Title 40—Protection of Environment--Volume 1
PART 1036—CONTROL OF EMISSIONS FROM NEW AND IN-USE HEAVY-DUTY HIGHWAY ENGINES
§ 1036.1   Applicability.
(a) Except as specified in § 1036.5, the provisions of this part apply for engines that will be installed in heavy-duty vehicles (including glider vehicles). Heavy-duty engines produced before December 20, 2026 are subject to greenhouse gas emission standards and related provisions under this part as specified in § 1036.108; these engines are subject to exhaust emission standards for NO X , HC, PM, and CO, and related provisions under 40 CFR part 86, subpart A and subpart N, instead of this part, except as follows:
(1) The provisions of §§ 1036.115, 1036.501(d), and 1036.601 apply.
(2) 40 CFR parts 85 and 86 may specify that certain provisions in this part apply.
(3) This part describes how several individual provisions are optional or mandatory before model year 2027. For example, § 1036.150(a) describes how you may generate emission credits by meeting the standards of this part before model year 2027.
(b) The provisions of this part also apply for fuel conversions of all engines described in paragraph (a) of this section as described in 40 CFR 85.502.
(c) Gas turbine heavy-duty engines and other heavy-duty engines not meeting the definition of compression-ignition or spark-ignition are deemed to be compression-ignition engines for purposes of this part.
(d) For the purpose of applying the provisions of this part, engines include all emission-related components and any components or systems that should be identified in your application for certification, such as hybrid components for engines that are certified as hybrid engines or hybrid powertrains.
§ 1036.2   Compliance responsibility.
The regulations in this part contain provisions that affect both engine manufacturers and others. However, the requirements of this part are generally addressed to the engine manufacturer(s). The term “you” generally means the engine manufacturer(s), especially for issues related to certification. Additional requirements and prohibitions apply to other persons as specified in subpart G of this part and 40 CFR part 1068.
§ 1036.5   Excluded engines.
(a) The provisions of this part do not apply to engines used in medium-duty passenger vehicles or other heavy-duty vehicles that are subject to regulation under 40 CFR part 86, subpart S, except as specified in 40 CFR part 86, subpart S, and § 1036.150(j). For example, this exclusion applies for engines used in vehicles certified to the standards of 40 CFR 86.1818 and 86.1819.
(b) An engine installed in a heavy-duty vehicle that is not used to propel the vehicle is not a heavy-duty engine. The provisions of this part therefore do not apply to these engines. Note that engines used to indirectly propel the vehicle (such as electrical generator engines that provide power to batteries for propulsion) are subject to this part. See 40 CFR part 1039, 1048, or 1054 for other requirements that apply for these auxiliary engines. See 40 CFR part 1037 for requirements that may apply for vehicles using these engines, such as the evaporative and refueling emission requirements of 40 CFR 1037.103.
(c) The provisions of this part do not apply to aircraft or aircraft engines. Standards apply separately to certain aircraft engines, as described in 40 CFR part 87.
(d) The provisions of this part do not apply to engines that are not internal combustion engines. For example, the provisions of this part generally do not apply to fuel cells. Note that gas turbine engines are internal combustion engines.
(e) The provisions of this part do not apply for model year 2013 and earlier heavy-duty engines unless they were:
(1) Voluntarily certified to this part.
(2) Installed in a glider vehicle subject to 40 CFR part 1037.
§ 1036.10   Organization of this part.
This part is divided into the following subparts:
(a) Subpart A of this part defines the applicability of this part and gives an overview of regulatory requirements.
(b) Subpart B of this part describes the emission standards and other requirements that must be met to certify engines under this part. Note that § 1036.150 describes certain interim requirements and compliance provisions that apply only for a limited time.
(c) Subpart C of this part describes how to apply for a certificate of conformity.
(d) Subpart D of this part addresses testing of production engines.
(e) Subpart E of this part describes provisions for testing in-use engines.
(f) Subpart F of this part describes how to test your engines (including references to other parts of the Code of Federal Regulations).
(g) Subpart G of this part describes requirements, prohibitions, and other provisions that apply to engine manufacturers, vehicle manufacturers, owners, operators, rebuilders, and all others.
(h) Subpart H of this part describes how you may generate and use emission credits to certify your engines.
(i) Subpart I of this part contains definitions and other reference information.
§ 1036.15   Other applicable regulations.
(a) Parts 85 and 86 of this chapter describe additional provisions that apply to engines that are subject to this part. See § 1036.601.
(b) Part 1037 of this chapter describes requirements for controlling evaporative and refueling emissions and greenhouse gas emissions from heavy-duty vehicles, whether or not they use engines certified under this part.
(c) Part 1065 of this chapter describes procedures and equipment specifications for testing engines to measure exhaust emissions. Subpart F of this part describes how to apply the provisions of part 1065 of this chapter to determine whether engines meet the exhaust emission standards in this part.
(d) The requirements and prohibitions of part 1068 of this chapter apply as specified in § 1036.601 to everyone, including anyone who manufactures, imports, installs, owns, operates, or rebuilds any of the engines subject to this part, or vehicles containing these engines. See § 1036.601 to determine how to apply the part 1068 regulations for heavy-duty engines. The issues addressed by these provisions include these seven areas:
(1) Prohibited acts and penalties for engine manufacturers, vehicle manufacturers, and others.
(2) Rebuilding and other aftermarket changes.
(3) Exclusions and exemptions for certain engines.
(4) Importing engines.
(5) Selective enforcement audits of your production.
(6) Recall.
(7) Procedures for hearings.
(e) Other parts of this chapter apply if referenced in this part.
§ 1036.30   Submission of information.
Unless we specify otherwise, send all reports and requests for approval to the Designated Compliance Officer (see § 1036.801). See § 1036.825 for additional reporting and recordkeeping provisions.
§ 1036.101   Overview of exhaust emission standards.
(a) You must show that engines meet the following exhaust emission standards:
(1) Criteria pollutant standards for NO X , HC, PM, and CO apply as described in § 1036.104. These pollutants are sometimes described collectively as “criteria pollutants” because they are either criteria pollutants under the Clean Air Act or precursors to the criteria pollutants ozone and PM.
(2) This part contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. Greenhouse gas (GHG) standards for CO 2 , CH 4 , and N 2 O apply as described in § 1036.108.
(b) You may optionally demonstrate compliance with the emission standards of this part by testing hybrid powertrains, rather than testing the engine alone. Except as specified, provisions of this part that reference engines apply equally to hybrid powertrains.
§ 1036.104   Criteria pollutant emission standards—NOX, HC, PM, and CO.
This section describes the applicable NO X , HC, CO, and PM standards for model years 2027 and later. These standards apply equally for all primary intended service classes unless otherwise noted.
(a) Emission standards. Exhaust emissions may not exceed the standards in this section, as follows:
(1) The following emission standards apply for Light HDE, Medium HDE, and Heavy HDE over the FTP, SET, and LLC duty cycles using the test procedures described in subpart F of this part:
Table 1 to Paragraph ( a )(1) of § 1036.104—Compression-Ignition Standards for Duty Cycle Testing
(2) The following emission standards apply for Spark-ignition HDE over the FTP and SET duty cycles using the test procedures described in subpart F of this part:
Table 2 to Paragraph ( a )(2) of § 1036.104—Spark-Ignition Standards for Duty Cycle Testing
(3) The following off-cycle emission standards apply for Light HDE, Medium HDE, and Heavy HDE using the procedures specified in § 1036.530, as follows:
Table 3 to Paragraph ( a )(3) of § 1036.104—Compression-Ignition Standards for Off-Cycle Testing
a T amb is the mean ambient temperature over a shift-day, or equivalent. Adjust the off-cycle NO X standard for T amb below 25.0 °C by adding the calculated temperature adjustment to the specified NO X standard. Round the temperature adjustment to the same precision as the NO X standard for the appropriate bin. If you declare a NO X FEL for the engine family, do not apply the FEL scaling calculation from paragraph (c)(3) of this section to the calculated temperature adjustment.
(b) Clean Idle. You may optionally certify compression-ignition engines to the Clean Idle NO X emission standard using the Clean Idle test specified in § 1036.525. The optional Clean Idle NO X emission standard is 30.0 g/h for model years 2024 through 2026, and 10.0 g/hr for model year 2027 and later. The standard applies separately to each mode of the Clean Idle test. If you certify an engine family to the Clean Idle standards, it is subject to all these voluntary standards as if they were mandatory.
(c) Averaging, banking, and trading. You may generate or use emission credits under the averaging, banking, and trading (ABT) program described in subpart H of this part for demonstrating compliance with NO X emission standards in paragraph (a) of this section. You must meet the PM, HC, and CO emission standards in § 1036.104(a) without generating or using emission credits.
(1) To generate or use emission credits, you must specify a family emission limit for each engine family. Declare the family emission limit corresponding to full useful life for engine operation over the FTP duty cycle, FEL FTP , expressed to the same number of decimal places as the emission standard. Use FEL FTP to calculate emission credits in subpart H of this part.
(2) The following NO X FEL caps are the maximum value you may specify for FEL FTP :
(i) 65 mg/hp·hr for model years 2027 through 2030.
(ii) 50 mg/hp·hr for model year 2031 and later.
(3) Calculate the NO X family emission limit, FEL [cycle]NO X , that applies for each duty-cycle or off-cycle standard using the following equation:
(4) The family emission limits you select under this paragraph (c) serve as the emission standards for compliance testing instead of the standards specified in this section.
(d) Fuel types. The exhaust emission standards in this section apply for engines using the fuel type on which the engines in the engine family are designed to operate. You must meet the numerical emission standards for HC in this section based on the following types of hydrocarbon emissions for engines powered by the following fuels:
(1) Alcohol-fueled engines: NMHCE emissions.
(2) Gaseous-fueled engines: NMNEHC emissions.
(3) Other engines: NMHC emissions.
(e) Useful life. The exhaust emission standards of this section apply for the useful life, expressed in vehicle miles, or hours of engine operation, or years in service, whichever comes first, as follows:
Table 4 to Paragraph ( e ) of § 1036.104—Useful Life by Primary Intended Service Class
(f) Applicability for testing. The emission standards in this subpart apply to all testing, including certification, selective enforcement audits, and in-use testing. For selective enforcement audits, we may require you to perform the appropriate duty-cycle testing as specified in §§ 1036.510, 1036.512, and 1036.514. We may direct you to do additional testing to show that your engines meet the off-cycle standards.
§ 1036.108   Greenhouse gas emission standards—CO2, CH4, and N2O.
This section contains standards and other regulations applicable to the emission of the air pollutant defined as the aggregate group of six greenhouse gases: carbon dioxide, nitrous oxide, methane, hydrofluorocarbons, perfluorocarbons, and sulfur hexafluoride. This section describes the applicable CO 2 , N 2 O, and CH 4 standards for engines.
(a) Emission standards. Emission standards apply for engines and optionally powertrains measured using the test procedures specified in subpart F of this part as follows:
(1) CO 2 emission standards in this paragraph (a)(1) apply based on testing as specified in subpart F of this part. The applicable test cycle for measuring CO 2 emissions differs depending on the engine family's primary intended service class and the extent to which the engines will be (or were designed to be) used in tractors. For Medium HDE and Heavy HDE certified as tractor engines, measure CO 2 emissions using the SET steady-state duty cycle specified in § 1036.510. This testing with the SET duty cycle is intended for engines designed to be used primarily in tractors and other line-haul applications. Note that the use of some SET-certified tractor engines in vocational applications does not affect your certification obligation under this paragraph (a)(1); see other provisions of this part and 40 CFR part 1037 for limits on using engines certified to only one cycle. For Medium HDE and Heavy HDE certified as both tractor and vocational engines, measure CO 2 emissions using the SET duty cycle specified in § 1036.510 and the FTP transient duty cycle specified in § 1036.512. Testing with both SET and FTP duty cycles is intended for engines that are designed for use in both tractor and vocational applications. For all other engines (including Spark-ignition HDE), measure CO 2 emissions using the FTP transient duty cycle specified in § 1036.512.
(i) Spark-ignition standards. The CO 2 standard for all spark-ignition engines is 627 g/hp·hr for model years 2016 through 2020.This standard continues to apply in later model years for all spark-ignition engines that are not Heavy HDE. Spark-ignition engines that qualify as Heavy HDE under § 1036.140(b)(2) for model years 2021 and later are subject to the compression-ignition engine standards for Heavy HDE-Vocational or Heavy HDE-Tractor, as applicable. You may certify spark-ignition engines to the compression-ignition standards for the appropriate model year under this paragraph (a). If you do this, those engines are treated as compression-ignition engines for all provisions of this part.
(ii) Compression-ignition standards. The following CO 2 standards apply for compression-ignition engines and model year 2021 and later spark-ignition engines that qualify as Heavy HDE:
Table 1 to Paragraph ( a )(1)( ii ) of § 1036.108—Compression-Ignition CO 2 Standards
[g/hp·hr]
(2) The CH 4 emission standard is 0.10 g/hp·hr when measured over the applicable FTP transient duty cycle specified in § 1036.512. This standard begins in model year 2014 for compression-ignition engines and in model year 2016 for spark-ignition engines. Note that this standard applies for all fuel types just like the other standards of this section.
(3) The N 2 O emission standard is 0.10 g/hp·hr when measured over the applicable FTP transient duty cycle specified in § 1036.512. This standard begins in model year 2014 for compression-ignition engines and in model year 2016 for spark-ignition engines.
(b) Family Certification Levels. You must specify a CO 2 Family Certification Level (FCL) for each engine family expressed to the same number of decimal places as the emission standard. The FCL may not be less than the certified emission level for the engine family. The CO 2 family emission limit (FEL) for the engine family is equal to the FCL multiplied by 1.03.
(c) Averaging, banking, and trading. You may generate or use emission credits under the averaging, banking, and trading (ABT) program described in subpart H of this part for demonstrating compliance with CO 2 emission standards. Credits (positive and negative) are calculated from the difference between the FCL and the applicable emission standard. As described in § 1036.705, you may use CO 2 credits to certify your engine families to FELs for N 2 O and/or CH 4 , instead of the N 2 O/CH 4 standards of this section that otherwise apply. Except as specified in §§ 1036.150 and 1036.705, you may not generate or use credits for N 2 O or CH 4 emissions.
(d) Useful life. The exhaust emission standards of this section apply for the useful life, expressed as vehicle miles, or hours of engine operation, or years in service, whichever comes first, as follows:
Table 3 to Paragraph ( d ) of § 1036.108—Useful Life by Primary Intended Service Class for Model Year 2021 and Later
a Useful life for Spark-ignition HDE and Light HDE before model year 2021 is 110,000 miles or 10 years, whichever occurs first.
b Useful life for Heavy HDE is also expressed as 22,000 operating hours. For an individual engine, the useful life is no shorter than 10 years or 100,000 miles, whichever occurs first, regardless of operating hours.
(e) Applicability for testing. The emission standards in this subpart apply as specified in this paragraph (e) to all duty-cycle testing (according to the applicable test cycles) of testable configurations, including certification, selective enforcement audits, and in-use testing. The CO 2 FCLs serve as the CO 2 emission standards for the engine family with respect to certification and confirmatory testing instead of the standards specified in paragraph (a)(1) of this section. The FELs serve as the emission standards for the engine family with respect to all other duty-cycle testing. See §§ 1036.235 and 1036.241 to determine which engine configurations within the engine family are subject to testing. Note that engine fuel maps and powertrain test results also serve as standards as described in §§ 1036.535, 1036.540, 1036.545, and 1036.630.
§ 1036.110   Diagnostic controls.
Onboard diagnostic (OBD) systems must generally detect malfunctions in the emission control system, store trouble codes corresponding to detected malfunctions, and alert operators appropriately. Starting in model year 2027, new engines must have OBD systems as described in this section. You may optionally comply with any or all of the requirements of this section instead of 40 CFR 86.010-18 in earlier model years.
(a) The requirements of this section apply for engines certified under this part, except in the following circumstances:
(1) Heavy-duty engines intended to be installed in heavy-duty vehicles at or below 14,000 pounds GVWR must meet the OBD requirements in 40 CFR 86.1806-27. Note that 40 CFR 86.1806-27 allows for using later versions of specified OBD requirements from the California Air Resources Board, which includes meeting the 2019 heavy-duty OBD requirements adopted for California and updated emission thresholds as described in this section.
(2) Heavy-duty spark-ignition engines intended to be installed in heavy-duty vehicles above 14,000 pounds GVWR may instead meet the OBD requirements in 40 CFR 86.1806-27 if the same engines are also installed in vehicles certified under 40 CFR part 86, subpart S, where both sets of vehicles share similar emission controls.
(b) Engines must comply with the 2019 heavy-duty OBD requirements adopted for California as described in this paragraph (b). California's 2019 heavy-duty OBD requirements are part of 13 CCR 1968.2, 1968.5, 1971.1, and 1971.5 (incorporated by reference, see § 1036.810). We may approve your request to certify an OBD system meeting alternative specifications if you submit information as needed to demonstrate that it meets the intent of this section. For example, we may approve your request for a system that meets a later version of California's OBD requirements if you demonstrate that it meets the intent of this section; the demonstration must include identification of any approved deficiencies and your plans to resolve such deficiencies. To demonstrate that your engine meets the intent of this section, the OBD system meeting alternative specifications must address all the provisions described in this paragraph (b) and in paragraph (c) of this section. The following clarifications and exceptions apply for engines certified under this part:
(1) We may approve a small manufacturer's request to delay complying with the requirements of this section for up to three model years if that manufacturer has not certified those engines or other comparable engines in California for those model years.
(2) For engines not certified in California, references to vehicles meeting certain California Air Resources Board emission standards are understood to refer to the corresponding EPA emission standards for a given family, where applicable. Use good engineering judgment to correlate the specified standards with the EPA standards that apply under this part. You must describe in your application for certification how you will perform testing to demonstrate compliance with OBD requirements to represent all your engine families over five or fewer model years.
(3) Engines must comply with OBD requirements throughout the useful life as specified in § 1036.104(e).
(4) The purpose and applicability statements in 13 CCR 1971.1(a) and (b) do not apply.
(5) Emission thresholds apply as follows:
(i) Spark-ignition engines are subject to a NO X threshold of 0.35 g/hp·hr for catalyst monitoring and 0.30 g/hp·hr in all other cases. Spark-ignition engines are subject to a PM threshold of 0.015 g/hp·hr. Thresholds apply for operation on the FTP and SET duty cycles.
(ii) Compression-ignition engines are subject to a NO X threshold of 0.40 g/hp·hr and a PM threshold of 0.03 g/hp·hr for operation on the FTP and SET duty cycles.
(iii) All engines are subject to HC and CO thresholds as specified in 13 CCR 1968.2 and 1971.1, except that the “applicable standards” for determining these thresholds are 0.14 g/hp·hr for HC, 14.4 g/hp·hr for CO from spark-ignition engines, and 15.5 g/hp·hr for CO from compression-ignition engines.
