for generating this fuel-mapping information as described in § 1036.505. Additionally, this powertrain test procedure is one option for certifying hybrid powertrains to the engine standards in §§ 1036.104 and 1036.108.
(a) General test provisions. The following provisions apply broadly for testing under this section:
(1) Measure NO X emissions as described in paragraph (k) of this section. Include these measured NO X values any time you report to us your greenhouse gas emissions or fuel consumption values from testing under this section.
(2) The procedures of 40 CFR part 1065 apply for testing in this section except as specified. This section uses engine parameters and variables that are consistent with 40 CFR part 1065.
(3) Powertrain testing depends on models to calculate certain parameters. You can use the detailed equations in this section to create your own models, or use the GEM HIL model contained within GEM Phase 2, Version 4.0 (incorporated by reference, see § 1036.810) to simulate vehicle hardware elements as follows:
(i) Create driveline and vehicle models that calculate the angular speed setpoint for the test cell dynamometer, f nref,dyno, based on the torque measurement location. Use the detailed equations in paragraph (f) of this section, the GEM HIL model's driveline and vehicle submodels, or a combination of the equations and the submodels. You may use the GEM HIL model's transmission submodel in paragraph (f) to simulate a transmission only if testing hybrid engines. If the engine is intended for vehicles with automatic transmissions, use the cycle configuration file in GEM to change the transmission state (in-gear or idle) as a function of time as defined by the duty cycles in this part.
(ii) Create a driver model or use the GEM HIL model's driver submodel to simulate a human driver modulating the throttle and brake pedals to follow the test cycle as closely as possible.
(iii) Create a cycle-interpolation model or use the GEM HIL model's cycle submodel to interpolate the duty-cycles and feed the driver model the duty-cycle reference vehicle speed for each point in the duty-cycle.
(4) The powertrain test procedure in this section is designed to simulate operation of different vehicle configurations over specific duty cycles. See paragraphs (h) and (j) of this section.
(5) For each test run, record engine speed and torque as defined in 40 CFR 1065.915(d)(5) with a minimum sampling frequency of 1 Hz. These engine speed and torque values represent a duty cycle that can be used for separate testing with an engine mounted on an engine dynamometer under 40 CFR 1037.551, such as for a selective enforcement audit as described in 40 CFR 1037.301.
(6) For hybrid powertrains with no plug-in capability, correct for the net energy change of the energy storage device as described in 40 CFR 1066.501(a)(3). For plug-in hybrid electric powertrains, follow 40 CFR 1066.501(a)(3) to determine End-of-Test for charge-depleting operation. You must get our approval in advance for your utility factor curve; we will approve it if you can show that you created it, using good engineering judgment, from sufficient in-use data of vehicles in the same application as the vehicles in which the plug-in hybrid electric powertrain will be installed. You may use methodologies described in SAE J2841 to develop the utility factor curve.
(7) The provisions related to carbon balance error verification in § 1036.543 apply for all testing in this section. These procedures are optional if you are only performing direct or indirect fuel-flow measurement, but we will perform carbon balance error verification for all testing under this section.
(8) Do not apply accessory loads when conducting a powertrain test to generate inputs to GEM if torque is measured at the axle input shaft or wheel hubs.
(9) If you test a powertrain over the Low Load Cycle specified in § 1036.514, control and apply the electrical accessory loads. We recommend using a load bank connected directly to the powertrain's electrical system. You may instead use an alternator with dynamic electrical load control. Use good engineering judgment to account for the efficiency of the alternator or the efficiency of the powertrain to convert the mechanical energy to electrical energy.
(10) The following instruments are required with plug-in hybrid systems to determine required voltages and currents during testing and must be installed on the powertrain to measure these values during testing:
(i) Measure the voltage and current of the battery pack directly with a DC wideband power analyzer to determine power. Measure all current entering and leaving the battery pack. Do not measure voltage upstream of this measurement point. The maximum integration period for determining amp-hours is 0.05 seconds. The power analyzer must have an accuracy for measuring current and voltage of 1% of point or 0.3% of maximum, whichever is greater. The power analyzer must not be susceptible to offset errors while measuring current.
(ii) If safety considerations do not allow for measuring voltage, you may determine the voltage directly from the powertrain ECM.
(11) The following figure provides an overview of testing under this section:
(b) Test configuration. Select a powertrain for testing as described in § 1036.235 or 40 CFR 1037.235 as applicable. Set up the engine according to 40 CFR 1065.110 and 1065.405(b). Set the engine's idle speed to idle speed defined in 40 CFR 1037.520(h)(1).
(1) The default test configuration consists of a powertrain with all components upstream of the axle. This involves connecting the powertrain's output shaft directly to the dynamometer or to a gear box with a fixed gear ratio and measuring torque at the axle input shaft. You may instead set up the dynamometer to connect at the wheel hubs and measure torque at that location. The preceding sentence may apply if your powertrain configuration requires it, such as for hybrid powertrains or if you want to represent the axle performance with powertrain test results. You may alternatively test the powertrain with a chassis dynamometer if you measure speed and torque at the powertrain's output shaft or wheel hubs.
(2) For testing hybrid engines, connect the engine's crankshaft directly to the dynamometer and measure torque at that location.
(c) Powertrain temperatures during testing. Cool the powertrain during testing so temperatures for oil, coolant, block, head, transmission, battery, and power electronics are within the manufacturer's expected ranges for normal operation. You may use electronic control module outputs to comply with this paragraph (c). You may use auxiliary coolers and fans.
(d) Engine break in. Break in the engine according to 40 CFR 1065.405(c), the axle assembly according to 40 CFR 1037.560, and the transmission according to 40 CFR 1037.565. You may instead break in the powertrain as a complete system using the engine break in procedure in 40 CFR 1065.405(c).
(e) Dynamometer setup. Set the dynamometer to operate in speed-control mode (or torque-control mode for hybrid engine testing at idle, including idle portions of transient duty cycles). Record data as described in 40 CFR 1065.202. Command and control the dynamometer speed at a minimum of 5 Hz, or 10 Hz for testing hybrid engines. Run the vehicle model to calculate the dynamometer setpoints at a rate of at least 100 Hz. If the dynamometer's command frequency is less than the vehicle model dynamometer setpoint frequency, subsample the calculated setpoints for commanding the dynamometer setpoints.
(f) Driveline and vehicle model. Use the GEM HIL model's driveline and vehicle submodels or the equations in this paragraph (f) to calculate the dynamometer speed setpoint, f nref,dyno , based on the torque measurement location. For all powertrains, configure GEM with the accessory load set to zero. For hybrid engines, configure GEM with the applicable accessory load as specified in §§ 1036.505, 1036.514, and 1036.525. For all powertrains and hybrid engines, configure GEM with the tire slip model disabled.
(1) Driveline model with a transmission in hardware. For testing with torque measurement at the axle input shaft or wheel hubs, calculate, f nref,dyno , using the GEM HIL model's driveline submodel or the following equation:
(2) Driveline model with a simulated transmission. For testing with the torque measurement at the engine's crankshaft, f nref,dyno is the dynamometer target speed from the GEM HIL model's transmission submodel. You may request our approval to change the transmission submodel, as long as the changes do not affect the gear selection logic. Before testing, initialize the transmission model with the engine's measured torque curve and the applicable steady-state fuel map from the GEM HIL model. You may request our approval to input your own steady-state fuel map. For example, this request for approval could include using a fuel map that represents the combined performance of the engine and hybrid components. Configure the torque converter to simulate neutral idle when using this procedure to generate engine fuel maps in § 1036.505 or to perform the Supplemental Emission Test (SET) testing under § 1036.510. You may change engine commanded torque at idle to better represent CITT for transient testing under § 1036.512. You may change the simulated engine inertia to match the inertia of the engine under test. We will evaluate your requests under this paragraph (f)(2) based on your demonstration that the adjusted testing better represents in-use operation.
(i) The transmission submodel needs the following model inputs:
(A) Torque measured at the engine's crankshaft.
(B) Engine estimated torque determined from the electronic control module or by converting the instantaneous operator demand to an instantaneous torque in N·m.
(C) Dynamometer mode when idling (speed-control or torque-control).
(D) Measured engine speed when idling.
(E) Transmission output angular speed, f ni,transmission , calculated as follows:
(ii) The transmission submodel generates the following model outputs:
(A) Dynamometer target speed.
(B) Dynamometer idle load.
(C) Transmission engine load limit.
(D) Engine speed target.
(3) Vehicle model. Calculate the simulated vehicle reference speed, ν refi , using the GEM HIL model's vehicle submodel or the equations in this paragraph (f)(3):
(4) Example. The following example illustrates a calculation of f nref,dyno using paragraph (f)(1) of this section where torque is measured at the axle input shaft. This example is for a vocational Light HDV or vocational Medium HDV with 6 speed automatic transmission at B speed (test 4 in table 1 to paragraph (h)(2)(ii) of this section).
(g) Driver model. Use the GEM HIL model's driver submodel or design a driver model to simulate a human driver modulating the throttle and brake pedals. In either case, tune the model to follow the test cycle as closely as possible meeting the following specifications:
(1) The driver model must meet the following speed requirements:
(i) For operation over the highway cruise cycles, the speed requirements described in 40 CFR 1066.425(b) and (c).
(ii) For operation over the Heavy-Duty Transient Test Cycle specified in 40 CFR part 1037, appendix A, the SET as defined § 1036.510, the Federal Test Procedure (FTP) as defined in § 1036.512, and the Low Load Cycle (LLC) as defined in § 1036.514, the speed requirements described in 40 CFR 1066.425(b) and (c).
(iii) The exceptions in 40 CFR 1066.425(b)(4) apply to the highway cruise cycles, the Heavy-Duty Transient Test Cycle specified in 40 CFR part 1037, appendix A, SET, FTP, and LLC.
(iv) If the speeds do not conform to these criteria, the test is not valid and must be repeated.
(2) Send a brake signal when operator demand is zero and vehicle speed is greater than the reference vehicle speed from the test cycle. Include a delay before changing the brake signal to prevent dithering, consistent with good engineering judgment.
(3) Allow braking only if operator demand is zero.
(4) Compensate for the distance driven over the duty cycle over the course of the test. Use the following equation to perform the compensation in real time to determine your time in the cycle:
(h) Vehicle configurations to evaluate for generating fuel maps as defined in § 1036.505. Configure the driveline and vehicle models from paragraph (f) of this section in the test cell to test the powertrain. Simulate multiple vehicle configurations that represent the range of intended vehicle applications using one of the following options:
(1) For known vehicle configurations, use at least three equally spaced axle ratios or tire sizes and three different road loads (nine configurations), or at least four equally spaced axle ratios or tire sizes and two different road loads (eight configurations). Select axle ratios to represent the full range of expected vehicle installations. Select axle ratios and tire sizes such that the ratio of engine speed to vehicle speed covers the range of ratios of minimum and maximum engine speed to vehicle speed when the transmission is in top gear for the vehicles in which the powertrain will be installed. Note that you do not have to use the same axle ratios and tire sizes for each GEM regulatory subcategory. You may determine appropriate C rr , C d A , and mass values to cover the range of intended vehicle applications or you may use the C rr, C d A , and mass values specified in paragraph (h)(2) of this section.
(2) If vehicle configurations are not known, determine the vehicle model inputs for a set of vehicle configurations as described in § 1036.540(c)(3) with the following exceptions:
(i) In the equations of § 1036.540(c)(3)(i), k topgear is the actual top gear ratio of the powertrain instead of the transmission gear ratio in the highest available gear given in table 1 to paragraph (c)(2) of § 1036.540.
(ii) Test at least eight different vehicle configurations for powertrains that will be installed in Spark-ignition HDE, vocational Light HDV, and vocational Medium HDV using the following table instead of table 2 to paragraph (c)(3)(ii) of § 1036.540:
(iii) Select and test vehicle configurations as described in § 1036.540(c)(3)(iii) for powertrains that will be installed in vocational Heavy HDV and tractors using the following tables instead of tables 3 and 4 to paragraph (c)(3)(iii) of § 1036.540:
(3) For hybrid powertrain systems where the transmission will be simulated, use the transmission parameters defined in § 1036.540(c)(2) to determine transmission type and gear ratio. Use a fixed transmission efficiency of 0.95. The GEM HIL transmission model uses a transmission parameter file for each test that includes the transmission type, gear ratios, lockup gear, torque limit per gear from § 1036.540(c)(2), and the values from § 1036.505(b)(4) and (c).
(i) [Reserved]
(j) Duty cycles to evaluate. Operate the powertrain over each of the duty cycles specified in 40 CFR 1037.510(a)(2), and for each applicable vehicle configuration from paragraph (h) of this section. Determine cycle-average powertrain fuel maps by testing the powertrain using the procedures in § 1036.540(d) with the following exceptions:
(1) Understand “engine” to mean “powertrain”.
(2) Warm up the powertrain as described in § 1036.520(d).
(3) Within 90 seconds after concluding the warm-up, start the transition to the preconditioning cycle as described in paragraph (j)(5) of this section.
(4) For plug-in hybrid engines, precondition the battery and then complete all back-to-back tests for each vehicle configuration according to 40 CFR 1066.501(a)(3) before moving to the next vehicle configuration. The following figure illustrates a charge-depleting test sequence with engine operation during two duty cycles, which are used for criteria pollutant determination:
(5) If the preceding duty cycle does not end at 0 mi/hr, transition between duty cycles by decelerating at a rate of 2 mi/hr/s at 0% grade until the vehicle reaches zero speed. Shut off the powertrain. Prepare the powertrain and test cell for the next duty-cycle.
(6) Start the next duty-cycle within 60 to 180 seconds after shutting off the powertrain.
(i) To start the next duty-cycle, for hybrid powertrains, key on the vehicle and then start the duty-cycle. For conventional powertrains key on the vehicle, start the engine, wait for the engine to stabilize at idle speed, and then start the duty-cycle.
(ii) If the duty-cycle does not start at 0 mi/hr, transition to the next duty cycle by accelerating at a target rate of 1 mi/hr/s at 0% grade. Stabilize for 10 seconds at the initial duty cycle conditions and start the duty-cycle.
(7) Calculate cycle work using GEM or the speed and torque from the driveline and vehicle models from paragraph (f) of this section to determine the sequence of duty cycles.
(8) Calculate the mass of fuel consumed for idle duty cycles as described in paragraph (n) of this section.
(k) Measuring NO X emissions. Measure NO X emissions for each sampling period in grams. You may perform these measurements using a NO X emission-measurement system that meets the requirements of 40 CFR part 1065, subpart J. If a system malfunction prevents you from measuring NO X emissions during a test under this section but the test otherwise gives valid results, you may consider this a valid test and omit the NO X emission measurements; however, we may require you to repeat the test if we determine that you inappropriately voided the test with respect to NO X emission measurement.
(l) [Reserved]
(m) Measured output speed validation. For each test point, validate the measured output speed with the corresponding reference values. If speed is measured at more than one location, the measurements at each location must meet validation requirements. If the range of reference speed is less than 10 percent of the mean reference speed, you need to meet only the standard error of the estimate in table 4 to this paragraph (m). You may delete points when the vehicle is stopped. If your speed measurement is not at the location of ƒ nref , correct your measured speed using the constant speed ratio between the two locations. Apply cycle-validation criteria for each separate transient or highway cruise cycle based on the following parameters:
Table 4 to Paragraph ( m ) of § 1036.545—Cycle-Validation Criteria
a Determine values for specified parameters as described in 40 CFR 1065.514(e) by comparing measured and reference values for ƒ nref,dyno .
(n) Fuel consumption at idle. Record measurements using direct and/or indirect measurement of fuel flow. Determine the fuel-consumption rates at idle for the applicable duty cycles described in 40 CFR 1037.510(a)(2) as follows:
(1) Direct fuel flow measurement. Determine the corresponding mean values for mean idle fuel mass flow rate, m fuelidle , for each duty cycle, as applicable. Use of redundant direct fuel-flow measurements require our advance approval.
(2) Indirect fuel flow measurement. Record speed and torque and measure emissions and other inputs needed to run the chemical balance in 40 CFR 1065.655(c). Determine the corresponding mean values for each duty cycle. Use of redundant indirect fuel-flow measurements require our advance approval. Measure background concentration as described in § 1036.535(b)(4)(ii). We recommend setting the CVS flow rate as low as possible to minimize background, but without introducing errors related to insufficient mixing or other operational considerations. Note that for this testing 40 CFR 1065.140(e) does not apply, including the minimum dilution ratio of 2:1 in the primary dilution stage. Calculate the idle fuel mass flow rate for each duty cycle, m fuelidle , for each set of vehicle settings, as follows:
Example:
(o) Create GEM inputs. Use the results of powertrain testing to determine GEM inputs for the different simulated vehicle configurations as follows:
(1) Correct the measured or calculated fuel masses, m fuel[cycle] , and mean idle fuel mass flow rates, m fuelidle , if applicable, for each test result to a mass-specific net energy content of a reference fuel as described in § 1036.535(e), replacing m fuel with m fuel[cycle] where applicable in Eq. 1036.535-4.
(2) Declare fuel masses, m fuel[cycle] and m fuelidle . Determine m fuel[cycle] using the calculated fuel mass consumption values described in § 1036.540(d)(12). In addition, declare mean fuel mass flow rate for each applicable idle duty cycle, m fuelidle . These declared values may not be lower than any corresponding measured values determined in this section. If you use both direct and indirect measurement of fuel flow, determine the corresponding declared values as described in § 1036.535(g)(2) and (3). These declared values, which serve as emission standards, collectively represent the powertrain fuel map for certification.
(3) For engines designed for plug-in hybrid electric vehicles, the mass of fuel for each cycle, m fuel[cycle] , is the utility factor-weighted fuel mass, m fuelUF[cycle] . This is determined by calculating m fuel for the full charge-depleting and charge-sustaining portions of the test and weighting the results, using the following equation:
Example for the 55 mi/hr cruise cycle:
(4) For the transient cycle specified in 40 CFR 1037.510(a)(2)(i), calculate powertrain output speed per unit of vehicle speed using one of the following methods:
(i) For testing with torque measurement at the axle input shaft:
Example:
(ii) For testing with torque measurement at the wheel hubs, use Eq. 1036.545-8 setting k a equal to 1.
(iii) For testing with torque measurement at the engine's crankshaft:
Example:
(5) Calculate engine idle speed, by taking the average engine speed measured during the transient cycle test while the vehicle speed is below 0.100 m/s. (Note: Use all the charge-sustaining test intervals when determining engine idle speed for plug-in hybrid powertrains.)
(6) For the cruise cycles specified in 40 CFR 1037.510(a)(2)(ii), calculate the average powertrain output speed, f npowertrain , and the average powertrain output torque (positive torque only), T powertrain , at vehicle speed at or above 0.100 m/s. (Note: Use all the charge-sustaining and charge-depleting test intervals when determining f npowertrain and T powertrain for plug-in hybrid powertrains.)
(7) Calculate positive work, W [cycle], as the work over the duty cycle at the axle input shaft, wheel hubs, or the engine's crankshaft, as applicable, when vehicle speed is at or above 0.100 m/s. For plug-in hybrid powertrains, calculate W [cycle] by calculating the positive work over each of the charge-sustaining and charge-depleting test intervals and then averaging them together. If speed and torque are measured at more than one location, determine W [cycle] by integrating the sum of the power calculated from measured speed and torque measurements at each location.
(8) The following tables illustrate the GEM data inputs corresponding to the different vehicle configurations for a given duty cycle:
(i) For the transient cycle:
(ii) For the cruise cycles:
(p) Determine usable battery energy. Determine usable battery energy (UBE) for plug-in hybrid powertrains using one of the following procedures:
(1) Select a representative vehicle configuration from paragraph (h) of this section. Measure DC discharge energy, E DCD, in DC watt-hours and measure DC discharge current per hour, C D, for the charge-depleting test intervals of the Heavy-Duty Transient Test Cycle in 40 CFR part 1037, appendix A. The measurement period must include all the current flowing into and out of the battery pack during the charge-depleting test intervals, including current associated with regenerative braking. Eq. 1036.545-12 shows how to calculate E DCD, but the power analyzer specified in paragraph (a)(10)(i) of this section will typically perform this calculation internally. Battery voltage measurements made by the powertrain's on-board sensors (such as those available with a diagnostic port) may be used for calculating E DCD if they are equivalent to those from the power analyzer.
Example:
(2) Determine a declared UBE that is at or below the corresponding value determined in paragraph (p)(1) of this section, including those from redundant measurements. This declared UBE serves as UBE certified determined under 40 CFR 1037.115(f).
§ 1036.550   Calculating greenhouse gas emission rates.
This section describes how to calculate official emission results for CO 2 , CH 4 , and N 2 O.
(a) Calculate brake-specific emission rates for each applicable duty cycle as specified in 40 CFR 1065.650. Apply infrequent regeneration adjustment factors as described in § 1036.580.
(b) Adjust CO 2 emission rates calculated under paragraph (a) of this section for measured test fuel properties as specified in this paragraph (b). This adjustment is intended to make official emission results independent of differences in test fuels within a fuel type. Use good engineering judgment to develop and apply testing protocols to minimize the impact of variations in test fuels.
(1) Determine your test fuel's mass-specific net energy content, E mfuelmeas, also known as lower heating value, in MJ/kg, expressed to at least three decimal places. Determine E mfuelmeas as follows:
(i) For liquid fuels, determine E mfuelmeas according to ASTM D4809 (incorporated by reference, see § 1036.810). Have the sample analyzed by at least three different labs and determine the final value of your test fuel's E mfuelmeas as the median of all the lab test results as described in 40 CFR 1065.602(m). If you have results from three different labs, we recommend you screen them to determine if additional observations are needed. To perform this screening, determine the absolute value of the difference between each lab result and the average of the other two lab results. If the largest of these three resulting absolute value differences is greater than 0.297 MJ/kg, we recommend you obtain additional results prior to determining the final value of E mfuelmeas.
(ii) For gaseous fuels, determine E mfuelmeas according to ASTM D3588 (incorporated by reference, see § 1036.810).
(2) Determine your test fuel's carbon mass fraction, w C, as described in 40 CFR 1065.655(d), expressed to at least three decimal places; however, you must measure fuel properties for α and β rather than using the default values specified in 40 CFR 1065.655(e).
(i) For liquid fuels, have the sample analyzed by at least three different labs, determine w C for each result as described in 40 CFR 1065.655(d), and determine the final value of your test fuel's w C as the median (as described in 40 CFR 1065.602(m)) of all the w C values. If you have results from three different labs, we recommend you screen them to determine if additional observations are needed. To perform this screening, determine the absolute value of the difference between each w C value and the average of the other two w C values. If the largest of these three resulting absolute value differences is greater than 1.56 percent carbon, we recommend you obtain additional results prior to determining the final value of w C.
(ii) For gaseous fuels, have the sample analyzed by a single lab and use that result as your test fuel's w C.
(3) If, over a period of time, you receive multiple fuel deliveries from a single stock batch of test fuel, you may use constant values for mass-specific energy content and carbon mass fraction, consistent with good engineering judgment. To use these constant values, you must demonstrate that every subsequent delivery comes from the same stock batch and that the fuel has not been contaminated.
(4) Correct measured CO 2 emission rates as follows:
Table 1 to Paragraph ( b )(4) of § 1036.550—Reference Fuel Properties
a For fuels that are not listed, you must ask us to approve reference fuel properties.
b For multi-fuel streams, such as natural gas with diesel fuel pilot injection, use good engineering judgment to determine blended values for E mfuelCref and w Cref using the values in this table.
(c) Your official emission result for each pollutant equals your calculated brake-specific emission rate multiplied by all applicable adjustment factors, other than the deterioration factor.
§ 1036.555   Test procedures to verify deterioration factors.
Sections 1036.240 through 1036.246 describe certification procedures to determine, verify, and apply deterioration factors. This section describes the measurement procedures for verifying deterioration factors using PEMS with in-use vehicles.
(a) Use PEMS to collect 1 Hz data throughout a shift-day of driving. Collect all the data elements needed to determine brake-specific emissions. Calculate emission results using moving average windows as described in § 1036.530.