(iv) Compression-ignition engines may be exempt from certain monitoring in 13 CCR 1968.2 and 1971.1 based on specified test-out criteria. To calculate these test-out criteria, the “applicable standards” are 0.20 g/hp·hr for NO X , 0.14 g/hp·hr for HC, 0.01 g/hp·hr for PM, 14.4 g/hp·hr for CO from spark-ignition engines, and 15.5 g/hp·hr for CO from compression-ignition engines.
(6) The provisions related to verification of in-use compliance in 13 CCR 1971.1(l)(4) do not apply. The provisions related to manufacturer self-testing in 13 CCR 1971.5(c) also do not apply.
(7) The deficiency provisions described in paragraph (d) of this section apply instead of 13 CCR 1971.1(k).
(8) Include the additional data-stream signals in 13 CCR 1971.1(h)(4.2.3)(E), (F), and (G) as freeze-frame conditions as required in 13 CCR 1971.1(h)(4.3).
(9) Design compression-ignition engines to make the following additional data-stream signals available on demand with a generic scan tool according to 13 CCR 1971.1(h)(4.2), if the engine is so equipped with the relevant components and OBD monitoring is required for those components (or modeling is required for some parameter related to those components):
(i) Engine and vehicle parameters. Status of parking brake, neutral switch, brake switch, and clutch switch, wastegate control solenoid output, wastegate position (commanded and actual), speed and output shaft torque consistent with § 1036.115(d).
(ii) Diesel oxidation catalyst parameters. Include inlet and outlet pressure and temperature for the diesel oxidation catalyst.
(iii) Particulate filter parameters. Include filter soot load and ash load for all installed particulate filters.
(iv) EGR parameters. Include differential pressure for exhaust gas recirculation.
(v) SCR parameters. Include DEF quality-related signals, DEF coolant control valve position (commanded and actual), DEF tank temperature, DEF system pressure, DEF pump commanded percentage, DEF doser control status, DEF line heater control outputs, aftertreatment dosing quantity commanded and actual.
(vi) Derating parameters. Include any additional parameters used to apply inducements under § 1036.111 or any other SCR-related or DPF-related engine derates under § 1036.125.
(10) Design spark-ignition engines to make the following additional parameters available for reading with a generic scan tool, if applicable:
(i) Air-fuel enrichment parameters. Percent of time in enrichment, both for each trip (key-on to key-off) and as a cumulative lifetime value. Track values separately for enrichment based on throttle, engine protection, and catalyst protection. Include all time after engine warm-up when the engine is not operating at the air-fuel ratio designed for peak three-way catalyst efficiency. Peak efficiency typically involves closed-loop feedback control.
(ii) [Reserved]
(11) If you have an approved Executive order from the California Air Resources Board for a given engine family, we may rely on that Executive order to evaluate whether you meet federal OBD requirements for that same engine family or an equivalent engine family. Engine families are equivalent if they are identical in all aspects material to emission characteristics; for example, we would consider different inducement strategies and different warranties not to be material to emission characteristics relevant to these OBD testing requirements. EPA would count two equivalent engine families as one for the purposes of determining OBD demonstration testing requirements. Send us the following information:
(i) You must submit additional information as needed to demonstrate that you meet the requirements of this section that are not covered by the California Executive order.
(ii) Send us results from any testing you performed for certifying engine families (including equivalent engine families) with the California Air Resources Board, including the results of any testing performed under 13 CCR 1971.1(l) for verification of in-use compliance and 13 CCR 1971.5(c) for manufacturer self-testing within the deadlines set out in 13 CCR 1971.1 and 1971.5.
(iii) We may require that you send us additional information if we need it to evaluate whether you meet the requirements of this paragraph (b)(11). This may involve sending us copies of documents you send to the California Air Resources Board.
(12) You may ask us to approve conditions for which the diagnostic system may disregard trouble codes, as described in 13 CCR 1971.1(g)(5.3)-(5.6).
(13) References to the California ARB Executive Officer are deemed to be the EPA Administrator.
(c) Design the diagnostic system to display the following information in the cab:
(1) For inducements specified in § 1036.111 and any other AECD that derates engine output related to SCR or DPF systems, indicate the fault code for the detected problem, a description of the fault code, and the current speed restriction. For inducement faults under § 1036.111, identify whether the fault condition is for DEF level, DEF quality, or tampering; for other faults, identify whether the fault condition is related to SCR or DPF systems. If there are additional derate stages, also indicate the next speed restriction and the time remaining until starting the next restriction. If the derate involves something other than restricting vehicle speed, such as a torque derate, adjust the information to correctly identify any current and pending restrictions.
(2) Identify on demand the total number of diesel particulate filter regeneration events that have taken place since installing the current particulate filter.
(3) Identify on demand the historical and current rate of DEF consumption, such as gallons of DEF consumed per mile or gallons of DEF consumed per gallon of diesel fuel consumed. Design the system to allow the operator to reset the current rate of DEF consumption.
(d) You may ask us to accept as compliant an engine that does not fully meet specific requirements under this section. The following provisions apply regarding OBD system deficiencies:
(1) We will not approve a deficiency for gasoline-fueled or diesel-fueled engines if it involves the complete lack of a major diagnostic monitor, such as monitors related to exhaust aftertreatment devices, oxygen sensors, air-fuel ratio sensors, NO X sensors, engine misfire, evaporative leaks, and diesel EGR (if applicable). We may approve such deficiencies for engines using other fuels if you demonstrate that the alternative fuel causes these monitors to be unreliable.
(2) We will approve a deficiency only if you show us that full compliance is infeasible or unreasonable considering any relevant factors, such as the technical feasibility of a given monitor, or the lead time and production cycles of vehicle designs and programmed computing upgrades.
(3) Our approval for a given deficiency applies only for a single model year, though you may continue to ask us to extend a deficiency approval in renewable one-year increments. We may approve an extension if you demonstrate an acceptable level of progress toward compliance and you show that the necessary hardware or software modifications would pose an unreasonable burden. We will approve a deficiency for more than three years only if you further demonstrate that you need the additional lead time to make substantial changes to engine hardware.
(4) We will not approve deficiencies retroactively.
§ 1036.111   Inducements related to SCR.
Engines using SCR to control emissions depend on a constant supply of diesel exhaust fluid (DEF). This section describes how manufacturers must design their engines to derate power output to induce operators to take appropriate actions to ensure the SCR system is working properly. The requirements of this section apply equally for engines installed in heavy-duty vehicles at or below 14,000 lbs GVWR. The requirements of this section apply starting in model year 2027, though you may comply with the requirements of this section in earlier model years.
(a) General provisions. The following terms and general provisions apply under this section:
(1) As described in § 1036.110, this section relies on terms and requirements specified for OBD systems by California ARB in 13 CCR 1968.2 and 1971.1 (incorporated by reference, see § 1036.810).
(2) The provisions of this section apply differently based on an individual vehicle's speed history. A vehicle's speed category is based on the OBD system's recorded value for average speed for the preceding 30 hours of non-idle engine operation. The vehicle speed category applies at the point that the engine first detects an inducement triggering condition identified under paragraph (b) of this section and continues to apply until the inducement triggering condition is fully resolved as specified in paragraph (e) of this section. Non-idle engine operation includes all operating conditions except those that qualify as idle based on OBD system controls as specified in 13 CCR 1971.1(h)(5.4.10). Apply speed derates based on the following categories:
Table 1 to Paragraph ( a )(2) of § 1036.111—Vehicle Categories
a A vehicle is presumed to be a high-speed vehicle if it has not yet logged 30 hours of non-idle operation.
(3) Where engines derate power output as specified in this section, the derate must decrease vehicle speed by 1 mi/hr for every five minutes of engine operation until reaching the specified derate speed. This paragraph (a)(3) applies at the onset of an inducement, at any transition to a different step of inducement, and for any derate that recurs under paragraph (e)(3) of this section.
(b) Inducement triggering conditions. Create derate strategies that monitor for and trigger an inducement based on the following conditions:
(1) DEF supply falling to 2.5 percent of DEF tank capacity or a level corresponding to three hours of engine operation, based on available information on DEF consumption rates.
(2) DEF quality failing to meet your concentration specifications.
(3) Any signal indicating that a catalyst is missing.
(4) Open circuit faults related to the following: DEF tank level sensor, DEF pump, DEF quality sensor, SCR wiring harness, NO X sensors, DEF dosing valve, DEF tank heater, DEF tank temperature sensor, and aftertreatment control module.
(c) [Reserved]
(d) Derate schedule. Engines must follow the derate schedule described in this paragraph (d) if the engine detects an inducement triggering condition identified in paragraph (b) of this section. The derate takes the form of a maximum drive speed for the vehicle. This maximum drive speed decreases over time based on hours of non-idle engine operation without regard to engine starting.
(1) Apply speed-limiting derates according to the following schedule:
Table 2 to Paragraph ( d )(1) of § 1036.111—Derate Schedule for Detected Inducement Triggering Conditions a
a Hours start counting when the engine detects an inducement triggering condition specified in paragraph (b) of this section. For DEF supply, you may program the engine to reset the timer to three hours when the engine detects an empty DEF tank.
(2) You may design and produce engines that will be installed in motorcoaches with an alternative derate schedule that starts with a 65 mi/hr derate when an inducement triggering condition is first detected, steps down to 50 mi/hr after 80 hours, and concludes with a final derate speed of 25 mi/hr after 180 hours of non-idle operation.
(e) Deactivating derates. Program the engine to deactivate derates as follows:
(1) Evaluate whether the detected inducement triggering condition continues to apply. Deactivate derates if the engine confirms that the detected inducement triggering condition is resolved.
(2) Allow a generic scan tool to deactivate inducement triggering codes while the vehicle is not in motion.
(3) Treat any detected inducement triggering condition that recurs within 40 hours of engine operation as the same detected inducement triggering condition, which would restart the derate at the same point in the derate schedule that the system last deactivated the derate.
§ 1036.115   Other requirements.
Engines that are required to meet the emission standards of this part must meet the following requirements, except as noted elsewhere in this part:
(a) Crankcase emissions. Engines may not discharge crankcase emissions into the ambient atmosphere throughout the useful life, other than those that are routed to the exhaust upstream of exhaust aftertreatment during all operation, except as follow:
(1) Engines equipped with turbochargers, pumps, blowers, or superchargers for air induction may discharge crankcase emissions to the ambient atmosphere if the emissions are added to the exhaust emissions (either physically or mathematically) during all emission testing.
(2) If you take advantage of this exception, you must manufacture the engines so that all crankcase emissions can be routed into the applicable sampling systems specified in 40 CFR part 1065. You must also account for deterioration in crankcase emissions when determining exhaust deterioration factors as described in § 1036.240(c)(5).
(b) Fuel mapping. You must perform fuel mapping for your engine as described in § 1036.505(b).
(c) Evaporative and refueling emissions. You must design and produce your engines to comply with evaporative and refueling emission standards as follows:
(1) For complete heavy-duty vehicles you produce, you must certify the vehicles to emission standards as specified in 40 CFR 1037.103.
(2) For incomplete heavy-duty vehicles, and for engines used in vehicles you do not produce, you do not need to certify your engines to evaporative and refueling emission standards or otherwise meet those standards. However, vehicle manufacturers certifying their vehicles with your engines may depend on you to produce your engines according to their specifications. Also, your engines must meet applicable exhaust emission standards in the installed configuration.
(d) Torque broadcasting. Electronically controlled engines must broadcast their speed and output shaft torque (in newton-meters). Engines may alternatively broadcast a surrogate value for determining torque. Engines must broadcast engine parameters such that they can be read with a remote device or broadcast them directly to their controller area networks.
(e) EPA access to broadcast information. If we request it, you must provide us any hardware, tools, and information we would need to readily read, interpret, and record all information broadcast by an engine's on-board computers and electronic control modules. If you broadcast a surrogate parameter for torque values, you must provide us what we need to convert these into torque units. We will not ask for hardware or tools if they are readily available commercially.
(f) Adjustable parameters. Engines that have adjustable parameters must meet all the requirements of this part for any adjustment in the practically adjustable range.
(1) We may require that you set adjustable parameters to any specification within the practically adjustable range during any testing, including certification testing, selective enforcement auditing, or in-use testing.
(2) General provisions apply for adjustable parameters as specified in 40 CFR 1068.50.
(3) DEF supply and DEF quality are adjustable parameters. The physically adjustable range includes any amount of DEF for which the engine's diagnostic system does not trigger inducement provisions under § 1036.111.
(g) Prohibited controls. (1) General provisions. You may not design your engines with emission control devices, systems, or elements of design that cause or contribute to an unreasonable risk to public health, welfare, or safety while operating. For example, this would apply if the engine emits a noxious or toxic substance it would otherwise not emit that contributes to such an unreasonable risk.
(2) Vanadium sublimation in SCR catalysts. For engines equipped with vanadium-based SCR catalysts, you must design the engine and its emission controls to prevent vanadium sublimation and protect the catalyst from high temperatures. We will evaluate your engine design based on the following information that you must include in your application for certification:
(i) Identify the threshold temperature for vanadium sublimation for your specified SCR catalyst formulation as described in 40 CFR 1065.1113 through 1065.1121.
(ii) Describe how you designed your engine to prevent catalyst inlet temperatures from exceeding the temperature you identify in paragraph (g)(2)(i) of this section, including consideration of engine wear through the useful life. Also describe your design for catalyst protection in case catalyst temperatures exceed the specified temperature. In your description, include how you considered elevated catalyst temperature resulting from sustained high-load engine operation, catalyst exotherms, particulate filter regeneration, and component failure resulting in unburned fuel in the exhaust stream.
(h) Defeat devices. You may not equip your engines with a defeat device. A defeat device is an auxiliary emission control device (AECD) that reduces the effectiveness of emission controls under conditions that may reasonably be expected in normal operation and use. However, an AECD is not a defeat device if you identify it in your application for certification and any of the following is true:
(1) The conditions of concern were substantially included in the applicable procedure for duty-cycle testing as described in subpart F of this part.
(2) You show your design is necessary to prevent engine (or vehicle) damage or accidents. Preventing engine damage includes preventing damage to aftertreatment or other emission-related components.
(3) The reduced effectiveness applies only to starting the engine.
(4) The AECD applies only for engines that will be installed in emergency vehicles, and the need is justified in terms of preventing the engine from losing speed, torque, or power due abnormal conditions of the emission control system, or in terms of preventing such abnormal conditions from occurring, during operation related to emergency response. Examples of such abnormal conditions may include excessive exhaust backpressure from an overloaded particulate trap, and running out of diesel exhaust fluid for engines that rely on urea-based selective catalytic reduction. The emission standards do not apply when any AECDs approved under this paragraph (h)(4) are active.
(i) DEF tanks. Diesel exhaust fluid tanks must be sized to require refilling no more frequently than the vehicle operator will need to refill the fuel tank, even for worst-case assumptions related to fuel efficiency and refueling volumes.
(j) Special provisions for spark-ignition engines. The following provisions apply for spark-ignition engines that control air-fuel ratios at or near stoichiometry starting with model year 2027:
(1) Catalyst bed temperature during extended idle may not fall below 350 °C, or a lower temperature that we approve. Describe how you designed your engine to meet this requirement in your application for certification. You may ask us to approve alternative strategies to prevent emissions from increasing during idle.
(2) In addition to the information requirements of § 1036.205(b), describe why you rely on any AECDs instead of other engine designs for thermal protection of catalyst or other emission-related components. Also describe the accuracy of any modeled or measured temperatures used to activate the AECD. We may ask you to submit a second-by-second comparison of any modeled and measured component temperatures as part of your application for certification.
§ 1036.120   Emission-related warranty requirements.
(a) General requirements. You must warrant to the ultimate purchaser and each subsequent purchaser that the new engine, including all parts of its emission control system, meets two conditions:
(1) It is designed, built, and equipped so it conforms at the time of sale to the ultimate purchaser with the requirements of this part.
(2) It is free from defects in materials and workmanship that may keep it from meeting these requirements.
(b) Warranty period. Your emission-related warranty must be valid for at least as long as the minimum warranty periods listed in this paragraph (b) in vehicle miles, or hours of engine operation, or years in service, whichever comes first. You may offer an emission-related warranty more generous than we require. The emission-related warranty for the engine may not be shorter than any published warranty you offer without charge for the engine. Similarly, the emission-related warranty for any component may not be shorter than any published warranty you offer without charge for that component. If an extended warranty requires owners to pay for a portion of repairs, those terms apply in the same manner to the emission-related warranty. The warranty period begins when the vehicle is placed into service. The following minimum warranty periods apply:
Table 1 to Paragraph ( b ) of § 1036.120—Warranty by Primary Intended Service Class
(c) Components covered. The emission-related warranty covers all components listed in 40 CFR part 1068, appendix A, and components from any other system you develop to control emissions. Note that this includes hybrid system components that you specify in a certified configuration. The emission-related warranty covers any components, regardless of the company that produced them, that are the original components or the same design as components from the certified configuration.
(d) Limited applicability. You may deny warranty claims under this section if the operator caused the problem through improper maintenance or use, subject to the provisions in § 1036.125 and 40 CFR 1068.115.
(e) Owners manual. Describe in the owners manual the emission-related warranty provisions from this section that apply to the engine.
§ 1036.125   Maintenance instructions and allowable maintenance.
Maintenance includes any inspection, adjustment, cleaning, repair, or replacement of components and is classified as either emission-related or not emission-related and each of these can be classified as either scheduled or unscheduled. Further, some emission-related maintenance is also classified as critical emission-related maintenance. Give the ultimate purchaser of each new engine written instructions for maintaining and using the engine. As described in paragraph (h) of this section, these instructions must identify how owners properly maintain and use engines to clarify responsibilities for regulatory requirements such as emission-related warranty and defect reporting.
(a) Critical emission-related maintenance. Critical emission-related maintenance includes any adjustment, cleaning, repair, or replacement of components listed in paragraph (a)(2) of this section. Critical emission-related maintenance may also include other maintenance that you determine is critical, including maintenance on other emission-related components as described in 40 CFR part 1068, appendix A, if we approve it in advance. You may perform scheduled critical emission-related maintenance during service accumulation on your emission-data engines at the intervals you specify.
(1) Maintenance demonstration. You must demonstrate that the maintenance is reasonably likely to be done at your recommended intervals on in-use engines. We will accept DEF replenishment as reasonably likely to occur if your engine meets the specifications in § 1036.111. We will accept other scheduled maintenance as reasonably likely to occur if you satisfy any of the following conditions:
(i) You present data showing that, if a lack of maintenance increases emissions, it also unacceptably degrades the engine's performance.
(ii) You design and produce your engines with a system we approve that displays a visible signal to alert drivers that maintenance is due, either as a result of component failure or the appropriate degree of engine or vehicle operation. The signal must clearly display “maintenance needed”, “check engine”, or a similar message that we approve. The signal must be continuous while the engine is operating and not be easily eliminated without performing the specified maintenance. Your maintenance instructions must specify resetting the signal after completing the specified maintenance. We must approve the method for resetting the signal. You may not design the system to be less effective at the end of the useful life. If others install your engine in their vehicle, you may rely on installation instructions to ensure proper mounting and operation of the display. Disabling or improperly resetting the system for displaying these maintenance-related signals without performing the indicated maintenance violates the tampering prohibition in 42 U.S.C. 7522(a)(3).