(b) Collect data as needed to perform the calculations specified in paragraph (a) of this section and to submit the test report specified in § 1036.246(d).
§ 1036.580   Infrequently regenerating aftertreatment devices.
For engines using aftertreatment technology with infrequent regeneration events that may occur during testing, take one of the following approaches to account for the emission impact of regeneration on criteria pollutant and greenhouse gas emissions:
(a) You may use the calculation methodology described in 40 CFR 1065.680 to adjust measured emission results. Do this by developing an upward adjustment factor and a downward adjustment factor for each pollutant based on measured emission data and observed regeneration frequency as follows:
(1) Adjustment factors should generally apply to an entire engine family, but you may develop separate adjustment factors for different configurations within an engine family. Use the adjustment factors from this section for all testing for the engine family.
(2) You may use carryover data to establish adjustment factors for an engine family as described in § 1036.235(d), consistent with good engineering judgment.
(3) Identify the value of F [cycle] in each application for the certification for which it applies.
(4) Calculate separate adjustment factors for each required duty cycle.
(b) You may ask us to approve an alternate methodology to account for regeneration events. We will generally limit approval to cases where your engines use aftertreatment technology with extremely infrequent regeneration and you are unable to apply the provisions of this section.
(c) You may choose to make no adjustments to measured emission results if you determine that regeneration does not significantly affect emission levels for an engine family (or configuration) or if it is not practical to identify when regeneration occurs. You may omit adjustment factors under this paragraph (c) for N 2 O, CH 4 , or other individual pollutants under this paragraph (c) as appropriate. If you choose not to make adjustments under paragraph (a) or (b) of this section, your engines must meet emission standards for all testing, without regard to regeneration.
(d) If your engine family includes engines with one or more emergency AECDs approved under § 1036.115(h)(4), do not consider additional regenerations resulting from those AECDs when developing adjustments to measured values under paragraph (a) or (b) of this section.
§ 1036.601   Overview of compliance provisions.
(a) Engine and vehicle manufacturers, as well as owners, operators, and rebuilders of engines subject to the requirements of this part, and all other persons, must observe the provisions of this part, the provisions of 40 CFR part 1068, and the provisions of the Clean Air Act. The provisions of 40 CFR part 1068 apply for heavy-duty highway engines as specified in that part, subject to the following provisions:
(1) The exemption provisions of 40 CFR 1068.201 through 1068.230, 1068.240, and 1068.260 through 265 apply for heavy-duty motor vehicle engines. The other exemption provisions, which are specific to nonroad engines, do not apply for heavy-duty vehicles or heavy-duty engines.
(2) Engine signals to indicate a need for maintenance under § 1036.125(a)(1)(ii) are considered an element of design of the emission control system. Disabling, resetting, or otherwise rendering such signals inoperative without also performing the indicated maintenance procedure is therefore prohibited under 40 CFR 1068.101(b)(1).
(3) The warranty-related prohibitions in section 203(a)(4) of the Act (42 U.S.C. 7522(a)(4)) apply to manufacturers of new heavy-duty highway engines in addition to the prohibitions described in 40 CFR 1068.101(b)(6). We may assess a civil penalty up to $44,539 for each engine or vehicle in violation. The civil monetary penalty amount listed in this section may not reflect recent inflation adjustments EPA is required to make. The current maximum and minimum statutory civil penalty amounts are located in § 19.4.
(b) The following provisions from 40 CFR parts 85 and 86 continue to apply after December 20, 2026 for engines subject to the requirements of this part:
(1) The tampering prohibition in 40 CFR 1068.101(b)(1) applies for alternative fuel conversions as specified in 40 CFR part 85, subpart F.
(2) Engine manufacturers must meet service information requirements as specified in 40 CFR 86.010-38(j).
(3) Provisions related to nonconformance penalties apply as described in 40 CFR part 86, subpart L. Note that nonconformance penalty provisions are not available for current or future emission standards unless we revise the regulation to specify how to apply those provisions.
(4) The manufacturer-run in-use testing program described in 40 CFR part 86, subpart T, continues to apply for engines subject to exhaust emission standards under 40 CFR part 86.
(c) The emergency vehicle field modification provisions of 40 CFR 85.1716 apply with respect to the standards of this part. Emergency vehicle field modifications under 40 CFR 85.1716 may include corresponding changes to diagnostic systems relative to the requirements in §§ 1036.110 and 1036.111. For example, the cab display required under § 1036.110(c)(1) identifying a fault condition may omit information about the timing or extent of a pending derate if an AECD will override the derate.
(d) Subpart C of this part describes how to test and certify dual-fuel and flexible-fuel engines. Some multi-fuel engines may not fit either of those defined terms. For such engines, we will determine whether it is most appropriate to treat them as single-fuel engines, dual-fuel engines, or flexible-fuel engines based on the range of possible and expected fuel mixtures. For example, an engine might burn natural gas but initiate combustion with a pilot injection of diesel fuel. If the engine is designed to operate with a single fueling algorithm ( i.e., fueling rates are fixed at a given engine speed and load condition), we would generally treat it as a single-fuel engine. In this context, the combination of diesel fuel and natural gas would be its own fuel type. If the engine is designed to also operate on diesel fuel alone, we would generally treat it as a dual-fuel engine. If the engine is designed to operate on varying mixtures of the two fuels, we would generally treat it as a flexible-fuel engine. To the extent that requirements vary for the different fuels or fuel mixtures, we may apply the more stringent requirements.
§ 1036.605   Alternate emission standards for engines used in specialty vehicles.
Starting in model year 2027, compression-ignition engines at or above 56 kW and spark-ignition engines of any size that will be installed in specialty vehicles as allowed by 40 CFR 1037.605 are exempt from the standards of subpart B of this part if they are certified under this part to alternate emission standards as follows:
(a) Spark-ignition engines must be of a configuration that is identical to one that is certified under 40 CFR part 1048 to Blue Sky standards under 40 CFR 1048.140.
(b) Compression-ignition engines must be of a configuration that is identical to one that is certified under 40 CFR part 1039, and meet the following additional standards using the same duty cycles that apply under 40 CFR part 1039:
(1) The engines must be certified with a family emission limit for PM of 0.020 g/kW-hr.
(2) Diesel-fueled engines using selective catalytic reduction must meet an emission standard of 0.1 g/kW-hr for N 2 O.
(c) Except as specified in this section, engines certified under this section must meet all the requirements that apply under 40 CFR part 1039 or 1048 instead of the comparable provisions in this part. Before shipping engines under this section, you must have written assurance from vehicle manufacturers that they need a certain number of exempted engines under this section. In your annual production report under 40 CFR 1039.250 or 1048.250, count these engines separately and identify the vehicle manufacturers that will be installing them. Treat these engines as part of the corresponding engine family under 40 CFR part 1039 or part 1048 for compliance purposes such as testing production engines, in-use testing, defect reporting, and recall.
(d) The engines must be labeled as described in § 1036.135, with the following statement instead of the one specified in § 1036.135(c)(8): “This engine conforms to alternate standards for specialty vehicles under 40 CFR 1036.605.” Engines certified under this section may not have the label specified for nonroad engines in 40 CFR part 1039 or 1048 or any other label identifying them as nonroad engines.
(e) In a separate application for a certificate of conformity, identify the corresponding nonroad engine family, describe the label required under section, state that you meet applicable diagnostic requirements under 40 CFR part 1039 or 1048, and identify your projected U.S.-directed production volume.
(f) No additional certification fee applies for engines certified under this section.
(g) Engines certified under this section may not generate or use emission credits under this part or under 40 CFR part 1039. The vehicles in which these engines are installed may generate or use emission credits as described in 40 CFR part 1037.
§ 1036.610   Off-cycle technology credits and adjustments for reducing greenhouse gas emissions.
(a) You may ask us to apply the provisions of this section for CO 2 emission reductions resulting from powertrain technologies that were not in common use with heavy-duty vehicles before model year 2010 that are not reflected in the specified procedure. While you are not required to prove that such technologies were not in common use with heavy-duty vehicles before model year 2010, we will not approve your request if we determine that they do not qualify. We will apply these provisions only for technologies that will result in a measurable, demonstrable, and verifiable real-world CO 2 reduction. Note that prior to model year 2016, these technologies were referred to as “innovative technologies”.
(b) The provisions of this section may be applied as either an improvement factor (used to adjust emission results) or as a separate credit, consistent with good engineering judgment. Note that the term “credit” in this section describes an additive adjustment to emission rates and is not equivalent to an emission credit in the ABT program of subpart H of this part. We recommend that you base your credit/adjustment on A to B testing of pairs of engines/vehicles differing only with respect to the technology in question.
(1) Calculate improvement factors as the ratio of in-use emissions with the technology divided by the in-use emissions without the technology. Adjust the emission results by multiplying by the improvement factor. Use the improvement-factor approach where good engineering judgment indicates that the actual benefit will be proportional to emissions measured over the procedures specified in this part. For example, the benefits from technologies that reduce engine operation would generally be proportional to the engine's emission rate.
(2) Calculate separate credits based on the difference between the in-use emission rate (g/ton-mile) with the technology and the in-use emission rate without the technology. Subtract this value from your measured emission result and use this adjusted value to determine your FEL. We may also allow you to calculate the credits based on g/hp·hr emission rates. Use the separate-credit approach where good engineering judgment indicates that the actual benefit will not be proportional to emissions measured over the procedures specified in this part.
(3) We may require you to discount or otherwise adjust your improvement factor or credit to account for uncertainty or other relevant factors.
(c) Send your request to the Designated Compliance Officer. We recommend that you do not begin collecting data (for submission to EPA) before contacting us. For technologies for which the vehicle manufacturer could also claim credits (such as transmissions in certain circumstances), we may require you to include a letter from the vehicle manufacturer stating that it will not seek credits for the same technology. Your request must contain the following items:
(1) A detailed description of the off-cycle technology and how it functions to reduce CO 2 emissions under conditions not represented on the duty cycles required for certification.
(2) A list of the engine configurations that will be equipped with the technology.
(3) A detailed description and justification of the selected engines.
(4) All testing and simulation data required under this section, plus any other data you have considered in your analysis. You may ask for our preliminary approval of your plan under § 1036.210.
(5) A complete description of the methodology used to estimate the off-cycle benefit of the technology and all supporting data, including engine testing and in-use activity data. Also include a statement regarding your recommendation for applying the provisions of this section for the given technology as an improvement factor or a credit.
(6) An estimate of the off-cycle benefit by engine model, and the fleetwide benefit based on projected sales of engine models equipped with the technology.
(7) A demonstration of the in-use durability of the off-cycle technology, based on any available engineering analysis or durability testing data (either by testing components or whole engines).
(d) We may seek public comment on your request, consistent with the provisions of 40 CFR 86.1869-12(d). However, we will generally not seek public comment on credits/adjustments based on A to B engine dynamometer testing, chassis testing, or in-use testing.
(e) We may approve an improvement factor or credit for any configuration that is properly represented by your testing.
(1) For model years before 2021, you may continue to use an approved improvement factor or credit for any appropriate engine families in future model years through 2020.
(2) For model years 2021 and later, you may not rely on an approval for model years before 2021. You must separately request our approval before applying an improvement factor or credit under this section for 2021 and later engines, even if we approved an improvement factor or credit for similar engine models before model year 2021. Note that approvals for model year 2021 and later may carry over for multiple years.
§ 1036.615   Engines with Rankine cycle waste heat recovery and hybrid powertrains.
This section specifies how to generate advanced-technology emission credits for hybrid powertrains that include energy storage systems and regenerative braking (including regenerative engine braking) and for engines that include Rankine-cycle (or other bottoming cycle) exhaust energy recovery systems. This section applies only for model year 2020 and earlier engines.
(a) Pre-transmission hybrid powertrains. Test pre-transmission hybrid powertrains with the hybrid engine procedures of 40 CFR part 1065 or with the post-transmission procedures in § 1036.545. Pre-transmission hybrid powertrains are those engine systems that include features to recover and store energy during engine motoring operation but not from the vehicle's wheels. Engines certified with pre-transmission hybrid powertrains must be certified to meet the diagnostic requirements as specified in § 1036.110 with respect to powertrain components and systems; if different manufacturers produce the engine and the hybrid powertrain, the hybrid powertrain manufacturer may separately certify its powertrain relative to diagnostic requirements.
(b) Rankine engines. Test engines that include Rankine-cycle exhaust energy recovery systems according to the procedures specified in subpart F of this part unless we approve alternate procedures.
(c) Calculating credits. Calculate credits as specified in subpart H of this part. Credits generated from engines and powertrains certified under this section may be used in other averaging sets as described in § 1036.740(c).
(d) Off-cycle technologies. You may certify using both the provisions of this section and the off-cycle technology provisions of § 1036.610, provided you do not double-count emission benefits.
§ 1036.620   Alternate CO2standards based on model year 2011 compression-ignition engines.
For model years 2014 through 2016, you may certify your compression-ignition engines to the CO 2 standards of this section instead of the CO 2 standards in § 1036.108. However, you may not certify engines to these alternate standards if they are part of an averaging set in which you carry a balance of banked credits. You may submit applications for certifications before using up banked credits in the averaging set, but such certificates will not become effective until you have used up (or retired) your banked credits in the averaging set. For purposes of this section, you are deemed to carry credits in an averaging set if you carry credits from advanced technology that are allowed to be used in that averaging set.
(a) The standards of this section are determined from the measured emission rate of the engine of the applicable baseline 2011 engine family or families as described in paragraphs (b) and (c) of this section. Calculate the CO 2 emission rate of the baseline engine using the same equations used for showing compliance with the otherwise applicable standard. The alternate CO 2 standard for light and medium heavy-duty vocational-certified engines (certified for CO 2 using the transient cycle) is equal to the baseline emission rate multiplied by 0.975. The alternate CO 2 standard for tractor-certified engines (certified for CO 2 using the SET duty cycle) and all other Heavy HDE is equal to the baseline emission rate multiplied by 0.970. The in-use FEL for these engines is equal to the alternate standard multiplied by 1.03.
(b) This paragraph (b) applies if you do not certify all your engine families in the averaging set to the alternate standards of this section. Identify separate baseline engine families for each engine family that you are certifying to the alternate standards of this section. For an engine family to be considered the baseline engine family, it must meet the following criteria:
(1) It must have been certified to all applicable emission standards in model year 2011. If the baseline engine was certified to a NO X FEL above the standard and incorporated the same emission control technologies as the new engine family, you may adjust the baseline CO 2 emission rate to be equivalent to an engine meeting the 0.20 g/hp·hr NO X standard (or your higher FEL as specified in this paragraph (b)(1)), using certification results from model years 2009 through 2011, consistent with good engineering judgment.
(i) Use the following equation to relate model year 2009-2011 NO X and CO 2 emission rates (g/hp·hr): CO 2 = a × log(NO X )+ b.
(ii) For model year 2014-2016 engines certified to NO X FELs above 0.20 g/hp·hr, correct the baseline CO 2 emissions to the actual NO X FELs of the 2014-2016 engines.
(iii) Calculate separate adjustments for emissions over the SET duty cycle and the transient cycle.
(2) The baseline configuration tested for certification must have the same engine displacement as the engines in the engine family being certified to the alternate standards, and its rated power must be within five percent of the highest rated power in the engine family being certified to the alternate standards.
(3) The model year 2011 U.S.-directed production volume of the configuration tested must be at least one percent of the total 2011 U.S.-directed production volume for the engine family.
(4) The tested configuration must have cycle-weighted BSFC equivalent to or better than all other configurations in the engine family.
(c) This paragraph (c) applies if you certify all your engine families in the primary intended service class to the alternate standards of this section. For purposes of this section, you may combine Light HDE and Medium HDE into a single averaging set. Determine your baseline CO 2 emission rate as the production-weighted emission rate of the certified engine families you produced in the 2011 model year. If you produce engines for both tractors and vocational vehicles, treat them as separate averaging sets. Adjust the CO 2 emission rates to be equivalent to an engine meeting the average NO X FEL of new engines (assuming engines certified to the 0.20 g/hp·hr NO X standard have a NO X FEL equal to 0.20 g/hp·hr), as described in paragraph (b)(1) of this section.
(d) Include the following statement on the emission control information label: “THIS ENGINE WAS CERTIFIED TO AN ALTERNATE CO 2 STANDARD UNDER 40 CFR 1036.620.”
(e) You may not bank CO 2 emission credits for any engine family in the same averaging set and model year in which you certify engines to the standards of this section. You may not bank any advanced-technology credits in any averaging set for the model year you certify under this section (since such credits would be available for use in this averaging set). Note that the provisions of § 1036.745 apply for deficits generated with respect to the standards of this section.
(f) You need our approval before you may certify engines under this section, especially with respect to the numerical value of the alternate standards. We will not approve your request if we determine that you manipulated your engine families or engine configurations to certify to less stringent standards, or that you otherwise have not acted in good faith. You must keep and provide to us any information we need to determine that your engine families meet the requirements of this section. Keep these records for at least five years after you stop producing engines certified under this section.
§ 1036.625   In-use compliance with CO2family emission limits (FELs).
Section 1036.225 describes how to change the FEL for an engine family during the model year. This section, which describes how you may ask us to increase an engine family's CO 2 FEL after the end of the model year, is intended to address circumstances in which it is in the public interest to apply a higher in-use CO 2 FEL based on forfeiting an appropriate number of emission credits. For example, this may be appropriate where we determine that recalling vehicles would not significantly reduce in-use emissions. We will generally not allow this option where we determine the credits being forfeited would likely have expired.
(a) You may ask us to increase an engine family's FEL after the end of the model year if you believe some of your in-use engines exceed the CO 2 FEL that applied during the model year (or the CO 2 emission standard if the family did not generate or use emission credits). We may consider any available information in making our decision to approve or deny your request.
(b) If we approve your request under this section, you must apply emission credits to cover the increased FEL for all affected engines. Apply the emission credits as part of your credit demonstration for the current production year. Include the appropriate calculations in your final report under § 1036.730.
(c) Submit your request to the Designated Compliance Officer. Include the following in your request:
(1) Identify the names of each engine family that is the subject of your request. Include separate family names for different model years
(2) Describe why your request does not apply for similar engine models or additional model years, as applicable.
(3) Identify the FEL(s) that applied during the model year and recommend a replacement FEL for in-use engines; include a supporting rationale to describe how you determined the recommended replacement FEL.
(4) Describe whether the needed emission credits will come from averaging, banking, or trading.
(d) If we approve your request, we will identify the replacement FEL. The value we select will reflect our best judgment to accurately reflect the actual in-use performance of your engines, consistent with the testing provisions specified in this part. We may apply the higher FELs to other engine families from the same or different model years to the extent they used equivalent emission controls. We may include any appropriate conditions with our approval.
(e) If we order a recall for an engine family under 40 CFR 1068.505, we will no longer approve a replacement FEL under this section for any of your engines from that engine family, or from any other engine family that relies on equivalent emission controls.
§ 1036.630   Certification of engine greenhouse gas emissions for powertrain testing.
For engines included in powertrain families under 40 CFR part 1037, you may choose to include the corresponding engine emissions in your engine families under this part instead of (or in addition to) the otherwise applicable engine fuel maps.
(a) If you choose to certify powertrain fuel maps in an engine family, the declared powertrain emission levels become standards that apply for selective enforcement audits and in-use testing. We may require that you provide to us the engine cycle (not normalized) corresponding to a given powertrain for each of the specified duty cycles.
(b) If you choose to certify only fuel map emissions for an engine family and to not certify emissions over powertrain cycles under § 1036.545, we will not presume you are responsible for emissions over the powertrain cycles. However, where we determine that you are responsible in whole or in part for the emission exceedance in such cases, we may require that you participate in any recall of the affected vehicles (Note: this does not apply if you also hold the certificate of conformity for the vehicle).
(c) If you split an engine family into subfamilies based on different fuel-mapping procedures as described in § 1036.230(f)(2), the fuel-mapping procedures you identify for certifying each subfamily also apply for selective enforcement audits and in-use testing.
§ 1036.635   Certification requirements for high-GCWR medium-duty vehicles.
Engines that will be installed in Vehicles at or below 14,000 pounds GVWR that have GCWR above 22,000 pounds may be optionally certified under this part instead of vehicle certification under 40 CFR part 86, subpart S.
(a) Affected engines must meet the criteria pollutant standards specified in § 1036.104. The following specific provisions apply if engines are exempt from greenhouse gas standards under paragraph (b) or (c) of this section:
(1) Determine brake-specific CO 2 emissions over the FTP, e CO2FTPFCL, from the emission-data engine used for demonstrating compliance with criteria pollutant standards. You may alternatively determine e CO2FTPFCL based on chassis testing as described in 40 CFR 86.1845-04(h)(6). Use e CO2FTPFCL for calculating emission rates from in-use engines under § 1036.530. Report the measured CO 2 emission rate and the method of testing in your application for certification.
(2) For plug-in hybrid electric vehicles, meet battery monitor requirements under 40 CFR 1037.115(f) instead of the battery-related requirements under 40 CFR 86.1815-27.
(b) Affected engines that will be installed in complete vehicles are exempt from the greenhouse gas emission standards in § 1036.108, but engine certification under this part 1036 depends on the following conditions:
(1) The vehicles in which the engines are installed must meet the following vehicle-based standards under 40 CFR part 86, subpart S:
(i) Evaporative and refueling emission standards as specified in 40 CFR 86.1813-17.
(ii) Greenhouse gas emission standards as specified in 40 CFR 86.1819-14.
(2) Additional provisions related to relevant requirements from 40 CFR part 86, subpart S, apply for certifying engines under this part, as illustrated in the following examples:
(i) The engine's emission control information label must state that the vehicle meets evaporative and refueling emission standards under 40 CFR 86.1813-17 and greenhouse gas emission standards under 40 CFR 86.1819-14.
(ii) The application for certification must include the information related to complying with evaporative, refueling, and greenhouse gas emission standards.
(iii) We may require you to perform testing on in-use vehicles and report test results as specified in 40 CFR 86.1845-04, 86.1846-01, and 86.1847-01.
(iv) Demonstrate compliance with the fleet average CO 2 standard as described in 40 CFR 86.1865-12 by including vehicles certified under this section in the compliance calculations as part of the fleet averaging calculation for medium-duty vehicles certified under 40 CFR part 86, subpart S.
(3) State in the application for certification that you are using the provisions of this section to meet the fleet average CO 2 standard in 40 CFR 86.1819-14 instead of meeting the standards of § 1036.108 and instead of certifying the vehicle to standards under 40 CFR part 1037.
(c) The provisions in paragraph (b) of this section are optional for affected engines that will be installed in incomplete vehicles. If vehicles do not meet all the requirements described in paragraph (b) of this section, the engines must meet the greenhouse gas emission standards of § 1036.108 and the vehicles must be certified under 40 CFR part 1037.
§ 1036.655   Special provisions for diesel-fueled engines sold in American Samoa or the Commonwealth of the Northern Mariana Islands.
(a) The prohibitions in § 1068.101(a)(1) do not apply to diesel-fueled engines that are intended for use and will be used in American Samoa or the Commonwealth of the Northern Mariana Islands, subject to the following conditions:
(1) The engine meets the emission standards that applied to model year 2006 engines as specified in appendix A of this part.
(2) You meet all the requirements of 40 CFR 1068.265.
(b) If you introduce an engine into U.S. commerce under this section, you must meet the labeling requirements in § 1036.135, but add the following statement instead of the compliance statement in § 1036.135(c)(8):
THIS ENGINE (or VEHICLE, as applicable) CONFORMS TO US EPA EMISSION STANDARDS APPLICABLE TO MODEL YEAR 2006. THIS ENGINE (or VEHICLE, as applicable) DOES NOT CONFORM TO US EPA EMISSION REQUIREMENTS IN EFFECT AT TIME OF PRODUCTION AND MAY NOT BE IMPORTED INTO THE UNITED STATES OR ANY TERRITORY OF THE UNITED STATES EXCEPT AMERICAN SAMOA OR THE COMMONWEALTH OF THE NORTHERN MARIANA ISLANDS.