(iii) You present survey data showing that at least 80 percent of engines in the field get the maintenance you specify at the recommended intervals.
(iv) You provide the maintenance free of charge and clearly say so in your maintenance instructions.
(v) You otherwise show us that the maintenance is reasonably likely to be done at the recommended intervals.
(2) Minimum scheduled maintenance intervals. You may not schedule critical emission-related maintenance more frequently than the minimum intervals specified or allowed in this paragraph (a), except as specified in paragraph (g) of this section. The minimum intervals specified for each component applies to actuators, sensors, tubing, valves, and wiring associated with that component, except as specified.
Table 1 to Paragraph ( a )(2) of § 1036.125—Minimum Scheduled Maintenance Intervals for Replacement in Miles (or Hours)
Table 2 to Paragraph ( a )(2) of § 1036.125—Minimum Scheduled Maintenance Intervals for Adjustment or Cleaning
(3) New technology. You may ask us to approve scheduled critical emission-related maintenance of components not identified in paragraph (a)(2) of this section that is a direct result of the implementation of new technology not used in model year 2020 or earlier engines, subject to the following provisions:
(i) Your request must include your recommended maintenance interval, including data to support the need for the maintenance, and a demonstration that the maintenance is likely to occur at the recommended interval using one of the conditions specified in paragraph (a)(1) of this section.
(ii) For any such new technology, we will publish a Federal Register notice based on information you submit and any other available information to announce that we have established new allowable minimum maintenance intervals. Any manufacturer objecting to our decision may ask for a hearing (see § 1036.820).
(4) System components. The following provisions clarify which components are included in certain systems:
(i) Catalyst system refers to the aftertreatment assembly used for gaseous emission control and generally includes catalyst substrates, substrate housings, exhaust gas temperature sensors, gas concentration sensors, and related control modules. SCR-based catalyst systems also include DEF level sensors, DEF quality sensors, and DEF temperature sensors.
(ii) Particulate filtration system refers to the aftertreatment assembly used for exhaust PM filtration and generally includes filter substrates, substrate housings, pressure sensors, pressure lines and tubes, exhaust gas temperature sensors, fuel injectors for active regeneration, and related control modules.
(b) Recommended additional maintenance. You may recommend any amount of critical emission-related maintenance that is additional to what we approve in paragraph (a) of this section, as long as you state clearly that the recommended additional maintenance steps are not necessary to keep the emission-related warranty valid. If operators do the maintenance specified in paragraph (a) of this section, but not the recommended additional maintenance, this does not allow you to disqualify those engines from in-use testing or deny a warranty claim. Do not take these maintenance steps during service accumulation on your emission-data engines.
(c) Special maintenance. You may specify more frequent maintenance to address problems related to special situations, such as atypical engine operation. For example, you may specify more frequent maintenance if operators fuel the engine with an alternative fuel such as biodiesel. You must clearly state that this special maintenance is associated with the special situation you are addressing. We may disapprove your maintenance instructions if we determine that you have specified special maintenance steps to address engine operation that is not atypical, or that the maintenance is unlikely to occur in use. If we determine that certain maintenance items do not qualify as special maintenance under this paragraph (c), you may identify them as recommended additional maintenance under paragraph (b) of this section.
(d) Noncritical emission-related maintenance. You may specify any amount of emission-related inspection or other maintenance that is not approved critical emission-related maintenance under paragraph (a) of this section, subject to the provisions of this paragraph (d). Noncritical emission-related maintenance generally includes maintenance on the components we specify in 40 CFR part 1068, appendix A, that is not covered in paragraph (a) of this section. You must state in the owners manual that these steps are not necessary to keep the emission-related warranty valid. If operators fail to do this maintenance, this does not allow you to disqualify those engines from in-use testing or deny a warranty claim. Do not take these inspection or other maintenance steps during service accumulation on your emission-data engines.
(e) Maintenance that is not emission-related. You may schedule any amount of maintenance unrelated to emission controls that is needed for proper functioning of the engine. This might include adding engine oil; changing air, fuel, or oil filters; servicing engine-cooling systems; adjusting idle speed, governor, engine bolt torque, valve lash, injector lash, timing, or tension of air pump drive belts; and lubricating the heat control valve in the exhaust manifold. For maintenance that is not emission-related, you may perform the maintenance during service accumulation on your emission-data engines at the least frequent intervals that you recommend to the ultimate purchaser (but not the intervals recommended for special situations).
(f) [Reserved]
(g) Payment for scheduled maintenance. Owners are responsible for properly maintaining their engines, which generally includes paying for scheduled maintenance. However, you may commit to paying for scheduled maintenance as described in paragraph (a)(1)(iv) of this section to demonstrate that the maintenance will occur. You may also schedule maintenance not otherwise allowed by paragraph (a)(2) of this section if you pay for it. You must pay for scheduled maintenance on any component during the useful life if it meets all the following conditions:
(1) Each affected component was not in general use on similar engines before 1980.
(2) The primary function of each affected component is to reduce emissions.
(3) The cost of the maintenance is more than 2 percent of the price of the engine.
(4) Failure to perform the maintenance would not cause clear problems that would significantly degrade the engine's performance.
(h) Owners manual. Include the following maintenance-related information in the owners manual, consistent with the requirements of this section:
(1) Clearly describe the scheduled maintenance steps, consistent with the provisions of this section, using nontechnical language as much as possible. Include a list of components for which you will cover scheduled replacement costs.
(2) Identify all maintenance you consider necessary for the engine to be considered properly maintained for purposes of making valid warranty claims. Describe what documentation you consider appropriate for making these demonstrations. Note that you may identify failure to repair critical emission-related components as improper maintenance if the repairs are related to an observed defect. Your maintenance instructions under this section may not require components or service identified by brand, trade, or corporate name. Also, do not directly or indirectly require that the engine be serviced by your franchised dealers or any other service establishments with which you have a commercial relationship. However, you may disregard these limitations on your maintenance requirements if you do one of the following things:
(i) Provide a component or service without charge under the purchase agreement.
(ii) Get us to waive this prohibition in the public's interest by convincing us the engine will work properly only with the identified component or service.
(3) Describe how the owner can access the OBD system to troubleshoot problems and find emission-related diagnostic information and codes stored in onboard monitoring systems as described in § 1036.110(b) and (c). These instructions must at a minimum include identification of the OBD communication protocol used, location and type of OBD connector, brief description of what OBD is (including type of information stored, what a MIL is, and explanation that some MILs may self-extinguish), and a note that generic scan tools can provide engine maintenance information.
(4) Describe the elements of the emission control system and provide an overview of how they function.
(5) Include one or more diagrams of the engine and its emission-related components with the following information:
(i) The flow path for intake air and exhaust gas.
(ii) The flow path of evaporative and refueling emissions for spark-ignition engines, and DEF for compression-ignition engines, as applicable.
(iii) The flow path of engine coolant if it is part of the emission control system described in the application for certification.
(iv) The identity, location, and arrangement of relevant sensors, DEF heater and other DEF delivery components, and other critical emission-related components. Terminology to identify components must be consistent with codes you use for the OBD system.
(6) Include one or more exploded-view drawings that allow the owner to identify the following components: EGR valve, EGR actuator, EGR cooler, all emission sensors (such as NO X sensors and soot sensors), temperature and pressure sensors (such as sensors related to EGR, DPF, DOC, and SCR and DEF), quality sensors, DPF filter, DOC, SCR catalyst, fuel (DPF-related) and DEF dosing units and components ( e.g., pumps, metering units, filters, nozzles, valves, injectors), aftertreatment-related control modules, any other DEF delivery-related components (such as delivery lines and freeze-protection components), and separately replaceable aftertreatment-related wiring harnesses. Terminology to identify components must be consistent with codes you use for the OBD system. Include part numbers for sensors and filters related to SCR and DPF systems for the current model year or any earlier model year.
(7) Include the following statement: “Technical service bulletins, emission-related recalls, and other information for your engine may be available at www.nhtsa.gov/recalls .”
(8) Include a troubleshooting guide to address the following warning signals related to SCR inducement:
(i) The inducement derate schedule (including indication that inducements will begin prior to the DEF tank being completely empty).
(ii) The meaning of any trouble lights that indicate specific problems ( e.g., DEF level).
(iii) A description of the three types of SCR-related derates (DEF level, DEF quality and tampering) and that further information on the inducement cause ( e.g., trouble codes) is available using the OBD system.
(9) Describe how to access OBD fault codes related to DPF-related derates.
(10) Identify a website for the service information required in 40 CFR 86.010-38(j).
§ 1036.130   Installation instructions for vehicle manufacturers.
(a) If you sell an engine for someone else to install in a vehicle, give the engine installer instructions for installing it consistent with the requirements of this part. Include all information necessary to ensure that an engine will be installed in its certified configuration.
(b) Make sure these instructions have the following information:
(1) Include the heading: “Emission-related installation instructions”.
(2) State: “Failing to follow these instructions when installing a certified engine in a heavy-duty motor vehicle violates federal law, subject to fines or other penalties as described in the Clean Air Act.”
(3) Provide all instructions needed to properly install the exhaust system and any other components. Include any appropriate instructions for configuring the exhaust system in the vehicle to allow for collecting emission samples for in-use testing where that is practical.
(4) Describe any necessary steps for installing any diagnostic system required under § 1036.110.
(5) Describe how your certification is limited for any type of application. For example, if you certify Heavy HDE to the CO 2 standards using only transient FTP testing, you must make clear that the engine may not be installed in tractors.
(6) Describe any other instructions to make sure the installed engine will operate according to design specifications in your application for certification. This may include, for example, instructions for installing aftertreatment devices when installing the engines.
(7) Give the following instructions if you do not ship diesel exhaust fluid tanks with your engines:
(i) Specify that vehicle manufacturers must install diesel exhaust fluid tanks meeting the specifications of § 1036.115(i).
(ii) Describe how vehicle manufacturers must install diesel exhaust fluid tanks with sensors as needed to meet the requirements of §§ 1036.110 and 1036.111.
(8) State: “If you install the engine in a way that makes the engine's emission control information label hard to read during normal engine maintenance, you must place a duplicate label on the vehicle, as described in 40 CFR 1068.105.”
(9) Describe how vehicle manufacturers need to apply stickers to qualifying vehicles as described in § 1036.136 if you certify engines to the Clean Idle NO X standard of § 1036.104(b).
(c) Give the vehicle manufacturer fuel map results as described in § 1036.505(b).
(d) You do not need installation instructions for engines that you install in your own vehicles.
(e) Provide instructions in writing or in an equivalent format. For example, you may post instructions on a publicly available website for downloading or printing. If you do not provide the instructions in writing, explain in your application for certification how you will ensure that each installer is informed of the installation requirements.
§ 1036.135   Labeling.
(a) Assign each engine a unique identification number and permanently affix, engrave, or stamp it on the engine in a legible way.
(b) At the time of manufacture, affix a permanent and legible label identifying each engine. The label must meet the requirements of 40 CFR 1068.45.
(c) The label must—
(1) Include the heading “EMISSION CONTROL INFORMATION”.
(2) Include your full corporate name and trademark. You may identify another company and use its trademark instead of yours if you comply with the branding provisions of 40 CFR 1068.45.
(3) Include EPA's standardized designation for the engine family.
(4) Identify the primary intended service class.
(5) State the engine's displacement (in liters); however, you may omit this from the label if all the engines in the engine family have the same per-cylinder displacement and total displacement.
(6) State the date of manufacture [DAY (optional), MONTH, and YEAR]; however, you may omit this from the label if you stamp, engrave, or otherwise permanently identify it elsewhere on the engine, in which case you must also describe in your application for certification where you will identify the date on the engine.
(7) State the NO X FEL to which the engines are certified if applicable. Identify the Clean Idle standard if you certify the engine to the NO X standard of § 1036.104(b).
(8) State: “THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR [MODEL YEAR] HEAVY-DUTY HIGHWAY ENGINES.”
(9) Identify any limitations on your certification. For example, if you certify Heavy HDE to the CO 2 standards using only steady-state testing, include the statement “TRACTORS ONLY”. Similarly, for engines with one or more approved AECDs for emergency vehicle applications under § 1036.115(h)(4), the statement: “THIS ENGINE IS FOR INSTALLATION IN EMERGENCY VEHICLES ONLY”.
(d) You may add information to the emission control information label as follows:
(1) You may identify other emission standards that the engine meets or does not meet. You may add the information about the other emission standards to the statement we specify, or you may include it in a separate statement.
(2) You may add other information to ensure that the engine will be properly maintained and used.
(3) You may add appropriate features to prevent counterfeit labels. For example, you may include the engine's unique identification number on the label.
(e) You may ask us to approve modified labeling requirements in this part if you show that it is necessary or appropriate. We will approve your request if your alternate label is consistent with the requirements of this part. We may also specify modified labeling requirements to be consistent with the intent of 40 CFR part 1037.
(f) If you obscure the engine label while installing the engine in the vehicle such that the label cannot be read during normal maintenance, you must place a duplicate label on the vehicle. If others install your engine in their vehicles in a way that obscures the engine label, we require them to add a duplicate label on the vehicle (see 40 CFR 1068.105); in that case, give them the number of duplicate labels they request and keep the following records for at least five years:
(1) Written documentation of the request from the vehicle manufacturer.
(2) The number of duplicate labels you send for each engine family and the date you sent them.
§ 1036.136   Clean Idle sticker.
(a) Design and produce stickers showing that your engines meet the federal Clean Idle standard if you certify engines to the Clean Idle NO X standard of § 1036.104(b). The sticker must—
(1) Meet the requirements of 40 CFR 1068.45 for permanent labels. The preferred location for sticker placement is on the driver's side of the hood.
(2) Include one or both of your corporate name and trademark.
(3) Identify that the engine is qualified to meet the federal Clean Idle NO X standard.
(4) Include a serial number or other method to confirm that stickers have been properly applied to vehicles.
(b) The following provisions apply for placing Clean Idle stickers on vehicles with installed engines that have been certified to the NO X standard of § 1036.104(b):
(1) If you install engines in vehicles you produce, you must apply a sticker to each vehicle certified to the Clean Idle standard.
(2) If you ship engines for others to install in vehicles, include in your purchasing documentation the manufacturer's request for a specific number of labels corresponding to the number of engines ordered. Supply the vehicle manufacturer with exactly one sticker for each shipped engine certified to the Clean Idle standard. Prepare your emission-related installation instructions to ensure that vehicle manufacturers meet all application requirements. Keep the following records for at least five years:
(i) Written documentation of the vehicle manufacturer's request for stickers.
(ii) Tracking information for stickers you send and the date you sent them.
(c) The provisions in 40 CFR 1068.101 apply for the Clean Idle sticker in the same way that those provisions apply for emission control information labels.
§ 1036.140   Primary intended service class and engine cycle.
You must identify a single primary intended service class for each engine family that best describes vehicles for which you design and market the engine, as follows:
(a) Divide compression-ignition engines into primary intended service classes based on the following engine and vehicle characteristics:
(1) Light HDE includes engines that are not designed for rebuild and do not have cylinder liners. Vehicle body types in this group might include any heavy-duty vehicle built from a light-duty truck chassis, van trucks, multi-stop vans, and some straight trucks with a single rear axle. Typical applications would include personal transportation, light-load commercial delivery, passenger service, agriculture, and construction. The GVWR of these vehicles is normally at or below 19,500 pounds.
(2) Medium HDE includes engines that may be designed for rebuild and may have cylinder liners. Vehicle body types in this group would typically include school buses, straight trucks with single rear axles, city tractors, and a variety of special purpose vehicles such as small dump trucks, and refuse trucks. Typical applications would include commercial short haul and intra-city delivery and pickup. Engines in this group are normally used in vehicles whose GVWR ranges from 19,501 to 33,000 pounds.
(3) Heavy HDE includes engines that are designed for multiple rebuilds and have cylinder liners. Vehicles in this group are normally tractors, trucks, straight trucks with dual rear axles, and buses used in inter-city, long-haul applications. These vehicles normally exceed 33,000 pounds GVWR.
(b) Divide spark-ignition engines into primary intended service classes as follows:
(1) Spark-ignition engines that are best characterized by paragraph (a)(1) or (2) of this section are in a separate Spark-ignition HDE primary intended service class.
(2) Spark-ignition engines that are best characterized by paragraph (a)(3) of this section are included in the Heavy HDE primary intended service class along with compression-ignition engines. Gasoline-fueled engines are presumed not to be characterized by paragraph (a)(3) of this section; for example, vehicle manufacturers may install some number of gasoline-fueled engines in Class 8 trucks without causing the engine manufacturer to consider those to be Heavy HDE.
(c) References to “spark-ignition standards” in this part relate only to the spark-ignition engines identified in paragraph (b)(1) of this section. References to “compression-ignition standards” in this part relate to compression-ignition engines, to spark-ignition engines optionally certified to standards that apply to compression-ignition engines, and to all engines identified under paragraph (b)(2) of this section as Heavy HDE.
§ 1036.150   Interim provisions.
The provisions in this section apply instead of other provisions in this part. This section describes when these interim provisions expire, if applicable.
(a) Transitional ABT credits for NO X emissions. You may generate NO X credits from model year 2026 and earlier engines and use those as transitional credits for model year 2027 and later engines using any of the following methods:
(1) Discounted credits. Generate discounted credits by certifying any model year 2022 through 2026 engine family to meet all the requirements that apply under 40 CFR part 86, subpart A. Calculate discounted credits for certifying engines in model years 2027 through 2029 as described in § 1036.705 relative to a NO X emission standard of 200 mg/hp·hr and multiply the result by 0.6. You may not use discounted credits for certifying model year 2030 and later engines.
(2) Partial credits. Generate partial credits by certifying any model year 2024 through 2026 compression-ignition engine family as described in this paragraph (a)(2). You may not use partial credits for certifying model year 2033 and later engines. Certify engines for partial credits to meet all the requirements that apply under 40 CFR part 86, subpart A, with the following adjustments:
(i) Calculate credits as described in § 1036.705 relative to a NO X emission standard of 200 mg/hp·hr using the appropriate useful life mileage from 40 CFR 86.004-2. Your declared NO X family emission limit applies for the FTP and SET duty cycles.
(ii) Engines must meet a NO X standard when tested over the Low Load Cycle as described in § 1036.514. Engines must also meet an off-cycle NO X standard as specified in § 1036.104(a)(3). Calculate the NO X family emission limits for the Low Load Cycle and for off-cycle testing as described in § 1036.104(c)(3) with Std FTPNOx set to 35 mg/hp·hr and Std [cycle]NOx set to the values specified in § 1036.104(a)(1) or (3), respectively. No standard applies for HC, PM, and CO emissions for the Low Load Cycle or for off-cycle testing, but you must record measured values for those pollutants and include those measured values where you report NO X emission results.
(iii) For engines selected for in-use testing, we may specify that you perform testing as described in 40 CFR part 86, subpart T, or as described in subpart E of this part.
(iv) Add the statement “Partial credit” to the emission control information label.
(3) Full credits. Generate full credits by certifying any model year 2024 through 2026 engine family to meet all the requirements that apply under this part. Calculate credits as described in § 1036.705 relative to a NO X emission standard of 200 mg/hp·hr. You may not use full credits for certifying model year 2033 and later engines.
(4) 2026 service class pull-ahead credits. Generate credits from diesel-fueled engines under this paragraph (a)(4) by certifying all your model year 2026 diesel-fueled Heavy HDE to meet all the requirements that apply under this part, with a NO X family emission limit for FTP testing at or below 50 mg/hp·hr. Calculate credits as described in § 1036.705 relative to a NO X emission standard of 200 mg/hp·hr. You may use credits generated under this paragraph (a)(4) through model year 2034, but not for later model years. Credits generated by Heavy HDE may be used for certifying Medium HDE after applying a 10 percent discount (multiply credits by 0.9). Engine families using credits generated under this paragraph (a)(4) are subject to a NO X FEL cap of 50 mg/hp·hr for FTP testing.
(b) Model year 2014 N 2 O standards. In model year 2014 and earlier, manufacturers may show compliance with the N 2 O standards using an engineering analysis. This allowance also applies for later families certified using carryover CO 2 data from model 2014 consistent with § 1036.235(d).
(c) Engine cycle classification. Through model year 2020, engines meeting the definition of spark-ignition, but regulated as compression-ignition engines under § 1036.140, must be certified to the requirements applicable to compression-ignition engines under this part. Such engines are deemed to be compression-ignition engines for purposes of this part. Similarly, through model year 2020, engines meeting the definition of compression-ignition, but regulated as Otto-cycle under 40 CFR part 86 must be certified to the requirements applicable to spark-ignition engines under this part. Such engines are deemed to be spark-ignition engines for purposes of this part. See § 1036.140 for provisions that apply for model year 2021 and later.
(d) Small manufacturers. The greenhouse gas standards of this part apply on a delayed schedule for manufacturers meeting the small business criteria specified in 13 CFR 121.201. Apply the small business criteria for NAICS code 336310 for engine manufacturers with respect to gasoline-fueled engines and 333618 for engine manufacturers with respect to other engines; the employee limits apply to the total number employees together for affiliated companies. Qualifying small manufacturers are not subject to the greenhouse gas emission standards in § 1036.108 for engines with a date of manufacture on or after November 14, 2011, but before January 1, 2022. In addition, qualifying small manufacturers producing engines that run on any fuel other than gasoline, E85, or diesel fuel may delay complying with every later greenhouse gas standard under this part by one model year; however, small manufacturers may generate emission credits only by certifying all their engine families within a given averaging set to standards that apply for the current model year. Note that engines not yet subject to standards must nevertheless supply fuel maps to vehicle manufacturers as described in paragraph (n) of this section. Note also that engines produced by small manufacturers are subject to criteria pollutant standards.
(e) Alternate phase-in standards for greenhouse gas emissions. Where a manufacturer certifies all of its model year 2013 compression-ignition engines within a given primary intended service class to the applicable alternate standards of this paragraph (e), its compression-ignition engines within that primary intended service class are subject to the standards of this paragraph (e) for model years 2013 through 2016. This means that once a manufacturer chooses to certify a primary intended service class to the standards of this paragraph (e), it is not allowed to opt out of these standards.
Table 1 to Paragraph ( e ) of § 1036.150—Alternate Phase-In Standards (g/hp·hr)
a Note: these alternate standards for 2016 and later are the same as the otherwise applicable standards for 2017 through 2020.
(f) Testing exemption for hydrogen engines. Tailpipe CO 2 emissions from engines fueled with neat hydrogen are deemed to be 3 g/hp·hr and tailpipe CH 4 , HC, and CO emissions are deemed to comply with the applicable standard. Fuel mapping and testing for CO 2 , CH 4 , HC, or CO is optional under this part for these engines.
(g) Default deterioration factors for greenhouse gas standards. You may use default deterioration factors (DFs) without performing your own durability emission tests or engineering analysis as follows:
(1) You may use a default additive DF of 0.0 g/hp·hr for CO 2 emissions from engines that do not use advanced or off-cycle technologies. If we determine it to be consistent with good engineering judgment, we may allow you to use a default additive DF of 0.0 g/hp·hr for CO 2 emissions from your engines with advanced or off-cycle technologies.
(2) You may use a default additive DF of 0.010 g/hp·hr for N 2 O emissions from any engine through model year 2021, and 0.020 g/hp·hr for later model years.
(3) You may use a default additive DF of 0.020 g/hp·hr for CH 4 emissions from any engine.
(h) Advanced-technology credits. If you generate CO 2 credits from model year 2020 and earlier engines certified for advanced technology, you may multiply these credits by 1.5.
(i) CO 2 credits for low N 2 O emissions . If you certify your model year 2014, 2015, or 2016 engines to an N 2 O FEL less than 0.04 g/hp·hr (provided you measure N 2 O emissions from your emission-data engines), you may generate additional CO 2 credits under this paragraph (i). Calculate the additional CO 2 credits from the following equation instead of the equation in § 1036.705:
(j) Alternate standards under 40 CFR part 86. This paragraph (j) describes alternate emission standards that apply for model year 2023 and earlier loose engines certified under 40 CFR 86.1819-14(k)(8). The standards of § 1036.108 do not apply for these engines. The standards in this paragraph (j) apply for emissions measured with the engine installed in a complete vehicle consistent with the provisions of 40 CFR 86.1819-14(k)(8)(vi). The only requirements of this part that apply to these engines are those in this paragraph (j) and §§ 1036.115 through 1036.135, 1036.535, and 1036.540.
(k) Limited production volume allowance under ABT. You may produce a limited number of Heavy HDE that continue to meet the standards that applied under 40 CFR 86.007-11 in model years 2027 through 2029. The maximum number of engines you may produce under this limited production allowance is 5 percent of the annual average of your actual production volume of Heavy HDE in model years 2023-2025 for calculating emission credits under § 1036.705. Engine certification under this paragraph (k) is subject to the following conditions and requirements:
(1) Engines must meet all the standards and other requirements that apply under 40 CFR part 86 for model year 2026. Engine must be certified in separate engine families that qualify for carryover certification as described in § 1036.235(d).
(2) The NO X FEL must be at or below 200 mg/hp·hr. Calculate negative credits as described in § 1036.705 by comparing the NO X FEL to the FTP emission standard specified in § 1036.104(a)(1), with a value for useful life of 650,000 miles. Meet the credit reporting and recordkeeping requirements in §§ 1036.730 and 1036.735.
(3) Label the engine as described in 40 CFR 86.095-35, but include the following alternate compliance statement: “THIS ENGINE CONFORMS TO U.S. EPA REGULATIONS FOR MODEL YEAR 2026 ENGINES UNDER 40 CFR 1036.150(k).”
(l) Credit adjustment for spark-ignition engines and light heavy-duty compression-ignition engines. For greenhouse gas emission credits generated from model year 2020 and earlier spark-ignition and light heavy-duty engines, multiply any banked CO 2 credits that you carry forward to demonstrate compliance with model year 2021 and later standards by 1.36.
(m) Infrequent regeneration. For model year 2020 and earlier, you may invalidate any test interval with respect to CO 2 measurements if an infrequent regeneration event occurs during the test interval. Note that § 1036.580 specifies how to apply infrequent regeneration adjustment factors for later model years.
(n) Supplying fuel maps. Engine manufacturers not yet subject to standards under § 1036.108 in model year 2021 must supply vehicle manufacturers with fuel maps (or powertrain test results) as described in § 1036.130 for those engines.
(o) Engines used in glider vehicles. For purposes of recertifying a used engine for installation in a glider vehicle, we may allow you to include in an existing certified engine family those engines you modify (or otherwise demonstrate) to be identical to engines already covered by the certificate. We would base such an approval on our review of any appropriate documentation. These engines must have emission control information labels that accurately describe their status.
(p) Transition to Phase 2 CO 2 standards. If you certify all your model year 2020 engines within an averaging set to the model year 2021 FTP and SET standards and requirements, you may apply the provisions of this paragraph (p) for enhanced generation and use of emission credits. These provisions apply separately for Medium HDE and Heavy HDE.
(1) Greenhouse gas emission credits you generate with model year 2018 through 2024 engines may be used through model year 2030, instead of being limited to a five-year credit life as specified in § 1036.740(d).
(2) You may certify your model year 2024 through 2026 engines to the following alternative standards:
Table 2 to Paragraph ( p )(2) of § 1036.150—Alternative Standards for Model Years 2024 Through 2026
(q) Confirmatory and in-use testing of fuel maps defined in § 1036.505(b). For model years 2021 and later, where the results from Eq. 1036.235-1 for a confirmatory or in-use test are at or below 2.0%, we will not replace the manufacturer's fuel maps.
(r) Fuel maps for the transition to updated GEM. (1) You may use fuel maps from model year 2023 and earlier engines for certifying model year 2024 and later engines using carryover provisions in § 1036.235(d).
(2) Compliance testing will be based on the GEM version you used to generate fuel maps for certification. For example, if you perform a selective enforcement audit with respect to fuel maps, use the same GEM version that you used to generate fuel maps for certification. Similarly, we will use the same GEM version that you used to generate fuel maps for certification if we perform confirmatory testing with one of your engine families.
(s) Greenhouse gas compliance testing. Select duty cycles and measure emissions to demonstrate compliance with greenhouse gas emission standards before model year 2027 as follows:
(1) For model years 2016 through 2020, measure emissions using the FTP duty cycle specified in § 1036.512 and the SET duty cycle specified in 40 CFR 86.1362, as applicable.
(2) The following provisions apply for model years 2021 through 2026:
(i) Determine criteria pollutant emissions during any testing used to demonstrate compliance with greenhouse gas emission standards; however, the duty-cycle standards of § 1036.104 apply for measured criteria pollutant emissions only as described in subpart F of this part.
(ii) You may demonstrate compliance with SET-based greenhouse gas emission standards in § 1036.108(a)(1) using the SET duty cycle specified in 40 CFR 86.1362 if you collect emissions with continuous sampling. Integrate the test results by mode to establish separate emission rates for each mode (including the transition following each mode, as applicable). Apply the CO 2 weighting factors specified in 40 CFR 86.1362 to calculate a composite emission result.
(t) Model year 2027 compliance date. The following provisions describe when this part 1036 starts to apply for model year 2027 engines:
(1) Split model year. Model year 2027 engines you produce before December 20, 2026 are subject to the criteria standards and related provisions in 40 CFR part 86, subpart A, as described in § 1036.1(a). Model year 2027 engines you produce on or after December 20, 2026 are subject to all the provisions of this part.
(2) Optional early compliance. You may optionally certify model year 2027 engines you produce before December 20, 2026 to all the provisions of this part.
(3) Certification. If you certify any model year 2027 engines to 40 CFR part 86, subpart A, under paragraph (t)(1) of this section, certify the engine family by dividing the model year into two partial model years. The first portion of the model year starts when it would normally start and ends when you no longer produce engines meeting standards under 40 CFR part 86, subpart A, on or before December 20, 2026. The second portion of the model year starts when you begin producing engines meeting standards under this part 1036, and ends on the day your model year would normally end. The following additional provisions apply for model year 2027 if you split the model year as described in this paragraph (t):
(i) You may generate emission credits only with engines that are certified under this part 1036.
(ii) In your production report under § 1036.250(a), identify production volumes separately for the two parts of the model year.
(iii) OBD testing demonstrations apply singularly for the full model year.
(u) Crankcase emissions. The provisions of 40 CFR 86.007-11(c) for crankcase emissions continue to apply through model year 2026.
(v) OBD communication protocol. We may approve the alternative communication protocol specified in SAE J1979-2 (incorporated by reference, see § 1036.810) if the protocol is approved by the California Air Resources Board. The alternative protocol would apply instead of SAE J1939 and SAE J1979 as specified in 40 CFR 86.010-18(k)(1). Engines designed to comply with SAE J1979-2 must meet the freeze-frame requirements in § 1036.110(b)(8) and in 13 CCR 1971.1(h)(4.3.2) (incorporated by reference, see § 1036.810). This paragraph (v) also applies for model year 2026 and earlier engines.
(w) Greenhouse gas warranty. For model year 2027 and later engines, you may ask us to approve the model year 2026 warranty periods specified in § 1036.120 for components or systems needed to comply with greenhouse gas emission standards if those components or systems do not play a role in complying with criteria pollutant standards.
(x) Powertrain testing for criteria pollutants. You may apply the powertrain testing provisions of § 1036.101(b) for demonstrating compliance with criteria pollutant emission standards in 40 CFR part 86 before model year 2027.
(y) NO X compliance allowance for in-use testing. A NO X compliance allowance of 15 mg/hp·hr applies for any in-use testing of Medium HDE and Heavy HDE as described in subpart E of this part. Add the compliance allowance to the NO X standard that applies for each duty cycle and for off-cycle testing, with both field testing and laboratory testing. The NO X compliance allowance does not apply for the bin 1 off-cycle standard. As an example, for manufacturer-run field-testing of a Heavy HDE, add the 15 mg/hp·hr compliance allowance and the 5 mg/hp·hr accuracy margin from § 1036.420 to the 58 mg/hp·hr·bin 2 off-cycle standard to calculate a 78 mg/hp·hr NO X standard.
(z) Alternate family pass criteria for in-use testing. The following family pass criteria apply for manufacturer-run in-use testing instead of the pass criteria described in § 1036.425 for model years 2027 and 2028:
(1) Start by measuring emissions from five engines using the procedures described in subpart E of this part and § 1036.530. If four or five engines comply fully with the off-cycle bin standards, the engine family passes and you may stop testing.
(2) If exactly two of the engines tested under paragraph (z)(1) of this section do not comply fully with the off-cycle bin standards, test five more engines. If these additional engines all comply fully with the off-cycle bin standards, the engine family passes and you may stop testing.
(3) If three or more engines tested under paragraphs (z)(1) and (2) of this section do not comply fully with the off-cycle bin standards, test a total of at least 10 but not more than 15 engines. Calculate the arithmetic mean of the bin emissions from all the engine tests as specified in § 1036.530(g) for each pollutant. If the mean values are at or below the off-cycle bin standards, the engine family passes. If the mean value for any pollutant is above an off-cycle bin standard, the engine family fails.
(aa) Correcting credit calculations. If you notify us by October 1, 2024, that errors mistakenly decreased your balance of GHG emission credits for 2020 or any earlier model years, you may correct the errors and recalculate the balance of emission credits after applying a 10 percent discount to the credit correction.
§ 1036.201   General requirements for obtaining a certificate of conformity.
(a) You must send us a separate application for a certificate of conformity for each engine family. A certificate of conformity is valid from the indicated effective date until December 31 of the model year for which it is issued.
(b) The application must contain all the information required by this part and must not include false or incomplete statements or information (see § 1036.255).
(c) We may ask you to include less information than we specify in this subpart, as long as you maintain all the information required by § 1036.250.
(d) You must use good engineering judgment for all decisions related to your application (see 40 CFR 1068.5).
(e) An authorized representative of your company must approve and sign the application.
(f) See § 1036.255 for provisions describing how we will process your application.
(g) We may require you to deliver your test engines to a facility we designate for our testing (see § 1036.235(c)). Alternatively, you may choose to deliver another engine that is identical in all material respects to the test engine, or another engine that we determine can appropriately serve as an emission-data engine for the engine family.
(h) For engines that become new after being placed into service, such as rebuilt engines installed in new vehicles, we may specify alternate certification provisions consistent with the intent of this part. See 40 CFR 1068.120(h) and the definition of “new motor vehicle engine” in § 1036.801.
§ 1036.205   Requirements for an application for certification.
This section specifies the information that must be in your application, unless we ask you to include less information under § 1036.201(c). We may require you to provide additional information to evaluate your application.
(a) Identify the engine family's primary intended service class and describe how that conforms to the specifications in § 1036.140. Also, describe the engine family's specifications and other basic parameters of the engine's design and emission controls with respect to compliance with the requirements of this part. List the fuel type on which your engines are designed to operate (for example, gasoline, diesel fuel, or natural gas). For engines that can operate on multiple fuels, identify whether they are dual-fuel or flexible-fuel engines; also identify the range of mixtures for operation on blended fuels, if applicable. List each engine configuration in the engine family. List the rated power for each engine configuration.
(b) Explain how the emission control system operates. Describe in detail all system components for controlling greenhouse gas and criteria pollutant emissions, including all auxiliary emission control devices (AECDs) and all fuel-system components you will install on any production or test engine. Identify the part number of each component you describe. For this paragraph (b), treat as separate AECDs any devices that modulate or activate differently from each other. Include all the following:
(1) Give a general overview of the engine, the emission control strategies, and all AECDs.
(2) Describe each AECD's general purpose and function.
(3) Identify the parameters that each AECD senses (including measuring, estimating, calculating, or empirically deriving the values). Include engine-based parameters and state whether you simulate them during testing with the applicable procedures.
(4) Describe the purpose for sensing each parameter.
(5) Identify the location of each sensor the AECD uses.
(6) Identify the threshold values for the sensed parameters that activate the AECD.
(7) Describe the parameters that the AECD modulates (controls) in response to any sensed parameters, including the range of modulation for each parameter, the relationship between the sensed parameters and the controlled parameters and how the modulation achieves the AECD's stated purpose. Use graphs and tables, as necessary.
(8) Describe each AECD's specific calibration details. This may be in the form of data tables, graphical representations, or some other description.
(9) Describe the hierarchy among the AECDs when multiple AECDs sense or modulate the same parameter. Describe whether the strategies interact in a comparative or additive manner and identify which AECD takes precedence in responding, if applicable.
(10) Explain the extent to which the AECD is included in the applicable test procedures specified in subpart F of this part.
(11) Do the following additional things for AECDs designed to protect engines or vehicles:
(i) Identify any engine and vehicle design limits that make protection necessary and describe any damage that would occur without the AECD.
(ii) Describe how each sensed parameter relates to the protected components' design limits or those operating conditions that cause the need for protection.
(iii) Describe the relationship between the design limits/parameters being protected and the parameters sensed or calculated as surrogates for those design limits/parameters, if applicable.
(iv) Describe how the modulation by the AECD prevents engines and vehicles from exceeding design limits.
(v) Explain why it is necessary to estimate any parameters instead of measuring them directly and describe how the AECD calculates the estimated value, if applicable.
(vi) Describe how you calibrate the AECD modulation to activate only during conditions related to the stated need to protect components and only as needed to sufficiently protect those components in a way that minimizes the emission impact.