(c) Introducing into U.S. commerce an engine exempted under this section in any state or territory of the United States other than American Samoa or the Commonwealth of the Northern Mariana Islands, throughout its lifetime, violates the prohibitions in 40 CFR 1068.101(a)(1), unless it is exempt under a different provision.
(d) The exemption provisions in this section also applied for model year 2007 and later engines introduced into commerce in Guam before January 1, 2024.
§ 1036.701   General provisions.
(a) You may average, bank, and trade (ABT) emission credits for purposes of certification as described in this subpart and in subpart B of this part to show compliance with the standards of §§ 1036.104 and 1036.108. Participation in this program is voluntary. Note that certification to NO X standards in § 1036.104 is based on a family emission limit (FEL) and certification to CO 2 standards in § 1036.108 is based on a Family Certification Level (FCL). This part refers to “FEL/FCL” to simultaneously refer to FELs for NO X and FCLs for CO 2 . Note also that subpart B of this part requires you to assign an FCL to all engine families, whether or not they participate in the ABT provisions of this subpart.
(b) The definitions of subpart I of this part apply to this subpart in addition to the following definitions:
(1) Actual emission credits means emission credits you have generated that we have verified by reviewing your final report.
(2) Averaging set means a set of engines in which emission credits may be exchanged. See § 1036.740.
(3) Broker means any entity that facilitates a trade of emission credits between a buyer and seller.
(4) Buyer means the entity that receives emission credits as a result of a trade.
(5) Reserved emission credits means emission credits you have generated that we have not yet verified by reviewing your final report.
(6) Seller means the entity that provides emission credits during a trade.
(7) Standard means the emission standard that applies under subpart B of this part for engines not participating in the ABT program of this subpart.
(8) Trade means to exchange emission credits, either as a buyer or seller.
(c) Emission credits may be exchanged only within an averaging set, except as specified in § 1036.740.
(d) You may not use emission credits generated under this subpart to offset any emissions that exceed an FEL/FCL or standard. This paragraph (d) applies for all testing, including certification testing, in-use testing, selective enforcement audits, and other production-line testing. However, if emissions from an engine exceed an FEL/FCL or standard (for example, during a selective enforcement audit), you may use emission credits to recertify the engine family with a higher FEL/FCL that applies only to future production.
(e) You may use either of the following approaches to retire or forego emission credits:
(1) You may retire emission credits generated from any number of your engines. This may be considered donating emission credits to the environment. Identify any such credits in the reports described in § 1036.730. Engines must comply with the applicable FELs even if you donate or sell the corresponding emission credits. Donated credits may no longer be used by anyone to demonstrate compliance with any EPA emission standards.
(2) You may certify an engine family using an FEL/FCL below the emission standard as described in this part and choose not to generate emission credits for that family. If you do this, you do not need to calculate emission credits for those engine families, and you do not need to submit or keep the associated records described in this subpart for that family.
(f) Emission credits may be used in the model year they are generated. Surplus emission credits may be banked for future model years. Surplus emission credits may sometimes be used for past model years, as described in § 1036.745.
(g) You may increase or decrease an FEL/FCL during the model year by amending your application for certification under § 1036.225. The new FEL/FCL may apply only to engines you have not already introduced into commerce.
(h) See § 1036.740 for special credit provisions that apply for greenhouse gas credits generated under 40 CFR 86.1819-14(k)(7) or § 1036.615 or 40 CFR 1037.615.
(i) Unless the regulations in this part explicitly allow it, you may not calculate Phase 1 credits more than once for any emission reduction. For example, if you generate Phase 1 CO 2 emission credits for a hybrid engine under this part for a given vehicle, no one may generate CO 2 emission credits for that same hybrid engine and the associated vehicle under 40 CFR part 1037. However, Phase 1 credits could be generated for identical vehicles using engines that did not generate credits under this part.
(j) Credits you generate with compression-ignition engines in 2020 and earlier model years may be used in model year 2021 and later as follows:
(1) For credit-generating engines certified to the tractor engine standards in § 1036.108, you may use credits calculated relative to the tractor engine standards.
(2) For credit-generating engines certified to the vocational engine standards in § 1036.108, you may optionally carry over adjusted vocational credits from an averaging set, and you may use credits calculated relative to the emission levels in the following table:
Table 1 to Paragraph ( j )(2) of § 1036.701—Emission Levels for Credit Calculation
(k) Engine families you certify with a nonconformance penalty under 40 CFR part 86, subpart L, may not generate emission credits.
§ 1036.705   Generating and calculating emission credits.
(a) The provisions of this section apply separately for calculating emission credits for each pollutant.
(b) For each participating family, calculate positive or negative emission credits relative to the otherwise applicable emission standard. Calculate positive emission credits for a family that has an FEL/FCL below the standard. Calculate negative emission credits for a family that has an FEL/FCL above the standard. Sum your positive and negative credits for the model year before rounding.
(1) Calculate emission credits to the nearest megagram (Mg) for each family or subfamily using the following equation:
(2) [Reserved]
(3) The following additional provisions apply for calculating CO 2 credits:
(i) For engine families certified to both the vocational and tractor engine standards, calculate credits separately for the vocational engines and the tractor engines. We may allow you to use statistical methods to estimate the total production volumes where a small fraction of the engines cannot be tracked precisely.
(ii) Calculate the transient cycle conversion factor for vocational engines based on the average of vocational engine configurations weighted by their production volumes. Similarly, calculate the transient cycle conversion factor for tractor engines based on the average of tractor engine configurations weighted by their production volumes. Note that calculating the transient cycle conversion factor for tractors requires you to use the conversion factor even for engines certified to standards based on the SET duty cycle.
(iii) The FCL for CO 2 is based on measurement over the FTP duty cycle for vocational engines and over the SET duty cycle for tractor engines.
(4) You may not generate emission credits for tractor engines ( i.e., engines not certified to the transient cycle for CO 2 ) installed in vocational vehicles (including vocational tractors certified under 40 CFR 1037.630 or exempted under 40 CFR 1037.631). We will waive this provision where you demonstrate that less than five percent of the engines in your tractor family were installed in vocational vehicles. For example, if you know that 96 percent of your tractor engines were installed in non-vocational tractors but cannot determine the vehicle type for the remaining four percent, you may generate credits for all the engines in the family.
(5) You may generate CO 2 emission credits from a model year 2021 or later medium heavy-duty engine family subject to spark-ignition standards for exchanging with other engine families only if the engines in the family are gasoline-fueled. You may generate CO 2 credits from non-gasoline engine families only for the purpose of offsetting CH 4 and/or N 2 O emissions within the same engine family as described in paragraph (d) of this section.
(c) Compliance with the requirements of this subpart is determined at the end of the model year by calculating emission credits based on actual production volumes, excluding the following engines:
(1) Engines that you do not certify to the CO 2 standards of this part because they are permanently exempted under subpart G of this part or under 40 CFR part 1068.
(2) Exported engines.
(3) Engines not subject to the requirements of this part, such as those excluded under § 1036.5. For example, do not include engines used in vehicles certified to the greenhouse gas standards of 40 CFR 86.1819.
(4) Engines certified to state emission standards that are different than the emission standards referenced in this section, and intended for sale in a state that has adopted those emission standards.
(5) Any other engines if we indicate elsewhere in this part that they are not to be included in the calculations of this subpart.
(d) You may use CO 2 emission credits to show compliance with CH 4 and/or N 2 O FELs instead of the otherwise applicable emission standards. To do this, calculate the CH 4 and/or N 2 O emission credits needed (negative credits) using the equation in paragraph (b) of this section, using the FEL(s) you specify for your engines during certification instead of the FCL. You must use 34 Mg of positive CO 2 credits to offset 1 Mg of negative CH 4 credits for model year 2021 and later engines, and you must use 25 Mg of positive CO 2 credits to offset 1 Mg of negative CH 4 credits for earlier engines. You must use 298 Mg of positive CO 2 credits to offset 1 Mg of negative N 2 O credits.
§ 1036.710   Averaging.
(a) Averaging is the exchange of emission credits among your engine families. You may average emission credits only within the same averaging set, except as specified in § 1036.740.
(b) You may certify one or more engine families to an FEL/FCL above the applicable standard, subject to any applicable FEL caps and other the provisions in subpart B of this part, if you show in your application for certification that your projected balance of all emission-credit transactions in that model year is greater than or equal to zero, or that a negative balance is allowed under § 1036.745.
(c) If you certify an engine family to an FEL/FCL that exceeds the otherwise applicable standard, you must obtain enough emission credits to offset the engine family's deficit by the due date for the final report required in § 1036.730. The emission credits used to address the deficit may come from your other engine families that generate emission credits in the same model year (or from later model years as specified in § 1036.745), from emission credits you have banked, or from emission credits you obtain through trading.
§ 1036.715   Banking.
(a) Banking is the retention of surplus emission credits by the manufacturer generating the emission credits for use in future model years for averaging or trading.
(b) You may designate any emission credits you plan to bank in the reports you submit under § 1036.730 as reserved credits. During the model year and before the due date for the final report, you may designate your reserved emission credits for averaging or trading.
(c) Reserved credits become actual emission credits when you submit your final report. However, we may revoke these emission credits if we are unable to verify them after reviewing your reports or auditing your records.
(d) Banked credits retain the designation of the averaging set in which they were generated.
§ 1036.720   Trading.
(a) Trading is the exchange of emission credits between manufacturers. You may use traded emission credits for averaging, banking, or further trading transactions. Traded emission credits remain subject to the averaging-set restrictions based on the averaging set in which they were generated.
(b) You may trade actual emission credits as described in this subpart. You may also trade reserved emission credits, but we may revoke these emission credits based on our review of your records or reports or those of the company with which you traded emission credits. You may trade banked credits within an averaging set to any certifying manufacturer.
(c) If a negative emission credit balance results from a transaction, both the buyer and seller are liable, except in cases we deem to involve fraud. See § 1036.255(e) for cases involving fraud. We may void the certificates of all engine families participating in a trade that results in a manufacturer having a negative balance of emission credits. See § 1036.745.
§ 1036.725   Required information for certification.
(a) You must declare in your application for certification your intent to use the provisions of this subpart for each engine family that will be certified using the ABT program. You must also declare the FEL/FCL you select for the engine family for each pollutant for which you are using the ABT program. Your FELs must comply with the specifications of subpart B of this part, including the FEL caps.
(b) Include the following in your application for certification:
(1) A statement that, to the best of your belief, you will not have a negative balance of emission credits for any averaging set when all emission credits are calculated at the end of the year; or a statement that you will have a negative balance of emission credits for one or more averaging sets, but that it is allowed under § 1036.745.
(2) Calculations of projected emission credits (positive or negative) based on projected production volumes as described in § 1036.705(c). We may require you to include similar calculations from your other engine families to project your net credit balances for the model year. If you project negative emission credits for a family, state the source of positive emission credits you expect to use to offset the negative emission credits.
§ 1036.730   ABT reports.
(a) If you certify any of your engine families using the ABT provisions of this subpart, you must send us a final report by September 30 following the end of the model year.
(b) Your report must include the following information for each engine family participating in the ABT program:
(1) Engine-family designation and averaging set.
(2) The emission standards that would otherwise apply to the engine family.
(3) The FEL/FCL for each pollutant. If you change the FEL/FCL after the start of production, identify the date that you started using the new FEL/FCL and/or give the engine identification number for the first engine covered by the new FEL/FCL. In this case, identify each applicable FEL/FCL and calculate the positive or negative emission credits as specified in § 1036.225(f).
(4) The projected and actual production volumes for calculating emission credits for the model year. If you changed an FEL/FCL during the model year, identify the actual production volume associated with each FEL/FCL.
(5) The transient cycle conversion factor for each engine configuration as described in § 1036.705.
(6) Useful life.
(7) Calculated positive or negative emission credits for the whole engine family. Identify any emission credits that you traded, as described in paragraph (d)(1) of this section.
(c) Your report must include the following additional information:
(1) Show that your net balance of emission credits from all your participating engine families in each averaging set in the applicable model year is not negative, except as allowed under § 1036.745. Your credit tracking must account for the limitation on credit life under § 1036.740(d).
(2) State whether you will reserve any emission credits for banking.
(3) State that the report's contents are accurate.