(c) Explain in detail how the engine diagnostic system works, describing especially the engine conditions (with the corresponding diagnostic trouble codes) that cause the malfunction indicator to go on. You may ask us to approve conditions under which the diagnostic system disregards trouble codes as described in § 1036.110.
(d) Describe the engines you selected for testing and the reasons for selecting them.
(e) Describe any test equipment and procedures that you used, including any special or alternate test procedures you used (see § 1036.501).
(f) Describe how you operated the emission-data engine before testing, including the duty cycle and the number of engine operating hours used to stabilize emission levels. Explain why you selected the method of service accumulation. Describe any scheduled maintenance you did.
(g) List the specifications of the test fuel to show that it falls within the required ranges we specify in 40 CFR part 1065.
(h) Identify the engine family's useful life.
(i) Include the warranty statement and maintenance instructions you will give to the ultimate purchaser of each new engine (see §§ 1036.120 and 1036.125).
(j) Include the emission-related installation instructions you will provide if someone else installs your engines in their vehicles (see § 1036.130).
(k) Describe your emission control information label (see § 1036.135). We may require you to include a copy of the label.
(l) Identify the duty-cycle emission standards from §§ 1036.104(a) and (b) and 1036.108(a) that apply for the engine family. Also identify FELs and FCLs as follows:
(1) Identify the NO X FEL over the FTP for the engine family.
(2) Identify the CO 2 FCLs for the engine family; also identify any FELs that apply for CH 4 and N 2 O. The actual U.S.-directed production volume of configurations that have CO 2 emission rates at or below the FCL and CH 4 and N 2 O emission rates at or below the applicable standards or FELs must be at least one percent of your actual (not projected) U.S.-directed production volume for the engine family. Identify configurations within the family that have emission rates at or below the FCL and meet the one percent requirement. For example, if your U.S.-directed production volume for the engine family is 10,583 and the U.S.-directed production volume for the tested rating is 75 engines, then you can comply with this provision by setting your FCL so that one more rating with a U.S.-directed production volume of at least 31 engines meets the FCL. Where applicable, also identify other testable configurations required under § 1036.230(f)(2)(ii).
(m) Identify the engine family's deterioration factors and describe how you developed them (see §§ 1036.240 and 1036.241). Present any test data you used for this. For engines designed to discharge crankcase emissions to the ambient atmosphere, use the deterioration factors for crankcase emission to determine deteriorated crankcase emission levels of NO X , HC, PM, and CO as specified in § 1036.240(e).
(n) State that you operated your emission-data engines as described in the application (including the test procedures, test parameters, and test fuels) to show you meet the requirements of this part.
(o) Present emission data from all valid tests on an emission-data engine to show that you meet emission standards. Note that § 1036.235 allows you to submit an application in certain cases without new emission data. Present emission data as follows:
(1) For hydrocarbons (such as NMHC or NMHCE), NO X , PM, and CO, as applicable, show your engines meet the applicable exhaust emission standards we specify in § 1036.104. Show emission figures for duty-cycle exhaust emission standards before and after applying adjustment factors for regeneration and deterioration factors for each engine.
(2) For CO 2 , CH 4 , and N 2 O, show that your engines meet the applicable emission standards we specify in § 1036.108. Show emission figures before and after applying deterioration factors for each engine. In addition to the composite results, show individual measurements for cold-start testing and hot-start testing over the transient test cycle. For each of these tests, also include the corresponding exhaust emission data for criteria emissions.
(3) If we specify more than one grade of any fuel type (for example, a summer grade and winter grade of gasoline), you need to submit test data only for one grade, unless the regulations of this part specify otherwise for your engine.
(p) State that all the engines in the engine family comply with the off-cycle emission standards we specify in § 1036.104 for all normal operation and use when tested as specified in § 1036.530. Describe any relevant testing, engineering analysis, or other information in sufficient detail to support your statement. We may direct you to include emission measurements representing typical engine in-use operation at a range of ambient conditions. For example, we may specify certain transient and steady-state engine operation that is typical for the types of vehicles that use your engines. See § 1036.210.
(q) We may ask you to send information to confirm that the emission data you submitted were from valid tests meeting the requirements of this part and 40 CFR part 1065. You must indicate whether there are test results from invalid tests or from any other tests of the emission-data engine, whether or not they were conducted according to the test procedures of subpart F of this part. We may require you to report these additional test results.
(r) Describe all adjustable operating parameters (see § 1036.115(f)), including production tolerances. For any operating parameters that do not qualify as adjustable parameters, include a description supporting your conclusion (see 40 CFR 1068.50(c)). Include the following in your description of each adjustable parameter:
(1) For practically adjustable operating parameters, include the nominal or recommended setting, the intended practically adjustable range, and the limits or stops used to establish adjustable ranges. State that the limits, stops, or other means of inhibiting adjustment are effective in preventing adjustment of parameters on in-use engines to settings outside your intended practically adjustable ranges and provide information to support this statement.
(2) For programmable operating parameters, state that you have restricted access to electronic controls to prevent parameter adjustment on in-use engines that would allow operation outside the practically adjustable range. Describe how your engines are designed to prevent unauthorized adjustments.
(s) Provide the information to read, record, and interpret all the information broadcast by an engine's onboard computers and ECMs as described in § 1036.115(d). State that, upon request, you will give us any hardware, software, or tools we would need to do this.
(t) State whether your certification is limited for certain engines. For example, you might certify engines only for use in tractors, in emergency vehicles, or in vehicles with hybrid powertrains. If this is the case, describe how you will prevent use of these engines in vehicles for which they are not certified.
(u) Unconditionally certify that all the engines in the engine family comply with the requirements of this part, other referenced parts of the CFR, and the Clean Air Act. Note that § 1036.235 specifies which engines to test to show that engines in the entire family comply with the requirements of this part.
(v) Include good-faith estimates of U.S.-directed production volumes. Include a justification for the estimated production volumes if they are substantially different than actual production volumes in earlier years for similar models.
(w) Include the information required by other subparts of this part. For example, include the information required by § 1036.725 if you participate in the ABT program.
(x) Include other applicable information, such as information specified in this part or 40 CFR part 1068 related to requests for exemptions.
(y) Name an agent for service located in the United States. Service on this agent constitutes service on you or any of your officers or employees for any action by EPA or otherwise by the United States related to the requirements of this part.
(z) For imported engines, identify the following:
(1) Describe your normal practice for importing engines. For example, this may include identifying the names and addresses of anyone you have authorized to import your engines. Engines imported by nonauthorized agents are not covered by your certificate.
(2) The location of a test facility in the United States where you can test your engines if we select them for testing under a selective enforcement audit, as specified in 40 CFR part 1068, subpart E.
(aa) Include information needed to certify vehicles to greenhouse gas standards under 40 CFR part 1037 as described in § 1036.505.
§ 1036.210   Preliminary approval before certification.
If you send us information before you finish the application, we may review it and make any appropriate determinations, especially for questions related to engine family definitions, auxiliary emission control devices, adjustable parameters, deterioration factors, testing for service accumulation, and maintenance. Decisions made under this section are considered to be preliminary approval, subject to final review and approval. We will generally not reverse a decision where we have given you preliminary approval, unless we find new information supporting a different decision. If you request preliminary approval related to the upcoming model year or the model year after that, we will make best-efforts to make the appropriate determinations as soon as practicable. We will generally not provide preliminary approval related to a future model year more than two years ahead of time.
§ 1036.225   Amending applications for certification.
Before we issue you a certificate of conformity, you may amend your application to include new or modified engine configurations, subject to the provisions of this section. After we have issued your certificate of conformity, you may send us an amended application any time before the end of the model year requesting that we include new or modified engine configurations within the scope of the certificate, subject to the provisions of this section. You must also amend your application if any changes occur with respect to any information that is included or should be included in your application.
(a) You must amend your application before you take any of the following actions:
(1) Add an engine configuration to an engine family. In this case, the engine configuration added must be consistent with other engine configurations in the engine family with respect to the design aspects listed in § 1036.230.
(2) Change an engine configuration already included in an engine family in a way that may affect emissions, or change any of the components you described in your application for certification. This includes production and design changes that may affect emissions any time during the engine's lifetime.
(3) Modify an FEL or FCL for an engine family as described in paragraph (f) of this section.
(b) To amend your application for certification, send the relevant information to the Designated Compliance Officer.
(1) Describe in detail the addition or change in the engine model or configuration you intend to make.
(2) Include engineering evaluations or data showing that the amended engine family complies with all applicable requirements. You may do this by showing that the original emission-data engine is still appropriate for showing that the amended family complies with all applicable requirements.
(3) If the original emission-data engine for the engine family is not appropriate to show compliance for the new or modified engine configuration, include new test data showing that the new or modified engine configuration meets the requirements of this part.
(4) Include any other information needed to make your application correct and complete.
(c) We may ask for more test data or engineering evaluations. You must give us these within 30 days after we request them.
(d) For engine families already covered by a certificate of conformity, we will determine whether the existing certificate of conformity covers your newly added or modified engine. You may ask for a hearing if we deny your request (see § 1036.820).
(e) The amended application applies starting with the date you submit the amended application, as follows:
(1) For engine families already covered by a certificate of conformity, you may start producing a new or modified engine configuration any time after you send us your amended application and before we make a decision under paragraph (d) of this section. However, if we determine that the affected engines do not meet applicable requirements in this part, we will notify you to cease production of the engines and may require you to recall the engines at no expense to the owner. Choosing to produce engines under this paragraph (e) is deemed to be consent to recall all engines that we determine do not meet applicable emission standards or other requirements in this part and to remedy the nonconformity at no expense to the owner. If you do not provide information required under paragraph (c) of this section within 30 days after we request it, you must stop producing the new or modified engines.
(2) [Reserved]
(f) You may ask us to approve a change to your FEL in certain cases after the start of production, but before the end of the model year. If you change an FEL for CO 2 , your FCL for CO 2 is automatically set to your new FEL divided by 1.03. The changed FEL may not apply to engines you have already introduced into U.S. commerce, except as described in this paragraph (f). You may ask us to approve a change to your FEL in the following cases:
(1) You may ask to raise your FEL for your engine family at any time. In your request, you must show that you will still be able to meet the emission standards as specified in subparts B and H of this part. Use the appropriate FELs/FCLs with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.
(2) You may ask to lower the FEL for your engine family only if you have test data from production engines showing that emissions are below the proposed lower FEL (or below the proposed FCL for CO 2 ). The lower FEL/FCL applies only to engines you produce after we approve the new FEL/FCL. Use the appropriate FEL/FCL with corresponding production volumes to calculate emission credits for the model year, as described in subpart H of this part.
(g) You may produce engines or modify in-use engines as described in your amended application for certification and consider those engines to be in a certified configuration. Modifying a new or in-use engine to be in a certified configuration does not violate the tampering prohibition of 40 CFR 1068.101(b)(1), as long as this does not involve changing to a certified configuration with a higher family emission limit.
§ 1036.230   Selecting engine families.
(a) For purposes of certification to the standards of this part, divide your product line into families of engines that are expected to have similar characteristics for criteria emissions throughout the useful life as described in this section. Your engine family is limited to a single model year.
(b) Group engines in the same engine family if they are the same in all the following design aspects:
(1) The combustion cycle and fuel. See paragraph (g) of this section for special provisions that apply for dual-fuel and flexible-fuel engines.
(2) The cooling system (water-cooled vs. air-cooled).
(3) Method of air aspiration, including the location of intake and exhaust valves or ports and the method of intake-air cooling, if applicable.
(4) The arrangement and composition of catalytic converters and other aftertreatment devices.
(5) Cylinder arrangement (such as in-line vs. vee configurations) and bore center-to-center dimensions.
(6) Method of control for engine operation other than governing ( i.e., mechanical or electronic).
(7) The numerical level of the applicable criteria emission standards. For example, an engine family may not include engines certified to different family emission limits for criteria emission standards, though you may change family emission limits without recertifying as specified in § 1036.225(f).
(c) You may subdivide a group of engines that is identical under paragraph (b) of this section into different engine families if you show the expected criteria emission characteristics are different during the useful life.
(d) In unusual circumstances, you may group engines that are not identical with respect to the design aspects listed in paragraph (b) of this section in the same engine family if you show that their criteria emission characteristics during the useful life will be similar.
(e) Engine configurations certified as hybrid powertrains may not be included in an engine family with engines that have nonhybrid powertrains. Note that this does not prevent you from including engines in a nonhybrid family if they are used in hybrid vehicles, as long as you certify them based on engine testing.
(f) You must certify your engines to the greenhouse gas standards of § 1036.108 using the same engine families you use for criteria pollutants. The following additional provisions apply with respect to demonstrating compliance with the standards in § 1036.108:
(1) You may subdivide an engine family into subfamilies that have a different FCL for CO 2 emissions. These subfamilies do not apply for demonstrating compliance with criteria standards in § 1036.104.
(2) If you certify engines in the family for use as both vocational and tractor engines, you must split your family into two separate subfamilies.
(i) Calculate emission credits relative to the vocational engine standard for the number of engines sold into vocational applications and relative to the tractor engine standard for the number of engines sold into non-vocational tractor applications. You may assign the numbers and configurations of engines within the respective subfamilies at any time before submitting the report required by § 1036.730. If the family participates in averaging, banking, or trading, you must identify the type of vehicle in which each engine is installed; we may alternatively allow you to use statistical methods to determine this for a fraction of your engines. Keep records to document this determination.
(ii) If you restrict use of the test configuration for your split family only to tractors, or only to vocational vehicles, you must identify a second testable configuration for the other type of vehicle (or an unrestricted configuration). Identify this configuration in your application for certification. The FCL for the engine family applies for this configuration as well as the primary test configuration.
(3) If you certify both engine fuel maps and powertrain fuel maps for an engine family, you may split the engine family into two separate subfamilies. Indicate this in your application for certification, and identify whether one or both of these sets of fuel maps applies for each group of engines. If you do not split your family, all engines within the family must conform to the engine fuel maps, including any engines for with the powertrain maps also apply.
(4) If you certify in separate engine families engines that could have been certified in vocational and tractor engine subfamilies in the same engine family, count the two families as one family for purposes of determining your obligations with respect to the OBD requirements and in-use testing requirements. Indicate in the applications for certification that the two engine families are covered by this paragraph (f)(4).
(5) Except as described in this paragraph (f), engine configurations within an engine family must use equivalent greenhouse gas emission controls. Unless we approve it, you may not produce nontested configurations without the same emission control hardware included on the tested configuration. We will only approve it if you demonstrate that the exclusion of the hardware does not increase greenhouse gas emissions.
(g) You may certify dual-fuel or flexible-fuel engines in a single engine family. You may include dedicated-fuel versions of this same engine model in the same engine family, as long as they are identical to the engine configuration with respect to that fuel type for the dual-fuel or flexible-fuel version of the engine. For example, if you produce an engine that can alternately run on gasoline and natural gas, you can include the gasoline-only and natural gas-only versions of the engine in the same engine family as the dual-fuel engine if engine operation on each fuel type is identical with or without installation of components for operating on the other fuel.
§ 1036.235   Testing requirements for certification.
This section describes the emission testing you must perform to show compliance with the emission standards in §§ 1036.104 and 1036.108.
(a) Select and configure one or two emission-data engines from each engine family as follows:
(1) You may use one engine for criteria pollutant testing and a different engine for greenhouse gas emission testing, or you may use the same engine for all testing.
(2) For criteria pollutant emission testing, select the engine configuration with the highest volume of fuel injected per cylinder per combustion cycle at the point of maximum torque—unless good engineering judgment indicates that a different engine configuration is more likely to exceed (or have emissions nearer to) an applicable emission standard or FEL. If two or more engines have the same fueling rate at maximum torque, select the one with the highest fueling rate at rated speed. In making this selection, consider all factors expected to affect emission-control performance and compliance with the standards, including emission levels of all exhaust constituents, especially NO X and PM. To the extent we allow it for establishing deterioration factors, select for testing those engine components or subsystems whose deterioration best represents the deterioration of in-use engines.
(3) For greenhouse gas emission testing, the standards of this part apply only with respect to emissions measured from the tested configuration and other configurations identified in § 1036.205(l)(2). Note that configurations identified in § 1036.205(l)(2) are considered to be “tested configurations” whether or not you test them for certification. However, you must apply the same (or equivalent) emission controls to all other engine configurations in the engine family. In other contexts, the tested configuration is sometimes referred to as the “parent configuration”, although the terms are not synonymous.
(b) Test your emission-data engines using the procedures and equipment specified in subpart F of this part. In the case of dual-fuel and flexible-fuel engines, measure emissions when operating with each type of fuel for which you intend to certify the engine.
(1) For criteria pollutant emission testing, measure NO X , PM, CO, and NMHC emissions using each duty cycle specified in § 1036.104.
(2) For greenhouse gas emission testing, measure CO 2 , CH 4 , and N 2 O emissions; the following provisions apply regarding test cycles for demonstrating compliance with tractor and vocational standards:
(i) If you are certifying the engine for use in tractors, you must measure CO 2 emissions using the SET duty cycle specified in § 1036.510, taking into account the interim provisions in § 1036.150(s), and measure CH 4 and N 2 O emissions using the FTP transient cycle.
(ii) If you are certifying the engine for use in vocational applications, you must measure CO 2 , CH 4 , and N 2 O emissions using the appropriate FTP transient duty cycle, including cold-start and hot-start testing as specified in § 1036.512.
(iii) You may certify your engine family for both tractor and vocational use by submitting CO 2 emission data and specifying FCLs for both SET and FTP transient duty cycles.
(iv) Some of your engines certified for use in tractors may also be used in vocational vehicles, and some of your engines certified for use in vocational may be used in tractors. However, you may not knowingly circumvent the intent of this part (to reduce in-use emissions of CO 2 ) by certifying engines designed for tractors or vocational vehicles (and rarely used in the other application) to the wrong cycle. For example, we would generally not allow you to certify all your engines to the SET duty cycle without certifying any to the FTP transient cycle.
(c) We may perform confirmatory testing by measuring emissions from any of your emission-data engines. If your certification includes powertrain testing as specified in § 1036.630, this paragraph (c) also applies for the powertrain test results.
(1) We may decide to do the testing at your plant or any other facility. If we do this, you must deliver the engine to a test facility we designate. The engine you provide must include appropriate manifolds, aftertreatment devices, ECMs, and other emission-related components not normally attached directly to the engine block. If we do the testing at your plant, you must schedule it as soon as possible and make available the instruments, personnel, and equipment we need.
(2) If we measure emissions on your engine, the results of that testing become the official emission results for the engine as specified in this paragraph (c). Unless we later invalidate these data, we may decide not to consider your data in determining if your engine family meets applicable requirements in this part.
(3) Before we test one of your engines, we may set its adjustable parameters to any point within the practically adjustable ranges (see § 1036.115(f)).
(4) Before we test one of your engines, we may calibrate it within normal production tolerances for anything we do not consider an adjustable parameter. For example, we may calibrate it within normal production tolerances for an engine parameter that is subject to production variability because it is adjustable during production, but is not considered an adjustable parameter because it is permanently sealed. For parameters that relate to a level of performance that is itself subject to a specified range (such as maximum power output), we will generally perform any calibration under this paragraph (c)(4) in a way that keeps performance within the specified range.