(d) If you trade emission credits, you must send us a report within 90 days after the transaction, as follows:
(1) As the seller, you must include the following information in your report:
(i) The corporate names of the buyer and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) The averaging set corresponding to the engine families that generated emission credits for the trade, including the number of emission credits from each averaging set.
(2) As the buyer, you must include the following information in your report:
(i) The corporate names of the seller and any brokers.
(ii) A copy of any contracts related to the trade.
(iii) How you intend to use the emission credits, including the number of emission credits you intend to apply for each averaging set.
(e) Send your reports electronically to the Designated Compliance Officer using an approved information format. If you want to use a different format, send us a written request with justification for a waiver.
(f) Correct errors in your report as follows:
(1) If you notify us by the deadline for submitting the final report that errors mistakenly decreased your balance of emission credits, you may correct the errors and recalculate the balance of emission credits. If you notify us that errors mistakenly decreased your balance of GHG emission credits after the deadline for submitting the final report, you may correct the errors and recalculate the balance of emission credits after applying a 10 percent discount to the credit correction, but only if you notify us within 24 months after the deadline for submitting the final report. If you report a negative balance of emission credits, we may disallow corrections under this paragraph (f)(1).
(2) If you or we determine any time that errors mistakenly increased your balance of emission credits, you must correct the errors and recalculate the balance of emission credits.
§ 1036.735   Recordkeeping.
(a) You must organize and maintain your records as described in this section. We may review your records at any time.
(b) Keep the records required by this section for at least eight years after the due date for the end-of-year report. You may not use emission credits for any engines if you do not keep all the records required under this section. You must therefore keep these records to continue to bank valid credits. Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.
(c) Keep a copy of the reports we require in §§ 1036.725 and 1036.730.
(d) Keep appropriate records to document production volumes of engines that generate or use emission credits under the ABT program. For example, keep available records of the engine identification number (usually the serial number) for each engine you produce that generates or uses emission credits. You may identify these numbers as a range. If you change the FEL/FCL after the start of production, identify the date you started using each FEL/FCL and the range of engine identification numbers associated with each FEL/FCL. You must also identify the purchaser and destination for each engine you produce to the extent this information is available.
(e) We may require you to keep additional records or to send us relevant information not required by this section in accordance with the Clean Air Act.
§ 1036.740   Restrictions for using emission credits.
The following restrictions apply for using emission credits:
(a) Averaging sets. Except as specified in paragraph (c) of this section, emission credits may be exchanged only within the following averaging sets based on primary intended service class:
(1) Spark-ignition HDE.
(2) Light HDE.
(3) Medium HDE.
(4) Heavy HDE.
(b) Applying credits to prior year deficits. Where your CO 2 credit balance for the previous year is negative, you may apply credits to that deficit only after meeting your credit obligations for the current year.
(c) CO 2 credits from hybrid engines and other advanced technologies. Phase 1 CO 2 credits you generate under § 1036.615 may be used for any of the averaging sets identified in paragraph (a) of this section; you may also use those credits to demonstrate compliance with the CO 2 emission standards in 40 CFR 86.1819 and 40 CFR part 1037. Similarly, you may use Phase 1 advanced-technology credits generated under 40 CFR 86.1819-14(k)(7) or 40 CFR 1037.615 to demonstrate compliance with the CO 2 standards in this part. In the case of Spark-ignition HDE and Light HDE you may not use more than 60,000 Mg of credits from other averaging sets in any model year.
(1) The maximum CO 2 credits you may bring into the following service class groups is 60,000 Mg per model year:
(i) Spark-ignition HDE, Light HDE, and Light HDV. This group comprises the averaging sets listed in paragraphs (a)(1) and (2) of this section and the averaging set listed in 40 CFR 1037.740(a)(1).
(ii) Medium HDE and Medium HDV. This group comprises the averaging sets listed in paragraph (a)(3) of this section and 40 CFR 1037.740(a)(2).
(iii) Heavy HDE and Heavy HDV. This group comprises the averaging sets listed in paragraph (a)(4) of this section and 40 CFR 1037.740(a)(3).
(2) Paragraph (c)(1) of this section does not limit the advanced-technology credits that can be used within a service class group if they were generated in that same service class group.
(d) NO X and CO 2 credit life. NO X and CO 2 credits may be used only for five model years after the year in which they are generated. For example, credits you generate in model year 2027 may be used to demonstrate compliance with emission standards only through model year 2032.
(e) Other restrictions. Other sections of this part specify additional restrictions for using emission credits under certain special provisions.
§ 1036.745   End-of-year CO2credit deficits.
Except as allowed by this section, we may void the certificate of any engine family certified to an FCL above the applicable standard for which you do not have sufficient credits by the deadline for submitting the final report.
(a) Your certificate for an engine family for which you do not have sufficient CO 2 credits will not be void if you remedy the deficit with surplus credits within three model years. For example, if you have a credit deficit of 500 Mg for an engine family at the end of model year 2015, you must generate (or otherwise obtain) a surplus of at least 500 Mg in that same averaging set by the end of model year 2018.
(b) You may not bank or trade away CO 2 credits in the averaging set in any model year in which you have a deficit.
(c) You may apply only surplus credits to your deficit. You may not apply credits to a deficit from an earlier model year if they were generated in a model year for which any of your engine families for that averaging set had an end-of-year credit deficit.
(d) You must notify us in writing how you plan to eliminate the credit deficit within the specified time frame. If we determine that your plan is unreasonable or unrealistic, we may deny an application for certification for a vehicle family if its FEL would increase your credit deficit. We may determine that your plan is unreasonable or unrealistic based on a consideration of past and projected use of specific technologies, the historical sales mix of your vehicle models, your commitment to limit production of higher-emission vehicles, and expected access to traded credits. We may also consider your plan unreasonable if your credit deficit increases from one model year to the next. We may require that you send us interim reports describing your progress toward resolving your credit deficit over the course of a model year.
(e) If you do not remedy the deficit with surplus credits within three model years, we may void your certificate for that engine family. We may void the certificate based on your end-of-year report. Note that voiding a certificate applies ab initio. Where the net deficit is less than the total amount of negative credits originally generated by the family, we will void the certificate only with respect to the number of engines needed to reach the amount of the net deficit. For example, if the original engine family generated 500 Mg of negative credits, and the manufacturer's net deficit after three years was 250 Mg, we would void the certificate with respect to half of the engines in the family.
(f) For purposes of calculating the statute of limitations, the following actions are all considered to occur at the expiration of the deadline for offsetting a deficit as specified in paragraph (a) of this section:
(1) Failing to meet the requirements of paragraph (a) of this section.
(2) Failing to satisfy the conditions upon which a certificate was issued relative to offsetting a deficit.
(3) Selling, offering for sale, introducing or delivering into U.S. commerce, or importing vehicles that are found not to be covered by a certificate as a result of failing to offset a deficit.
§ 1036.750   Consequences for noncompliance.
(a) For each engine family participating in the ABT program, the certificate of conformity is conditioned upon full compliance with the provisions of this subpart during and after the model year. You are responsible to establish to our satisfaction that you fully comply with applicable requirements. We may void the certificate of conformity for an engine family if you fail to comply with any provisions of this subpart.
(b) You may certify your engine family to an FEL/FCL above an applicable standard based on a projection that you will have enough emission credits to offset the deficit for the engine family. See § 1036.745 for provisions specifying what happens if you cannot show in your final report that you have enough actual emission credits to offset a deficit for any pollutant in an engine family.
(c) We may void the certificate of conformity for an engine family if you fail to keep records, send reports, or give us information we request. Note that failing to keep records, send reports, or give us information we request is also a violation of 42 U.S.C. 7522(a)(2).
(d) You may ask for a hearing if we void your certificate under this section (see § 1036.820).
§ 1036.755   Information provided to the Department of Transportation.
After receipt of each manufacturer's final report as specified in § 1036.730 and completion of any verification testing required to validate the manufacturer's submitted final data, we will issue a report to the Department of Transportation with CO 2 emission information and will verify the accuracy of each manufacturer's equivalent fuel consumption data that required by NHTSA under 49 CFR 535.8. We will send a report to DOT for each engine manufacturer based on each regulatory category and subcategory, including sufficient information for NHTSA to determine fuel consumption and associated credit values. See 49 CFR 535.8 to determine if NHTSA deems submission of this information to EPA to also be a submission to NHTSA.
§ 1036.801   Definitions.
The following definitions apply to this part. The definitions apply to all subparts unless we note otherwise. All undefined terms have the meaning the Act gives to them. The definitions follow:
Act means the Clean Air Act, as amended, 42 U.S.C. 7401-7671q.
Adjustable parameter has the meaning given in 40 CFR 1068.50.
Advanced technology means technology certified under 40 CFR 86.1819-14(k)(7), § 1036.615, or 40 CFR 1037.615.
Aftertreatment means relating to a catalytic converter, particulate filter, or any other system, component, or technology mounted downstream of the exhaust valve (or exhaust port) whose design function is to decrease emissions in the engine exhaust before it is exhausted to the environment. Exhaust gas recirculation (EGR) and turbochargers are not aftertreatment.
Aircraft means any vehicle capable of sustained air travel more than 100 feet above the ground.
Alcohol-fueled engine mean an engine that is designed to run using an alcohol fuel. For purposes of this definition, alcohol fuels do not include fuels with a nominal alcohol content below 25 percent by volume.
Auxiliary emission control device means any element of design that senses temperature, motive speed, engine speed (r/min), transmission gear, or any other parameter for the purpose of activating, modulating, delaying, or deactivating the operation of any part of the emission control system.
Averaging set has the meaning given in § 1036.740.
Calibration means the set of specifications and tolerances specific to a particular design, version, or application of a component or assembly capable of functionally describing its operation over its working range.
Carbon-containing fuel has the meaning given in 40 CFR 1065.1001.
Carryover means relating to certification based on emission data generated from an earlier model year as described in § 1036.235(d).
Certification means relating to the process of obtaining a certificate of conformity for an engine family that complies with the emission standards and requirements in this part.
Certified emission level means the highest deteriorated emission level in an engine family for a given pollutant from the applicable transient and/or steady-state testing, rounded to the same number of decimal places as the applicable standard. Note that you may have two certified emission levels for CO 2 if you certify a family for both vocational and tractor use.
Charge-depleting has the meaning given in 40 CFR 1066.1001.
Charge-sustaining has the meaning given in 40 CFR 1066.1001.
Complete vehicle means a vehicle meeting the definition of complete vehicle in 40 CFR 1037.801 when it is first sold as a vehicle. For example, where a vehicle manufacturer sells an incomplete vehicle to a secondary vehicle manufacturer, the vehicle is not a complete vehicle under this part, even after its final assembly.
Compression-ignition means relating to a type of reciprocating, internal-combustion engine that is not a spark-ignition engine. Note that § 1036.1 also deems gas turbine engines and other engines to be compression-ignition engines.
Crankcase emissions means airborne substances emitted to the atmosphere from any part of the engine crankcase's ventilation or lubrication systems. The crankcase is the housing for the crankshaft and other related internal parts.
Critical emission-related component has the meaning given in 40 CFR 1068.30.
Defeat device has the meaning given in § 1036.115(h).
Designated Compliance Officer means one of the following:
(1) For engines subject to compression-ignition standards, Designated Compliance Officer means Director, Diesel Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; www.epa.gov/ve-certification .
(2) For engines subject to spark-ignition standards, Designated Compliance Officer means Director, Gasoline Engine Compliance Center, U.S. Environmental Protection Agency, 2000 Traverwood Drive, Ann Arbor, MI 48105; complianceinfo@epa.gov; www.epa.gov/ve-certification .
Deteriorated emission level means the emission level that results from applying the appropriate deterioration factor to the official emission result of the emission-data engine. Note that where no deterioration factor applies, references in this part to the deteriorated emission level mean the official emission result.
Deterioration factor means the relationship between emissions at the end of useful life (or point of highest emissions if it occurs before the end of useful life) and emissions at the low-hour/low-mileage point, expressed in one of the following ways:
(1) For multiplicative deterioration factors, the ratio of emissions at the end of useful life (or point of highest emissions) to emissions at the low-hour point.
(2) For additive deterioration factors, the difference between emissions at the end of useful life (or point of highest emissions) and emissions at the low-hour point.