(5) For greenhouse gas emission testing, we may use our emission test results for steady-state, idle, cycle-average and powertrain fuel maps defined in § 1036.505(b) as the official emission results. We will not replace individual points from your fuel map.
(i) We will determine fuel masses, m fuel[cycle], and mean idle fuel mass flow rates, m fuelidle , if applicable, using both direct and indirect measurement. We will determine the result for each test point based on carbon balance error verification as described in § 1036.535(g)(3)(i) and (ii).
(ii) We will perform this comparison using the weighted results from GEM, using vehicles that are appropriate for the engine under test. For example, we may select vehicles that the engine went into for the previous model year.
(iii) If you supply cycle-average engine fuel maps for the highway cruise cycles instead of generating a steady-state fuel map for these cycles, we may perform a confirmatory test of your engine fuel maps for the highway cruise cycles by either of the following methods:
(A) Directly measuring the highway cruise cycle-average fuel maps.
(B) Measuring a steady-state fuel map as described in this paragraph (c)(5) and using it in GEM to create our own cycle-average engine fuel maps for the highway cruise cycles.
(iv) We will replace fuel maps as a result of confirmatory testing as follows:
(A) Weight individual duty cycle results using the vehicle categories determined in paragraph (c)(5)(i) of this section and respective weighting factors in 40 CFR 1037.510(c) to determine a composite CO 2 emission value for each vehicle configuration; then repeat the process for all the unique vehicle configurations used to generate the manufacturer's fuel maps.
(B) The average percent difference between fuel maps is calculated using the following equation:
(C) Where the unrounded average percent difference between our composite weighted fuel map and the manufacturer's is at or below 0%, we will not replace the manufacturer's maps, and we will consider an individual engine to have passed the fuel map.
(6) We may perform confirmatory testing with an engine dynamometer to simulate normal engine operation to determine whether your emission-data engine meets off-cycle emission standards. The accuracy margins described in § 1036.420(a) do not apply for such laboratory testing.
(d) You may ask to use carryover emission data from a previous model year instead of doing new tests, but only if all the following are true:
(1) The engine family from the previous model year differs from the current engine family only with respect to model year, items identified in § 1036.225(a), or other characteristics unrelated to emissions. We may waive this criterion for differences we determine not to be relevant.
(2) The emission-data engine from the previous model year remains the appropriate emission-data engine under paragraph (a) of this section.
(3) The data show that the emission-data engine would meet all the requirements that apply to the engine family covered by the application for certification.
(e) We may require you to test a second engine of the same configuration in addition to the engines tested under paragraph (a) of this section.
(f) If you use an alternate test procedure under 40 CFR 1065.10 and later testing shows that such testing does not produce results that are equivalent to the procedures specified in subpart F of this part, we may reject data you generated using the alternate procedure.
(g) We may evaluate or test your engines to determine whether they have a defeat device before or after we issue a certificate of conformity. We may test or require testing on any vehicle or engine at a designated location, using driving cycles and conditions that may reasonably be expected in normal operation and use to investigate a potential defeat device. If we designate an engine's AECD as a possible defeat device, you must demonstrate to us that that the AECD does not reduce emission control effectiveness when the engine operates under conditions that may reasonably be expected in normal operation and use, unless one of the specific exceptions described in § 1036.115(h) applies.
§ 1036.240   Demonstrating compliance with criteria pollutant emission standards.
(a) For purposes of certification, your engine family is considered in compliance with the duty-cycle emission standards in § 1036.104(a)(1) and (2) if all emission-data engines representing that family have test results showing official emission results and deteriorated emission levels at or below these standards (including all corrections and adjustments). This also applies for all test points for emission-data engines within the family used to establish deterioration factors. Note that your FELs are considered to be the applicable emission standards with which you must comply if you participate in the ABT program in subpart H of this part. Use good engineering judgment to demonstrate compliance with off-cycle standards throughout the useful life.
(b) Your engine family is deemed not to comply if any emission-data engine representing that family has test results showing an official emission result or a deteriorated emission level for any pollutant that is above an applicable emission standard (including all corrections and adjustments). Similarly, your engine family is deemed not to comply if any emission-data engine representing that family has test results showing any emission level above the applicable off-cycle emission standard for any pollutant. This also applies for all test points for emission-data engines within the family used to establish deterioration factors.
(c) To compare emission levels from the emission-data engine with the applicable duty-cycle emission standards, apply deterioration factors to the measured emission levels for each pollutant. Section 1036.245 specifies how to test engines and engine components to develop deterioration factors that represent the deterioration expected in emissions over your engines' useful life. Section 1036.246 describes how to confirm or modify deterioration factors based on in-use verification testing. Your deterioration factors must take into account any available data from other in-use testing with similar engines. Small manufacturers may use assigned deterioration factors that we establish. Apply deterioration factors as follows:
(1) Additive deterioration factor for exhaust emissions. Except as specified in paragraph (c)(2) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor is the difference between exhaust emissions at the end of the useful life and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.
(2) Multiplicative deterioration factor for exhaust emissions. Use a multiplicative deterioration factor if good engineering judgment calls for the deterioration factor for a pollutant to be the ratio of exhaust emissions at the end of the useful life to exhaust emissions at the low-hour test point. For example, if you use aftertreatment technology that controls emissions of a pollutant proportionally to engine-out emissions, it is often appropriate to use a multiplicative deterioration factor. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.
(3) Sawtooth and other nonlinear deterioration patterns. The deterioration factors described in paragraphs (c)(1) and (2) of this section assume that the highest useful life emissions occur either at the end of useful life or at the low-hour test point. The provisions of this paragraph (c)(3) apply where good engineering judgment indicates that the highest useful life emissions will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Such a pattern may occur with battery-based hybrid powertrains. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this paragraph (c)(3) applies for maintenance-related deterioration only where we allow such critical emission-related maintenance.
(4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel and flexible-fuel engines, apply deterioration factors separately for each fuel type. You may accumulate service hours on a single emission-data engine using the type of fuel or the fuel mixture expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture if you demonstrate that a different criterion is more appropriate.
(5) Deterioration factor for crankcase emissions. If engines route crankcase emissions into the ambient atmosphere or into the exhaust downstream of exhaust aftertreatment, you must account for any increase in crankcase emissions throughout the useful life using good engineering judgment. Use separate deterioration factors for crankcase emissions of each pollutant (either multiplicative or additive).
(d) Determine the official emission result for each pollutant to at least one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine.
(e) You do not need deterioration factors to demonstrate compliance with off-cycle standards. However, for engines designed to discharge crankcase emissions to the ambient atmosphere, you must determine deteriorated emission levels to represent crankcase emissions at the end of useful life for purposes of demonstrating compliance with off-cycle emission standards. Determine an official brake-specific crankcase emission result for each pollutant based on operation over the FTP duty cycle. Also determine an official crankcase emission result for NO X in g/hr from the idle portion of any of the duty cycles specified in subpart F of this part. Apply crankcase deterioration factors to all these official crankcase emission results as described in paragraph (c) of this section, then round the adjusted figures to the same number of decimal places as the off-cycle emission standards in § 1036.104(a)(3).
§ 1036.241   Demonstrating compliance with greenhouse gas emission standards.
(a) For purposes of certification, your engine family is considered in compliance with the emission standards in § 1036.108 if all emission-data engines representing the tested configuration of that engine family have test results showing official emission results and deteriorated emission levels at or below the standards. Note that your FCLs are considered to be the applicable emission standards with which you must comply for certification.
(b) Your engine family is deemed not to comply if any emission-data engine representing the tested configuration of that engine family has test results showing an official emission result or a deteriorated emission level for any pollutant that is above an applicable emission standard (generally the FCL). Note that you may increase your FCL if any certification test results exceed your initial FCL.
(c) Apply deterioration factors to the measured emission levels for each pollutant to show compliance with the applicable emission standards. Your deterioration factors must take into account any available data from in-use testing with similar engines. Apply deterioration factors as follows:
(1) Additive deterioration factor for greenhouse gas emissions. Except as specified in paragraphs (c)(2) and (3) of this section, use an additive deterioration factor for exhaust emissions. An additive deterioration factor is the difference between the highest exhaust emissions (typically at the end of the useful life) and exhaust emissions at the low-hour test point. In these cases, adjust the official emission results for each tested engine at the selected test point by adding the factor to the measured emissions. If the factor is less than zero, use zero. Additive deterioration factors must be specified to one more decimal place than the applicable standard.
(2) Multiplicative deterioration factor for greenhouse gas emissions. Use a multiplicative deterioration factor for a pollutant if good engineering judgment calls for the deterioration factor for that pollutant to be the ratio of the highest exhaust emissions (typically at the end of the useful life) to exhaust emissions at the low-hour test point. Adjust the official emission results for each tested engine at the selected test point by multiplying the measured emissions by the deterioration factor. If the factor is less than one, use one. A multiplicative deterioration factor may not be appropriate in cases where testing variability is significantly greater than engine-to-engine variability. Multiplicative deterioration factors must be specified to one more significant figure than the applicable standard.
(3) Sawtooth and other nonlinear deterioration patterns. The deterioration factors described in paragraphs (c)(1) and (2) of this section assume that the highest useful life emissions occur either at the end of useful life or at the low-hour test point. The provisions of this paragraph (c)(3) apply where good engineering judgment indicates that the highest useful life emissions will occur between these two points. For example, emissions may increase with service accumulation until a certain maintenance step is performed, then return to the low-hour emission levels and begin increasing again. Such a pattern may occur with battery-based hybrid powertrains. Base deterioration factors for engines with such emission patterns on the difference between (or ratio of) the point at which the highest emissions occur and the low-hour test point. Note that this paragraph (c)(3) applies for maintenance-related deterioration only where we allow such critical emission-related maintenance.
(4) Dual-fuel and flexible-fuel engines. In the case of dual-fuel and flexible-fuel engines, apply deterioration factors separately for each fuel type by measuring emissions with each fuel type at each test point. You may accumulate service hours on a single emission-data engine using the type of fuel or the fuel mixture expected to have the highest combustion and exhaust temperatures; you may ask us to approve a different fuel mixture if you demonstrate that a different criterion is more appropriate.
(d) Calculate emission data using measurements to at least one more decimal place than the applicable standard. Apply the deterioration factor to the official emission result, as described in paragraph (c) of this section, then round the adjusted figure to the same number of decimal places as the emission standard. Compare the rounded emission levels to the emission standard for each emission-data engine.
(e) If you identify more than one configuration in § 1036.205(l)(2), we may test (or require you to test) any of the identified configurations. We may also require you to provide an engineering analysis that demonstrates that untested configurations listed in § 1036.205(l)(2) comply with their FCL.
§ 1036.245   Deterioration factors for exhaust emission standards.
This section describes how to determine deterioration factors, either with pre-existing test data or with new emission measurements. Apply these deterioration factors to determine whether your engines will meet the duty-cycle emission standards throughout the useful life as described in § 1036.240. The provisions of this section and the verification provisions of § 1036.246 apply for all engine families starting in model year 2027; you may optionally use these provisions to determine and verify deterioration factors for earlier model years.
(a) You may ask us to approve deterioration factors for an engine family based on an engineering analysis of emission measurements from similar highway or nonroad engines if you have already given us these data for certifying the other engines in the same or earlier model years. Use good engineering judgment to decide whether the two engines are similar. We will approve your request if you show us that the emission measurements from other engines reasonably represent in-use deterioration for the engine family for which you have not yet determined deterioration factors.
(b) [Reserved]
(c) If you are unable to determine deterioration factors for an engine family under paragraph (a) of this section, select engines, subsystems, or components for testing. Determine deterioration factors based on service accumulation and related testing to represent the deterioration expected from in-use engines over the useful life, including crankcase emissions. You may perform maintenance on emission-data engines as described in § 1036.125 and 40 CFR part 1065, subpart E. Use good engineering judgment for all aspects of the effort to establish deterioration factors under this paragraph (c). Send us your test plan for our preliminary approval under § 1036.210. You may apply deterioration factors based on testing under this paragraph (c) to multiple engine families, consistent with the provisions in paragraph (a) of this section. Determine deterioration factors based on a combination of minimum required engine dynamometer aging hours and accelerated bench-aged aftertreatment as follows:
(1) Select an emission-data engine and aftertreatment devices and systems that can be assembled into a certified configuration to represent the engine family. Stabilize the engine and aftertreatment devices and systems, together or separately, to prepare for emission measurements. Perform low-hour emission measurement once the engine has operated with aftertreatment long enough to stabilize the emission control. Measure emissions of all regulated pollutants while the engine operates over all applicable duty cycles on an engine dynamometer as described in subpart F of this part.
(2) Perform additional service accumulation as described in paragraph (c)(3) of this section on an engine dynamometer meeting at least the following minimum specifications:
Table 1 to Paragraph ( c )(2) of § 1036.245—Minimum Required Engine Dynamometer Aging Hours by Primary Intended Service Class
(3) Perform service accumulation in the laboratory by operating the engine or hybrid powertrain repeatedly over one of the following test sequences, or a different test sequence that we approve in advance:
(i) Use duty-cycle sequence 1 for operating any engine on an engine dynamometer, as follows:
(A) Operate at idle for 2 hours.
(B) Operate for 105 ± 1 hours over a repeat sequence of one FTP followed by one RMC.
(C) Operate over one LLC.
(D) Operate at idle for 2 hours.
(E) Shut down the engine for cooldown to ambient temperature.
(ii) Duty-cycle sequence 2 is based on operating over the LLC and the vehicle-based duty cycles from 40 CFR part 1037. Select the vehicle subcategory and vehicle configuration from § 1036.540 or § 1036.545 with the highest reference cycle work for each vehicle-based duty cycle. Operate the engine as follows for duty-cycle sequence 2:
(A) Operate at idle for 2 hours.
(B) Operate for 105 ± 1 hours over a repeat sequence of one Heavy-duty Transient Test Cycle, then one 55 mi/hr highway cruise cycle, and then one 65 mi/hr highway cruise cycle.
(C) Operate over one LLC.
(D) Operate at idle for 2 hours.
(E) Shut down the engine for cooldown to ambient temperature.
(4) Perform all the emission measurements described in paragraph (c)(1) of this section when the engine has reached the minimum service accumulation specified in paragraph (c)(2) of this section, and again after you finish service accumulation in the laboratory if your service accumulation exceeds the values specified in paragraph (c)(2) of this section.
(5) Determine the deterioration factor based on a combination of actual and simulated service accumulation represented by a number of hours of engine operation calculated using the following equation:
(6) Perform accelerated bench aging of aftertreatment devices to represent normal engine operation over the useful life using the service accumulation hours determined in paragraph (c)(5) of this section. Design your bench aging to represent 10,000 hours of in-use engine operation for every 1,000 hours of accelerated bench aging. Use the accelerated bench-aging procedure in 40 CFR 1065.1131 through 1065.1145 or get our advance approval to use a different procedure that adequately that accounts for thermal and chemical degradation. For example, this might involve testing consistent with the analogous procedures that apply for light-duty vehicles under 40 CFR part 86, subpart S.
(7) After bench-aging aftertreatment devices, install or reinstall those aftertreatment devices and systems on an emission-data engine (or an equivalent engine) that has been stabilized without aftertreatment. Ensure that the aftertreatment is installed such that the engine is in a certified configuration to represent the engine family.
(8) Operate the engine with the bench-aged aftertreatment devices to stabilize emission controls for at least 100 hours on an engine dynamometer.
(9) Once stabilization is complete, repeat the low-hour emission measurements.
(10) Calculate deterioration factors by comparing exhaust emissions with the bench-aged aftertreatment and exhaust emissions at the low-hour test point. Create a linear curve fit if testing includes intermediate test points. Calculate deterioration factors based on measured values, without extrapolation.
(d) If you determine deterioration factors as described in paragraph (c) of this section, you may apply those deterioration factors in later years for engine families that qualify for carryover certification as described in § 1036.235(d). You may also apply those deterioration factors for additional engine families as described in paragraph (a) of this section.
(e) Include the following information in your application for certification:
(1) If you use test data from a different engine family, explain why this is appropriate and include all the emission measurements on which you base the deterioration factors. If the deterioration factors for the new engine family are not identical to the deterioration factors for the different engine family, describe your engineering analysis to justify the revised values and state that all your data, analyses, evaluations, and other information are available for our review upon request.
(2) If you determined deterioration factors under paragraph (c) of this section, include the following information in the first year that you use those deterioration factors:
(i) Describe your accelerated bench aging or other procedures to represent full-life service accumulation for the engine's emission controls.
(ii) Describe how you prepared the test engine before and after installing aftertreatment systems to determine deterioration factors.
(iii) Identify the power rating of the emission-data engine used to determine deterioration factors.
§ 1036.246   Verifying deterioration factors.
We may require you to test in-use engines as described in this section to verify that the deterioration factors you determined under § 1036.245 are appropriate.
(a) Select and prepare in-use engines representing the engine family we identify for verification testing under this section as follows:
(1) You may recruit candidate engines any time before testing. This may involve creating a pool of candidate engines and vehicles in coordination with vehicle manufacturers and vehicle purchasers to ensure availability and to confirm a history of proper maintenance. You may meet the testing requirements of this section by repeating tests on a given engine as it ages, or you may test different engines over the course of verification testing; however, you may not choose whether to repeat tests on a given engine at a later stage based on its measured emission levels. We generally require that you describe your plan for selecting engines in advance and justify any departures from that plan.
(2) Selected vehicles must come from independent sources, unless we approve your request to select vehicles that you own or manage. In your request, you must describe how you will ensure that the vehicle operator will drive in a way that represents normal in-use operation for the engine family.
(3) Select vehicles with installed engines from the same engine family and with the same power rating as the emission-data engine used to determine the deterioration factors. However, if the test engine does not have the specified power rating, you may ask for our approval to either test in the as-received condition or modify engines in selected vehicles by reflashing the ECM or replacing parts to change the engines to be in a different certified configuration for proper testing.
(4) Selected engines must meet the screening criteria described in § 1036.410(b)(2) through (4). Selected engines must also have their original aftertreatment components and be in a certified configuration. You may ask us to approve replacing a critical emission-related component with an equivalent part that has undergone a comparable degree of aging.
(5) We may direct you to preferentially select certain types of vehicles, vehicles from certain model years. or vehicles within some range of service accumulation. We will not direct you to select vehicles that are 10 or more years old, or vehicles with an odometer reading exceeding 85 percent of the engine's useful life. We will specify a time frame for completing required testing.
(b) Perform verification testing with one of the following procedures, or with an alternative procedure that you demonstrate to be equally effective:
(1) Engine dynamometer testing. Measure emissions from engines equipped with in-use aftertreatment systems on an engine dynamometer as follows:
(i) Test the aftertreatment system from at least two engines using the procedures specified in subpart F of this part and 40 CFR part 1065. Install the aftertreatment system from the selected in-use vehicle, including all associated wiring, sensors, and related hardware and software, on one of the following partially complete engines:
(A) The in-use engine from the same vehicle.
(B) The emission-data engine used to determine the deterioration factors.
(C) A different emission-data engine from the same engine family that has been stablized as described in 40 CFR 1065.405(c).
(ii) Perform testing on all certification duty cycles with brake-specific emission standards (g/hp·hr) to determine whether the engine meets all the duty-cycle emission standards, including any compliance allowance, for criteria pollutants. Apply infrequent regeneration adjustment factors as included in your application for certification or develop new factors if we request it.
(iii) Evaluate verification testing for each pollutant independently. You pass the verification test if at least 70 percent of tested engines meet standards for each pollutant over all duty cycles. You fail the verification test if fewer than 70 percent of engines meet standards for a given pollutant over all duty cycles.
(2) PEMS testing. Measure emissions using PEMS with in-use engines that remain installed in selected vehicles as follows:
(i) Test at least five engines using the procedures specified in § 1036.555 and 40 CFR part 1065, subpart J.
(ii) Measure emissions of NO X , HC, and CO as the test vehicle's normal operator drives over a regular shift-day to determine whether the engine meets all the off-cycle emission standards that applied for the engine's original certification. Apply infrequent regeneration adjustment factors as included in your application for certification. For Spark-ignition HDE, calculate off-cycle emission standards for purposes of this subpart by multiplying the FTP duty-cycle standards in § 1036.104(a) by 1.5 and rounding to the same number of decimal places.
(iii) Evaluate verification testing for each pollutant independently. You pass the verification test if at least 70 percent of tested engines meet the off-cycle standards including any compliance allowance and accuracy margin, for each pollutant. You fail the verification test if fewer than 70 percent of tested engines do not meet standards for a given pollutant.
(iv) You may reverse a fail determination under paragraph (b)(2)(iii) of this section by restarting and successfully completing the verification test for that year using the procedures specified in paragraph (b)(1) of this section. If you do this, you must use the verification testing procedures specified in paragraph (b)(1) of this section for all remaining verification testing for the engine family.
(c) You may stop testing under the verification test program and concede a fail result before you meet all the testing requirements of this section.
(d) Prepare a report to describe your verification testing each year. Include at least the following information:
(1) Identify whether you tested using the procedures specified in paragraph (b)(1) or (2) of this section.
(2) Describe how the test results support a pass or fail decision for the verification test. For in-field measurements, include continuous 1 Hz data collected over the shift-day and binned emission values determined under § 1036.530.
(3) If your testing included invalid test results, describe the reasons for invalidating the data. Give us the invalid test results if we ask for them.
(4) Describe the types of vehicles selected for testing. If you determined that any selected vehicles with enough mileage accumulation were not suitable for testing, describe why you chose not to test them.
(5) For each tested engine, identify the vehicle's VIN, the engine's serial number, the engine's power rating, and the odometer reading and the engine's lifetime operating hours at the start of testing (or engine removal).
(6) State that the tested engines have been properly maintained and used and describe any noteworthy aspects of each vehicle's maintenance history. Describe the steps you took to prepare the engines for testing.
(7) For testing with engines that remain installed in vehicles, identify the date and location of testing. Also describe the ambient conditions and the driving route over the course of the shift-day.
(e) Send electronic reports 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.
(1) You may send us reports as you complete testing for an engine instead of waiting until you complete testing for all engines.
(2) We may ask you to send us less information in your reports than we specify in this section.
(3) We may require you to send us more information to evaluate whether your engine family meets the requirements of this part.
(4) Once you send us information under this section, you need not send that information again in later reports.
(5) We will review your test report to evaluate the results of the verification testing at each stage. We will notify you if we disagree with your conclusions, if we need additional information, or if you need to revise your testing plan for future testing.
§ 1036.250   Reporting and recordkeeping for certification.
(a) By September 30 following the end of the model year, send the Designated Compliance Officer a report including the total U.S.-directed production volume of engines you produced in each engine family during the model year (based on information available at the time of the report). Report the production by serial number and engine configuration. You may combine this report with reports required under subpart H of this part. We may waive the reporting requirements of this paragraph (a) for small manufacturers.
(b) Organize and maintain the following records:
(1) A copy of all applications and any summary information you send us.
(2) Any of the information we specify in § 1036.205 that you were not required to include in your application.
(3) A detailed history of each emission-data engine. For each engine, describe all of the following:
(i) The emission-data engine's construction, including its origin and buildup, steps you took to ensure that it represents production engines, any components you built specially for it, and all the components you include in your application for certification.
(ii) How you accumulated engine operating hours (service accumulation), including the dates and the number of hours accumulated.
(iii) All maintenance, including modifications, parts changes, and other service, and the dates and reasons for the maintenance.
(iv) All your emission tests, including documentation on routine and standard tests, as specified in part 40 CFR part 1065, and the date and purpose of each test.
(v) All tests to diagnose engine or emission control performance, giving the date and time of each and the reasons for the test.
(vi) Any other significant events.
(4) Production figures for each engine family divided by assembly plant.
(5) Engine identification numbers for all the engines you produce under each certificate of conformity.
(c) Keep routine data from emission tests required by this part (such as test cell temperatures and relative humidity readings) for one year after we issue the associated certificate of conformity. Keep all other information specified in this section for eight years after we issue your certificate.
(d) Store these records in any format and on any media, as long as you can promptly send us organized, written records in English if we ask for them. You must keep these records readily available. We may review them at any time.
§ 1036.255   EPA oversight on certificates of conformity.
(a) If we determine an application is complete and shows that the engine family meets all the requirements of this part and the Act, we will issue a certificate of conformity for the engine family for that model year. We may make the approval subject to additional conditions.
(b) We may deny an application for certification if we determine that an engine family fails to comply with emission standards or other requirements of this part or the Clean Air Act. We will base our decision on all available information. If we deny an application, we will explain why in writing.
(c) In addition, we may deny your application or suspend or revoke a certificate of conformity if you do any of the following:
(1) Refuse to comply with any testing or reporting requirements in this part.
(2) Submit false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete.
(3) Cause any test data to become inaccurate.
(4) Deny us from completing authorized activities (see 40 CFR 1068.20). This includes a failure to provide reasonable assistance.
(5) Produce engines for importation into the United States at a location where local law prohibits us from carrying out authorized activities.
(6) Fail to supply requested information or amend an application to include all engines being produced.
(7) Take any action that otherwise circumvents the intent of the Act or this part.
(d) We may void a certificate of conformity if you fail to keep records, send reports, or give us information as required under this part or the Act. Note that these are also violations of 40 CFR 1068.101(a)(2).
(e) We may void a certificate of conformity if we find that you intentionally submitted false or incomplete information. This includes doing anything after submitting an application that causes submitted information to be false or incomplete after submission.
(f) If we deny an application or suspend, revoke, or void a certificate, you may ask for a hearing (see § 1036.820).
§ 1036.301   Measurements related to GEM inputs in a selective enforcement audit.
(a) Selective enforcement audits apply for engines as specified in 40 CFR part 1068, subpart E. This section describes how this applies uniquely in certain circumstances.
(b) Selective enforcement audit provisions apply with respect to your fuel maps as follows:
(1) A selective enforcement audit for an engine with respect to fuel maps would consist of performing measurements with production engines to determine fuel-consumption rates as declared for GEM simulations, and running GEM for the vehicle configurations specified in paragraph (b)(2) of this section based on those measured values. The engine is considered passing for a given configuration if the new modeled emission result for each applicable duty cycle is at or below the modeled emission result corresponding to the declared GEM inputs. The engine is considered failing if we determine that its fuel map result is above the modeled emission result corresponding to the result using the manufacturer-declared fuel maps, as specified in § 1036.235(c)(5).
(2) If the audit includes fuel-map testing in conjunction with engine testing relative to exhaust emission standards, the fuel-map simulations for the whole set of vehicles and duty cycles counts as a single test result for purposes of evaluating whether the engine family meets the pass-fail criteria under 40 CFR 1068.420.
(c) If your certification includes powertrain testing as specified in § 1036.630, these selective enforcement audit provisions apply with respect to powertrain test results as specified in § 1036.545 and 40 CFR part 1037, subpart D. We may allow manufacturers to instead perform the engine-based testing to simulate the powertrain test as specified in 40 CFR 1037.551.
(d) We may suspend or revoke certificates for any appropriate configurations within one or more engine families based on the outcome of a selective enforcement audit.
§ 1036.401   Testing requirements for in-use engines.
(a) We may perform in-use testing of any engine family subject to the standards of this part, consistent with the Clean Air Act and the provisions of § 1036.235.
(b) This subpart describes a manufacturer-run field-testing program that applies for engines subject to compression-ignition standards under § 1036.104. Note that the testing requirements of 40 CFR part 86, subpart T, continue to apply for engines subject to exhaust emission standards under 40 CFR part 86.
(c) In-use test procedures for engines subject to spark-ignition standards apply as described in § 1036.530. We won't require routine manufacturer-run field testing for Spark-ignition HDE, but the procedures of this subpart describe how to use field-testing procedures to measure emissions from engines installed in vehicles. Use good engineering judgment to apply the measurement procedures for fuels other than gasoline.
(d) We may void your certificate of conformity for an engine family if you do not meet your obligations under this subpart. We may also void individual tests and require you to retest those vehicles or take other appropriate measures in instances where you have not performed the testing in accordance with the requirements described in this subpart.
§ 1036.405   Overview of the manufacturer-run field-testing program.
(a) You must test in-use engines from the families we select. We may select the following number of engine families for testing, except as specified in paragraph (b) of this section:
(1) We may select up to 25 percent of your engine families in any calendar year, calculated by dividing the number of engine families you certified in the model year corresponding to the calendar year by four and rounding to the nearest whole number. We will consider only engine families with annual U.S.-directed production volumes above 1,500 units in calculating the number of engine families subject to testing each calendar year under the annual 25 percent engine family limit. If you have only three or fewer families that each exceed an annual U.S.-directed production volume of 1,500 units, we may select one engine family per calendar year for testing.
(2) Over any four-year period, we will not select more than the average number of engine families that you have certified over that four-year period (the model year when the selection is made and the preceding three model years), based on rounding the average value to the nearest whole number.
(3) We will not select engine families for testing under this subpart from a given model year if your total U.S.-directed production volume was less than 100 engines.
(b) If there is clear evidence of a nonconformity with regard to an engine family, we may select that engine family without counting it as a selected engine family under paragraph (a) of this section. For example, there may be clear evidence of a nonconformity if you certify an engine family using carryover data after reaching a fail decision under this subpart in an earlier model year without modifying the engine to remedy the problem.
(c) We may select any individual engine family for testing, regardless of its production volume except as described in paragraph (a)(3) of this section, as long as we do not select more than the number of engine families described in paragraph (a) of this section. We may select an engine family from model year 2027 or any later model year.
(d) You must complete all the required testing and reporting under this subpart (for all ten test engines, if applicable), within 18 months after we direct you to test a particular engine family. We will typically select engine families for testing and notify you in writing by June 30 of the applicable calendar year. If you request it, we may allow additional time to send us this information.
(e) If you make a good-faith effort to access enough test vehicles to complete the testing requirements under this subpart for an engine family, but are unable to do so, you must ask us either to modify the testing requirements for the selected engine family or to select a different engine family.
(f) We may select an engine family for repeat testing in a later calendar year. Such a selection for repeat testing would count as an additional engine family for that year under paragraph (a) of this section.
§ 1036.410   Selecting and screening vehicles and engines for testing.
(a) Send us your proposed plan for recruiting, screening, and selecting vehicles. Identify the types of vehicles, location, and any other relevant criteria. We will approve your plan if it supports the objective of measuring emissions to represent a broad range of operating characteristics.
(b) Select vehicles and engines for testing that meet the following criteria:
(1) The vehicles come from at least two independent sources.
(2) Powertrain, drivetrain, emission controls, and other key vehicle and engine systems have been properly maintained and used. See § 1036.125.
(3) The engines have not been tampered with, rebuilt, or undergone major repair that could be expected to affect emissions.
(4) The engines have not been misfueled. Do not consider engines misfueled if they have used fuel meeting the specifications of § 1036.415(c).
(5) The vehicles are likely to operate for at least three hours of non-idle operation over a complete shift-day, as described in § 1036.415(f).
(6) The vehicles have not exceeded the applicable useful life, in miles, hours, or years; you may otherwise not exclude engines from testing based on their age or mileage.
(7) The vehicle has appropriate space for safe and proper mounting of the portable emission measurement system (PEMS) equipment.
(c) You must notify us before disqualifying any vehicle based on illuminated MIL or stored OBD trouble codes as described in § 1036.415(b)(2), or for any other reasons not specified in paragraph (b) of this section. For example, notify us if you disqualify any vehicle because the engine does not represent the engine family or the vehicle's usage is atypical for the particular application. You do not need to notify us in advance if the owner declines to participate in the test program.
§ 1036.415   Preparing and testing engines.
(a) You must limit maintenance to what is in the owners manual for engines with that amount of service and age. For anything we consider an adjustable parameter (see § 1036.115(f)), you may adjust that parameter only if it is outside its adjustable range. You must then set the adjustable parameter to your recommended setting or the mid-point of its adjustable range, unless we approve your request to do otherwise. You must get our approval before adjusting anything not considered an adjustable parameter. You must keep records of all maintenance and adjustments, as required by § 1036.435. You must send us these records, as described in § 1036.430(a)(2)(ix), unless we instruct you not to send them.
(b) You may treat a vehicle with an illuminated MIL or stored trouble code as follows:
(1) If a candidate vehicle has an illuminated MIL or stored trouble code, either test the vehicle as received or repair the vehicle before testing. Once testing is initiated on the vehicle, you accept that the vehicle has been properly maintained and used.
(2) If a MIL illuminates or a trouble code appears on a test vehicle during a field test, stop the test and repair the vehicle. Determine test results as specified in § 1036.530 using one of the following options:
(i) Restart the testing and use only the portion of the full test results without the MIL illuminated or trouble code set.
(ii) Initiate a new test and use only the post-repair test results.
(3) If you determine that repairs are needed but they cannot be completed in a timely manner, you may disqualify the vehicle and replace it with another vehicle.
(c) Use appropriate fuels for testing, as follows:
(1) You may use any diesel fuel that meets the specifications for S15 in ASTM D975 (incorporated by reference, see § 1036.810). You may use any commercially available biodiesel fuel blend that meets the specifications for ASTM D975 or ASTM D7467 (incorporated by reference, see § 1036.810) that is either expressly allowed or not otherwise indicated as an unacceptable fuel in the vehicle's owner or operator manual or in the engine manufacturer's published fuel recommendations. You may use any gasoline fuel that meets the specifications in ASTM D4814 (incorporated by reference, see § 1036.810). For other fuel types, you may use any commercially available fuel.
(2) You may drain test vehicles' fuel tanks and refill them with diesel fuel conforming to the specifications in paragraph (c)(1) of this section.
(3) Any fuel that is added to a test vehicle's fuel tanks must be purchased at a local retail establishment near the site of vehicle recruitment or screening, or along the test route. Alternatively, the fuel may be drawn from a central fueling source, as long as the fuel represents commercially available fuel in the area of testing.
(4) No post-refinery fuel additives are allowed, except that specific fuel additives may be used during field testing if you can document that the test vehicle has a history of normally using the fuel treatments and they are not prohibited in the owners manual or in your published fuel-additive recommendations.
(5) You may take fuel samples from test vehicles to ensure that appropriate fuels were used during field testing. If a vehicle fails the vehicle-pass criteria and you can show that an inappropriate fuel was used during the failed test, that particular test may be voided. You may drain vehicles' fuel tanks and refill them with diesel fuel conforming to the specifications described in paragraph (c)(1) of this section. You must report any fuel tests that are the basis of voiding a test in your report under § 1036.430.
(d) You must test the selected engines using the test procedure described in § 1036.530 while they remain installed in the vehicle. Testing consists of characterizing emission rates for moving average 300 second windows while driving, with those windows divided into bins representing different types of engine operation over a shift-day. Measure emissions as follows:
(1) Perform all testing with PEMS and field-testing procedures referenced in 40 CFR part 1065, subpart J. Measure emissions of NO X , CO, and CO 2 . We may require you to also measure emissions of HC and PM. You may determine HC emissions by any method specified in 40 CFR 1065.660(b).
(2) If the engine's crankcase discharges emissions into the ambient atmosphere, as allowed by § 1036.115(a), you must either route all crankcase emissions into the exhaust for a combined measurement or add the crankcase emission values specified in § 1036.240(e) to represent emission levels at full useful life instead of measuring crankcase emissions in the field.
(e) Operate the test vehicle under conditions reasonably expected during normal operation. For the purposes of this subpart, normal operation generally includes the vehicle's normal routes and loads (including auxiliary loads such as air conditioning in the cab), normal ambient conditions, and the normal driver.
(f) Once an engine is set up for testing, test the engine for one shift-day, except as allowed in § 1036.420(d). To complete a shift-day's worth of testing, start sampling at the beginning of a shift and continue sampling for the whole shift, subject to the calibration requirements of the PEMS. A shift-day is the period of a normal workday for an individual employee. Evaluate the emission data as described in § 1036.420 and include the data in the reporting and record keeping requirements specified in §§ 1036.430 and 1036.435.
(g) For stop-start and automatic engine shutdown systems meeting the specifications of 40 CFR 1037.660, override idle-reduction features if they are adjustable under 40 CFR 1037.520(j)(4). If those systems are tamper-resistant under 40 CFR 1037.520(j)(4), set the 1-Hz emission rate to zero for all regulated pollutants when the idle-reduction feature is active. Do not exclude these data points under § 1036.530(c)(3)(ii).
§ 1036.420   Pass criteria for individual engines.
Perform the following steps to determine whether an engine meets the binned emission standards in § 1036.104(a)(3):
(a) Determine the emission standard for each regulated pollutant for each bin by adding the following accuracy margins for PEMS to the off-cycle standards in § 1036.104(a)(3):
Table 1 to Paragraph ( a ) of § 1036.420—Accuracy Margins for In-Use Testing
(b) Calculate the mass emission rate for each pollutant as specified in § 1036.530.
(c) For engines subject to compression-ignition standards, determine the number of windows in each bin. A bin is valid under this section only if it has at least 2,400 windows for bin 1 and 10,000 windows for bin 2.
(d) Continue testing additional shift-days as necessary to achieve the minimum window requirements for each bin. You may idle the engine at the end of the shift day to increase the number of windows in bin 1. If the vehicle has tamper-resistant idle-reduction technology that prevents idling, populate bin 1 with additional windows by setting the 1-Hz emission rate for all regulated pollutants to zero as described in § 1036.415(g) to achieve exactly 2,400 bin 1 windows.
(e) An engine passes if the result for each bin is at or below the standard determined in paragraph (a) of this section. An engine fails if the result for any bin for any pollutant is above the standard determined in paragraph (a) of this section.