Diesel exhaust fluid (DEF) means a liquid reducing agent (other than the engine fuel) used in conjunction with selective catalytic reduction to reduce NO X emissions. Diesel exhaust fluid is generally understood to be an aqueous solution of urea conforming to the specifications of ISO 22241.
Dual-fuel means relating to an engine designed for operation on two different types of fuel but not on a continuous mixture of those fuels (see § 1036.601(d)). For purposes of this part, such an engine remains a dual-fuel engine even if it is designed for operation on three or more different fuels.
Electronic control module (ECM) means an engine's electronic device that uses data from engine sensors to control engine parameters.
Emergency vehicle means a vehicle that meets one of the following criteria:
(1) It is an ambulance or a fire truck.
(2) It is a vehicle that we have determined will likely be used in emergency situations where emission control function or malfunction may cause a significant risk to human life. For example, we would consider a truck that is certain to be retrofitted with a slip-on firefighting module to become an emergency vehicle, even though it was not initially designed to be a fire truck. Also, a mobile command center that is unable to manually regenerate its DPF while on duty could be an emergency vehicle. In making this determination, we may consider any factor that has an effect on the totality of the actual risk to human life. For example, we may consider how frequently a vehicle will be used in emergency situations or how likely it is that the emission controls will cause a significant risk to human life when the vehicle is used in emergency situations. We would not consider the truck in the example above to be an emergency vehicle if there is merely a possibility (rather than a certainty) that it will be retrofitted with a slip-on firefighting module.
Emission control system means any device, system, or element of design that controls or reduces the emissions of regulated pollutants from an engine.
Emission-data engine means an engine that is tested for certification. This includes engines tested to establish deterioration factors.
Emission-related component has the meaning given in 40 CFR part 1068, appendix A.
Emission-related maintenance means maintenance that substantially affects emissions or is likely to substantially affect emission deterioration.
Engine configuration means a unique combination of engine hardware and calibration (related to the emission standards) within an engine family, which would include hybrid components for engines certified as hybrid engines and hybrid powertrains. Engines within a single engine configuration differ only with respect to normal production variability or factors unrelated to compliance with emission standards.
Engine family has the meaning given in § 1036.230.
Excluded means relating to engines that are not subject to some or all of the requirements of this part as follows:
(1) An engine that has been determined not to be a heavy-duty engine is excluded from this part.
(2) Certain heavy-duty engines are excluded from the requirements of this part under § 1036.5.
(3) Specific regulatory provisions of this part may exclude a heavy-duty engine generally subject to this part from one or more specific standards or requirements of this part.
Exempted has the meaning given in 40 CFR 1068.30.
Exhaust gas recirculation means a technology that reduces emissions by routing exhaust gases that had been exhausted from the combustion chamber(s) back into the engine to be mixed with incoming air before or during combustion. The use of valve timing to increase the amount of residual exhaust gas in the combustion chamber(s) that is mixed with incoming air before or during combustion is not considered exhaust gas recirculation for the purposes of this part.
Family certification level (FCL) means a CO 2 emission level declared by the manufacturer that is at or above emission results for all emission-data engines. The FCL serves as the emission standard for the engine family with respect to certification testing if it is different than the otherwise applicable standard.
Family emission limit (FEL) means one of the following:
(1) For NO X emissions, family emission limit means a NO X emission level declared by the manufacturer to serve in place of an otherwise applicable emission standard under the ABT program in subpart H of this part. The FEL serves as the emission standard for the engine family with respect to all required testing.
(2) For greenhouse gas standards, family emission limit means an emission level that serves as the standard that applies for testing individual certified engines. The CO 2 FEL is equal to the CO 2 FCL multiplied by 1.03 and rounded to the same number of decimal places as the standard.
Federal Test Procedure (FTP) means the applicable transient duty cycle described in § 1036.512 designed to measure exhaust emissions during urban driving.
Flexible-fuel means relating to an engine designed for operation on any mixture of two or more different types of fuels (see § 1036.601(d)).
Fuel type means a general category of fuels such as diesel fuel, gasoline, or natural gas. There can be multiple grades within a single fuel type, such as premium gasoline, regular gasoline, or gasoline with 10 percent ethanol.
Good engineering judgment has the meaning given in 40 CFR 1068.30. See 40 CFR 1068.5 for the administrative process we use to evaluate good engineering judgment.
Greenhouse gas Emissions Model (GEM) means the GEM simulation tool described in 40 CFR 1037.520. Note that an updated version of GEM applies starting in model year 2021.
Gross vehicle weight rating (GVWR) means the value specified by the vehicle manufacturer as the maximum design loaded weight of a single vehicle, consistent with good engineering judgment.
Heavy-duty engine means any engine which the engine manufacturer could reasonably expect to be used for motive power in a heavy-duty vehicle. For purposes of this definition in this part, the term “engine” includes internal combustion engines and other devices that convert chemical fuel into motive power. For example, a gas turbine used in a heavy-duty vehicle is a heavy-duty engine.
Heavy-duty vehicle means any motor vehicle above 8,500 pounds GVWR. An incomplete vehicle is also a heavy-duty vehicle if it has a curb weight above 6,000 pounds or a basic vehicle frontal area greater than 45 square feet. Curb weight and basic vehicle frontal area have the meaning given in 40 CFR 86.1803-01.
Hybrid means relating to an engine or powertrain that includes a Rechargeable Energy Storage System. Hybrid engines store and recover energy in a way that is integral to the engine or otherwise upstream of the vehicle's transmission. Examples of hybrid engines include engines with hybrid components connected to the front end of the engine (P0), connected to the crankshaft before the clutch (P1), or connected between the clutch and the transmission where the clutch upstream of the hybrid feature is in addition to the transmission clutch or clutches (P2). Engine-based systems that recover kinetic energy to power an electric heater in the aftertreatment are themselves not sufficient to qualify as a hybrid engine. The provisions in this part that apply for hybrid powertrains apply equally for hybrid engines, except as specified. Note that certain provisions in this part treat hybrid powertrains intended for vehicles that include regenerative braking different than those intended for vehicles that do not include regenerative braking. The definition of hybrid includes plug-in hybrid electric powertrains.
Hydrocarbon (HC) has the meaning given in 40 CFR 1065.1001.
Identification number means a unique specification (for example, a model number/serial number combination) that allows someone to distinguish a particular engine from other similar engines.
Incomplete vehicle means a vehicle meeting the definition of incomplete vehicle in 40 CFR 1037.801 when it is first sold (or otherwise delivered to another entity) as a vehicle.
Innovative technology means technology certified under § 1036.610 (also described as “off-cycle technology”).
Liquefied petroleum gas (LPG) means a liquid hydrocarbon fuel that is stored under pressure and is composed primarily of nonmethane compounds that are gases at atmospheric conditions. Note that, although this commercial term includes the word “petroleum”, LPG is not considered to be a petroleum fuel under the definitions of this section.
Low-hour means relating to an engine that has stabilized emissions and represents the undeteriorated emission level. This would generally involve less than 300 hours of operation for engines with NO X aftertreatment and 125 hours of operation for other engines.
Manufacture means the physical and engineering process of designing, constructing, and/or assembling a heavy-duty engine or a heavy-duty vehicle.
Manufacturer has the meaning given in 40 CFR 1068.30.
Medium-duty passenger vehicle has the meaning given in 40 CFR 86.1803.
Mild hybrid means relating to a hybrid engine or hybrid powertrain with regenerative braking capability where the system recovers less than 20 percent of the total braking energy over the transient cycle defined in 40 CFR part 1037, appendix A.
Model year means the manufacturer's annual new model production period, except as restricted under this definition. It must include January 1 of the calendar year for which the model year is named, may not begin before January 2 of the previous calendar year, and it must end by December 31 of the named calendar year. Manufacturers may not adjust model years to circumvent or delay compliance with emission standards or to avoid the obligation to certify annually.
Motorcoach means a heavy-duty vehicle designed for carrying 30 or more passengers over long distances. Such vehicles are characterized by row seating, rest rooms, and large luggage compartments, and facilities for stowing carry-on luggage.
Motor vehicle has the meaning given in 40 CFR 85.1703.
Natural gas means a fuel whose primary constituent is methane.
Neat has the meaning given in 40 CFR 1065.1001.
New motor vehicle engine has the meaning given in the Act. This generally means a motor vehicle engine meeting any of the following:
(1) A motor vehicle engine for which the ultimate purchaser has never received the equitable or legal title is a new motor vehicle engine. This kind of engine might commonly be thought of as “brand new” although a new motor vehicle engine may include previously used parts. Under this definition, the engine is new from the time it is produced until the ultimate purchaser receives the title or places it into service, whichever comes first.
(2) An imported motor vehicle engine is a new motor vehicle engine if it was originally built on or after January 1, 1970.
(3) Any motor vehicle engine installed in a new motor vehicle.
Noncompliant engine means an engine that was originally covered by a certificate of conformity, but is not in the certified configuration or otherwise does not comply with the conditions of the certificate.
Nonconforming engine means an engine not covered by a certificate of conformity that would otherwise be subject to emission standards.
Nonmethane hydrocarbon (NMHC) means the sum of all hydrocarbon species except methane, as measured according to 40 CFR part 1065.
Nonmethane hydrocarbon equivalent (NMHCE) has the meaning given in 40 CFR 1065.1001.
Nonmethane nonethane hydrocarbon equivalent (NMNEHC) has the meaning given in 40 CFR 1065.1001.
Off-cycle technology means technology certified under § 1036.610 (also described as “innovative technology”).
Official emission result means the measured emission rate for an emission-data engine on a given duty cycle before the application of any deterioration factor, but after the applicability of any required regeneration or other adjustment factors.
Owners manual means a document or collection of documents prepared by the engine or vehicle manufacturer for the owner or operator to describe appropriate engine maintenance, applicable warranties, and any other information related to operating or keeping the engine. The owners manual is typically provided to the ultimate purchaser at the time of sale. The owners manual may be in paper or electronic format.
Oxides of nitrogen has the meaning given in 40 CFR 1065.1001.
Percent has the meaning given in 40 CFR 1065.1001. Note that this means percentages identified in this part are assumed to be infinitely precise without regard to the number of significant figures. For example, one percent of 1,493 is 14.93.
Placed into service means put into initial use for its intended purpose, excluding incidental use by the manufacturer or a dealer.
Preliminary approval means approval granted by an authorized EPA representative prior to submission of an application for certification, consistent with the provisions of § 1036.210.
Primary intended service class has the meaning given in § 1036.140.
Rechargeable Energy Storage System (RESS) has the meaning given in 40 CFR 1065.1001.
Relating to as used in this section means relating to something in a specific, direct manner. This expression is used in this section only to define terms as adjectives and not to broaden the meaning of the terms.
Revoke has the meaning given in 40 CFR 1068.30.
Round has the meaning given in 40 CFR 1065.1001.
Sample means the collection of engines selected from the population of an engine family for emission testing. This may include testing for certification, production-line testing, or in-use testing.
Scheduled maintenance means adjusting, removing, disassembling, cleaning, or replacing components or systems periodically to keep a part or system from failing, malfunctioning, or wearing prematurely.
Small manufacturer means a manufacturer meeting the criteria specified in 13 CFR 121.201. The employee and revenue limits apply to the total number of employees and total revenue together for all affiliated companies (as defined in 40 CFR 1068.30). Note that manufacturers with low production volumes may or may not be “small manufacturers”.
Spark-ignition means relating to a gasoline-fueled engine or any other type of engine with a spark plug (or other sparking device) and with operating characteristics significantly similar to the theoretical Otto combustion cycle. Spark-ignition engines usually use a throttle to regulate intake air flow to control power during normal operation.
State of certified energy (SOCE) means a value representing the amount of usable battery energy available at a specific point in time relative to the certified value for a new battery, expressed as a percentage of the certified usable battery energy.
Steady-state has the meaning given in 40 CFR 1065.1001. This includes fuel mapping and idle testing where engine speed and load are held at a finite set of nominally constant values.
Suspend has the meaning given in 40 CFR 1068.30.
Test engine means an engine in a sample.
Tractor means a vehicle meeting the definition of “tractor” in 40 CFR 1037.801, but not classified as a “vocational tractor” under 40 CFR 1037.630, or relating to such a vehicle.