§ 1036.425   Pass criteria for engine families.
For testing with PEMS under § 1036.415(d)(1), determine the number of engines you must test from each selected engine family and the family pass criteria as follows:
(a) Start by measuring emissions from five engines using the procedures described in this subpart E and § 1036.530. If all five engines comply fully with the off-cycle bin standards, the engine family passes, and you may stop testing.
(b) If only one of the engines tested under paragraph (a) of this section does not comply fully with the off-cycle bin standards, test one more engine. If this additional engine complies fully with the off-cycle bin standards, the engine family passes, and you may stop testing.
(c) If two or more engines tested under paragraphs (a) and (b) of this section do not comply fully with the off-cycle bin standards, test additional engines until you have tested a total of ten engines. Calculate the arithmetic mean of the bin emissions from the ten engine tests as specified in § 1036.530(g) for each pollutant. If the mean values are at or below the off-cycle bin standards, the engine family passes. If the mean value for any pollutant is above an off-cycle bin standard, the engine family fails.
(d) You may accept a fail result for the engine family and discontinue testing at any point in the sequence of testing the specified number of engines.
§ 1036.430   Reporting requirements.
(a) Report content. Prepare test reports as follows:
(1) Include the following for each engine family:
(i) Describe how you recruited vehicles. Describe how you used any criteria or thresholds to narrow your search or to screen individual vehicles.
(ii) Include a summary of the vehicles you have disqualified and the reasons you disqualified them, whether you base the disqualification on the criteria in § 1036.410(b), owner nonparticipation, or anything else. If you disqualified a vehicle due to misfueling, include the results of any fuel sample tests. If you reject a vehicle due to tampering, describe how you determined that tampering occurred.
(iii) Identify how many engines you have tested from the applicable engine family and how many engines still need to be tested. Identify how many tested engines have passed or failed under § 1036.420.
(iv) After the final test, report the results and state the outcome of testing for the engine family based on the criteria in § 1036.425.
(v) Describe any incomplete or invalid tests that were conducted under this subpart.
(2) Include the following information for the test vehicle:
(i) The EPA engine-family designation, and the engine's model number, total displacement, and power rating.
(ii) The date EPA selected the engine family for testing.
(iii) The vehicle's make and model and the year it was built.
(iv) The vehicle identification number and engine serial number.
(v) The vehicle's type or application (such as delivery, line haul, or dump truck). Also, identify the type of trailer, if applicable.
(vi) The vehicle's maintenance and use history.
(vii) The known status history of the vehicle's OBD system and any actions taken to address OBD trouble codes or MIL illumination over the vehicle's lifetime.
(viii) Any OBD codes or MIL illumination that occur after you accept the vehicle for field testing under this subpart.
(ix) Any steps you take to maintain, adjust, modify, or repair the vehicle or its engine to prepare for or continue testing, including actions to address OBD trouble codes or MIL illumination. Include any steps you took to drain and refill the vehicle's fuel tank(s) to correct misfueling, and the results of any fuel test conducted to identify misfueling.
(3) Include the following data and measurements for each test vehicle:
(i) The date and time of testing, and the test number.
(ii) Number of shift-days of testing (see § 1036.415(f)).
(iii) Route and location of testing. You may base this description on the output from a global-positioning system (GPS).
(iv) The steps you took to ensure that vehicle operation during testing was consistent with normal operation and use, as described in § 1036.415(e).
(v) Fuel test results, if fuel was tested under § 1036.410 or § 1036.415.
(vi) The vehicle's mileage at the start of testing. Include the engine's total lifetime hours of operation, if available.
(vii) The number of windows in each bin (see § 1036.420(c)).
(viii) The bin emission value per vehicle for each pollutant. Describe the method you used to determine HC as specified in 40 CFR 1065.660(b).
(ix) Recorded 1 Hz test data for at least the following parameters, noting that gaps in the 1 Hz data file over the shift-day are only allowed during analyzer zero and span verifications and during engine shutdown when the engine is keyed off:
(A) Ambient temperature.
(B) Ambient pressure.
(C) Ambient humidity.
(D) Altitude.
(E) Emissions of HC, CO, CO 2 , and NO X . Report results for PM if it was measured in a manner that provides 1 Hz test data.
(F) Differential backpressure of any PEMS attachments to vehicle exhaust.
(G) Exhaust flow.
(H) Exhaust aftertreatment temperatures.
(I) Engine speed.
(J) Engine brake torque.
(K) Engine coolant temperature
(L) Intake manifold temperature.
(M) Intake manifold pressure.
(N) Throttle position.
(O) Any parameter sensed or controlled, available over the Controller Area Network (CAN) network, to modulate the emission control system or fuel-injection timing.
(4) Include the following summary information after you complete testing with each engine:
(i) State whether the engine meets the off-cycle standards for each bin for each pollutant as described in § 1036.420(e).
(ii) Describe if any testing or evaluations were conducted to determine why a vehicle failed the off-cycle emission standards described in § 1036.420.
(iii) Describe the purpose of any diagnostic procedures you conduct.
(iv) Describe any instances in which the OBD system illuminated the MIL or set trouble codes. Also describe any actions taken to address the trouble codes or MIL.
(v) Describe any instances of misfueling, the approved actions taken to address the problem, and the results of any associated fuel sample testing.
(vi) Describe the number and length of any data gaps in the 1 Hz data file, the reason for the gap(s), and the parameters affected.
(b) Submission. Send electronic reports 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.
(1) You may send us reports as you complete testing for an engine instead of waiting until you complete testing for all engines.
(2) We may ask you to send us less information in your reports than we specify in this section.
(3) We may require you to send us more information to evaluate whether your engine family meets the requirements of this part.
(4) Once you send us information under this section, you need not send that information again in later reports.
(c) Additional notifications. Notify the Designated Compliance Officer describing progress toward completing the required testing and reporting under this subpart, as follows:
(1) Notify us once you complete testing for an engine.
(2) Notify us if your review of the test data for an engine family indicates that two of the first five tested engines have failed to comply with the vehicle-pass criteria in § 1036.420(e).
(3) Notify us if your review of the test data for an engine family indicates that the engine family does not comply with the family-pass criteria in § 1036.425(c).
(4) Describe any voluntary vehicle/engine emission evaluation testing you intend to conduct with PEMS on the same engine families that are being tested under this subpart, from the time that engine family was selected for field testing under § 1036.405 until the final results of all testing for that engine family are reported to us under this section.
§ 1036.435   Recordkeeping requirements.
Keep the following paper or electronic records of your field testing for five years after you complete all the testing required for an engine family:
(a) Keep a copy of the reports described in § 1036.430.
(b) Keep any additional records, including forms you create, related to any of the following:
(1) The recruitment, screening, and selection process described in § 1036.410, including the vehicle owner's name, address, phone number, and email address.
(2) Pre-test maintenance and adjustments to the engine performed under § 1036.415.
(3) Test results for all void, incomplete, and voluntary testing described in § 1036.430.
(4) Evaluations to determine why an engine failed any of the bin standards described in § 1036.420.
(c) Keep a copy of the relevant calibration results required by 40 CFR part 1065.
§ 1036.440   Warranty obligations related to in-use testing.
Testing under this subpart that finds an engine exceeding emission standards under this subpart is not by itself sufficient to show a breach of warranty under 42 U.S.C. 7541(a)(1). A breach of warranty would also require that engines fail to meet one or both of the conditions specified in § 1036.120(a).
§ 1036.501   General testing provisions.
(a) Use the equipment and procedures specified in this subpart and 40 CFR part 1065 to determine whether engines meet the emission standards in §§ 1036.104 and 1036.108.
(b) Use the fuels specified in 40 CFR part 1065 to perform valid tests, as follows:
(1) For service accumulation, use the test fuel or any commercially available fuel that is representative of the fuel that in-use engines will use.
(2) For diesel-fueled engines, use the ultra-low-sulfur diesel fuel specified in 40 CFR part 1065.703 and 40 CFR 1065.710(b)(3) for emission testing.
(3) For gasoline-fueled engines, use the appropriate E10 fuel specified in 40 CFR part 1065.
(c) For engines that use aftertreatment technology with infrequent regeneration events, apply infrequent regeneration adjustment factors for each duty cycle as described in § 1036.580.
(d) If your engine is intended for installation in a vehicle equipped with stop-start technology meeting the specifications of 40 CFR 1037.660 to qualify as tamper-resistant under 40 CFR 1037.520(j)(4), you may shut the engine down during idle portions of the duty cycle to represent in-use operation. We recommend installing a production engine starter motor and letting the engine's ECM manipulate the starter motor to control the engine stop and start events. Use good engineering judgment to address the effects of dynamometer inertia on restarting the engine by, for example, using a larger starter motor or declutching the engine from the dynamometer during restart.
(e) You may disable any AECDs that have been approved solely for emergency equipment applications under § 1036.115(h)(4). Note that the emission standards do not apply when any of these AECDs are active.
(f) You may use special or alternate procedures to the extent we allow them under 40 CFR 1065.10.
(g) This subpart is addressed to you as a manufacturer, but it applies equally to anyone who does testing for you, and to us when we perform testing to determine if your engines meet emission standards.
(h) For testing engines that use regenerative braking through the crankshaft only to power an electric heater for aftertreatment devices, you may use the nonhybrid engine testing procedures in §§ 1036.510, 1036.512, and 1036.514 and you may also or instead use the fuel mapping procedure in § 1036.505(b)(1) or (2). You may use this allowance only if the recovered energy is less than 10 percent of the total positive work for each applicable test interval. Otherwise, use powertrain testing procedures specified for hybrid powertrains to measure emissions and create fuel maps. For engines that power an electric heater with a battery, you must meet the requirements related to charge-sustaining operation as described in 40 CFR 1066.501(a)(3).
§ 1036.505   Engine data and information to support vehicle certification.
You must give vehicle manufacturers information as follows so they can certify their vehicles to greenhouse gas emission standards under 40 CFR part 1037:
(a) Identify engine make, model, fuel type, combustion type, engine family name, calibration identification, and engine displacement. Also identify whether the engines meet CO 2 standards for tractors, vocational vehicles, or both. When certifying vehicles with GEM, for any fuel type not identified in table 1 to paragraph (b)(4) of § 1036.550, identify the fuel type as diesel fuel for engines subject to compression-ignition standards, and as gasoline for engines subject to spark-ignition standards.
(b) This paragraph (b) describes four different methods to generate engine fuel maps. For engines without hybrid components and for mild hybrid engines where you do not include hybrid components in the test, generate fuel maps using either paragraph (b)(1) or (2) of this section. For other hybrid engines, generate fuel maps using paragraph (b)(3) of this section. For hybrid powertrains and nonhybrid powertrains and for vehicles where the transmission is not automatic, automated manual, manual, or dual-clutch, generate fuel maps using paragraph (b)(4) of this section.
(1) Determine steady-state engine fuel maps as described in § 1036.535(b). Determine fuel consumption at idle as described in § 1036.535(c). Determine cycle-average engine fuel maps as described in § 1036.540, excluding cycle-average fuel maps for highway cruise cycles.
(2) Determine steady-state fuel maps as described in either § 1036.535(b) or (d). Determine fuel consumption at idle as described in § 1036.535(c). Determine cycle-average engine fuel maps as described in § 1036.540, including cycle-average engine fuel maps for highway cruise cycles. We may do confirmatory testing by creating cycle-average fuel maps from steady-state fuel maps created in paragraph (b)(1) of this section for highway cruise cycles. In § 1036.540 we define the vehicle configurations for testing; we may add more vehicle configurations to better represent your engine's operation for the range of vehicles in which your engines will be installed (see 40 CFR 1065.10(c)(1)).
(3) Determine fuel consumption at idle as described in § 1036.535(c) and (d) and determine cycle-average engine fuel maps as described in § 1036.545, including cycle-average engine fuel maps for highway cruise cycles. Set up the test to apply accessory load for all operation by primary intended service class as described in the following table:
Table 1 to Paragraph ( b )(3) of § 1036.505—Accessory Load
(4) Generate powertrain fuel maps as described in § 1036.545 instead of fuel mapping under § 1036.535 or § 1036.540. Note that the option in § 1036.545(b)(2) is allowed only for hybrid engine testing. Disable stop-start systems and automatic engine shutdown systems when conducting powertrain fuel map testing using § 1036.545.
(c) Provide the following information if you generate engine fuel maps using either paragraph (b)(1), (2), or (3) of this section:
(1) Full-load torque curve for installed engines and the full-load torque curve of the engine (parent engine) with the highest fueling rate that shares the same engine hardware, including the turbocharger, as described in 40 CFR 1065.510. You may use 40 CFR 1065.510(b)(5)(i) for Spark-ignition HDE. Measure the torque curve for hybrid engines that have an RESS as described in 40 CFR 1065.510(g)(2) with the hybrid system active. Test hybrid engines with no RESS as described in 40 CFR 1065.510(b)(5)(ii).
(2) Motoring torque curve as described in 40 CFR 1065.510(c)(2) and (5) for nonhybrid and hybrid engines, respectively. For engines with a low-speed governor, remove data points where the low-speed governor is active. If you don't know when the low-speed governor is active, we recommend removing all points below 40 r/min above the warm low-idle speed.
(3) Declared engine idle speed. For vehicles with manual transmissions, this is the engine speed with the transmission in neutral. For all other vehicles, this is the engine's idle speed when the transmission is in drive.
(4) The engine idle speed during the transient cycle-average fuel map.
(5) The engine idle torque during the transient cycle-average fuel map.
(d) If you generate powertrain fuel maps using paragraph (b)(4) of this section, determine the system continuous rated power according to § 1036.520.
§ 1036.510   Supplemental Emission Test.
(a) Measure emissions using the steady-state SET duty cycle as described in this section. Note that the SET duty cycle is operated as a ramped-modal cycle rather than discrete steady-state test points.
(b) Procedures apply differently for testing certain kinds of engines and powertrains as follows:
(1) For testing nonhybrid engines, the SET duty cycle is based on normalized speed and torque values relative to certain maximum values. Denormalize speed as described in 40 CFR 1065.512. Denormalize torque as described in 40 CFR 1065.610(d). Note that idle points are to be run at conditions simulating neutral or park on the transmission.
(2) Test hybrid powertrains as described in § 1036.545, except as specified in this paragraph (b)(2). Do not compensate the duty cycle for the distance driven as described in § 1036.545(g)(4). For hybrid engines, select the transmission from § 1036.540(c)(2), substituting “engine” for “vehicle” and “highway cruise cycle” for “SET”. Disregard duty cycles in § 1036.545(j). For cycles that begin with idle, leave the transmission in neutral or park for the full initial idle segment. Place the transmission into drive no earlier than 5 seconds before the first nonzero vehicle speed setpoint. For SET testing only, place the transmission into park or neutral when the cycle reaches the final idle segment. Use the following vehicle parameters instead of those in § 1036.545 to define the vehicle model in § 1036.545(a)(3):
(i) Determine the vehicle test mass, M, as follows:
(ii) Determine the vehicle frontal area, A front, as follows:
(A) For M ≤ 18050 kg:
(B) For M > 18050 kg, A front = 7.59 m 2
(iii) Determine the vehicle drag area, C d A , as follows:
C d A = 3.08 m 2
(iv) Determine the coefficient of rolling resistance, C rr, as follows:
(v) Determine the vehicle curb mass, M curb , as follows:
(vi) Determine the linear equivalent mass of rotational moment of inertias, M rotating , as follows:
(vii) Select a combination of drive axle ratio, k a, and a tire radius, r, that represents the worst-case combination of top gear ratio, drive axle ratio, and tire size for CO 2 expected for vehicles in which the hybrid engine or hybrid powertrain will be installed. This is typically the highest axle ratio and smallest tire radius. Disregard configurations or settings corresponding to a maximum vehicle speed below 60 mi/hr in selecting a drive axle ratio and tire radius, unless you can demonstrate that in-use vehicles will not exceed that speed. You may request preliminary approval for selected drive axle ratio and tire radius consistent with the provisions of § 1036.210. If the hybrid engine or hybrid powertrain is used exclusively in vehicles not capable of reaching 60 mi/hr, you may request that we approve an alternate test cycle and cycle-validation criteria as described in 40 CFR 1066.425(b)(5). Note that hybrid engines rely on a specified transmission that is different for each duty cycle; the transmission's top gear ratio therefore depends on the duty cycle, which will in turn change the selection of the drive axle ratio and tire size. For example, § 1036.520 prescribes a different top gear ratio than this paragraph (b)(2).
(viii) If you are certifying a hybrid engine, use a default transmission efficiency of 0.95 and create the vehicle model along with its default transmission shift strategy as described in § 1036.545(a)(3)(ii). Use the transmission parameters defined in § 1036.540(c)(2) to determine transmission type and gear ratio. For Light HDV and Medium HDV, use the Light HDV and Medium HDV parameters for FTP, LLC, and SET duty cycles. For Tractors and Heavy HDVs, use the Tractor and Heavy HDV transient cycle parameters for the FTP and LLC duty cycles and the Tractor and Heavy HDV highway cruise cycle parameters for the SET duty cycle.
(c) Measure emissions using the SET duty cycle shown in Table 1 of this section to determine whether engines meet the steady-state compression-ignition standards specified in subpart B of this part. Table 1 of this section specifies test settings, as follows:
(1) The duty cycle for testing nonhybrid engines involves a schedule of normalized engine speed and torque values. Note that nonhybrid powertrains are generally tested as engines, so this section does not describe separate procedures for that configuration.
(2) The duty cycle for testing hybrid powertrains involves a schedule of vehicle speeds and road grade as follows:
(i) Determine road grade at each point based on the continuous rated power of the hybrid powertrain, P contrated , in kW determined in § 1036.520, the vehicle speed (A, B, or C) in mi/hr for a given SET mode, v ref[speed] , and the specified road-grade coefficients using the following equation:
(ii) Use the vehicle C speed determined in § 1036.520. Determine vehicle A and B speeds as follows:
(A) Determine vehicle A speed using the following equation:
(B) Determine vehicle B speed using the following equation:
(3) Table 1 follows:
(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 RESS after preconditioning.
(ii) Operate the engine or powertrain continuously over repeated SET duty cycles until you reach the end-of-test criterion defined in 40 CFR 1066.501(a)(3).
(iii) Calculate emission results for each SET duty cycle. Figure 1 to paragraph (d)(4) of this section provides an example of a charge-depleting test sequence where there are two test intervals that contain engine operation.
(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 SET charge-depleting test sequence:
(e) Determine greenhouse gas pollutant emissions for plug-in hybrid powertrains using the emissions results for all the SET test intervals 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, using the following equation:
Example using the charge-depletion test in figure 1 to paragraph (d)(4) of this section for the SET for CO 2 emission determination:
(f) Calculate and evaluate cycle-validation criteria as specified in 40 CFR 1065.514 for nonhybrid engines and § 1036.545 for hybrid powertrains.
(g) Calculate the total emission mass of each constituent, m, over the 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).