Tractor engine means an engine certified for use in tractors. Where an engine family is certified for use in both tractors and vocational vehicles, “tractor engine” means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a tractor. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a tractor engine.
Ultimate purchaser means, with respect to any new engine or vehicle, the first person who in good faith purchases such new engine or vehicle for purposes other than resale.
United States has the meaning given in 40 CFR 1068.30.
Upcoming model year means for an engine family the model year after the one currently in production.
U.S.-directed production volume means the number of engines, subject to the requirements of this part, produced by a manufacturer for which the manufacturer has a reasonable assurance that sale was or will be made to ultimate purchasers in the United States.
Vehicle has the meaning given in 40 CFR 1037.801.
Vocational engine means an engine certified for use in vocational vehicles. Where an engine family is certified for use in both tractors and vocational vehicles, “vocational engine” means an engine that the engine manufacturer reasonably believes will be (or has been) installed in a vocational vehicle. Note that the provisions of this part may require a manufacturer to document how it determines that an engine is a vocational engine.
Vocational vehicle means a vehicle meeting the definition of “vocational” vehicle in 40 CFR 1037.801.
Void has the meaning given in 40 CFR 1068.30.
We (us, our) means the Administrator of the Environmental Protection Agency and any authorized representatives.
§ 1036.805   Symbols, abbreviations, and acronyms.
The procedures in this part generally follow either the International System of Units (SI) or the United States customary units, as detailed in NIST Special Publication 811 (incorporated by reference, see § 1036.810). See 40 CFR 1065.20 for specific provisions related to these conventions. This section summarizes the way we use symbols, units of measure, and other abbreviations.
(a) Symbols for chemical species. This part uses the following symbols for chemical species and exhaust constituents:
Table 1 to Paragraph ( a ) of § 1036.805—Symbols for Chemical Species and Exhaust Constituents
(b) Symbols for quantities. This part uses the following symbols and units of measure for various quantities:
Table 2 to Paragraph ( b ) of § 1036.805—Symbols for Quantities
(c) Superscripts. This part uses the following superscripts for modifying quantity symbols:
Table 3 to Paragraph ( c ) of § 1036.805—Superscripts
(d) Subscripts. This part uses the following subscripts for modifying quantity symbols:
Table 4 to Paragraph ( d ) of § 1036.805—Subscripts
(e) Other acronyms and abbreviations. This part uses the following additional abbreviations and acronyms:
Table 5 to Paragraph ( e ) of § 1036.805—Other Acronyms and Abbreviations
(f) Constants. This part uses the following constants:
Table 6 to Paragraph ( f ) of § 1036.805—Constants
(g) Prefixes. This part uses the following prefixes to define a quantity:
Table 7 to Paragraph ( g ) of § 1036.805—Prefixes
§ 1036.810   Incorporation by reference.
Certain material is incorporated by reference into this part with the approval of the Director of the Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any edition other than that specified in this section, EPA must publish a document in the Federal Register and the material must be available to the public. All approved incorporation by reference (IBR) material is available for inspection at EPA and at the National Archives and Records Administration (NARA). Contact EPA at: U.S. EPA, Air and Radiation Docket Center, WJC West Building, Room 3334, 1301 Constitution Ave. NW, Washington, DC 20004; www.epa.gov/dockets; (202) 202-1744. For information on inspecting this material at NARA, visit www.archives.gov/federal-register/cfr/ibr-locations.html or email fr.inspection@nara.gov . The material may be obtained from the following sources:
(a) ASTM International, 100 Barr Harbor Drive, P.O. Box C700, West Conshohocken, PA 19428-2959; (877) 909-2786; www.astm.org .
(1) ASTM D975-22, Standard Specification for Diesel Fuel, approved October 1, 2022 (“ASTM D975”); IBR approved for § 1036.415(c).
(2) ASTM D3588-98 (Reapproved 2017)e1, Standard Practice for Calculating Heat Value, Compressibility Factor, and Relative Density of Gaseous Fuels, approved April 1, 2017 (“ASTM D3588”); IBR approved for § 1036.550(b).
(3) ASTM D4809-18, Standard Test Method for Heat of Combustion of Liquid Hydrocarbon Fuels by Bomb Calorimeter (Precision Method), approved July 1, 2018 (“ASTM D4809”); IBR approved for § 1036.550(b).
(4) ASTM D4814-21c, Standard Specification for Automotive Spark-Ignition Engine Fuel, approved December 15, 2021 (“ASTM D4814”); IBR approved for § 1036.415(c).
(5) ASTM D7467-20a, Standard Specification for Diesel Fuel Oil, Biodiesel Blend (B6 to B20), approved June 1, 2020 (“ASTM D7467”); IBR approved for § 1036.415(c).
(b) National Institute of Standards and Technology (NIST), 100 Bureau Drive, Stop 1070, Gaithersburg, MD 20899-1070; (301) 975-6478; www.nist.gov .
(1) NIST Special Publication 811, 2008 Edition, Guide for the Use of the International System of Units (SI), Physics Laboratory, March 2008; IBR approved for § 1036.805.
(2) [Reserved]
(c) SAE International, 400 Commonwealth Dr., Warrendale, PA 15096-0001; (877) 606-7323 (U.S. and Canada) or (724) 776-4970 (outside the U.S. and Canada); www.sae.org:
(1) SAE J1979-2 APR2021, E/E Diagnostic Test Modes: OBDonUDS, Issued April 2021, (“SAE J1979-2”); IBR approved for § 1036.150(v).
(2) [Reserved]
(d) State of California, Office of Administrative Law, 300 Capitol Mall, Suite 1250, Sacramento, CA 95814-4339; 916-323-6815; staff@oal.ca.gov; www.oal.ca.gov/publications/ccr .
(1) 2019 13 CCR 1968.2, Title 13. Motor Vehicles, Division 3. Air Resources Board, Chapter 1. Motor Vehicle Pollution Control Devices, Article 2. Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1968.2. Malfunction and Diagnostic System Requirements—2004 and Subsequent Model-Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles and Engines, operative October 3, 2019 “13 CCR 1968.2”; into §§ 1036.110(b); 1036.111(a).
(2) 2019 13 CCR 1968.5, Title 13. Motor Vehicles, Division 3. Air Resources Board, Chapter 1. Motor Vehicle Pollution Control Devices, Article 2. Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1968.5. Enforcement of Malfunction and Diagnostic System Requirements for 2004 and Subsequent Model-Year Passenger Cars, Light-Duty Trucks, and Medium-Duty Vehicles and Engines, operative July 25, 2016 “13 CCR 1968.5”; into § 1036.110(b).
(3) 2019 13 CCR 1971.1, Title 13. Motor Vehicles, Division 3. Air Resources Board, Chapter 1. Motor Vehicle Pollution Control Devices, Article 2. Approval of Motor Vehicle Pollution Control Devices (New Vehicles), § 1971.1. On-Board Diagnostic System Requirements—2010 and Subsequent Model-Year Heavy-Duty Engines, operative October 3, 2019 “13 CCR 1971.1”; into §§ 1036.110(b); 1036.111(a); 1036.150(v).
(4) 13 CA ADC 1971.5: 2019 CA REG TEXT 504962 (NS), 13 CA ADC 1971.5. Enforcement of Malfunction and Diagnostic System Requirements for 2010 and Subsequent Model-Year Heavy-Duty Engines, operative October 3, 2019 “13 CCR 1971.5”; into § 1036.110(b).
(e) U.S. EPA, Office of Air and Radiation, 2565 Plymouth Road, Ann Arbor, MI 48105; www.epa.gov; complianceinfo@epa.gov .
(1) Greenhouse gas Emissions Model (GEM) Phase 2, Version 4.0, April 2022 (“GEM Phase 2, Version 4.0”); IBR approved for § 1036.545(a).
(2) [Reserved]
§ 1036.815   Confidential information.
(a) The provisions of 40 CFR 1068.10 and 1068.11 apply for information you submit under this part.
(b) Emission data or information that is publicly available cannot be treated as confidential business information as described in 40 CFR 1068.11. Data that vehicle manufacturers need for demonstrating compliance with greenhouse gas emission standards, including fuel-consumption data as described in §§ 1036.535 and 1036.545, also qualify as emission data for purposes of confidentiality determinations.
§ 1036.820   Requesting a hearing.
(a) You may request a hearing under certain circumstances, as described elsewhere in this part. To do this, you must file a written request, including a description of your objection and any supporting data, within 30 days after we make a decision.
(b) For a hearing you request under the provisions of this part, we will approve your request if we find that your request raises a substantial factual issue.
(c) If we agree to hold a hearing, we will use the procedures specified in 40 CFR part 1068, subpart G.
§ 1036.825   Reporting and recordkeeping requirements.
(a) This part includes various requirements to submit and record data or other information. Unless we specify otherwise, store required records in any format and on any media and keep them readily available for eight years after you send an associated application for certification, or eight years after you generate the data if they do not support an application for certification. We may review these records at any time. You must promptly give us organized, written records in English if we ask for them. We may require you to submit written records in an electronic format.
(b) The regulations in § 1036.255 and 40 CFR 1068.25 and 1068.101 describe your obligation to report truthful and complete information. This includes information not related to certification. Failing to properly report information and keep the records we specify violates 40 CFR 1068.101(a)(2), which may involve civil or criminal penalties.
(c) Send all reports and requests for approval to the Designated Compliance Officer (see § 1036.801).
(d) Any written information we require you to send to or receive from another company is deemed to be a required record under this section. Such records are also deemed to be submissions to EPA. Keep these records for eight years unless the regulations specify a different period. We may require you to send us these records whether or not you are a certificate holder.
(e) Under the Paperwork Reduction Act (44 U.S.C. 3501 et seq. ), the Office of Management and Budget approves the reporting and recordkeeping specified in the applicable regulations. The following items illustrate the kind of reporting and recordkeeping we require for engines and vehicles regulated under this part:
(1) We specify the following requirements related to engine certification in this part:
(i) In § 1036.135 we require engine manufacturers to keep certain records related to duplicate labels sent to vehicle manufacturers.
(ii) In § 1036.150 we include various reporting and recordkeeping requirements related to interim provisions.
(iii) In subpart C of this part we identify a wide range of information required to certify engines.
(iv) In §§ 1036.430 and 1036.435 we identify reporting and recordkeeping requirements related to field testing in-use engines.
(v) In subpart G of this part we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various special compliance provisions.
(vi) In §§ 1036.725, 1036.730, and 1036.735 we specify certain records related to averaging, banking, and trading.
(2) We specify the following requirements related to testing in 40 CFR part 1065:
(i) In 40 CFR 1065.2 we give an overview of principles for reporting information.
(ii) In 40 CFR 1065.10 and 1065.12 we specify information needs for establishing various changes to published procedures.
(iii) In 40 CFR 1065.25 we establish basic guidelines for storing information.
(iv) In 40 CFR 1065.695 we identify the specific information and data items to record when measuring emissions.
(3) We specify the following requirements related to the general compliance provisions in 40 CFR part 1068:
(i) In 40 CFR 1068.5 we establish a process for evaluating good engineering judgment related to testing and certification.
(ii) In 40 CFR 1068.25 we describe general provisions related to sending and keeping information
(iii) In 40 CFR 1068.27 we require manufacturers to make engines available for our testing or inspection if we make such a request.
(iv) In 40 CFR 1068.105 we require vehicle manufacturers to keep certain records related to duplicate labels from engine manufacturers.
(v) In 40 CFR 1068.120 we specify recordkeeping related to rebuilding engines.
(vi) In 40 CFR part 1068, subpart C, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to various exemptions.
(vii) In 40 CFR part 1068, subpart D, we identify several reporting and recordkeeping items for making demonstrations and getting approval related to importing engines.
(viii) In 40 CFR 1068.450 and 1068.455 we specify certain records related to testing production-line engines in a selective enforcement audit.
(ix) In 40 CFR 1068.501 we specify certain records related to investigating and reporting emission-related defects.
(x) In 40 CFR 1068.525 and 1068.530 we specify certain records related to recalling nonconforming engines.
(xi) In 40 CFR part 1068, subpart G, we specify certain records for requesting a hearing.